ACS Assessor Guide - Security Industry Authority

ACS Assessor GuideSection 2 – Approved Contractor SchemeThe ACS assessment process is shown diagrammatically in Figure1 – ACSAssessment Process Flow.The following notes relate to the numbered boxes in Figure1 – ACSAssessment Process Flow. These are included to provide additionalinformation on the activities to be conducted by the assessing body or theassessor and to answer any questions about the assessment process. Anyadditional questions should be submitted to the SIA.1. Where issues have arisen during our initial eligibility checks, the assessingbody will be informed of specific areas we want to ensure the assessor coversduring the assessment and in the final report. These could include the licencestatus of individuals or specific areas of customer complaints. This is notexpected to be applicable to the majority of applicants. We will also providethe assessing body access to the applicant’s online achievement record.2. The assessing body will use the applicant’s achievement record and any otheradditional information obtained from the applicant organisation to plan the visit.The additional information could include the number of employees, numberof branches, coverage, number and location of customers. As part of theplanning activity your assessing body will advise us of the name of theassessor(s) who will be conducting the assessment. On receipt of thisinformation we will grant the nominated assessor access to the applicants’achievement record.3. The assessor will develop an assessment plan based on the informationcontained within the achievement record and any applicant specificinstructions obtained from us. The assessor should use the assessmentplanning guidelines provided in section six when developing the plan.Although the SAW and the OLAR, completed by the applicant, are usefultools in planning of the assessment it is important to note that the assessorshould not plan to work through the SAW indicator by indicator but shouldidentify multiple areas that can be covered within planned discussions andinterviews.4. The assessment plan should be agreed with the applicant organisation. It islikely that this will not be a separate activity but will be an integral part ofstep three. Once agreed, a copy of the visit plan should be sent to us at leastthree working days prior to the assessment taking place.5. Conduct the assessment according to the agreed plan. This enables theassessor to relate evidence verified through discussion back to the SAW. It isrecommended that the assessment notes are updated after each interview toensure all relevant information is captured. At the end of the assessment theassessor should be in a position to determine, from the evidence presented, ifthe applicant organisation has achieved the required performance level.Section – 3 Overall Considerations explains some of the additional factors theassessor should take into account when determining the achievement level.There may be occasions where it becomes apparent before the end of theassessment that the applicant is unlikely to meet the required achievementlevel within the given timeframes. The assessor should discuss thisimmediately with the applicant and agree whether to continue theassessment. Whilst there may be benefits to the applicant to continue withthe planned visit the assessor should be sensitive to any cost concerns onbehalf of the applicant.If, during the, assessment the assessor identifies issues, such as illegal workingpractices, that fall outside of the ACS scope but would have an adverse affecton the reputation of the ACS, the assessor should continue with theassessment as planned but advise the SIA ACS team who may investigatefurther.8The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 2 – Approved Contractor Scheme6. The assessor will conduct a closing meeting with the managing director andother members of the management team as determined by the applicant. Atthis meeting the assessor will discuss the findings of the assessment, and theirproposed recommendation, to the SIA. The assessor and the applicant shouldagree the performance level of the organisation and, as applicable, anyimprovement options (i.e. actions to be considered in order to enhanceperformance required) or any improvements needed to meet ACSrequirements (i.e. effective action needed in order to meet the ACSStandard). In all cases where improvement needs are identified, the assessorshould contact us at the earliest opportunity, discuss an action plan with theapplicant and agree a suitable re-visit date. Further guidance can be found onthe assessor webpage. The applicant organisation should be reminded at thisstage that we will make the final decision with regard to the granting ofApproved Contractor status.7. Where the applicant organisation has either achieved or not achieved therequired level of performance, the assessor will write a summary sheet andassessment report and input assessment scores onto the OLAR. Guidance onhow to complete the report can be found in the separate guidance noteavailable on the assessor webpage.8. The assessor will submit a copy of the assessment report and arecommendation for approval, or non approval, to us and the applicant withinfive working days. The SIA will make its decision based on the report, therecommendation and the ability of the applicant to meet pre-determinedeligibility criteria. On receipt of the report we will remove the assessor’saccess to the OLAR.9. Refer to the Improvement Need guidance on the assessor webpage for fullguidance on what to do in the event of improvement needs being identifiedduring an assessment.Where a revisit is required to evidence improvements made on any agreedremedial action the assessor should follow steps 3 through 9 of the assessmentprocess. During the revisit the assessor has the option to assess any criteria. Theymay also visit additional sites if applicable and/or appropriate.Note: Applicants will have the right to appeal any decision made either by theassessor, if agreement cannot be reached at the end of the assessment, or bythe SIA.9The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 3 – Overall Considerations3. Overall ConsiderationsThere are a number of key considerations to be taken into account whenconducting an assessment.3.1. OrganisationWhilst it is essential that the required level of achievement against the ACSStandard is met, the size of the applicant organisation is an important factor indetermining the type and scope of evidence an assessor would expect to see.It would be unreasonable, for example, to expect a small applicant organisation tohave the same level of formality in the way it approaches business as a largerapplicant organisation with regional/branch offices and a large number of remoteworkers. Whilst it is not possible to give the assessor specific details of whatparticular types of organisations should present, this guide is intended to offersome advice. Procedures do not have to be written down but organisations mustensure that they are used and manage any changes.Smaller applicant organisations should have in place the requirements of the ACSStandard in a manner reasonable for their size. Even this may vary depending onthe number of staff, decision makers etc. The assessor could expect that the morestaff and decision makers within an organisation, the more formal anddocumented the approaches would need to be in order to ensure greaterconsistency of application. The more formal and documented the approaches, thegreater the test of deployment needs to be during the assessment.However this does not mean that level of deployment should not be tested insmall organisations. It is possible for small applicant organisations to assume thateveryone must know the procedures and as a result fail to put into place the levelof detail required to ensure clarity and consistency.The development of approaches would be more systematic in larger organisationswith special departments having unique responsibility for certain areas, especiallyin the largest organisations within the industry. In smaller organisations everythingis likely to be done by one or two people. A more formal approach to some areaswould be found in those organisations, regardless of size, that haveISO9001certification.CommunicationMethods employed to communicate with employees and other stakeholdersshould be in keeping with the ease with which the organisation can reacheach group.Communication, to employees, for example, through multiple levels, across multiregions and/or branches and on wide spread client sites would be expected to bemore structured and managed to ensure that a consistent message is received by all.Geographically dispersed customers would also require differentcommunication approaches than local customers. It would, therefore, beexpected that larger applicant organisations would have more formalcommunication methods in place to ensure that all relevant stakeholders,particularly employees, are informed as appropriate.TechnologySmaller applicant organisations are less likely to invest in technological solutionsto manage the business, frequently using paper-based procedures and systems.This is perfectly acceptable provided that the resulting records are maintained inan accurate and timely manner and allow the applicant organisation to meet therequirements of the ACS Standard.PurchasingWhen assessing applicant organisations that outsource functions, such asscreening and vetting, or are likely to make repeat large purchases, an assessorshould see more detailed and robust supplier management processes in place,with the applicant organisation working closely with the supplier.Small applicant organisations are less likely to have formal supplier relationships.However there is no reason why a smaller applicant organisation should not workwith any supplier to improve the service obtained or service delivery to their clients.11The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 3 – Overall ConsiderationsOngoing ImprovementIn addition to the size of the applicant organisation, the length of time trading willalso have an impact on the type of evidence provided. Newer applicantorganisations will have less developed approaches, not yet reviewed withimprovements identified and implemented. It is important however to ensure thatthese applicant organisations can demonstrate that they have considered anddeveloped approaches to handle an improvement cycle. Mature applicantorganisations should be able to demonstrate better developed approaches andmethods as a result of multiple improvement cycles.3.2. Current StandardsThe ACS Self Assessment Workbook Guide has been cross referenced withISO9001and the relevant British Standards to assist both the applicant and theassessor to identify where they are appropriate.Smaller applicant organisations and those applicant organisations that are relativelynew to the security industry are less likely to have certification to ISO9001thanlarger and more mature applicant organisations. The exception to this would bethe Cash and Valuables in Transit sector where, due to the nature of the business,all applicant organisations may need to be accredited and compliant to meetcustomer requirements.Where an applicant organisation is UKAS ISO900 registered and/or candemonstrate, through other certification that they are compliant to the relevantBritish Standards then the sampling levels may be reduced. However, the assessorshould review recent audit reports and undertake some limited checks to giveconfidence that this approach is safe.Approved contractors are expected to work to the British Standard Codes ofPractice relevant to their sector(s). Since these are codes of practice and notrequirements standards assessors must be flexible in their interpretation of howconformance to the codes is demonstrated. It is anticipated that some detail inthe codes of practice will not be appropriate to every contractor. Any deviationfrom the recommendations in an applicable code of practice should be justified bythe contractor. In such cases, if the assessor and the contractor are not in fullagreement then the SIA will arbitrate. If a contractor holds a certificate ofconformance to the relevant codes of practice then only the requirementsspecified in the SAW should be assessed.Figure 2 – Existing Security Industry Codes of Practice identifies therelevant codes of practice for each activity for which ACS approval is available.Contractors seeking approval for a particular activity should work to the code(s)of practice listed.3.3. ApproachesAs discussed in Section 3.1 – Organisation, the approaches used will varydepending on the size and maturity of the applicant organisation. It is importantthat the assessor, whatever the approach, is satisfied that they are appropriateand contribute to the desired outcome. In order to deliver the desired outcomeapproaches have to be fully implemented. It is here that the assessor must plan totalk to as many employees, customers and possibly consumers as is necessary, inorder to test.It is feasible that assessors will be requested to conduct a combinedassessment/audit against the ACS Standard, ISO9001and/or the relevant BritishStandard. This is acceptable provided that all aspects are covered in theassessment and the integrity of any of the standards is not compromised.12The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 3 – Overall ConsiderationsStandard Number* Title Use for:BS7858 Security Screening of Individuals Employed in a Security Environment – Code of Practice All activities regulated by the SIABS7958 Closed Circuit Television (CCTV) – Management and Operation – Code of Practice Public Space Surveillance (CCTV)BS7499 Static Site Guarding and Mobile Patrol Services – Code of Practice Security GuardingBS7960 Door Supervisors/Stewards – Code of Practice Door SupervisionBS7872 Manned Security Services – Cash in Transit (Collection and Delivery) – Code of Practice Cash & Valuables in TransitBS7984 Key holding and Response Services – Code of Practice Key HoldingBS8507-1 Close Protection Services within the United Kingdom – Code of Practice Close ProtectionBS8517-1 The use of General Purpose Security Dogs – Code of Practice Security Guardingn/a BPA Code of Practice for Parking Enforcement* Vehicle ImmobilisationFigure 2 –Relevant Security Industry Codes of Practice* Vehicle Immobilisers operating in Northern Ireland should work to the British Parking Association Code of Practice for Parking Enforcement or an equivalent.13The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 3 – Overall Considerations3.4. EvidenceThe form and shape of the evidence presented should be determined by theimpact and risk of the section being assessed and should be appropriate to thesize and maturity of the applicant organisation as discussed in Section 3.1Organisation. The assessor is looking for sufficient evidence to assure themselvesthat the applicant organisation is meeting the requirements outlined in theindividual boxes within the ACS SAW.3.5. Discussion GroupsAn effective way of ensuring that the evidence presented is valid and welldeployed would be through discussions and questioning of stakeholders.Assessors may conduct focus groups and/or individual discussions with employeesto test deployment and understanding. The employees selected to participate inthese discussions should be chosen, where possible, by the assessor and shouldcover a full range of roles. Applicant organisations should ensure that the assessorhas access to all staff. This would include: an appropriate number for the size of the applicant organisation – it may not benecessary in an organisation of ten employees to interview all ten. It would notbe appropriate in an organisation employing 500 to interview only ten. a cross section of levels of authority within the applicant organisation – quiteoften management have a different view of the way in which an organisation isrun to that of employees. It is important to obtain a balanced view byselecting interviewees from all levels of management, supervisors, shift/siteleaders and staff. a cross section of head office and remote workers – when testing deployment itis important to ensure that those furthest from the ‘core’ of the business areaware of appropriate information. When selecting interviewees it is importantto include staff who work on remote sites and/or who do shift work.Assessors are required to contact customers and/or suppliers to verify evidencepresented. Whilst it is required for any selection to be made by the Assessor, thisshould be done with the full consent of the applicant organisation which shouldmake the necessary arrangements.Whenever interviews and discussions are conducted the assessor should ensurethat all information is given in confidence and any sensitive evidence presented tothe applicant organisation anonymously.Assessors should be aware of the sensitive nature of all discussions and interviewsand conduct themselves appropriately.3.6. AttitudeWhilst not a direct part of the ACS Self Assessment Workbook the Assessorshould also pay attention to the attitude of the applicant organisation. Theassessor should be looking at the way in which the applicant organisation preparesfor the assessment and the openness in discussing potential areas forimprovement. The applicant organisation should co-operate fully with the assessorand not be covertly unhelpful. For example an applicant organisation may ensurethat selected interviewees are unavailable for interview when required.Applicant organisations should demonstrate a willingness to participateconstructively in the discussions around scoring and improvement planning. Theassessor should also be looking for evidence of a commitment to improvementwithin the whole of the organisation.The attitude demonstrated to the assessor should be used to influence thedecision to recommend ACS approval (or not) if the applicant organisation isborderline for ACS approval.14The contents of this publication are copyright ©2013 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.

Approved Contractor SchemeAssessor GuideSection 4Criterion Specific Guidelines15The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines4. Criterion Specific GuidelinesThe following section examines any special requirements or considerationsfor each of the nine criteria that make up the ACS Standard. These shouldbe reviewed and used in conjunction with the points raised in Section 3Overall Considerations.The nine criterion specific considerations are:1. Strategy2. Processes3. Commercial Relationship Management4. Financial Management5. Resources6. People7. Leadership8. Corporate Social Responsibility9. ResultsThe Assessor may wish to refer to ISO9001 and relevant British Standards foradditional information relating to specific indictors within each of the criteria.Specific references have been given for websites that will provide information forthe assessor on the statutory requirements which form the minimum achievableACS Standard in some of the indicators16The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – StrategyAn SIA Approved Contractor has clear strategic direction enabling todeliver value to all stakeholders.Note:1. Examples of the types of evidence the assessor may consider sufficient tomeet the ACS Standard are given wherever possible. As verification visits areconducted additional examples will be added through input of the assessorCommunity of Interest. This also applies to the examples of good practicecontained in this section. Should an assessor have difficulty in determiningwhether evidence presented by an applicant meets the ACS Standard theyshould contact the SIA ACS team.17The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – StrategyAn SIA Approved Contractor has clear strategic direction enabling it to deliver value to all stakeholders.1.1 An SIA Approved Contractor has an approach to business that enables delivery of value to all stakeholders.1.1.1 The organisation has a clear approach to business that is acted on and communicated to all staff.Required Achievement LevelThe organisation can describe itsoverall approach to businessincluding its role, purpose ormission. All aspects of the previouscolumn plus:The approach to business supportsdelivery of service to the customer.The approach to business isexplained to employees when theyjoin the organisation.All aspects of the previouscolumn plus:There is ongoing communication ofthe approach to business toemployees including their role in itsdelivery.All aspects of the previouscolumn plus:The approach to business focuseson meeting the needs of customers,consumers and the wider public.What is important to the businessand what is expected of employeesare clearly defined.Plans to maintain and develop thebusiness are in line with theapproach to business.All aspects of theprevious column plus:The approach to business clearlyaddresses the needs of other keystakeholders.Employee understanding of theapproach to business ismonitored through checks duringservice delivery.18The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.1 An SIA Approved Contractor has an approach to doing business that enables delivery of value to all stakeholders.1.1.1 The organisation has a clear approach to business that is acted on and communicated to all staff.Please refer to the Glossary in section 5, for a definition of: Mission ValuesClarification:Approach to business is a plain English term to avoid too much prescription or jargon.An approved contractor should be clear about why it exists, what it stands for and what ismost important to it (i.e. its approach to business). Smaller applicant organisations are lesslikely to have any formal, documented statements (mission, vision, values, purpose) butshould be able to articulate to the assessor the essence of their business approach. This canthen be corroborated with other employees and with customers (1.1.2).Within larger applicant organisations the assessor should expect to see a more formalapproach to the development and communication of the company’s approach to business,usually defined in mission/value statements or similar. The assessor could expect to seestatements displayed around all areas of the company and at remote sites. Understanding ofthe approach to business should still be tested with employees and possibly with otherstakeholders.The approach to business should also be demonstrated in how the organisation manages andconducts its business affairs. Where the applicant organisation forms part of a largerorganisation whose main business is not within the private security industry any overallmission/values or similar may apply. The applicant organisation should be able todemonstrate the application of any overall mission etc. within their sector.The key to the achievement level is an understanding of what is important to the business,what it believes in, and what is therefore expected of employees. The needs of otherstakeholders, besides the customers should be recognised.At least part of the approach to business may be documented in a code of practice or inquality policy etc.Examples could include: Mission, vision and values statement used throughout the company and covered atinduction.Good practice: Mission and values are linked to/referenced in company documentation, website andprocedures.Linkages with other Indicators:7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.19The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – Strategy1.1 An SIA Approved Contractor has an approach to business that enables delivery of value to all stakeholders.1.1.2 Key stakeholders are aware of the organisation’s overall approach to business.Required Achievement LevelThe organisation’s role, purposeor mission is communicated tocustomers, consumers and thewider public if requested.All aspects of the previouscolumn plus:Potential customers are alwaysmade aware of the role, purpose ormission during the acquisition ofnew businessExisting customers are always madeaware of the role, purpose ormission during the acquisition ofnew business.All aspects of the previouscolumn plus:Customers and where appropriateother key stakeholders are alwaysmade aware of the organisation’soverall approach to business as partof negotiations to acquire newbusiness.All aspects of the previouscolumn plus:Other stakeholders such asconsumers, police and otherauthorities are made aware of theorganisation’s overall approach tobusiness.Customers are asked to commenton how well the approach tobusiness is applied.There is ongoing communicationof the approach to business to allcustomers and other stakeholdersuch as consumers, police, otherauthorities and the wider public.Other stakeholders are asked tocomment on how well theapproach to business is appliedby the organisation and by itsemployees.20The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.1 An SIA Approved Contractor has an approach to business that enables delivery of value to all stakeholders.1.1.2 Key stakeholders are aware of the organisation’s overall approach to business.Please refer to the Glossary in section 5, for a definition of: Stakeholder Consumer CustomerExamples could include: Including approach to business in tender and supplier documentation. Including approach to business in website, sales and marketing material.Clarification:The approach to business needs to be communicated to the customer, at a minimum duringthe negotiations stage when acquiring new business. With all sizes of organisation it isacceptable for this to be verbally communicated as part of the discussions. This can bevalidated during interviews with selected customers.Ongoing reference to the approach to business during regular customer discussions,especially in the area of checking how well the organisation is performing in relation to theirapproach helps to bring this to life.Some sectors will find some challenge in getting evidence of consumer contact although thatdoes not necessarily mean that they should not be encouraged to do so.Good practice: Covering approach to business in feedback gathering mechanisms.Linkages with other Indicators:7.2.1 Leaders consult stakeholders on their leadership skills and have personal developmentplans based on the feedback.21The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – Strategy1.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards.1.2.1 Critical success factors have been clearly identified and internal measures are in place to monitor progress towards achievement.Required Achievement LevelInternal financial measures arein place.Review of performance againstmeasures happens infrequently orif a problem occurs.Critical success factors have beenidentified.Internal measures include financialmeasures and customer servicelevels.Review of performance againstmeasures happens on a regularbasis.All aspects of the previouscolumn plus:Internal measures also includeemployee measures.All aspects of the previouscolumn plus:All measures have targets and arereviewed on a monthly basis by allappropriate leaders.All aspects of theprevious column plus:Progress towards achievement oftargets is monitored through aninternal balanced scorecard orother valid mechanism.22The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards.1.2.1 Critical success factors have been clearly identified and internal measures are in place to monitor progress towards achievement.Please refer to the Glossary in section 5, for a definition of: Critical Success FactorsClarification:Critical success factors (CSFs) are those things that an organisation must address in order tomeet its overall goals. It is not a requirement of the ACS Standard that these critical successfactors are documented. However, it is important that the leaders of the organisation areable to articulate what is important to their business.Many organisations concentrate on financial CSF’s and supporting measures along withperformance indicators against specific contracts. Good practice would be to have a CSF andsupporting measures that would also relate to employees and leadership as well as financialand customer.Ref: ISO9001Examples could include:CSF’s often start with the phrase ‘We must have…’ for example:We must have… satisfied clients and customers a range of products and services to meet market needs effective leadership highly effective and motivated people a culture of continuous improvement effective financial and management systems access to adequate financial and human resources strong alliances with selected business partners sound health and safety and environmental operations profitable contract wins effective processes and proceduresGood practice: CSFs are documented, with linked targets and benchmarks.Linkages with other Indicators:All areas of the Results criterion.23The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – Strategy1.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards.1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.Required Achievement LevelGoals, objectives and targets areset at a high level within theorganisation.Goals, objectives and targets are setat a high level within theorganisation.They cover the financial and servicedelivery aspects of the organisation.Employees are aware of the goals,objectives and targets that affecttheir area of service delivery.Goals, objectives and targets arediscussed with individuals.There is a link between the goals,objectives and targets of individualemployees and the organisationsoverall objectives.They cover the financial, servicedelivery and employee aspects ofthe organisation.Employees are aware of how theirindividual goals and objectives arelinked to the organisations overallobjectives.Goals, objectives and targets can betraced down through theorganisation.They are developed throughdiscussions with the employeeresponsible for their achievement.There is a clear link with the role,purpose or mission and plans tomaintain and/or develop thebusiness.They cover all aspects of theorganisation such as financial,service delivery, employee andreputation.24The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards.1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.Please refer to the Glossary in section 5, for a definition of: GoalsClarification:The key aspect of this indicator is the flow down from the role, purpose or mission, throughcritical success factors and measures to specific goals and objectives throughout theorganisation. Whilst mission and critical success factors are not required to be documentedthe challenge for any organisation is to ensure that individual or team goals and objectives areunderstood and achieved.The assessor should determine how this happens if they are not documented. However, if anorganisation can satisfy you that this understanding exists without the need to havedocumented goals and objectives then this should be explained in your final report. The goalsof the organisation may not necessarily be as expected. For example, reduction of operatingcosts may be prioritised as a higher requirement than improving quality of service.The prioritisation of the goals and objectives is not important to ACS approval providing thatthere is a balance/range of goals and objectives that include such things as quality of service,employee considerations and the linkage with overall approach to business can bedemonstrated.Goal setting within a smaller organisation will be less formal however it should still exist. Itmay be targeted more around the service delivery aspect of the business but all employeesshould know and understand the goals and objectives of both the organisation in general andthe customer contracts they particularly work on.Examples could include:Different parts of the organisation would have different goals, objectives and targets butthey would all link into the overall goals and objectives of the organisation.For example: a person who looks after the payment of wages would have objectives and targets aroundaccuracy of the wages and payment on time. a frontline member of staff would have objectives and targets relating to the achievementof customer requirements as laid out in assignment instructions.Ref: ISO:9001Good practice: Individuals understand how their individual performance contributes to the organisation’soverall goals/objectives. Company goals are included in assignment Instructions. Goals are covered as part of the appraisal process.Linkages with other Indicators:All areas of the Results criterion.25The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – Strategy1.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards.1.2.3 Procedures have been defined to ensure compliance to working standards or ‘codes of practice’ and are fully implemented.Required Achievement LevelThe organisation has decided todeliver customer serviceaccording to internally agreedstandards.The organisation is committed todelivering a quality service to itscustomers that is based onestablished high standards or a‘code of practice’.Where a British Standard Code ofPractice exists for a particularindustry sector (as determined bythe SIA) organisations seekingapproval for the sector shouldwork to it. Any deviation from therecommendations of a particularCode of Practice should be justified.All aspects of the previouscolumn plus:All employees are aware thestandards or code of practice andthe necessity to meet therequirement.They are understood andimplemented throughout theorganisation.There is an implementedprogramme of regular internalaudits to ensure full compliance.All aspects of the previouscolumn plus:There is an implementedprogramme of regular externalaudits to ensure full compliance.All aspects of theprevious column plus:The organisation participates inthe development of privatesecurity industry code(s) ofpractice.Employees responsible for servicedelivery are aware they mustdeliver to these standards. Theyhave been implemented in servicedelivery areas.A process for checking complianceexists.26The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards.1.2.3 Procedures have been defined to ensure compliance to working standards or ‘codes of practice’ and are fully implemented.Please refer to the Glossary in section 5, for a definition of: Code of Practice ProceduresClarification:This Indicator requires organisations to follow relevant British Standards codes of Practice.Adoption should be tested with customers and employees. BS codes of practice take theform of guidance and recommendations only and should not be quoted as if they are aspecificationCare must be therefore taken to ensure that an ACS assessment does not become anassessment of the BS codes of practice. Assessors should make a judgement based on theholistic assessment of a company’s activities, whether there is broad “conformance” to therelevant BS codes of practice. Assessors should not seek out and gather evidence ofcompliance to every element but should test understanding and examine the company’s ownevidence that it conforms.Where there is a clear and unjustified deviation from the codes of practice that affectsservice delivery, public safety or the credibility of the ACS Scheme, then anImprovement Need should be raised.The assessor should also ensure that the organisation has procedures in place to checkconformance. This could be a ‘checklist’, internal or external audits. The organisation mustbe able to demonstrate that procedures are in place and implemented to check conformanceExamples could include:Internal audits could include: a check list to ensure that assignment instructions are being followed. checks by internal quality groups against ISO9001 and the relevant British Standards.External audits could include: formal audits against ISO9001and the relevant British Standards. checks conducted by local authorities on ‘incident logs’, signing in books etc.Good practice: An internal audit programme implemented by independent internal auditors (staff do notaudit their own work). Mystery shopping. Spot checks and covert observation.Ref: ISO 9001 and all relevant British Standards codes of practice.27The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – Strategy1.3 An SIA Approved Contractor can demonstrate a coherent plan for the business which is regularly reviewed.1.3.1 A plan for the business exists with a clear review schedule.Required Achievement LevelA plan for the business exists thatis primarily financial in scope.A plan for the business exists that isbased on the financial needs of theorganisation and the needs ofcustomers.The plan for the business isreviewed at least annually unlessdriven by exceptional events.All aspects of the previouscolumn plus:The plan for the business alsoreflects: the approach to business of theorganisation the needs and expectations ofcustomers and employeesAll aspects of the previouscolumn plus:The plan for the business alsoincorporates analysis ofperformance against internalindicators and indicates targets forthe coming period.A schedule for the ongoing reviewof performance against the plan forthe business exists and is fullyimplemented.All aspects of theprevious column plus:The plan for the business also: is based on an understanding ofthe needs and expectations ofall stakeholders incorporates an understandingof information gained fromlearning activities, analysis ofcompetitor information,benchmarking exercises, andsocial, environmental and legalissues28The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.3 An SIA Approved Contractor can demonstrate a coherent plan for the business which is regularly reviewed.1.3.1 A plan for the business exists with a clear review schedule.Please refer to the Glossary in section 5, for a definition of: Analysis PerformanceClarification:Smaller organisations are less likely to have a written business plan but should be able toarticulate clearly where they plan the business to be in a given period of time. It is reasonableto expect security companies to plan ahead for 1-2 years.The plan for the business should cover the financial needs of the organisation and therequirements of customers and employees. The approach to business should be evidentthroughout the plans.Any plans, documented or not, should be monitored for progress and to highlight anychanges that may be required to ensure the continuity of the business. This will be harder forsmaller organisations, where there may be only one or two people involved, to demonstrate.The assessor may find it useful to be aware of recent changes within the industry orlegislation and structure interviews/questioning to identify if and how these were planned for.Applicant organisations should be moving towards planning for the business using analysis andunderstanding of information gathered from internal performance and external information.Examples could include: the applicant organisation has identified all stakeholders e.g. customers, employees,suppliers, members of the public and the local community. they collect and use internal performance indicators. they participate in committees and groups from the Security Industry and otherassociations. they use information learned at these activities.Good practice: A documented business plan that is regularly reviewed. All staff are made aware ofrelevant key aspects of the business plan and the way that they link to personal objectives.Linkages with other Indicators:9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.29The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 1Criteria 1 – Strategy1.4 An SIA Approved Contractor can demonstrate an effective internal and external communications strategy.1.4.1 The management of internal and external communication is handled effectively.Required Achievement LevelThe organisation communicateswith its customers and employeesin an unplanned and ad-hocmanner.Responses to adverse publicityabout either the organisation orevents within the sector areunplanned.Planned communication takes placebetween the organisation, itscustomers and employees.There are some procedures inplace to manage adverse publicityabout either the organisation orevents within the sector.All aspects of the previouscolumn plus:The organisation has identified thecommunication needs of itscustomers and employees.All opportunities forcommunication between theorganisation, customers andemployees are used.The procedures to manage adversepublicity also include: authorised levels of sign-off oncomments; a designated spokespersonThese procedures are always used.All aspects of the previouscolumn plus:Any feedback received on the waythe organisation communicates isreviewed and improvements madein future communication.Information concerning thecommunication needs of customersand employees is used to plan howthe organisation communicates withthese groups.The procedures to manage adversepublicity about either theorganisation or events within thesector also include: keeping of records of anyresponses made involving customers in theplanning of responsesThese procedures are always used.All aspects of theprevious column plus:The organisation has alsoidentified the communicationneeds of other stakeholder suchas consumers, police, otherauthorities and the wider public.This information is used todevelop and implement plans tocommunicate with thesestakeholders.Every available opportunity forcommunication between theorganisation and otherstakeholders is used.The organisation checks theawareness and understanding ofstakeholders to ensure theeffectiveness of itscommunication.30The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 11.4 An SIA Approved Contractor can demonstrate an effective internal and external communications strategy.1.4.1 The management of internal and external communication is handled effectively.Please refer to the Glossary in section 5, for a definition of: ApproachClarification:Communication within a smaller organisation can, by the nature of the organisation, be lessdependent on written forms and is more on verbal communication. Where communicationmethods are less formal there is a greater risk that communication may be overlooked,ineffective or that the needs of the stakeholders are assumed and not identified. The assessormust evaluate evidence to confirm this is not the case.Due to the nature of larger applicant organisations the assessor should expect a more formaland rigorous approach to communication, within the larger applicant organisations, possiblywith a department having responsibility of ensuring communication needs are met.Communication is likely to be on different levels dependant on the recipient especially wherecustomers are also based on multiple sites.The key to the ACS Standard is that communication to customers and employees is thoughtthrough in terms of identifying what type of information needs to be communicated, when itneeds to be communicated and how it is communicated to the different audiences. Thisshould be validated with employees and other stakeholders.It should not be assumed because an organisation has few employees that communication iseasily undertaken or understood.Some sectors are particularly susceptible to ‘bad’ publicity, for example Vehicle Immobilisersand Door Supervisors, although no sector is immune. Applicant organisations need to beaware of this and have given thought to how they mitigate the impact of any ‘bad’ publicity ontheir business, customers and employees.Assessors should verify that the organisation does not make misleading claims aboutmemberships, certifications, approvals, accreditations, and/or affiliation on promotionalmaterial, including websites. Similarly claims of previous experience, history, or clientsshould be tested. Further guidance can be found on the Misuse of Trademarks Guidancenote on the assessor page.Examples could include: how communication takes place especially for mobile employees and other stakeholdersusing top down, bottom up, and horizontal communication channels. evaluating the successful of the communication i.e. are people aware. understands the different needs of stakeholders in terms of communication and howthese are addressed.Ref: ISO9001; BS7958Good practice: a dedicated ‘Gatekeeper’ keeps tabs on all external communications remote employees can access a company intranet site company extranet for customers/stakeholders chat rooms for staff company newsletters sent out with pay staff notice boards effective use of social media such as Facebook and Twitter to promotebusiness and communicate with stakeholders policy on staff use of social media to protect organisational reputation31The contents of this publication are copyright ©2013 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.

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ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – ProcessesAn SIA Approved Contractor has robust processes in place that ensureservice delivery to its customers and stakeholders.Note:1. Examples of the types of evidence the assessor may consider sufficient tomeet the ACS Standard are given wherever possible. As verification visits areconducted additional examples will be added through input of the assessorCommunity of Interest. This also applies to the examples of good practicecontained in this section. Should an assessor have difficulty in determiningwhether evidence presented by an applicant meets the ACS Standard theyshould contact the SIA ACS team.2. Sub-contractors referred to in 2.4.1 refers to companies that are subcontracted to deliver security services on behalf of the applicant.33The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – ProcessesAn SIA Approved Contractor has robust processes in place to ensure delivery to its customers and stakeholders.2.1 An SIA Approved Contractor can demonstrate that it has identified and understands its key service delivery processes.2.1.1 Key service delivery processes have been identified and are understood by all.Required Achievement LevelThe organisation has identified thekey processes for the delivery ofservices to its customers.All aspects of the previouscolumn plus:These are documented in trainingmanuals or in individual proceduresand are reliably followed in practice.All aspects of the previouscolumn plus:These have standards ofperformance which can be assessedfor compliance.The organisation has identified itskey service delivery processes.These are documented in trainingmanuals or in individual proceduresand are reliably followed in practice.All key service delivery processeshave an identified responsiblemanager or director.All aspects of theprevious column plus:The identified responsiblemanager or director takes anactive interest in the achievementof a high level of performance.All process measures haveperformance targets.Key service delivery processes havemeasures of performance that aremonitored.The impact of performance inkey service delivery processes isunderstood by all.Key service delivery processes arereviewed to ensure continuingrelevance.Key service delivery processes areregularly tested outside routine sitevisits and inspections to ensurecontinuing effectiveness.Processes are reviewed toensure continuing relevance andeffectiveness in the delivery ofexcellent service to thecustomer.Actions resulting from tests ofthe key service deliveryprocesses are created withresolution timeframes.34The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.1 An SIA Approved Contractor can demonstrate that it has identified and understands its key service delivery processes.2.1.1 Key service delivery processes have been identified and are understood by all.Documentation for key internal processes should be sufficient to ensure that processes canbe understood and carried out by someone new to the job with the minimum of input.Although these may be informal there should be some methodology in place that allows forissues and improvements to be raised.All applicant organisations should have defined the processes required to deliver services toall customers. These processes can be defined at a number of levels forming a QualityManagement System such as that required by ISO9001. At their lowest level the processeswould take the form of assignment instructions, which inform the employee how to deliverto a specific client or site. This would be the minimum requirement for approval against theACS Standard.All processes required to deliver services should have associated standards of operation withperformance targets and should be regularly tested to ensure that standards are beingachieved. The approach to testing can range from a contractual arrangement with anexternal supplier/customer e.g. Security Watchdog to an internally developed and deliveredtesting regime. It is up to the applicant organisation in consultation with its customers todetermine what approach best fits its needs.The assessor should expect to find some level of documentation around these processes.The scope should cover the full range of processes used to manage service delivery. Thelevel of detail required in the documentation would be in relation to the size of the applicantorganisation.However the assessor must be assured that there are clear, accurate and up to dateassignment instructions in place for all contracts. Verbal communication only of assignmentinstructions would not be acceptable.Within larger organisations formal documentation, usually in the form of a QualityManagement System should be in place, even if the applicant organisation is not ISO9001certificated. This should cover internal procedures as well as those affecting service delivery.The level of detail within the Quality Management System should be appropriate to the sizeof the organisation. Formal processes should be in place to ensure that issues andimprovements are handled at an appropriate level within the applicant organisation. If it ispossible to make local changes to procedures, i.e. at individual customer sites, then evidencemust be presented on how this is controlled.Evidence that processes are being followed should be presented to the Assessor whoshould confirm that they are implemented where relevant within the applicant organisationand that they are used at all times.Key service delivery processes must be tested. Testing must go beyond routine sites visits andinspections.Ref: ISO9001Examples could include: Processes key to the success of the business are understood by management. Management conducting penetration testing exercisesGood practice: Key Processes are formally managed with owners, targets, benchmarking and review. Changes to processes are made as a result of incidents and complaints.Linkages with other Indicators:1.2.3 Procedures have been defined to ensure compliance to working standards or ‘codes of practice’and are fully implemented.35The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.2 An SIA Approved Contractor can demonstrate that it has a sound plan to ensure continuity of service delivery.2.2.1 There is a sound plan to ensure continuity of service delivery.Required Achievement LevelPlans for business continuityduring periods of labour shortagesexist.All aspects of the previouscolumn plus:The plans also cover incident andcrisis management in all aspects ofservice delivery.The plans are reviewed periodicallyto ensure continued effectiveness.All aspects of the previouscolumn plus:The plans also contain: details of actions to be taken named multiple responsiblepeopleThere is a schedule to review thecontinuing relevance andeffectiveness of the plans.All aspects of the previouscolumn plus:The plans for business continuityare tested regularly foreffectiveness.Actions resulting from tests of theplans for business continuity arecreated with resolution timeframes.The plans cover the full scope ofthe business.36The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.2 An SIA Approved Contractor can demonstrate that it has a sound plan to ensure continuity of service delivery.2.2.1 There is a sound plan to ensure continuity of service delivery.Clarification:The ACS standard is looking at how the applicant organisation manages incidents and crisiswithin the business. This is looking at the internal procedures rather than the handling ofincidents at a customer site which is addressed in another Indicator.The scope of the continuity plan will be dependent on the difficulty to recover after anincident or crisis.There must be some evidence that the plans have been reviewed, at least periodically orwhen new equipment is introduced.The extent to which the continuity plans are tested will vary dependent on the size ofapplicant organisation.Larger organisations may have a continuity plan, covering the full scope of the business, witha rigorous testing schedule that is implemented.Note that sectors, such as Key Holding, would consider all ‘call out’ as incidents and it isimportant that the assessor ensures the organisation understands the different requirements.Examples could include: how would you manage after a fire/flood/snowing in at your premises or travel towork area. what provision have you made for loss of data due to systems failure. identification of alternative offices. how do you store key files and equipment. how do you plan for the impact of PSIA licensing/renewals on your ability to cover allcontracts without a fall in standards. how would you continue to pay its employees if there was a breakdown in payrollsystems and procedures. how the company and individuals respond to threats against the organisation andcustomer sites.Good practice: Become familiar with your customers’ contingency plans to ensure compatibility. Design alternative manual procedures and test them for effectiveness. Key man insurance to cover loss of key management. All contingency plans are regularly tested and reviewed.Linkages with other Indicators:5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.37The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.3 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs.2.3.1 The organisation understands its customers’ requirements.Required Achievement LevelThe organisation conducts ‘factfinding’ discussions with newcustomers to identify theirrequirements.All aspects of the previouscolumn plus:The organisation contacts or meetswith its customers to: clarify requirements following acomplaintAll aspects of the previouscolumn plus:The organisation also contacts ormeets with its customers to: discuss ongoing requirements discuss changes to existingrequirementsAll aspects of the previouscolumn plus:The organisation has regular,meetings with all customers.All employees at a customer siteare fully aware of that customer’srequirements.All aspects of theprevious column plus:There are procedures in place tomonitor the awareness ofemployees of customerrequirements.38The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.3 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs.2.3.1 The organisation understands its customers’ requirements.Clarification:The ACS Standard requires that applicant organisations meet regularly with customers in linewith their requirements to discuss their ongoing requirements and any potential changes.These meetings must be documented in some way. The frequency of these meetings is solelydependent on the needs of the customer and it is possible that the applicant meets with thecustomer once a year. In some sectors, such as Vehicle Immobilisers, it may be possible thatthe customer does not require frequent meetings. In such cases the assessor should seeevidence to confirm this either through documentation at the applicant site or throughdiscussions with selected customers.If these meetings are not documented then assessors need to challenge the applicant tosatisfy themselves how key information, from meetings with customers, is fed back into theorganisation and resulting actions are carried forward.Employees should be fully aware of customer requirements at the sites worked. This shouldbe tested through discussions with selected employeesRef: ISO9001; BS7984; BS7499Examples could include: Assignment instructions reflect customer requirements.Good practice: Assignment instructions are developed in conjunction with the customer and signed off bythe customer. Assignment instructions include added value for the customer. Photographic details of customer sites are included within assignment instructions.Linkages with other Indicators:2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.3.2.1 Professional advice is offered to customers on the best approach to meet their needs.3.2.2 An approach to responding to tender/requests for services exists and is implemented.3.3.1 A process for ongoing customer site visits has been defined and implemented.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.39The contents of this publication are copyright ©2013 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.

Requirements change for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.3.2 There is an awareness of the impact of service delivery on consumers at all levels of the organisation.Required Achievement LevelThe impact of service delivery onconsumers (the wider publicaffected by the security service) isnot considered by theorganisation.The impact of service delivery onconsumers is discussed when therehas been a complaint or adversepublicity concerning the sector.The impact of service delivery onconsumers is discussed at a seniormanagement level at regularintervals.All employees are aware of theimpact of service delivery onconsumers and, where appropriate,their role in protecting the public.The role of protecting the publicis discussed throughout theorganisation and forms part ofdiscussions with the customer.All employees are trained in: their role in protecting the public how this interfaces with thepolice and with other authoritiesAll aspects of theprevious column plus:There are procedures in place tomonitor this awareness that arefully implemented.40The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.3 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs.2.3.2 There is an awareness of the impact of service delivery on consumers at all levels of the organisation.Clarification:All applicant organisations, at senior management level, should discuss the impact of theirservices on consumers and the wider public.Some sectors may have difficulty with the concept of consumers due to the nature of theirrole, for example CVIT and Vehicle Immobilisers. However all sectors have an impact onconsumers and the wider public and this should be recognised by the senior managementteam. For example within CVIT, the impact on consumers is less obvious as the role is moreabout maintaining strict service standards/procedures to ensure the public are not put atrisk. Provided that this can be evidenced this would be acceptable.Similarly within the key holding sector the consumer is rarely seen or contacted. Howeverthe presence of an alarm would be considered to have an impact on the local community andas such should be considered.The Vehicle Immobilisation sector views the 1st line consumer as a ‘wrong doer’ as they areparking illegally. However due consideration must be given to the manner in which theservice is delivered.Employees should receive training on their role in protecting the public and howtheir role interfaces with the police and where appropriate, other authorities.There must be very clear and testable reasons for this Indicator to be considered notapplicable by any applicant organisation.Examples could include: Including impact of service delivery on consumers in assignment instructions andrisk assessments.Briefings from local police, trading standards, PASS (Proof of Age Scheme)Crimstoppers, Local Licensing Authority, UKBA etcInternal training module on protection of the public, also covered at inductionStatement on website or promotional material about approach to protection ofthe publicGood practice: Within the CVIT sector: - a dedicated unit which works closely with police and otheragencies to identify and prevent criminal activity in relation to CVIT-operations. Thishighlights the impact of the service on the public and other stakeholders such as thepolice and local authorities. Impact on consumer is covered in customer meetings and feedback questionnaires. Customer service training for Door Supervisors and Vehicle Immobilisers.Linkages with other Indicators:2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.3.4.1 Procedures are in place to handle consumer feedback and are implemented.3.4.2 An approach to the management of consumer contact is in place and implemented.9.5.2 Key measures are used to indicate reputation within the local community.41The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.3 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs.2.3.3 The management of contractual arrangements with the customer has been defined and implemented.Required Achievement LevelContractual arrangements aremanaged in an ad-hoc manner.There are procedures in place forthe establishment and managementof contractual arrangements withkey customers. These include: negotiation of the terms andconditions of supply documentation confirming termsand conditions of supplyAll aspects of the previouscolumn plus:Some of the contracts and/or termsand conditions of supply have beensigned as approved by both parties.All aspects of the previouscolumn plus:The procedures also include theestablishment of written contracts.All contracts are signed asapproved by both parties orcustomer refusal to sign can beevidenced.All aspects of theprevious column plus:The procedures also ensureadherence to the contractualarrangement.Contracts are monitored forreview and renewal periods.The procedures are applied to allcustomers.The building of the customer/service provider relationship is ahigh priority.42The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.3 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs.2.3.3 The management of contractual arrangements with the customer has been defined and implemented.Clarification:Formal customer contracts may not exist in some sectors, such as Door Supervision,although ‘terms and conditions of supply’ should exist. These would be considered as‘contracts’ for the purposes of ACS approval. These could also be in the form of atemporary or open-ended works order.Where ever possible all forms of contract should be signed by both the customer and theapplicant organisation.In some sectors there is a tendency for customers not to issue or sign a contract for fearthat this will ‘tie’ them into service provision. This should be discouraged where everpossible. However for ACS approval the applicant organisation must be able to demonstratethat they have tried to obtain a signed contract.Ref: BS7960; BS7958;BS7499; BS7984Examples could include: signed contract or terms and conditions of supply. letter to customers requesting signature on a contract plus follow up letters wherecontracts not signed.Good practice: Where CCTV is operated the contract with the customer contains the objectives of thescheme, clearly indicating both valid and excluded uses. It has a written policy statementthat identifies the owner of the scheme and contact details and steps have been put inplace to clearly distinguish between licensable and non-licensable CCTV activities.Linkages with other Indicators:2.4.1 Customers are made aware of and agree to the provision of service via subcontractors.2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.3.2.1 Professional advice is offered to customers on the best approach to meet their needs.3.3.1 A process for ongoing customer site visits has been defined and implemented.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.43The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.1 Customers are made aware of and agree to the provision of service via subcontractors.Required Achievement LevelSubcontractors are used on sitewithout the knowledge oragreement of the customer.Customers are advised by theorganisation that subcontractorsare being used.The customer has the opportunityto ask that the subcontractors areremoved from any particularassignment.All aspects of the previouscolumn plus:The use of subcontractors is agreedwith the customer before theirdeployment.The customer has the opportunityto ask that the subcontractors areno longer used.All aspects of the previouscolumn plus:Customers are given confirmationthat all subcontractor organisationsused to deliver security services areSIA Approved Contractors.44The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.1 Customers are made aware of and agree to the provision of service via subcontractors.Clarification:The term ‘sub-contractors’ in this section applies to companies that are sub contracted todeliver security services on behalf of the applicant.Some applicant organisations will not use sub contractors and should have marked thisIndicator as not applicable. This will be tested as part of the review of employee recordsand discussions with staff.Approved Contractors can only subcontract the security service (for which they areapproved) to other approved contractors. This requirement does not apply to companiessupplying labour only.If in doubt about an ‘agency’ then check what the contract requires – if it specifies provisionof a security service then the ‘agency’ must be approved but if it specifies supply of labourand nothing more then approval is not required.Examples could include: Customers are made aware through letters, response to tender etc that the service maybe sub-contracted.Good practice: Organisation restricts tender exercises to ACS companies only for licensable contracts.Linkages with other Indicators:2.2.1 There is a sound plan to ensure continuity of service delivery.2.3.1 The organisation understands its customer’s requirements.3.1.3 A selection process for sub contractors exists and is used.Ref: BS7499; BS798445The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.2 Customer and consumer performance indicators and service level agreements have been established.Required Achievement LevelNo customer or consumerperformance indicators have beenestablished.Service level agreements are agreedfor key customers with someindication of required performancestandards.Performance against the indicatorsis reviewed regularly.All customer contracts and/orterms and conditions of supply havean agreed service level agreementwith performance indicators.Performance targets are agreed andreviewed regularly with thecustomer.Where customer targets are notmet action plans are developedtogether. Timescales forimprovement are agreed.All aspects of the previouscolumn plus:Service level agreements withcustomers include some consumerindicators. These relate to usersimpacted by service delivery.Performance against theseindicators is regularly reviewedinternally.All aspects of theprevious column plus:There are additional consumermeasures in place. These relateto the: general public the police other authoritiesThese are regularly reviewedwith the customer.All consumer performanceindicators have targets aimed atimproving the results.Where targets are not metaction plans are developed withagreed completion timescales.46The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.2 Customer and consumer performance indicators and service level agreements have been established.Clarification:All customer contracts should have associated agreed levels of service that are relevant tothe size and complexity of the contract.Plans to ensure improvements in service delivery should exist where there are areas of poorperformance or where targets have been raised to meet new and more demandingcustomer, legislative or other requirements.Where applicant organisations can demonstrate good performance the assessor should lookfor something to be in place that will sustain that level of performance.The requirement of consumer measures is over the achievement level although applicantorganisations should be encouraged to consider putting such measures in place.Ref: ISO9001Examples could include: Performance against targets reviewed during site visits.Good practice: There is intensive monitoring of new contracts to establish level of performance andensure customer expectations are met, say for example 3 months. Consumers given the option of putting their exit passes in either a box that says ‘belowaverage’, ‘good’ or ‘very good’ to indicate satisfaction levelsLinkages with other Indicators:2.3.2 There is an awareness of the impact of service delivery on consumers at all levels ofthe organisation.2.5.1 Plans exist to improve procedures, based on the review of actual performance.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.47The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.3 Defined and implemented incident procedures exist.Required Achievement LevelThere are no overall incidentprocedures developed by theorganisation.Procedures may have beendeveloped at an individual site inresponse to incidents previouslyat that site.Incident procedures have beendeveloped by the organisation.Employees working on a customersite are advised of the proceduresby colleagues when they arrive at acustomer site for the first time.There are procedures in place todeal with incidents at customersites.Employees working at a customersite are continually made aware ofthe procedures.The procedures are followed onevery occasion.These have been agreed with thecustomer and are followed. All aspects of the previouscolumn plus:Where these relate to a customersite the procedures have beendeveloped in conjunction with thecustomer.All appropriate employees are fullyaware of the procedures.48The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.3 Defined and implemented incident procedures exist.Clarification:This Indicator is examining how the applicant organisation handles things that happen that areoutside the day to day running of a customer contract. This differs from Indicator 2.2.1 inthat this relates solely to incidents concerning or happening during the delivery of the servicerather than the contingency planning required to maintain the business.In the Key Holding sector all activities are recorded as ‘incidents’.Ref: ISO9001; BS7960; BS7958; BS7499; BS7984Examples could include: Outcomes of incidents are shared with stakeholdersGood practice: Procedures are reviewed after each incident Incident procedures are categorised according to impact/risk for example using a trafficlight system. Response is tailored accordingly. Introduction of a "Suspicious Incident Report" form for CViT crew membersto complete. Analysis identfies trends, hot spots etc.Linkages with other Indicators:5.2.3 Control rooms/response rooms are designed, fitted and equipped in a mannerappropriate to purpose.6.1.9 Roles and responsibilities are defined for all employees.6.2.3 All supervisors are trained to the required standard for their role.49The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.4.4 All procedures are regularly reviewed.Required Achievement LevelService delivery procedures arereviewed after a customercomplaint has been received or anincident has highlighted animprovement opportunity. All aspects of the previouscolumn plus:All associated service deliveryprocedures are also reviewed bythe manager or directorresponsible.There are processes in place thatenables issues and improvements tobe raised by users. All aspects of the previouscolumn plus:Service delivery procedures arereviewed on a regular basis. All aspects of the previouscolumn plus:There are processes in place thatenable service delivery issues andimprovements to be raised andreviewed outside of the reviewprocess. All aspects of theprevious column plus:All of the organisationsprocedures are subject to regularreview.There are processes in place forall procedural issues andimprovements to be raised andreviewed outside of the reviewprocess.50The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.4 All procedures are regularly reviewed.Clarification:Procedures relating to service delivery should be reviewed regularly to ensure ongoingrelevance to the requirements and their effectiveness in delivering satisfactory and improvingperformance.Ref: ISO9001; BS7499Examples could include: evidence that the applicant organisation questions the ongoing validity and relevance of itsprocedures, particularly at the start, renewal and end of a contract.Good practice: All procedures are reviewed at least annually. Employee feedback is gathered on effectiveness of procedures.Linkages with other Indicators:2.5.1 Plans exist to improve procedures, based on the review of actual performance.2.5.2 Procedures for the implementation of changes are in place and used.7.1.3 Managers and directors responsible for processes and key personnel can demonstratean understanding of procedures.7.1.4 Leaders review key results and ensure that improvements are planned andimplemented.7.4.1 Leaders are involved in improvement activity.51The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.5 Procedures exist to ensure the attendance of employees on customer sites.Required Achievement LevelEmployees are not required toregister their arrival anddeparture from work.All employees working at acustomer site/venue are requiredto register their arrival anddeparture from work.These procedures apply only tocustomer sites that are consideredto be high risk.All aspects of the previouscolumn plus:Attendance records are kept toensure that procedures arefollowed. These are implementedfor every employee working at acustomer site/venue for every site.Attendance at customer sites isregistered where employees arerequired to visit multiple sitesduring the course of their workperiod.Attendance records are reviewedby management on a routine basis.Employees are aware of theimportance of adhering to theseprocedures.Procedures are in place to deal withemployee non-attendance atcustomer sites.All aspects of the previouscolumn plus:Targets are set and routinelymonitored for attendance atcustomer sites.All aspects of the previouscolumn plus:Electronic means are used toregister attendance at customersites.52The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.4 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers.2.4.5 Procedures exist to ensure the attendance of employees on customer sites.Clarification:A customer site includes any where the applicant organisation provides the service.This includes: CVIT sector - all collection points Door supervision sector – all venues Vehicle Immobilisers – all parking areas coveredThe Assessor will need to use some discretion with applicant organisations from the KeyHolding sector who attend customer sites in response to an incident rather than attendingeither full time or on a regular basis. They will need to examine how the applicantorganisation is aware that incidents are responded to in a timely manner.Organisations should have procedures in place to confirm that employees are where theyshould be. This is for two reasons: to ensure the safety of employees by knowing their location to ensure the customer that their requirements are being met. ‘Attendance records’ canconfirm that presence on site or venue is being maintainedWhere employees do not attend site, organisations must have processes that identify andmanage this.Ref: BS7958; BS7960Examples could include: log book on site phone calls timesheet kept by employees and submitted at the end of the weekGood practice: Use of GPS for tracking vehicle systems. Use of automated booking and check-call systems. Targets are set and routinely monitored for attendance at customer sites. Visitors’ logs are kept at all sites for management/supervisors visits. Mobile phone patrol tracker system which enables the control centre and operationsmanagement to remotely monitor site patrols in real time.Linkages with other Indicators:2.1.1 Key service delivery processes have been identified and are understood by all.2.3.1 The organisation understands its customer requirements.2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.6.3.3 A health and safety policy and supporting procedures exist and are implemented.6.5.1 The organisation adheres to the Working Time Directive.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.53The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.5 An SIA Approved Contractor can demonstrate that it has a process in place to improve its processes to the benefit of all stakeholders.2.5.1 Plans for improvement exist based on the review of actual performance.Required Achievement LevelImprovements are actioned on anad-hoc basis.These improvements are generallyconducted without the coordinationof management, withno prioritisation.Improvement plans exist for someservice delivery areas and there issome co-ordination andprioritisation of activities.Reviews are undertakenoccasionally to ensure activitiesdeliver some improvement.Improvement plans exist that covercustomer site based processes.Improvement activity is coordinatedand prioritised.All plans have dates for delivery andexpected improvement targets.Improvement plans are reviewed ata local level.All aspects of the previouscolumn plus:Improvement plans exist that coverprocesses internal to theorganisation.Prioritised improvement plans areproduced as a result of the reviewof performance.Regular reviews of all plans forimprovement are conducted by theappropriate level of management toensure delivery of improvement.All aspects of theprevious column plus:All plans have assigned owners,dates for delivery and expectedoutcomes.54The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.5 An SIA Approved Contractor can demonstrate that it has a process in place to improve its processes to the benefit of all stakeholders.2.5.1 Plans for improvement exist based on the review of actual performance.Clarification:This Indicator pulls together the PDCA cycle for service delivery processes. Other Indicatorsexamine the need for understanding the customer requirements, having the processes andprocedures in place to deliver against agreed levels of performance. This indicator requiresthe linkage of improvement activity with a review of results against agreed service levels.‘Improvement plans’ do not have to be formal plans. However an organisation needs todemonstrate to an assessor: why improvements are being made what is expected from the improvement evidence of some review to establish that the improvement workedOne of the best ways to be able to demonstrate this to an assessor would be to maintainsome form of written record.Ref: ISO9001Examples could include: improvements to processes relating to specific contracts are made. These are reviewedand if relevant then implemented company wide. the review of processes as part of regular customer meetings with changes being made asrequired.Good practice: Specific improvement projects are established with a project owner. For example alicensing coordinator manages licence renewals.Linkages with other Indicators:1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.1.2.3 Procedures have been defined to ensure compliance to working standards or ‘codes ofpractice’ and are fully implemented2.4.2 Customer and consumer performance indicators and service level agreement havebeen established.2.4.4 All procedures are regularly reviewed.2.5.2 Procedures for the implementation of changes are in place and used.3.2.2 An approach to responding to tender/request for services exists and is implemented.6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.2.6 Customer feedback is obtained for all individuals working with clients.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.7.1.3 Managers and directors responsible for processes and key personnel can demonstratean understanding of procedures.7.1.4 Leaders review key results and ensure that improvements are planned andimplemented.All of criterion 9 Results.55The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2Criteria 2 – Processes2.5 An SIA Approved Contractor can demonstrate that it has a process in place to improve its processes to the benefit of all stakeholders.2.5.2 Procedures for the implementation of changes are in place and used.Required Achievement LevelProcedures are in place to managethe implementation of changes toprocedures.Procedures are in place to managethe implementation of changes topolicies and procedures.These include:• communicating the change to therelevant employees• maintenance of document versioncontrolThese procedures are used toimplement major changes.Procedures are in place to managethe implementation of changes toprocedures that are relevant to thetype and impact of the change.These include:• communicating the change to therelevant employees• training, where appropriate, takesplace prior to the change beingimplemented• maintenance of document versioncontrolThese procedures are used toimplement changes to servicedelivery processes.Progress is monitored to ensuredelivery of desired results.All aspects of the previouscolumn plus:The procedures to implementchange are clear and designed tomaximise its effectiveness.These include:• reviewing the introduction oftechnology to improveprocedures• conducting pilots or other meansof controlling the implementationof change• communicating the change to allappropriate stakeholders• reviewing how the change wasmanaged to identifyimprovements to the procedures.These procedures are used for allimplemented changes.56The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 22.5 An SIA Approved Contractor can demonstrate that it has a process in place to improve its processes to the benefit of all stakeholders.2.5.2 Procedures for the implementation of changes are in place and used.Clarification:Where processes have been changed the applicant organisation must be able to evidencethat the change management process adopted was appropriate to the size, impact andimportance of the change.Boxes two through four asks for ‘maintaining document version control’ as part of theprocedures for the implementation of change.Ref: ISO9001; BS7499; BS7984Test:Re-training or updating of staff is a key indicator of this being in practice.Linkages with other Indicators:2.5.1 Plans exist to improve procedures, based on the review of actual performance.5.1.2 Relevant versions of applicable documents are available at the point of use.7.1.4 Leaders review key results and ensure that improvements are planned andimplemented.7.4.1 Leaders are involved in improvement activity.7.4.2 Leaders encourage employee participation in improvement activity.57The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 2This page intentionally left blank58The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship ManagementAn SIA approved contractor promotes robust and transparentcommercial relationships with its customers, consumers and suppliersfounded on mutual trust and respect.Note:1. Examples of the types of evidence the assessor may consider sufficient tomeet the ACS standard are given wherever possible.2. Sub contractors referred to in 3.1.3 refers to companies that are subcontracted to deliver a service on behalf of the applicant.59The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitorsits ongoing performance.3.1.1 Purchasing procedures have been identified and are implemented.Required Achievement LevelThere are no purchasingprocedures in place.Suppliers are usually selectedsolely on the basis of cost.There are guidelines as to who inthe organisation can make orauthorise purchases for items thatmay impact the quality of servicedelivery.Purchases of these items are onlymade from preferred suppliers.Preferred suppliers have beenselected based on a demonstratedability to meet all quality, cost andservice requirements.Feedback from employees onperformance is sometimesconsidered before makingpurchases.There are purchasing procedures inplace that contain clearly definedspecifications/requirements for allpurchases that impact the quality ofservice delivery.These are appropriate for thesize/type of purchase being made.Appropriate approval levels havebeen defined and are understood byrelevant staff.The list of preferred suppliers isactively maintained and updated ona regular basis, based upon a reviewof supplier performanceAll aspects of the previouscolumn plus:An ethical purchasing policy existsidentifying the organisation’s clearintention to address environmental,social and ethical issues.All aspects of theprevious column plus:Preferred suppliers should beselected after considering theirapproach and policies relating to,for example:Child labour; Forced labour,Health & Safety; Discrimination,Freedom of association; Fair payfor employees; Anti-corruption;Environmental impact; and;Working hours.60The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitors itsongoing performance.3.1.1 Purchasing procedures have been identified and are implemented.Purchasing procedures should be appropriate to both the size and impact of the purchase.However items purchased that impact on the quality of security service are important to theACS Standard. There should be selection criteria for suppliers based on quality/value ratherthan pure cost. (This applies equally to services purchased such as management consultancy).Applicant organisations should be able to demonstrate that purchases represent value formoney. Purchasing procedures for other items is desirable and should be encouraged.Where outsourcing is used, the applicant organisation must maintain accountability for theapplication of standards and procedures e.g. BS7858 for outsourced security screening &vetting.There should be processes in place to ensure the effective monitoring of supplierperformance, although the level of application should be appropriate to usage For example itwould be expected that the monitoring of any outsourcing supplier is more closelymonitored than that of a stationery supplier. The use of consultants should be reviewed toensure that deliverables have been identified and realised. There should be clear proceduresfor the handling of supplier issues and poor performance. Again this should be relevant to thesize and impact of the product supplied.Larger applicant organisations may use national suppliers and would therefore need to havemore structured reviews of performance. It is likely that there are several levels of approvalbased on value of purchase.The relationship between smaller applicant organisations and their suppliers is likely to bemore informal, for example: more local relationships being developed selection processes being less rigorousApproval levels within smaller organisations are more likely to be less complex, often at asingle level. However the assessor should still see evidence that approval has taken place.Decisions relating to the selection of suppliers are often made on a convenience basis insmaller organisations. In these circumstances the assessor is looking for evidence ofprocesses to reach that decision rather than a formal purchasing policy. Some smallcompanies only need to make one off purchases, such as on an ad hoc basis for repairs,service and breakages and therefore the selection procedures may reflect this.Whatever the approach to the selection of suppliers it should be applied on all occasions.Ref: ISO9001Examples could include: outsourcing of specific tasks such as screening. selection criteria could include staying with the supplier known to the organisation whohas historically delivered the product and the service required, to the specified standards.Test:How the applicant organisation handles it’s relationship with Employment Agencies if usedLinkages with other Indicators:3.1.2 The organisation works with their suppliers to improve performance against agreedrequirements9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business61The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitorsits on-going performance.3.1.2 The organisation works with its suppliers to improve performance against agreed requirements.Required Achievement LevelDelivery timescales are agreed foreach order when placed.Past performance is consideredwhen new purchases are required.Performance requirements, e.g.specifications, deliveryrequirements, are determined andsuppliers are advised accordingly.Suppliers are given feedback ifperformance requirements arenot met.Performance requirements i.e.specifications deliveryrequirements, are determined andagreed with suppliers.Discussions take place to reviewsupplier performance against theagreed requirements.All aspects of the previouscolumn plus:Regular meetings are conductedwith key suppliers to reviewperformance against targets.Where performance is belowstandard actions for improvementincluding timescales are agreed.All aspects of theprevious column plus:Actions arising from reviewmeetings are documented withdefined actions and timescales forresolution.Where performance is belowstandard actions forimprovement including timescalesare agreed.The organisation works with thesupplier to improve performance.All levels of the organisation aregiven the opportunity to workwith suppliers and customers toimprove processes.62The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitors itsongoing performance.3.1.2 The organisation works with its suppliers to improve performance against agreed requirements.Clarification:The applicant organisation must be clear as to its requirements from any supplier. This canbe as simple as agreeing delivery within a set timeframe or having something constructed tospecifications. Provided that these are appropriate for the size and nature of the request thenthey would be applicable to achieve the required level.The level of discussion with the supplier to review their performance should be in line withthe size and nature of the goods supplied.Applicant organisations should be encouraged to build a relationship with their suppliers andwork together to improve performance where necessary. An example of this would be toworking with a recruitment agency to ensure that the advertising and ‘sifting’ process isadequate to reduce the number of unsuitable job applicant.Where organisations do not have the expertise to select suppliers effectively, (e.g.consultants) independent advice should be sought from a relevant body (e.g. Business Link,Chamber of Commerce)Good practice: CVIT companies work closely with vehicle manufacturers to ensure vehicles are fit forpurpose. Some companies might work with IT suppliers to ensure packages are specifically tailoredto meet their specific needs. DS companies have worked with uniform suppliers to develop arm bands to hold theSIA licence. Consultants are given a clear brief as what they are expected to deliver, including timetargetedoutcomes.Linkages with other Indicators:3.1.1 Purchasing procedures have been identified and are implemented.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.63The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitorsits on-going performance.3.1.3 A selection process for subcontractors exists and is used.Required Achievement LevelSubcontractors are employed asand when required.Subcontractors are required tohold a valid SIA licence.All aspects of the previouscolumn plus:There are implemented proceduresfor the selection of subcontractorswhich ensure appropriate vettingand screening procedures.All subcontractors sign aconfidentiality agreement.All subcontractors are givencontract terms and conditions ofengagement and the provision ofequipment is agreed anddocumented in the contract.All aspects of the previouscolumn plus:All subcontractor organisationsused to deliver a security serviceare ACS approved subcontractorsare paid on an invoice only basiswithin agreed timeframes.All aspects of the previouscolumn plus:Where appropriate, a processexists for the audit of theperformance of sub-contractors.64The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitors itsongoing performance.3.1.3 A selection process for subcontractors exists and is used.Clarification:Approved contractors need to be able to demonstrate that staff deployed by sub contractorsare licensed and screened and vetted as per 6.1.1. The applicant organisation is responsiblefor this. They may undertake this themselves, or it may be undertaken by anotherorganisation. (e.g. where agencies supply staff and where they have screened their people,where screening and vetting organisations undertake this, or where staff come from otherACS approved contractors)All subcontractor organisations used to deliver a security service must also be SIA approvedcontractors.Organisations that only supply labour i.e. they DO NOT themselves deliver the securityservice are not required to be Approved Contractors.Ref: BS7858; BS7958; BS7499; BS7984Good practice: Organisations may wish to work with agencies to ensure they keep a list of securityofficers who have already been screened and vetted, such that they are then available forimmediate deployment.Linkages with other Indicators:2.4.1 Customers are made aware of and agree to the provision of service viasubcontractors.3.1.1 Purchasing procedures have been identified and are implemented.4.2.2 Financial procedures are defined, understood and implemented.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.65The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistentwith the organisation’s strategy and business ethics.3.2.1 Professional advice is offered to customers on the best approach to meet their needs.Required Achievement LevelProfessional advice is offered tocustomers on an ad-hoc basis.It is possible for any employee tooffer advice to a customerregardless of their level ofexperience and training.All aspects of the previouscolumn plus:There is some consultation withappropriate personnel who aresufficiently skilled to give advice.Discussions are held with potentialcustomers on how best to meettheir needs as part of the tenderingprocess.These discussions are conducted byappropriate personnel who areexperienced and qualified to ensurethe appropriate alignment of thecustomer requirements.When a customer specifies a levelof security that is not, in theopinion of qualified personnel,appropriate, then the resultinglimitations to the service deliveredare communicated to the customer.All aspects of the previouscolumn plus:Discussions are held with existingcustomers when contracts are duefor renewal to ensure the serviceoffered is still the most appropriate.There are defined procedures inplace for qualified personnel tooffer advice to customers.All discussions focus on:• ensuring the advice is relevant tocustomer needs• developing the service offered tothe customerCustomer opinion of the advicegiven is sought and the lessonslearned are fed back asimprovements to the process.All aspects of theprevious column plus:Any changes to therecommendations made areexplained and documented.The use of technology isencouraged to better meetcustomer needs.66The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistentwith the organisation’s strategy and business ethics.3.2.1 Professional advice is offered to customers on the best approach to meet their needs.Clarification:It is possible that for a specific reason, usually financial, the customer does not accept theproposals. The applicant organisation should have procedures in place to ensure that therecommendation and the changes requested by the customer are recorded and supplied tothe customer. This is of particular importance in terms of meeting service deliveryrequirements and employee safety.The assessor should also be aware of and encourage the organisation to be advising thecustomer on such things as the introduction of technology both in support areas and thoseareas linked to service delivery.Ref: ISO9001; BS7984; BS7499; BS7960; BS7872Linkages with other Indicators:1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.1.3.1 A plan for the business exists with a clear review schedule.2.1.1 Key service delivery processes have been identified and are understood by all.2.3.1 The organisation understands its customers’ requirements.3.3.1 A process for ongoing customer site visits has been defined and implemented.5.2.5 Service enhancing technology is used to improve service delivery to customers andsafety for employees.7.1.3 Managers and directors responsible for processes and key personnel can demonstratean understanding of procedures.9.2.1 The regular review of performance against responses from customer opiniongathering.67The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistentwith the organisation’s strategy and business ethics.3.2.2 An approach to responding to tender/request for services exists and is implemented.Required Achievement LevelThe organisation has an ad-hocapproach to responding totender/requests for service.There is a process in place torespond to requests for serviceeither through a tendering processor otherwise.This includes undertaking precontractsite visits and riskassessment, which whereappropriate take account of anyTUPE requirements.The process is used for someresponses to procurementrequests.There is a process in place forresponding to the short noticerequirements of a customer.All aspects of the previouscolumn plus:The process to respond torequests for service includes:• understanding the customerrequirements• undertaking pre-contract sitevisits and risk assessment which,where appropriate, takes accountof any TUPE requirements.• demonstrating a ‘fit and proper’managementSelected people are responsible forthe tendering process.Lessons learned from all bids arefed back into the process in theform of improvements.The process is used for allresponses to procurementrequests.All aspects of the previouscolumn plus:There is a process in place toensure a feasibility study isconducted prior to thecommencement of a contract. Forexample, environmental/technicalchallenges and considerations areevaluated.All aspects of theprevious column plus:ACS benchmarking data is usedto support tender submissionsand requests to supply services.68The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistentwith the organisation’s strategy and business ethics.3.2.2 An approach to responding to tender/request for services exists and is implemented.Clarification:The assessor should expect to see company and other information to hand and utilised aspart of the tender process. There should be evidence of how discussions with prospectiveand new customers concerning requirement and risk assessments are fed into tenders andcontracts respectively.It is possible in the Vehicle Immobilisation sector that there is no tendering process especiallywhere there is no fee paid for patrolling the site or there is a lack of competition in the area.This should be tested where ever possible with the customer.Within larger organisations it is possible that the tendering process is conducted by a specialgroup of people based on strategic decisions made as part of the planning process. Thereview of successful and non successful tenders should be evidenced and how the lessonslearnt are fed back as improvements to the process explored.Smaller organisations should have an approach to preparing tenders that minimises the effortinvolved in putting one together and takes account of the lessons learnt from previoussuccessful and unsuccessful tenders. It is expected that this would involve the use oftemplates etc. which can be traced for amendments demonstrating how lessons learnt arefed back into the process.Linkages with other Indicators:1.1.2 All stakeholders are aware of the organisation’s overall approach to business.2.1.1 Key service delivery processes have been identified and are understood by all.2.3.1 The organisation understands its customers’ requirements.2.3.3 The management of contractual arrangements with the customer has been defined andimplemented.6.1.1 There is a defined and implemented recruitment policy.6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.5.1 The organisation adheres to the Working Time Directive.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.Ref: ISO9001; BS7960; BS749969The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistentwith the organisation’s strategy and business ethics.3.2.3 A process for canvassing and obtaining new business exists and is implemented.Required Achievement LevelNew business is obtained in an adhocmanner.The organisation has a well definedprocess for canvassing and obtainingnew business.The process is based around ethicalbehaviour and integrity. It clearlylinks to the approach to business ofthe organisation. All aspects of the previouscolumn plus:The process for canvassing andobtaining new business is consistentwith the plans for the business.In canvassing and tendering forbusiness the organisation highlightsthe benefits of using SIA ApprovedContractors. All aspects of the previouscolumn plus:The company makes use ofapproaches such as networking atindustry events and local businessforums.The company reviews unsuccessfulbids and learns lessons for futuretendering.70The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistentwith the organisation’s strategy and business ethics.3.2.3 A process for canvassing and obtaining new business exists and is implemented.There should be an approach in place for obtaining new business that is planned, with thetype of customer being identified. The approach should then be developed in a wayappropriate to the target audience.Within smaller organisations obtaining new business may be more opportunistic but theassessor should still see evidence of a planned and targeted customer base to ensure thatservice delivery can be attained.It is possible that the strategy of the organisation is not go out and seek newcustomers/sectors. All that may be in evidence is a process for extending contracts withexisting customers. This should be tested through the review of the plan for the business.There should be a process for how the organisation intends to achieve its stated aim.Box 2 seeks to address bad practice that has been highlighted to the SIA where organisationsactively seek out the employees of its competitors to win business. Canvassing is conductedby negatively discussing the competitor rather than by adding value to the service provided.Ref: ISO9001; BS7960; BS7499; BS7984Good practice: Networking, especially with other agencies. E.g. working with local crime reduction groups,or local business groups. Being on approved supplier lists. Exploiting potential with customers who have additional or future security needs e.g.identifying new construction sites, following up with tenant customers. Developing links with local traders- offering them a discount to create a win-win situation Offering discounts for local traders.Assessors should verify that the organisation does not make misleading claims aboutmemberships, certifications, approvals, accreditations, and/or affiliation on promotionalmaterial, including websites. Similarly claims of previous experience, history, or clientsshould be tested. Further guidance can be found on the Misuse of Trademarks Guidancenote on the assessor page.Linkages with other Indicators:1.2.1 Critical success factors have been clearly identified and internal measures are in placeto monitor progress towards achievement.1.3.1 A plan for the business exists with a clear review schedule.2.1.1 Key service delivery processes have been identified and are understood by all.4.4.1 There is sufficient insurance cover to meet contractual requirements.6.1.1 There is a defined and implemented recruitment policy.6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.5.1 The organisation adheres to the Working Time Directive.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.1.3 Managers and directors responsible for processes and key personnel can demonstratean understanding of procedures.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.71The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.3 An SIA Approved Contractor can demonstrate how it manages relationships with customers.3.3.1 A process for ongoing customer site visits has been defined and implemented.Required Achievement LevelCustomer site visits take placeoccasionally.There is no one individualresponsible for conducting the sitevisits for specific customers.There is a process with supportingprocedures for ongoing customersite visits.These detail the frequency of visitsby supervisors.The organisation adheres to theprocedures for some of its keycustomers. All aspects of the previouscolumn plus:The procedures for ongoingcustomer site visits also detail thepurpose of visits by supervisors.The organisation adheres to theprocedures for supervisor visits forall customers. All aspects of the previouscolumn plus:The larger customers have adesignated owner who isresponsible for the management ofthe account.The procedures for ongoingcustomer site visits also includesenior management visits. All aspects of theprevious column plus:Every customer has a predesignated ‘owner’ who isresponsible and accountable forthe successful management ofthat account.The organisation adheres to theprocedures for supervisor andsenior manager visits for allcustomers.72The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.3 An SIA Approved Contractor can demonstrate how it manages relationships with customers.3.3.1 A process for ongoing customer site visits has been defined and implemented.Please refer to the Glossary in section 5, for a definition of: SupervisorClarification:Where multiple sites are covered then the ACS Standard requires that a supervisor isresponsible for making ongoing visits to the sites within the scope of their responsibility. Theregularity of the visits should be determined by customer requirements.Within some sectors, for example Vehicle Immobilisers and CVIT, it is appropriate for sitevisits to be conducted as part of the initial visit at the start of a contract. Further site visitsare made only at the request of the customer. Where organisations feel that this isappropriate to their organisation they must provide evidence to the assessor to justify thisapproach.In certain circumstances, such as within the Vehicle Immobilisation sector, there may be alarge number of customer sites involved, however it is not acceptable that any site is notvisited. This should be tested with a selection of customers.Linkages with other Indicators:2.3.1 The organisation understands its customers’ requirements.2.3.3 The management of contractual arrangements with the customer has been andimplemented.4.4.1 There is sufficient insurance cover to meet contractual requirements.Ref: BS7960; BS749973The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.3 An SIA Approved Contractor can demonstrate how it manages relationships with customers.3.3.2 A customer complaints procedure is in place and implemented.Required Achievement LevelCustomer complaints are handledin an ad-hoc manner.No response is sent to thecustomer.Adverse customer feedback isclassified and treated as acomplaint.Customer complaints are handledin a timely manner.All complaints receive a standardresponse.Adverse customer feedback isclassified and treated as acomplaint.Customer complaints are handledin a timely manner.Customer complaints are recordedand analysed to look for patterns.Information on complaints isreviewed by the leaders of theorganisation and improvements areimplemented.All customers receive an individualresponse to their complaint.All aspects of the previouscolumn plus:Efforts are made to ensure allcomplaints are resolved to thesatisfaction of the customer.All aspects of theprevious column plus:Information on complaintsreceived and their resolution ispublished and made available onrequest.74The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.3 An SIA Approved Contractor can demonstrate how it manages relationships with customers.3.3.2 A customer complaints procedure is in place and implemented.Clarification:Adverse feedback could be something as simple as a request for a change of officer, or anofficer not being very smartly dressed, or being late on duty.Complaints from both customers and consumers should be recorded effectively. The mannerin which the records are kept should be appropriate to the size of the applicant organisation.It is not be necessary for a computer based system to record complaints. Whatever methodis used, manual or automated, it should facilitate easy analysis of the type and nature of thecomplaints. Any patterns or trends should be monitored and reviewed.The organisation should be able to provide examples of complaints, including details of whataction has been taken, and how processes have changed as a result. It is more important tolook at how well complaints are managed and followed up, rather than just checking a coupleof examples. Assessors should look for trends.Unless complaints are always handled by the highest level of authority there should always beprocedures in place for escalating the non resolution of complaints.Ref: ISO9001; BS7960, BS7958, BS7984, BS7499 ISO9001has a section on complaints procedure ISO10002:2004 deals with how to manage customer satisfactionGood practice: The complaints process is widely publicised. Consumers can make a complaint in a waythat is appropriate e.g. by telephone, in person, in writing, via the website, via thecustomer, via email. There are time targets for response whish are monitored.Complainants are contacted to ascertain whether they were satisfied with the way thecomplaint was handled and whether they are satisfied with outcome.Linkages with other Indicators:1.2.3 Procedures have been defined to ensure compliance to working standards or ‘codes ofpractice’ and are fully implemented.2.1.1 Key service delivery processes have been identified and are understood by all.2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.7.1.3 Managers and directors responsible for processes and key personnel can demonstratean understanding of procedures 9.1.1 The regular review of performance againstservice level agreements and/or key customer performance indicators.75The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.4 An SIA Approved Contractor can demonstrate how it manages relationships with consumers.3.4.1 Procedures are in place to handle consumer feedback and are implemented.Required Achievement LevelConsumer complaints arereceived via the customer and arehandled in an ad-hoc manner.Adverse consumer feedback isclassified and treated as acomplaint.Consumer complaints are receivedvia the customer and are handled ina timely manner.A standard response is sent to thecustomer in reply.All aspects of the previouscolumn plus:The customer receives an individualresponse to the consumercomplaint; either in writing orthrough scheduled meetings.All aspects of the previouscolumn plus:Consumer complaints are separatedfrom customer complaints.Both the customer and theconsumer receive an individualresponse to any complaint.Actions are taken based onconsumer complaints.All aspects of theprevious column plus:Consumer complaints aredirectly solicited and are handledin a timely manner.Consumer complaints arerecorded and analysed to lookfor patterns.Information on complaints isreviewed by the leaders of theorganisation and improvementsto service delivery proceduresare implemented.76The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.4 An SIA Approved Contractor can demonstrate how it manages relationships with consumers.3.4.1 Procedures are in place to handle consumer feedback and are implemented.Clarification:Consumer feedback may be received via the customer as part of the complaints proceduresas indicated in Indicator 3.3.2.Within the CVIT sector, organisations do not want to interact with the public, due to thenature of their business. Any complaints received generally relate to specific incidents such ascar and vehicle accidents. These should still be recorded and analysed for patterns.Vehicle Immobilisation companies, due to the nature of the business, are more likely toreceive complaints directly from the consumer.Complaints may be received by consumers or consumer representatives. This includes forexample complaints that come via the SIA, Citizens Advice Bureau.Good practice: An applicant organisation analyses separately the complaints received from consumersand takes specific action to address any issues Organisations may be able to exploit existing customer surveys to include feedbackon security Complaints from consumer representatives are managed as part of the organisationscomplaints process.Linkages with other Indicators:1.4.1 The management of internal and external communication is handled effectively.2.1.1 Key service delivery processes have been identified and are understood by all.2.3.2 There is an awareness of the impact of service delivery on consumers at all levels ofthe organisation.2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.2.4.4 All procedures are regularly reviewed.5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation8.1.2 Activities to promote and improve the reputation of the private security industry withthe local community and with customers are planned and implemented.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.9.2.1 The regular review of performance against responses from customer opiniongathering.9.5.2 Key measures are used to indicate reputation within the local community.77The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 3Criteria 3 – Commercial Relationship Management3.4 An SIA Approved Contractor can demonstrate how it manages relationships with consumers.3.4.2 An approach to the management of consumer contact is in place and implemented.Required Achievement LevelConsumer contact is made duringthe delivery of the service to thecustomer.Front line employees are giveninstructions on how to dealeffectively with the consumer.The organisation is aware ofconsumer opinion through thenumber of complaints, includingitems of adverse feedback itreceives via its customers.Front line employees are giveninstructions on how to dealeffectively with the consumer.All aspects of the previouscolumn plus:The organisation gathers otherinformation, in addition tocomplaints (including items ofadverse feedback), from itscustomers regarding theconsumer’s view of them.All aspects of the previouscolumn plus:The organisation invites feedbackdirectly from the consumer.All employees are given ongoinginstructions on the correct way todeal effectively with the consumer.There are procedures in place tomonitor employee performance toensure compliance withinstructions.All aspects of theprevious column plus:Consumer opinion of theorganisation is valued.The organisation actively gathersinformation from a number ofsources regarding the consumer’sview of them.The organisation activelycommunicates with theconsumer to promote a positiveimage of itself and the sector/s inwhich it operates.78The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 33.4 An SIA Approved Contractor can demonstrate how it manages relationships with consumers.3.4.2 An approach to the management of consumer contact is in place and implemented.Clarification:Vehicle Immobilisers would have contact with consumers on a regular basis and there shouldbe instructions given as to how to handle consumers and the feedback gained.SIA licence training, especially for Door Supervisors and Vehicle Immobilisation, includes asection on dealing with the consumer, which is more relevant to Indicator 2.3.2.Some sectors, such as CVIT, may not deal with consumers at the point of service deliveryand internal training may focus on making employees more diligent and more aware of thethreats that exist on an everyday basis. This would be considered as an approach to themanagement of consumer contact.Linkages with other Indicators:1.4.1 The management of internal and external communication is handled effectively.2.1.1 Key service delivery processes have been identified and are understood by all.2.3.2 There is an awareness of the impact of service delivery on consumers at all levels ofthe organisation.2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.2.4.4 All procedures are regularly reviewed.5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.8.1.2 Activities to promote and improve the reputation of the private security industry withthe local community and with customers are planned and implemented.9.1.1 The regular review of performance against service level agreements and/or keycustomer performance indicators.9.2.1 The regular review of performance against responses from customer opiniongathering.9.5.2 Key measures are used to indicate reputation within the local community.79The contents of this publication are copyright ©2013 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.

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ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 4Criteria 4 – Financial ManagementAn SIA approved contractor is financially viable with sufficientresources to meet its current and future obligations.Note:1. There are elements within this criterion which cover the financialprocesses of a business and the legislative requirements of running apayroll system. Assessors are not expected to be familiar with all ofthese aspects to enable an in-depth examination. It is theresponsibility of the applicant organisation to provide a truthfulassessment of their performance and the assessor’s role is one ofverification. As such the assessor should plan to ask targetedquestions to elicit information about the applicant’s approaches.2. The assessor should familiarise themselves with the key points ofsome of the legislative requirements. The Department for Business,Innovation and Skills and Business Link (www.bis.gov.uk andwww.businesslink.gov.uk) provide a summary of the key pointson all of the legislative requirements within the ACS Standard.3. Examples of the types of evidence the assessor may considersufficient to meet the ACS Standard are given wherever possible81The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 4Criteria 4 – Financial Management4.1 An SIA Approved Contractor can demonstrate that it has suitable financial resources to manage its financial obligations.4.1.1 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 LevelOrganisations operating forfour or more years:The organisation has at least thelast two years annual accountsavailable and can demonstrate ithas the funding available toachieve its plan for the business.Organisations operating forunder four years:The organisation has annualaccounts available for the numberof years it has been in businessand can demonstrate it has thefunding available to achieve its planfor the business.Newly created organisations:The organisation can demonstrateit has the funding available toachieve its plan for the business.All aspects of the previouscolumn plus:There is a clear link between thefinancial plans for the business andrelated activity such as marketing,service delivery and businessimprovement.The organisation has financialforecasts/projections for keyaspects of the business.There are no outstanding countycourt judgements against theorganisation or its directors.Where required, the organisationsubmits annual accounts andreturns to Companies House withinthe specified time limits.All aspects of the previouscolumn plus:The organisation has financialforecasts/projections for all aspectsof the business.There is clear information abouthow the organisations finances aremanaged.The organisation is aware of itscredit rating and this iscommensurate with its plans for thebusiness.The organisation maintains arecording system identifying andverifying all income streams.All aspects of the previouscolumn plus:The organisation makes its staffaware of relevant financial aspects,including the financial performanceof the organisation.All aspects of theprevious column plus:The organisation enters into‘open book’ approach withcustomers in relation to itsfinances.82The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.1 An SIA Approved Contractor can demonstrate that it has suitable financial resources to manage its financial obligations.4.1.1 Two years accounts can be presented and/or the availability of funding for the achievement of the plan for the business can be evidenced.Clarification:Assessors don’t necessarily need to examine the accounts in detail. The purpose of thisIndicator is to ensure that the applicant organisation is able to demonstrate that it followscompany law and its finances are clear and traceable.In larger organisations the assessor may need to speak to the Finance Director for thisinformation. Up to date company law with regards to accounts and return can be found atwww.companieshouse.gov.ukApplicant organisations must demonstrate that they have the funding to meet their businessplan and commitments. This does not require the assessor to examine the financialarrangements in detail but they should satisfy themselves that this is in place through carefulquestioning.Companies should be able to confirm income streams, profitable and non profitablecontracts, overhead analysis, loans and overdraft arrangements, factoring, shareholders,investments, budgets and forecasts,We will examine the applicant company’s compliance with Companies House regulations atapplication and re-registration. Any issue with compliance will be raised via specialinstruction.Linkages with other Indicators:1.2.1 Critical success factors have been clearly identified and internal measures are in placeto monitor progress towards achievement.1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.1.3.1 A plan for the business exists with a clear review schedule.4.2.2 Financial procedures are defined, understood and implemented.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authoritylevels is in place.4.4.1 Analysis of the market place in which the organisation operates is conducted.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.83The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 4Criteria 4 – Financial Management4.2 An SIA Approved Contractor can demonstrate strong financial processes to safeguard the interests of its stakeholders.4.2.1 Clear and effective management of the payroll can be evidenced.Required Achievement LevelThe organisation uses adocumented cash paymentapproach to its payrollmanagement.Payroll is managed to legislativestandards.Tax codes are applied in a timelymanner.Employees are paid through a PAYEcompliant system.Payroll is managed to legislativestandards.Tax codes are checked andcorrectly applied in a timely mannerensuring HMRC guidance has beenfollowed.Month-end and year-endprocedures are run withindeadlines.The organisation complies with allHMRC guidance including Income Tax (Earnings andPensions) Act 2003 (ITEPA)when defining roles as contract ofservice (employment)orcontract for services (selfemployment) All aspects of the previouscolumn plus:There is a direct link between thehours worked and the wages paid.This also applies where staff arepaid by others e.g. a factoringcompany, an agency, or subcontractor.Payments to employees are madeon time within the contractualpayment cycle.All queries relating to payroll arehandled effectively and lessonslearned are fed back in to improvedprocedures.There is clear information foremployees on their pay, deductionsand the payroll system in use. All aspects of the previouscolumn plus:Employees are paid through anautomated payroll system.There is clear information foremployees on their pay, deductionsand the payroll system in use.All aspects of theprevious column plus:There is a structured salaryscheme for all staff, whichpromotes fair and consistent payto security operatives, and avoidsdifferences in pay arising fromspecific customer contractnegotiations.The organisation makes efforts toensure that differences in salaryare determined by an objectiveassessment of roles,responsibilities and performance.84The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.2 An SIA Approved Contractor can demonstrate strong financial processes to safeguard the interests of its stakeholders.4.2.1 Clear and effective management of the payroll can be evidenced.Clarification:All applicant organisations must evidence that they adhere to all relevant legislation and legalrequirements such as PAYE, National Insurance etc. Assessors should note the relevantAssessor Guidance note on employment status for help in assessing the achievement level forthis indictor.The assessor should track a selection of employees through the payroll system to ensurethat the requirement is met.The payroll system can be manually operated although it would be considered good practiceto have an automated system, for example SAGE Instant Payroll.Maintenance and accuracy of an automated system is easier to achieve.All employees should be are aware how their pay is determined and receive writteninformation which shows gross pay, deductions/adjustments and net pay.Good practice:Use of electronic payslipsLinkages with other Indicators:2.1.1 Key service delivery processes have been identified and are understood by all.2.4.4 All procedures are regularly reviewed.4.2.2 Financial procedures are defined, understood and implemented.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authoritylevels is in place.6.1.4 Employee records are maintained.6.3.1 A holiday entitlement policy exists which is implemented and communicated.6.5.1 There is a commitment to adhere to the working time directive.6.5.2 The legislation on the national minimum wage is implemented.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.6.4.1 A process for the appraisal of employee performance is in place and is implemented.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.85The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 4Criteria 4 – Financial Management4.2.2 Financial procedures are defined, understood and implemented (i.e. there are sound fiscal controls in place).Required Achievement LevelFinancial resources and liabilitiesare managed and controlledthrough audited or certifiedannual accounts.These processes ensure the use offinancial resources to support theplan for the business. All aspects of the previouscolumn plus:Financial resources and liabilities arealso managed and controlledthrough e.g.:• sales ledger• purchase ledger• cash flow and expenses All aspects of the previouscolumn plus:Financial resources and liabilities arealso managed and controlledthrough:• risk management (includingcontingency arrangements)• asset managementAll aspects of the previouscolumn plus:Financial plans are reviewedregularly to ensure relevance andviability and include areas for costsavings.Performance indicators are in placeand are regularly reviewed. All aspects of theprevious column plus:The organisation makes regularuse of available financialbenchmarking data to analyse itsfinancial performance.86The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.2 An SIA Approved Contractor can demonstrate strong financial processes to safeguard the interests of its stakeholders.4.2.2 Financial procedures are defined, understood and implemented (i.e. there are sound fiscal controls in place).It is for the organisation to demonstrate that they have sound fiscal practices and assessorsshould liaise with the most appropriate person regarding company financeThe assessor does not need to understand the finer details of company accounting butshould be aware of what constitutes sound fiscal control within any size of applicantorganisation. Evidence of the management of the financial aspects of all customer contractsshould be available. The procedures need not be documented but the applicant organisationshould be able to evidence that the procedures are understood and that there is coverwithin the organisation to maintain accurate and rigorous control in all circumstances.Whatever method has been adopted the processes surrounding financial management mustbe rigorous and cover all aspects of the business. Financial planning, whilst being conductedon a smaller scale, should still be part of the financial management processes with control ofcash flow and investments.The management of the financial aspects of a smaller applicant organisation is likely to beunder the sole responsibility of the managing director/owner and may not be computerbased.Assessors should look for evidence of how organisations manage their financial assets andmanage their exposure to risk. Organisations will need to demonstrate that it understandwhat risks it is exposed to and how it has attempted to minimise exposure to those risks, aswell as how it plans to deal with unexpected events that could affect it financially, forexample, the sudden loss of a major contract, or a jump in interest rates.Ref: BS7960; BS7872; BS7984; BS7499Examples could include: Authorised signatories Financial limits Use of factoring companiesExamples continued: Written payment policies Cash contingency fund Credit checking suppliers and customers Early payment discountingGood practice: Companies will have frequent reviews of their financial position, sometimes as often asdaily. Profit schemes. Independent financial and tax advice.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.1.1 Key service delivery processes have been identified and are understood by all.2.4.4 All procedures are regularly reviewed.4.1.1 2 years audited or certified accounts can be presented and/or the availability of fundingfor the achievement of the business plan can be evidenced.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authoritylevels is in place.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.87The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.2 An SIA Approved Contractor can demonstrate that they have strong financial processes to safeguard the interests of their stakeholders.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authority levels is in place.Required Achievement LevelAll directors or partners or any SoleTrader must: hold the appropriate SIA licence(s), not be an un-discharged bankrupt not be a person to whom amoratorium period under a debtrelief order relates not be a person subject to abankruptcy restriction order ordebt restriction order not be subject to disqualificationunder the Company DirectorsDisqualification Act 1986 or theCompany Directors Disqualification(Northern Ireland) Order 2002 asamended. Not be a sole trader, director orpartner of any business or firmproviding security industry servicesthat was placed in liquidation,administration or receivershipwithin the previous 12 monthsunless they have taken adequatesteps to satisfy the SIA that they arefit and proper to the circumstancesof their case.All aspects of the previouscolumn plus:Accountability of each director orpartner has been defined and isunderstood.Limited companies meet statutoryrequirements and file necessarychanges to Companies Housewithin the specified time period.All aspects of the previouscolumn plus:Authority levels have been definedand are understood as required toensure the smooth running of theorganisation.88The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.2 An SIA Approved Contractor can demonstrate that it has strong financial processes to safeguard the interests of its stakeholders.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authority levels is in place.Clarification:One of the key elements within this indicator is ensuring that ownership and/or shareholdingcan be traced and verified. This has a strong link with the requirement for SIA licences forDirectors and owners and its associated checks, for example bankruptcy.All statutory directors and owners should hold the appropriate SIA licences and this shouldbe verified at each verification.There is likely to be just one level of sign-off for financial matters within smaller applicantorganisations. The assessor should determine if this is understood and applied throughoutthe organisation.Financial processes may appear to be more complex with a greater number of levels ofauthority within a larger applicant organisation. The number of levels should be appropriateto size, and the assessor should ensure that responsibilities for approval etc. are clearlyunderstood throughout the applicant organisation. Authority levels may be down to costcentre level in the very large applicant organisations.Examples could include: authorised personnel for signing of expense claims; purchase orders etc.Linkages with other Indicators:7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practiceRef: ISO9001; BS7960; BS7958; BS7499; BS798489The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 4Criteria 4 – Financial Management4.3 An SIA Approved Contractor can demonstrate that it carries the required business insurance.4.3.1 There is sufficient insurance cover to meet contractual requirements.Required Achievement LevelThe organisation has contractualinsurance that: covers the annual value ofthe contracts is appropriate in contentsubcontractors meet theorganisation’s own insurancerequirements.The company ensures allhazardous activities undertakenare disclosed to and agreed byinsurance underwriters e.g. work offshore work airside work on or alongside railwaytracks work at height work at nuclear, chemical, oilor gas sites All aspects of the previous column plus:The organisation also has the correct insurancecover, 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 excludingproducts (or both) terrorism cover deliberate/criminal acts of employees (whichare accidental on the part of the company) property within the custody, possession orcontrol for the purpose of the serviceprovided design instruction/advice in connection withsupplied services90The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.3 An SIA Approved Contractor can demonstrate that it carries the required business insurance.4.3.1 There is sufficient insurance cover to meet contractual requirements.Clarification:The assessor should ask the applicant organisation to explain what their insurance covers andhow it is relevant to their business. Reference should be made to the relevant BritishStandard for appropriate levels of insurance for the sector.Organisations should be able to demonstrate how changes to their size, nature of business,etc have been reflected in their annual renewal. Where organisations undertake activitiessuch as security at events on an occasional or seasonal basis, they need to ensure that theirinsurers are fully aware of the extent and nature of these activities.Assessors should not consider that simply viewing the insurance certificate is sufficient forverifying this indicator. Assessors should question decision makers as to how the level ofcover was determined and make a judgement on, given what they know about theorganisation, whether the level of cover is sufficient.TestHas the company advised their insurers of significant changes in circumstances eg additionalsectors, growth etc.Can the applicant show the assessor the most recent renewal schedule with relevantchanges advised?Linkages with other Indicators:4.2.3 A clear ‘fit and proper’ management structure with defined and understood authoritylevels is in place.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.Ref: BS7960; BS7499; BS798491The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 4Criteria 4 – Financial Management4.4 An SIA Approved Contractor can demonstrate that it understands the market place and has financial plans to meet its strategic direction.4.4.1 Analysis of the market place in which the organisation operates is conducted.Required Achievement LevelThe organisation is aware ofdevelopments in the market placein which it operates.The organisation is aware of andunderstands developments in themarket place in which it operates. Ituses this information as the basis:• of its planning process• for making financial decisions All aspects of the previouscolumn plus:The organisation actively gathersand uses information about themarket it currently operates in. All aspects of the previouscolumn plus:The organisation also activelygathers and uses information aboutthe market it may want to enter inthe future. All aspects of theprevious column plus:The organisation makes use ofSIA ACS benchmark scores tocompare its performance and toinform marketing activity.92The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 44.4 An SIA Approved Contractor can demonstrate that it understands the market place and has financial plans to meet its strategic direction.4.4.1 Analysis of the market place in which the organisation operates is conducted.Clarification:The scope of this Indicator will vary dependent on the geographical area covered by theapplicant organisation. If the customer base is regionally based then an understanding ofregional needs and developments is required. Should the customer base be national, abroader understanding would be required. The applicant organisation should be able todemonstrate that any intelligence gathered is current, relevant and used to inform actionsand planning.The assessor may need to discuss this indicator with a specialist commercial team within thelarger of applicant organisation.Examples could include: new legislation licensing requirements competitor activity pay rates and charge rates ACS benchmarking data and Forums updates to British StandardsGood practice: Organisations promote the benefits of their approval as part of their marketing activities.Test:Is there an understanding of legislation impacting both the Security Industry and companymanagement?Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.3.1 The organisation understands its customers’ requirements.2.3.2 There is an awareness of the impact of service delivery on consumers at all levels ofthe organisation.3.2.3 A process for canvassing and obtaining new business exists and is implemented.5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.5.2.5 Service enhancing technology is used to improve service delivery to customers andsafety for employees.6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.93The contents of this publication are copyright ©2013 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.

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ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – ResourcesAn SIA approved contractor has sufficient technical resources tosustain its business, meeting the relevant industry standards.Note:1. There are elements within this criterion which cover the legislativerequirements of conducting a business. It is not expected that the assessorwould be familiar with all of these aspects to enable an in-depth examination.It must be remembered that it is the responsibility of the applicantorganisation to provide a truthful assessment of their performance and theassessor’s role is one of verification. As such the assessor should plan to asktargeted questions to elicit information about the applicants’ approaches.2. The Assessor should familiarise themselves with the key points of some ofthe legislative requirements. The Department for Business Innovation andSkills and Business Link websites (www.bis.gov.uk andwww.businesslink.gov.uk) provide a summary of the key points on all ofthe legislative requirements within the ACS Standard.3. Examples of the types of evidence the assessor may consider sufficient tomeet the ACS Standard are given wherever possible.95The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups 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 stakeholdersRequired Achievement LevelInformation is produced anddelivered in an ad-hoc manner asand when the need arises.The key information relevant toproviding service delivery has beenidentified. It is produced on aregular basis in line withorganisational requirements.It is delivered in an effective andtimely manner to the relevantemployees and other stakeholders.Key information relevant to allareas of the business has beenidentified.All information is produced on aregular basis in line withorganisational requirements.All information is delivered in aneffective and timely manner to therelevant employees andstakeholders.All aspects of the previouscolumn plus:Key information is reviewed byrelevant employees and otherinterested parties.96The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups 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.Clarification:The handling of information is a broad subject and however it is handled the applicantorganisations should ensure that it: covers key service delivery information such as customer requirements, financialinformation about a contract etc. is accurate and up to date with some form of document control is available to the right people at the right time is managed and controlled in line with legislationThe information produced should be regularly reviewed to ensure it is still relevant andwhere ever possible the amount of information in circulation should be reduced.The provision and management of information may be a manual process within smallerapplicant organisations. It is important that how the above points are met be candemonstrated.The provision of information in larger companies is usually computer based. One of the keyissues tends to be that too much information is produced leading to information overloadand a high possibility that critical information is overlooked.Ref: ISO9001 BS7499Examples could include: assignment instructions prior risk assessments being available before a contract renewal visit results against service level agreements being available prior to a customer visitExamples continued: licence renewal information contract profitability information could include providing timely information on former employees to potentialrecruiters for screening and vetting purposes actions taken following feedback from customers, consumers and other interestedparties.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.3.3 The management of contractual arrangements with the customer has been defined andimplemented.2.5.1 Plans exist to improve procedures, based on the review of actual performance.3.2.2 An approach to responding to tender/request for services exists and is implemented.3.3.1 A process for ongoing customer site visits has been defined and implemented.5.1.2 Relevant versions of applicable documents are available at the point of use.5.1.3 Adherence to the Data Protection Act 1998 is apparent.5.1.4 Personnel records and other key information are maintained in accordance tolegislative requirements.All in criterion 9 Results.97The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups and contingencies.5.1.2 Relevant versions of applicable documents are available at the point of use.Required Achievement LevelDocument version control isapplied in an ad-hoc manner.Not all of the most up to datedocuments are available at thepoint of use.Document version control isapplied to key service deliverydocuments.The most up to date documents areavailable at most sites.Document version control isapplied to all service deliverydocuments.The most up to date versions ofapplicable documents are availableat the point of use.All aspects of the previouscolumn plus:Document version control is a welldefined process.It is applied to all service deliveryand key business documents.98The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups and contingencies.5.1.2 Relevant versions of applicable documents are available at the point of use.Clarification:Ref: ISO9001; BS7499; BS7984It would be unusual for an isolated incident to result in an improvement need. Thereforeassessors should consider the relevance in the context of the wider organisation.Test:The assessor should test the document version control aspects of information managementon service delivery documents such as assignment instructions.Linkages with other Indicators:2.5.2 Procedures for the implementation of changes are in place and used.5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.5.1.3 Adherence to the Data Protection Act 1998 is apparent.5.1.4 Personnel records and other key information are maintained in accordance tolegislative requirements.6.2.5 Assignment specific training/induction/information is given.99The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups and contingencies.5.1.3 Adherence to the Data Protection Act 1998 is apparent.Required Achievement LevelCompliance with the DataProtection Act 1998 is evident inall aspects of the organisation’sbusiness, including notification tothe Information Commissionerwhere required.All aspects of the previouscolumn plus:All employees are made aware ofindividual responsibilities for dataprotection compliance, includingupdates where appropriate.All aspects of the previouscolumn plus:All employees receive trainingoutlining their individual andorganisational responsibilities fordata protection compliance,including updates.All aspects of the previouscolumn plus:The organisation conducts a riskassessment against the DataProtection Act and High Risk areashave additional controls.All aspects of theprevious column plus:Compliance with the dataprotection act is audited withICO guidance(See www.ico.gov.uk)Refresher training is conductedwhere appropriate.There are procedures in place tomonitor employee awareness oftheir own and the organisation’sresponsibilities for data protection.100The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups and contingencies.5.1.3 Adherence to the Data Protection Act 1998 is apparent.Clarification:The Assessor needs to be aware of the requirements of the Data Protection Act 1998 toensure the applicant organisation is compliant. www.businesslink.gov.uk andwww.ico.gov.uk provide a useful guide to the eight principles (rules) for data protectionand other relevant information such as training requirements.Ref: BS7858; BS7958; BS7960Example:The organisation publishes guidelines for employees on what information is retained by thecompany and what information may be released by employees.Linkages with other Indicators:5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.5.1.2 Relevant versions of applicable documents are available at the point of use.5.1.4 Personnel records and other key information are maintained in accordance tolegislative requirements.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.101The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups and contingencies.5.1.4 Personnel records and other key information are maintained in accordance with legal requirements.Required Achievement LevelPersonnel records and other keyinformation is handled and storedin a way that is consistent withlegal requirements.All aspects of the previouscolumn plus:There are procedures relating tothe maintenance of personnelrecords and other key informationthat reflect current legalrequirements.The procedures are implementedfor all service delivery data andinformation, personnel and financialrecords.All aspects of the previouscolumn plus:The procedures are followed for allrecords and all forms of data andinformation.102The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriateback-ups and contingencies.5.1.4 Personnel records and other key information are maintained in accordance with legal requirements.Clarification:‘Information’ referred to in this section relates to all the information held by an organisationincluding that held on personal computers. The section is looking to determine how well theorganisation manages records and information.There are statutory requirements for the keeping of personnel records and financial records.Assessors should ensure their personal knowledge is maintained.www.businesslink.gov.uk is a useful link for statutory information.Applicant organisations may wish to refer to the current British Standard relating toinformation security.Linkages with other Indicators:5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.5.1.2 Relevant versions of applicable documents are available at the point of use.5.1.3 Adherence to the Data Protection Act 1998 is apparent.6.1.4 Employee records are maintained.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.Ref: ISO9001; BS7858; BS7960;BS7958; BS7499; BS7984Test: what are the organisation’s procedures for backing up information? who has access to employee records? is there an audit trail of record accessing? what is kept in relation to financial records e.g.:• accounts• invoices• expenses etc.103The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.1 Lease and ownership papers are appropriate to the relevant premises.Required Achievement LevelThe business occupies premisesthat are owned or leased by them.The length of the lease isconsistent with business plan.104The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.1 Lease and ownership papers are appropriate to the relevant premises.Clarification:It is not necessary for the assessor to see the actual papers relating to the lease orownership of the premises.Ref: ISO9001Test:It is sufficient to have a discussion to how the ownership of the premises is managed.For example: if the property is on lease – what is the time left on the lease and what preparation hasbeen conducted for the end of the lease? if the property is rented – what planning is in place for the loss of the property.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.2.1 There is a sound plan to ensure continuity of service delivery.4.3.1 There is sufficient insurance cover to meet contractual requirements.5.2.2 Administrative offices are fit for purpose.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.105The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.2 Administrative offices are fit for purpose.Required Achievement LevelAdministrative offices and/oroperational centres are fit forpurpose and secure.The work environment ofadministration offices and/oroperational centres has beenassessed and is effectivelymanaged.The organisation considers:• Adequate lighting and sanitaryfacilities• Workstation assessments• Adequate storage and wastedisposal• Heating and lighting• Restroom• Fire and emergency equipment• General HousekeepingAll aspects of the previouscolumn plus:The address for correspondenceand promotional material complieswith company law.All aspects of the previouscolumn plus:Feedback is sought from employeesregarding the suitability of the workenvironment and any improvementsmade by the organisation.106The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.2 Administrative offices are fit for purpose.Clarification:The size and location of all premises should be applicable for the size and nature of thebusiness.All organisations are required to have administrative offices that are ‘fit for purpose’. It isrecognised that smaller organisations may not have separate premises from the ownershome but the ACS standard requires that these are equipped and maintained such thatrecords, all professional and business documents, files, certificates, correspondence, staffdetails etc. that are necessary to the proper conduct of business transactions are securelykept.The assessor needs to ensure that any premises are secure enough for the storing ofinformation and personnel data.The address of the registered offices should appear on all correspondence, promotionalmaterial and signage.Assessors could consider: Adequate lighting and sanitary facilities Workstation assessments Adequate storage and waste disposal Heating and lighting Restroom Fire and emergency equipment General HousekeepingGood Practice: The organisation ensures that the work environment has a positive influence onmotivation, satisfaction and performance of people in order to enhance the performanceof the organisation.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.2.1 There is a sound plan to ensure continuity of service delivery.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authoritylevels is in place.4.3.1 There is sufficient insurance cover to meet contractual requirements.5.2.1 Lease and ownership papers are appropriate to the relevant premises.Ref: ISO9001; BS7960; BS7499; BS7984107The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.2.3 Control rooms/response rooms are designed, fitted and equipped in a manner appropriate to purpose.Required Achievement LevelThe organisation has determinedthe design, construction, layoutand equipment requirements fortheir control rooms/ responserooms.The level of design, construction,layout and equipment is directlyrelated to risks associated withcustomer contracts.The control rooms / responserooms are appropriatelyconstructed to ensure physicalsecurity, safety and integrity, forthe protection of employees andthe safeguarding of customerrecords and property.Where the controlrooms/response rooms areoutsourced, the organisationensures that the controlrooms/response rooms are fit forpurpose.All aspects of the previouscolumn plus:Improvements to design,construction, layout and equipmentare implemented where new oramended contracts increase the riskto physical security, safety andintegrity of employees and/or tocustomer records and propertyAll aspects of the previouscolumn plus:The control rooms/ responserooms are designed is accordancewith good ergonomic practice.The following should be factoredinto the design: Architectural factors Design and layout of individualwork stations Arrangement of monitors Design of control panels Seating Environmental factorsAll aspects of the previouscolumn plus:The structure of the controlrooms/ response rooms canwithstand possible major hazardevents. Such as:Vapour Cloud Explosions(VCEs)Boiling Liquid ExpandingVapour Explosions (BLEVEs)Pressure burstsExothermic reactionsToxic gas releasesFires, including pool fires, jetfires, flash fires and fire balls.108The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.3 Control rooms/response rooms are designed, fitted and equipped in a manner appropriate to purpose.Please refer to the Glossary in section 5, for a definition of: Control room Response roomClarification:The requirements for a ‘control room’ in terms of the manned guarding, key holding andCCTV sectors are clearly laid down in the relevant British Standards. For other sectors thespecifications of a control room do not have to be so stringent. For example, the ‘controlroom’ for sectors such as Door Supervision and Vehicle Immobilisation could simply be anarea within the ‘head office’ where phone calls from operatives are taken. However it mustbe ‘fit for purpose’. Given the definition of a control room in the glossary the assessor needsto make a judgement call, if the facilities being used by the applicant organisation, aresufficient given the size and nature of the business.This is of particular importance where the applicant organisation conducts their businesssolely through a mobile phone, as is the case for some Vehicle Immobilisation companies.The assessor must be satisfied that the procedures in place are adequate to ensure the safetyof employees in an emergency situation, that issues can be recorded and monitored.Assessors will need to ensure that where companies outsource their control room theyensure it is adequate equipped and operated. This could be achieved through second partyaudit, management visits or through purchase of accredited control room services, forexample.Linkages with other Indicators:1.2.3 Procedures have been defined to ensure compliance to working standards or ‘codes ofpractice’ and are fully implemented.2.2.1 There is a sound plan to ensure continuity of service delivery.2.4.3 Defined and implemented incident procedures exist.2.4.5 Procedures exist to ensure the attendance of employees on customer sites.6.3.3 A health and safety policy and supporting procedures exist and are implemented.6.1.9 Roles and responsibilities are defined for all employees.6.2.2 All employees are trained to the required standard.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.Ref: ISO9001; BS7958; BS7499; BS7984109The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.4 Equipment owned is recorded, adequately maintained and appropriate for its purpose.Required Achievement LevelThe equipment used is poorlymaintained and/or unsuitable forthe purpose to which it has beenallocated.Some of the equipment used isappropriate for the purpose towhich it has been allocated.There is no record of equipmentowned and issued.Missing equipment may goundetected.Maintenance occurs on an ad-hocbasis.All equipment is appropriate for thepurpose to which it has beenallocated.Equipment relating to servicedelivery is recorded and regularchecks are conducted to ensure therecords are complete and up todate.There is a schedule for themaintenance of all equipment that isapplied to equipment used forservice delivery.All aspects of the previouscolumn plus:There is a comprehensiveequipment register which covers allthe equipment owned by theorganisation.Regular checks are conducted toensure the register is complete andup to date.There is a schedule for themaintenance of all equipment that isimplemented and up to date.110The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.4 Equipment owned is recorded, adequately maintained and appropriate for its purpose.Clarification:No matter the size of the applicant organisation if there is any equipment used in the runningof the business or in service delivery there must be a form of asset management in place.The applicant organisation must be able to demonstrate that the method used, be it a manuallist or simply a folder of receipts, enables them to meet the requirements of the ACSstandard in terms of control, maintenance etc.The more equipment owned and used by an applicant organisation the more robustapproach to control and management is required. It is not necessary that it is computerbased but evidence should be presented to meet the requirements of the ACS standard interms of control, maintenance etc.Procedures should be in place to ensure that any customer property or equipment is subjectto the same due care and attention required for their own equipment. Such equipmentshould be separately identified and kept fit for purpose.Ref: ISO9001; BS7960; BS7958; BS7499; BS7984Examples could include: Equipment registers Maintenance schedulesGood practice: Review of results from maintenance tests to identify any common faults. Guidance on smoking in vehicles/use of mobile phones issues to employees.Linkages with other Indicators:2.1.1 Key service delivery processes have been identified and are understood by all.2.3.1 The organisation understands its customers’ requirements.4.3.1 There is sufficient insurance cover to meet contractual requirements.6.2.2 All employees are trained to the required standard.6.3.3 A health and safety policy and supporting procedures exist and are implemented.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.9.5.1 The regular review of performance against internal and externalenvironmental/societal/health and safety performance indicators.9.6.1 The regular review of performance against success factors and key financial indicatorscritical to the business.111The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 5Criteria 5 – Resources5.2.5 Service enhancing technology is used to improve service delivery to customers and safety for employees.Required Achievement LevelThe organisation does not investin technology to ensure servicedelivery to its customers or thesafety of its employees.Where appropriate, theorganisation explores opportunitiesfor the use of technology toimprove service delivery withcustomers and suppliers.The organisation activelyencourages the adoption of provenservicing enhancing technology bycustomers to improve servicedelivery and ensure the safety of itsemployees.All aspects of the previouscolumn plus:The organisation actively researchesnew and emerging servicingenhancing technology for relevancein the enhancement of servicedelivery to its customers and safetyto its employees.112The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 55.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively.5.2.5 Service delivery to customers and safety to employees are improved by investment in technologyClarification:The implementation and use of technology may be limited by cost, and in its use at customersites. The ACS Standard requires that applicant organisations explore technologicalsolutions, however simple, to improve service delivery with customers and suppliers.The type and sophistication of the technology in use or proposed for use at a customer siteshould be in line with the size and resources available.It would be expected that technological solutions would be more readily researched by thelarger applicant organisations and be available to improve service delivery or to offer greatervalue for money within customer contracts.Examples could include: GPS and mobile tracking technology; emergency buttons; deisters etc, headcamsLinkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.3.1 The organisation understands its customers’ requirements.4.3.1 There is sufficient insurance cover to meet contractual requirements.5.2.3 Control rooms/response rooms are designed, fitted and equipped in a mannerappropriate to purpose.5.2.4 Control rooms/response rooms are designed, fitted and equipped in a mannerappropriate to purpose.6.3.3 A health and safety policy and supporting procedures exist and are implemented. Theregular review of performance against success factors and key financial indicatorscritical to the business.Good practice: Pre-evaluation of technology prior to purchase to ensure requirements are met. Training is delivered to staff to ensure new technology is used effectively. A bar coding system to track issue and return of equipment to individuals. An electronic Key Tracking System, operated by the finger print of authorisedusers; it automatically records the ID of user, key number, time and datewithdrawn. If the key is not returned within a specific time it will automaticallygenerate an alarm to inform management that the key has not been returned113The contents of this publication are copyright ©2013 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.

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ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – PeopleAn SIA approved contractor develops and implements plans to ensureits people are suitably trained, developed and cared for.General:There is a requirement for all applicant organisations regardless of the number ofemployees to be compliant with: legislation licensing requirements screening proceduresOne of the key aims of the ACS is to transform the Security Industry and to makeit a career of choice. The way in which organisations within the Security Industrytreat and provide for their employees will be a major factor in achieving this aim.Fear of reprisals when disagreeing with ‘company line’ is not acceptable and it isthe role of the assessor to ensure that this is not prevalent in any applicantorganisation recommended for approval. This takes a high level of sensitivity andconfidentiality of behalf of the assessor.Not all HR policies and procedures will be documented in every applicantorganisation, especially small organisations. Where policies and procedures have adirect impact on employees, such as grievance, disciplinary and training it wouldbe expected that they were readily and easily available to all staff. Documentedpolicies and procedures are the preferred way and should be encouraged.Employees should be aware of the HR policies that impact them and the assessorshould check awareness.Note:1. Examples of the types of evidence the assessor may consider sufficient tomeet the ACS standard are given wherever possible.2. There are elements within this criterion which cover the legislativerequirements of conducting a business. It is not expected that the assessorwould be familiar with all of these aspects to enable an in-depth examination.It must be remembered that it is the responsibility of the applicantorganisation to provide a truthful assessment of their performance and theAssessors role is one of verification. As such the assessor should plan to asktargeted questions to elicit information about the applicant’s approaches.3. The assessor should familiarise themselves with the key points of some of thelegislative requirements. The Department for Business, Innovation and Skillsand Business Link websites (www.bis.gov.uk andwww.businesslink.gov.uk) provide a summary of the key points on all ofthe legislative requirements within the ACS Standard.115The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.1 There is a defined and implemented recruitment policy.Required Achievement LevelThe requirements for each role withinthe organisation have been defined.These include such information asexperience, skills and qualificationsrequired.Private Security Industry Act2001licensing requirements areadhered to.Employees must have the legal right towork in the UK.The recruitment policy meets allemployment law requirements anddefines how screening of staff iscarried out.The company has a process forregularly checking the validity of SIAlicences and right to work in the UK.All aspects of the previouscolumn plus:The organisation works to BS 7858or appropriate industry sectorequivalent in relation to itsrecruitment activities.Interviews for all potential recruitsare conducted, documented andretained for one year. Recruitmentrecords are maintained for allemployees.Re-screening makes use ofscreening records from anotherApproved Contractor where theseare available.All aspects of the previouscolumn plus:Defined job requirements areused to:place an appropriately wordedadvertisement that takes intoaccount relevant legalrequirements.All aspects of the previouscolumn plus:Additional background checks withwritten responses covering tenyears employment history arecompleted within 16 weeks ofcommencement of employment.Re-vetting is conducted, whereapplicable, prior to:promotiontransfer to high-risk siteAny home visit for the purpose ofvetting is subject to signed writtenconsent from the applicant.All aspects of theprevious column plus:A drugs and alcohol policy existswhich outlines the aims andpurpose of the policy, explainswho is covered by the policy, andclearly sets out the organisation’srules in relation to drug andalcohol use.The organisation ensures that all workpermit/visa conditions are compliedwith.116The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.1 There is a defined and implemented recruitment policy.Clarification:There are additional requirements in the ACS standard to those that exist in other sectorspecific British Standards and in ISO9001 concerning the definition of all roles connected toservice delivery to be defined in terms of required experience, skills and qualificationsrequired. Therefore compliance with BS7858/ISO9001 does not necessarily mean the ACSachievement level has been met.There is a statutory requirement to maintain employment records (including interview notes)and to ensure that all employment adverts are non-discriminatory. Further information onthis can be found on www.businesslink.gov.ukGuidance on checking employees’ right to work can be found at:www.ukba.homeoffice.gov.uk/sitecontent/documents/employersandsponsors/preventingillegalworking/Guidance on Drug and alcohol abuse can be found at:http://www.businesslink.gov.uk/bdotg/action/layer?topicId=1074435951Refer to Assessor Guidance Note 18 .Ref: ISO9001; BS7960; BS7499; BS7984; BS7858Assessors should take account of licence conditions e.g. displaying licences and specificlicence requirements for the Vehicle Immobilisation licence.Organisations should have a robust process for the management of licensing (includingrenewals) and the Licence Dispensation process. Controls should be in place, and recordsmaintained to demonstrate: the level of LDNs issued does not exceed 15% LDNs are correctly issued according to the ACS Terms & Conditions in particular the10- week limit and that applications have been correctly checked as “pending” adequate LDN training has been completed by staff all staff working under LDN have the correct paperworkExamples could include: The organisations consider the implications of legislation when placing job advertisements.Such legislation includes Disability Discrimination Act and Employment Equalityregulations.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.1.1 Key service delivery processes have been identified and are understood by all.2.4.4 All procedures are regularly reviewed.117The contents of this publication are copyright ©2013 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.

Good practice added for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.2 Defined employee training, development and improvement policy and procedures are in place, implemented and communicated.Required Achievement LevelPSIA licensing training is the onlytraining that takes place.There is a training and developmentpolicy with supporting proceduresthat covers company andassignment-specific training as wellas training required for an SIAlicence.They are implemented foremployees requiring an SIA licence.These employees are aware of thepolicies and procedures. All aspects of the previouscolumn plus:There are well defined training,development and improvementpolicies and supporting proceduresin place.They apply to all employees and arefully implemented.All employees are aware of thepolicies and procedures.There are procedures in place tomonitor the extent of theirimplementation and employeeawareness.All aspects of the previouscolumn plus:The training and developmentpolicy and procedures areregularly reviewed forrelevance and completeness.Managers and supervisors aresupportive of releasingfrontline licensable staff forrequired training.All internal and externaltrainers are suitably qualifiedAll aspects of theprevious column plus:The organisation sets aside aspecific budget for thetraining and development offrontline licensableemployees.Customers and/or otherstakeholders are consultedon the content of training.118The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.2 Defined employee training, development and improvement policy and procedures are in place, implemented and communicated.Clarification:The ACS standard requires applicant organisations to have procedures in place to ensurethat all employees have the relevant training to obtain an SIA licence and to provideadditional and ongoing training to these employees to maintain and improve theireffectiveness in their role. All relevant employees (including those not licensable) should beaware of this commitment to continue their professional development.Ref: BS7960; BS7499; BS7984; BS7872Good practice:Local police officers and/or other stakeholders participate in the training andinduction of new staff.The organisation ensures that a specific budget is set aside and spent on thetraining of frontline licensable employees.Staff receive a Passport style training record. Each element of training received isentered into the Passport as a constant record of competence and skill base.Staff can scan it using a QR code which then links directly to training portal oncompany website.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.1.1 Key service delivery processes have been identified and are understood by all.2.4.4 All procedures are regularly reviewed.6.2.1 All employees have training plans and records.6.2.2 All employees are trained the required standard.6.2.3 All supervisors are trained to the required standard for their role6.2.4.The organisation ensures that minimum competence of employees is maintained6.2.5 Assignment specific training/induction/information is given9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.119The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1.3 A process for obtaining staff opinions on the organisation, their job and conditions exists and is implemented.Required Achievement LevelThe organisation does not askemployees for their opinionsabout the organisation, their jobor working conditions.Individuals have the opportunity toexpress their opinion.Issues raised are acted upon whereappropriate. All aspects of the previouscolumn plus:Supervisory staff are asked theiropinions about the organisation,their job or working conditions ona regular basis.The organisation monitors itsprogress in improving theperception of its supervisory staff. All aspects of the previouscolumn plus:All employees are asked theiropinions about the organisation,their job or working conditions ona regular basis.Key performance measures exist.Improvement plans are in place andsome are implemented.The organisation monitors itsprogress in improving employeeperception. All aspects of theprevious column plus:Key performance measures existwith targets.Plans for improvement aredeveloped and implementedbased on results achieved.Delivery of improvements isreflected in improved employeeretention.120The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.3 A process for obtaining staff opinions on the organisation, their job and conditions exists and is implemented.There is a requirement within the ACS that all applicant organisations take steps to gatherthe opinions of their employees on the way in which the organisation is run. This would bean opportunity to establish such things as understanding of approach to business, level andeffectiveness of communication, understanding of roles and responsibilities. The approachto opinion gathering should be appropriate to the size of the applicant organisation.For example, it would not be expected that an applicant organisation with 10 employeesconducts a formal opinion gathering exercise, where it would be considered the bestapproach in an applicant organisation of 500 employees.There are a number of options that would suit organisations in between, for example theorganisation may have set questions to be discussed with all employees as part of generaldiscussions, with the results being consolidated, into percentages or numbers, for theorganisation. Joining and exit interviews are another way to obtain employee opinions.Larger organisations with a more formal approach to gathering the opinions for theiremployees, could generate data that could be segmented for more targeted actionplanning.Organisations should be able to provide examples of feedback from employees, including anindication of how the organisation has responded, and any action taken as a result.Examples may include Appraisals Suggestion box Open door management policy Employee forums/chat rooms Employee surveys/questionnairesGood practice: The opportunity to provide feedback anonymously. Publicise outcomes to staff in timely manner, along with reasons where action may notbe possible.121The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.4 Employee records are maintained.Required Achievement LevelEmployee records containpersonal and bank details.Employee records are occasionallychecked to ensure the informationcontained is up to date.Employee records are maintainedfor all employees.They contain up to dateinformation relating to:personal details such as name,addressbank detailsPAYE informationvetting information whererelevant for the rolePSIA licensing informationwhere required such as licencenumber, expiry dateThere are procedures in place toensure the records are up to date.Employees understand whatinformation is held and how it isstored.All aspects of the previouscolumn plus:The records also contain:up to date information relating tofull employment history as obtainedduring the recruitment processtraining recordsdisciplinary and grievanceinformation where relevant.The company follows HMRCguidance regarding due diligencerecord keeping for the use oflabour providers.All aspects of the previouscolumn plus:The records also contain up to dateinformation relating to:records of discussions relating toperformance All aspects of the previouscolumn plus:The organisation makes use ofthe SIA Company Licencetracker.The company has a policy thatrequires licensable staff to notifythe SIA of criminal convictionsand changes to address.122The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.4 Employee records are maintained.Clarification:The manner in which employee records are maintained should be appropriate for the size ofapplicant organisation i.e. not necessarily computer based, but in all cases it should be secureand confidential.The requirements of BS7858: or similar standards, as required in Indicator 6.1.1 on themaintenance and storage of recruitment records should t be adhered to.In addition, records should include details of visas and work permits and details of LicenceDispensation Notices.HMRC have identified increasing problems in the security industry with fraud and unpaidtaxes through the use of labour providers. It is good commercial practice for all businesses tocarry out checks to establish the credibility and legitimacy of their suppliers. ApprovedContractors should seek to avoid involvement in supply chains where VAT and /or othertaxes will go unpaid.Assessors should familiarise themselves with current HMRC guidance on due diligence whenusing labour providers www.hmrc.gov.uk/leaflets/labour-providers-duediligence.pdfGood practice: Details of driving licences for any staff using company vehicles regularly checked, and arecord of these checks kept on file. Similarly insurance details for private vehicles usedshould be checked to ensure they are appropriately insured (e.g. include first classbusiness use).Linkages with other Indicators:5.1.3 Adherence to the Data Protection Act 1998 is apparent.5.1.4 Personnel records and other key information are maintained in accordance tolegislative requirements.5.2.2 Administrative offices are fit for purpose.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.123The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.5 A defined grievance procedure is in place which is implemented and communicated.Required Achievement LevelThe organisation applies thedefault statutory procedure.There is a company specificgrievance procedure that complieswith the minimum legalrequirements. Employees are givena copy of the procedure when theyjoin the organisation.The procedure is followed whennecessary.It is clearly written and easilyunderstandable by all employees.All aspects of the previouscolumn plus:The defined grievance proceduregoes beyond the minimum legalrequirement.For example using independentconciliation as an alternative way ofresolving disputes.124The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.5 A defined grievance procedure is in place which is implemented and communicated.Clarification:The ACS Standard is looking for applicant organisations to provide a grievance procedurewhich is known by all employees and is followed .This requirement helps to provideorganisations with the ability to dictate their own procedures rather than use the defaultstatutory procedure.Additional information on good practice in the contents of a grievance procedure can beobtained on www.bis.gov.uk or www.businesslink.gov.uk should the organisationrequire additional assistance in the creation of a procedure.Organisations should be able to demonstrate that policies and procedures are effectivelyimplemented, communicated and understood at all levels.Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.125The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.6 Defined terms and conditions of employment exist which are implemented and communicated.Required Achievement LevelTerms and conditions of employmentare issued verbally.All employees are given a written copywithin eight weeks of employmentstarting.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 daysrequired• employee benefits statement• details of notice and terminationperiod• disciplinary, grievance and appealsprocedures• place of work or notification thatplace of work variesAll aspects of the previouscolumn plus:Terms and conditions ofemployment have been defined foreach role.Contracts and/or Terms andConditions of employment alsoinclude:• details of any probationary period• details of any provisional periodsubject to screening if applicable• requirements to adhere topolicies and procedures• details of any equipment suppliedAll aspects of the previouscolumn plus:Contracts are revised whenchanges to employment conditionsare made.Changes to terms and conditionsare discussed with staff prior toimplementation.All aspects of the previouscolumn plus:Contracts of employment areissued to all staff within four weeksof employment starting.All aspects of theprevious column plus:Contracts of employment areissued to all staff before or asemployment starts.126The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.6 Defined terms and conditions of employment exist which are implemented and communicated.Clarification:There is a statutory requirement for contracts of employment to be issued to all employeeswithin eight weeks of starting. The ACS Standard requires information, above the statutoryrequirement, to be included in the contract to take into account the nature of the industry.It is acceptable that contracts are issued at end of the screening probation provided that theinformation that would be included in a contract is provided in writing to the employeewithin 8 weeks.Linkages with other Indicators:6.1.1 There is a defined and implemented recruitment policy.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.9.4.1 The regular review of performance against responses from employee opiniongathering.Further information can be obtain from www.bis.gov.uk or www.businesslink.gov.ukRef: BS7960; BS7958; BS7984; BS7499; BS7872Examples could include:Benefits statement could include such things as: pension industrial injury procedures provision of uniform holiday pay and entitlement127The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.7 A defined disciplinary process is in place which is implemented and communicated.Required Achievement LevelThe organisation would apply thedefault statutory procedure.There is a company specificdisciplinary procedure that complieswith the minimum legalrequirements.Employees are given a copy whenthey join the organisation.The procedure is followed whennecessary.It is clearly written and easilyunderstandable by all employees. All aspects of the previouscolumn plus:The defined disciplinary proceduregoes beyond the minimum legalrequirements.128The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.7 A defined disciplinary process is in place which is implemented and communicated.Clarification:There is a statutory requirement for all organisations to provide a copy, to all employees, ofa company specific disciplinary procedure that meet minimum requirements. This procedureshould be followed when necessary.Additional information on good practice in the contents of a disciplinary procedure can beobtained on www.bis.gov.uk or www.businesslink.gov.uk should the organisationrequire additional assistance in the creation of a procedure.Organisations should be able to demonstrate that policies and procedures are effectivelyimplemented, communicated and understood at all levels.Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.129The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1.8 A defined policy exists covering ‘Transfer of Undertakings’ which is implemented and communicatedRequired Achievement LevelThe organisation is aware of itsobligations under TUPE and thereare procedures in place to managea ‘Transfer of Undertakings’.The organisation cooperates fullyin the exchange of informationrequired for a smooth transfer,TUPE information is exchanged ina timely fashion. All aspects of the previouscolumn plus:The procedures ensure:• assessment of the training needsof the employees .• induction into company• provision of required trainingwithin reasonable specifiedtimeframes.• full screening or re-screening ofemployees where prior screeninginformation is not complete. All aspects of the previouscolumn plus:The procedures contain details ofhow the staff will be integrated intothe organisation where practicable.All employees’ files are assessed toensure full compatibility withexisting employee records.130The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.8 A defined policy exists covering ‘Transfer of Undertakings’ which is implemented and communicatedClarification:Some organisations avoid TUPE transfer situations altogether and it is reasonable for theassessor to establish only that key staff members are conversant with the legal requirementsof TUPE.Larger organisations or those keen to expand through acquisition may have a Transfer ofUndertakings policy dependant on their strategy. Where no strategy exists then the assessorshould establish that key staff are conversant with TUPE. TUPE regulations apply:(a) when a business or undertaking, or part of one, is transferred to a new employer; or(b) when a “service provision change” takes place (for example, where a contractor takeson a contract to provide a service for a client from another contractor).These two circumstances are jointly categorised as “relevant transfers”.Assessors should establish that, where it loses contracts, the company provides informationrequired to the new contract holder for TUPE transfers quickly.If acquisition is part of the organisation’s strategy, policy and procedures should be in placeto handle such transfers.Further information can be obtained from the www.bis.gov.uk and from the Advisory,Conciliation and Arbitration Service (ACAS) at www.acas.org.ukRef: BS7858; BS7499; BS7984Good practice: The organisation may wish to monitor TUPE employees more closely during the initialperiod of their employment, to ensure a seamless transition. E.g. some companies use adifferent appraisal process initially to ensure any concerns or issues are picked up in atimely manner. Other companies file TUPE employee records in different coloured filesto distinguish them from existing employees and to enable more effective monitoring.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.131The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.9 Roles and responsibilities are defined for all employees.Required Achievement LevelRoles and responsibilities are notclearly defined.Roles and responsibilities have beendefined for all levels ofmanagement.They are understood throughoutthe whole organisation.Roles and responsibilities have beendefined for all employees.These have been communicated toand are understood by allemployees.All aspects of the previouscolumn plus:Roles and responsibilities arereviewed regularly to ensure andmaintain relevance to the business.There are procedures in place tomonitor ongoing awareness of rolesand responsibilities.132The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.9 Roles and responsibilities are defined for all employees.Clarification:SIA licensing should be taken into account when defining roles and responsibilities of allemployees. In particular the boundaries of their roles must be clear in order to preventthem inadvertently moving into licensable activities e.g. Security guards working near licensedpremises or at events, security guards who operate CCTV that could include PSS CCTV,people not usually working in licensable roles such as cleaners or receptionists who regularlyhave to cover for a licensable person.In smaller applicant organisations there may be fewer defined roles with responsibilitiesassigned to few people or in some case one individual.Within larger organisations roles and responsibilities should be very clearly defined especiallywhere there may be specific roles and responsibilities for each customer site or whereemployees move between sites.Everyone in the applicant organisation should understand their own role and responsibilitiesand how they fit into the organisations structure.For companies providing security to events- refer towww.sia.homeoffice.gov.uk/Pages/licensing-events.aspx for the most up-to dateguidance.Linkages with other Indicators:1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.2.3.1 The organisation understands its customers’ requirements.2.4.3 Defined and implemented incident procedures exist.3.1.1 Purchasing procedures have been identified and are implemented.4.2.3 A clear ‘fit and proper’ management structure with defined and understood authoritylevels is in place.9.4.1 The regular review of performance against responses from employee opiniongathering.Ref: BS7958; BS7499; BS7872; BS7984133The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1.10 A defined policy relating to equality and diversity exists which is implemented and communicated.Required Achievement LevelThe organisation is aware of itsresponsibilities under ‘EqualOpportunities’ but has notdeveloped an approach tomanaging ‘equality and diversity’requirements.There is a defined equality anddiversity policy that complies withthe minimum legal requirements.Employees are given a copy of thepolicy when they join theorganisation. It is clearly writtenand understandable by allemployees.The policy is followed whennecessary.All aspects of the previouscolumn plus:The defined equality and diversitypolicy goes beyond the minimumstatutory legal requirement.The organisation actively managesit’s ‘equality and diversity’ policyand acts appropriately whenemployees are found to be workingoutside of it.134The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.10 A defined policy relating to equality and diversity exists which is implemented and communicated.Clarification:Diversity is more than ‘equal opportunities’ as it requires positive action. All organisationsare required demonstrate they understand and comply with Equalities legislation. There is astatutory requirement for all organisations to provide a copy, to all employees, of a companyspecific equality and diversity procedure that meet minimum requirements. This procedureshould be followed.Additional information on good practice in the contents of an equality and diversityprocedure can be obtained on www.bis.gov.uk or www.businesslink.gov.uk . ACAS isalso a useful source of information, particularly on the new Equalities Act (2010)www.acas.org.ukThe Equality and Human Rights Commission provides detailed information about thestatutory requirements relating to equality, together with good advice and links to otherrelevant organisations. The link is: www.equalityhumanrights.comIt is possible that there may not be a specific equality and diversity procedure, but acollection of policies such as Equal Opportunities, harassment, etc. that together promotediversity. The assessor will need to satisfy themselves that these meet the overall minimumstatutory requirement.Organisations should be able to demonstrate that people are treated fairly, and that policiesand procedures are effectively implemented, communicated and understood at all levels.Good practice: Organisations may wish to consider offering diversity training. The organisation could directly solicit feedback on the way employees are treated, andmonitor this over time. Positive recruitment practices for example for people with disabilities.Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.135The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.11 An induction pack/training including an introduction to policies and procedures exists.Required Achievement LevelAn induction pack is available.The induction pack covers basicinformation only including, forlicensable staff where relevant:• adherence to terms andconditions of licence or LDN• the wearing or carrying ofidentification• the requirement to report newcriminal convictions and cautionsAll aspects of the previouscolumn plus:An induction pack is given to allemployees on the day employmentcommences.The induction pack covers theorganisation’s guidelines on:disciplinary proceduresgrievance proceduresinstruction on how to reporton job incidentsthe wearing of a uniformpersonal appearancehealth and safety proceduresequality and diversityproceduresgeneral conduct expecteddrugs and alcohol policy whereapplicablemaintenance of customerconfidentialitymanagement structureAll aspects of the previouscolumn plus:The induction pack also covers theorganisation’s guidelines on:requirements of the DataProtection Act 1998key company contactsthe right to unionrepresentationAll aspects of the previouscolumn plus:This is supported by face to faceinduction training.The additional information/trainingcovers: the history of the company the approach to business of theorganisation feedback mechanisms for bothemployee and customers an overview of customer baseUnderstanding of induction materialis checked.All aspects of theprevious column plus:All levels of employees are madeaware of the opportunity topursue relevant recognisedqualifications e.g. NVQ,Management, etc.Senior management arepersonally involved in theinduction process.136The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures.6.1.11 An induction pack/training including an introduction to policies and procedures exists.Clarification:The presentation and layout of an induction pack is not a key feature although it would beexpected that a larger applicant organisation would have a more standard ‘brochure’ styleapproach. It is essential however that the key items listed in the ACS Standard are includedin the pack.Where organisations tend to focus on individuals training needs the following links provideuseful information www.skillsforsecurity.org.uk or The Security Institute:www.security-institute.orgRef: BS7499; BS7984Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.Good practice: It would be considered good practice if the information is provided in such a manner as tobe easily used as a reference source for employees. Some organisations have developed e-learning induction and refresher packages for staff. Regular performance review or monitoring, post induction to reinforce key issues. Inclusion of information on the SIA, licensing, the ACS standard and LDN. Simulation facilities (e.g. a control room, a bank counter) for new staff to develop newskills in a safe environment. The organisation issues an induction workbook that is completed over a 3month period to ensure understanding of key policies and procedures.137The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to anagreed standard.6.2.1 All employees have training plans and records.Required Achievement LevelNo training plans or records exist.All employees haveprofessional/vocational trainingrecords that show: programme of study completed certificate expiry dates arerecorded and monitored whererelevant dates when training wasconducted details of the training providerand/or trainers involvedAll aspects of the previouscolumn plus:Where appropriate, employeeshave professional/vocational trainingplans that show: details of planned training planned completion date a named person who isresponsible for ensuring thetraining takes placeAll aspects of the previouscolumn plus:Records of all personaldevelopment needs and trainingundertaken are maintained.All aspects of theprevious column plus:Training records are regularlyreviewed with the employee toensure they are accurate138The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreedstandard.6.2.1 All employees have training plans and records.Clarification:The training required to obtain an SIA Licence would be considered as professional andvocational training for the purpose of this Indicator. Any further professional training shouldbe recorded according to the ACS Standard.If an employee is already licensed when employment starts it is possible that the fulltraining records may not be known. In this case it is reasonable for the assessor to testthat the applicant organisation is aware of when the licence and any required retrainingwas due for renewal.Ref: ISO9001; BS7960; BS7958; BS7499; BS7984Good practice: Organisations deploying close protection staff s maintain records of first aid certificatesand monitor the need for renewal.Linkages with other Indicators:2.3.1 The organisation understands its customers’ requirements.5.1.4 Personnel records and other key information are maintained in accordance tolegislative requirements.6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.2.2 All employees are trained to the required standard.6.2.3 All supervisors are trained to the required standard for their role.6.2.4 The organisation ensures the minimum competence of staff is maintained.6.2.5 Assignment specific training/induction/information is given6.4.1 A process for the appraisal of employee performance is in place and is implemented.6.4.2 Self learning and improvement is encouraged.6.4.3 The organisation develops employees especially those with leadership potential.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.139The contents of this publication are copyright ©2013 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.

Good practice added for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to anagreed standard.6.2.2 All employees are trained to the required standardRequired Achievement LevelEmployees who require an SIAlicence have received and passedthe necessary training as definedby the relevant trainingspecifications.All aspects of the previouscolumn plus:All employees requiring an SIAfront-line licence are givenappropriate additional job training.All other employees are givenadequate job training.Training is given on the use of anyequipment that is required to fulfileach role.Subject specific modules relating toa role are also given.All aspects of the previouscolumn plus:There is ongoing assessment oftraining needs which are addressed.All staff holding a door supervisorlicence have taken the SIA licencelinkedphysical intervention trainingmoduleThe organisation has an annualrefresher training programme.All staff receive at least sometraining annually.All aspects of the previouscolumn plus:The effectiveness of all training isevaluated on an ongoing basis.All aspects of theprevious column plus:Frontline licensableemployees are consulted onte availibility and content oftraining programmes.Feedback from employees isused to plan and implementimprovements to training.140The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreedstandard.6.2.2 All employees are trained to the required standard.Clarification:This indicator demonstrates the implementation of the policy evidenced in indicator 6.1.2.All frontline licensable employees are to have undergone training to obtain the relevant SIAlicence, followed by additional basic job training on the procedures of the organisation.Where there is no training requirement for licensing purposes e.g. non-frontline licenceholders or key holders then there is still a requirement to provide role-specific training.This is supported by, where relevant, subject specific and equipment training such as first aid,fire fighting etc.The effectiveness of any training should be assessed.Ref: BS7499; BS7984; BS7858; BS7960Examples could include: For people who only provide key holding services, there is no licensing trainingrequirement, therefore the organisation should ensure that relevant training is provided inorder to ensure competency. Licensed Door Supervisors and Close Protection officers who are employed in a securityguarding role, should receive as a minimum, training equivalent to that required for the SIAsecurity guarding licence.Good practice:Training needs analysis or competency based analysis drives future training requirementsand plans.Linkages with other Indicators:6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.2.1 All employees have training plans and records.6.2.5 Assignment specific training/induction/information is given.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.141The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to anagreed standard.6.2.3 All supervisors are trained to the required standard for their role.Required Achievement LevelNo additional training is given toany personnel being appointed toor holding supervisory positions.All aspects of the previouscolumn plus:Supervisors are encouraged toimprove their knowledge ofadditional topics that wouldimprove their leadership skills.Employees in supervisory positionsare given specific training relating tothe skills required for leadership,for example:• the role of a supervisor• team behaviour• leadership• decision making• problem-solving• communication skillsAll aspects of the previouscolumn plus:In addition supervisors receivespecific training in additional topicsthat would improve and enhancetheir leadership skills.Supervisors undertake recognisedtraining and qualifications.Training needs are monitored,reviewed and recorded.All aspects of theprevious column plus:Provision is made for mentors tosupport supervisors in theirleadership role.• performance review• time management• customer service142The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreedstandard.6.2.3 All supervisors are trained to the required standard for their role.Clarification:Training need not necessarily be attendance on a specific training course. Mentoring andspecific guidance in good leadership practice may be considered as appropriate. The Assessormust satisfy themselves that the mentor or guide possess the skills required to demonstrategood leadership practice.Small organisations where there a few levels of management will not have employees in asupervisory role with the owner/director taking the leadership role. Any individualresponsible for the leadership of others should be able to demonstrate training in skillspertaining to the role of leadership.Larger organisations may have special programmes for leaders and potential leaders todevelop leadership skills. Training may not be security specific, but could include moregeneric management skills development.Supervisory training may be equally relevant to senior managers, directors and operationalmanagers as well as more junior staff.Where organisations tend to focus on individuals training needs the following links provideuseful information www.skillsforsecurity.org.uk or The Security Institute:www.security-institute.orgRef: BS7499Examples could include:Subjects of interest may include: health and safety at work protection of premises and property electronic security law arrest procedures contingency planning disaster recovery recruitment/appraisalGood practice: Peer training could provide an effective method of developing supervisory skills within thefront line workforce, at the same time recognising and maximising the skills ofexperienced staff. Supervisors sit in on senior management meetings to witness how they work;how results are reviewed and decisions made.Linkages with other Indicators:6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.2.1 All employees have training plans and records.6.2.5 Assignment specific training/induction/information is given.7.1.2 Leaders are involved in the development and implementation of all policies andprocedures.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.143The contents of this publication are copyright ©2013 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.

Requirements change for 2013Good practice added for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to anagreed standard.6.2.4 The organisation ensures that minimum competence of employees is maintained.Required Achievement LevelUpon recruitment of frontlinelicensable employees, theorganisation conducts a skillsassessment to identify theirimmediate training needs.Where new frontlinelicensable employees areemployed with a pre-existinglicence- linked qualification,the organisation tests theemployee’s competence inthe licence linked training.All aspects of the previouscolumn plus:The organisation tests frontlinelicensable employee’sknowledge of the relevantlicence- linked training at leastannually.All aspects of the previouscolumn plus:The organisation ensuresthat refresher training on thelicence linked qualification isgiven to frontline staff atleast annually.All aspects of the previouscolumn plus:All relevant managers haveundertaken licence linkedtraining (or equivalent) in atleast one sector or arecognised securitymanagement qualification.All aspects of theprevious column plus:The organisation contributesto the development of thecore competencies/nationaloccupational standards forthe licensable sectors withinwhich it operates.144The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreedstandard.6.2.4 The organisation ensures that minimum competence of employees is maintained.Clarification:NB by "licence-linked qualification" here, we mean the minimum qualificationneeded to achieve the competencey requirement of the approporiate SIAlicence.It is important that the basic competence of all staff is tested beforedeployment. In some cases, licence-linked qualifications may be manyyears old and employees may have done no refresher training.Likewise, new licence holders may have recently completed thetraining, but not yet implemented it in a real environment.This indicator may be particularly relevant for staff working as securityguards with a door supervisor licence.Testing of competence and skills assessment may take place through:• Targeted questioning, such as scenario posing, at interview• Completion of a questionnaire at recruitment• Completion of a test or exam before deployment for examplecompleting an incident reportInformation on the specifications for licence-linked training can befound here: www.sia.homeoffice.gov.uk/Pages/trainingspecifications.aspxThese can be used by organisations to help designthe appropriate method of testing.For staff who are used infrequently (e.g. casual or events staff) a moreflexible approach can be adopted, for example, through risk assessmentby event or deployment.Good practice:A specific licence-linked refresher training module which can be used by newstarters and existing employees.Online refresher training package, which employees can work through in theirown time.Managers complete licence linked qualifications or recognised securitymanagement qualifications such as:Degree/Foundation degree in Security Management, Risk Management,Crowd Management, TerrorismDiploma in Security ManagementCertificate in Security ManagementNVQ in Security Operations/ManagementInformation on security management qualifications can be found at Skills forSecurity www.skillsforsecurity.org.uk and the Security Institute www.securityinstitute.org.Linkages with other Indicators:6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.2.2 All employees are trained to the required standard.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.145The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.2.5 Assignment specific training/induction/information is given.Assignment specific information isgiven verbally.Assignment specific information isgiven verbally and is supported bydocumented assignmentinstructions.Required Achievement LevelAll aspects of the previouscolumn plus:Employees new to an assignmentlocation are kept under supervisionfor the appropriate duration oftheir on-assignment induction.Where shifts are worked thesupervision encompasses a numberof shifts.146The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreedstandard.6.2.5 Assignment specific training/induction/information is given.Clarification:“Assignment instructions” refers to any instructions given to an employee in order for themto be able to carry out their role on a given customer contract. For example, the CVITsector have ‘safe systems of work’, which all operatives are expected to abide by in allsituations.There may be some sectors such as CVIT where it is not possible to keep new employeesunder supervision. The assessor should be satisfied that the applicant organisation hasprocedures in place to ensure that in such cases the assignment is within the capabilities ofthe new employee and provision is made to discuss issues and concerns at the end of everyday.Ref: BS7960; BS7499; BS7984Linkages with other Indicators:2.1.1 Key service delivery processes have been identified and are understood by all.2.4.4 All procedures are regularly reviewed.2.3.1 The organisation understands its customers’ requirements.2.3.3 The management of contractual arrangements with the customer has been defined andimplemented.5.1.1 Information key to the business has been identified and is produced and delivered in aneffective and timely manner to relevant employees and other stakeholders.5.1.2 Relevant versions of applicable documents are available at the point of use.6.2.2 All employees are trained to the required standard.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.147The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to anagreed standard.6.2.6 Customer feedback is obtained for individuals working with clients.Required Achievement LevelCustomer feedback is acceptedwhen offered.All aspects of the previouscolumn plus:Customer comments onperformance are fed back to therelevant employees.All aspects of the previouscolumn plus:The feedback, both positive andnegative, is presented to theindividual in a timely manner.Where necessary remedialaction/additional training isimplemented.All aspects of the previouscolumn plus:Customer feedback is activelysolicited for staff requiring an SIAfront-line licence.It is also included in the annualappraisal process.All aspects of theprevious column plus:Customer feedback is activelysolicited on all individuals whohave contact with customers andis presented to the individual in atimely manner.It is used to influence payreviews/bonuses and/or used toformulate training and successionplans.148The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreedstandard.6.2.6 Customer feedback is obtained for individuals working with clients.Clarification:It is possible within some sectors that the employee may have no contact with the customer,for example a Vehicle Immobiliser who visits a customer site without a customer office orreception area on site. If this is the case then this indicator would be ‘not applicable’ for thatemployee only. Other sites may allow contact and therefore should be considered as part ofthis indicator.If consumer feedback is obtained it should be handled as required by the ACS Standard forcustomer feedback.One of the key points in this indicator is the requirement to provide remedial training whenrequired to improve performance.Linkages with other Indicators:6.4.1 A process for the appraisal of employee performance is in place and is implemented.149The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.1 A holiday entitlement policy exists which is implemented and communicated.Required Achievement LevelThere is a holiday policy thatentitles all employees to thestatutory minimum.Employees who join within theholiday year or who work parttimeare entitled to the sameholiday entitlement pro-rata.All aspects of the previouscolumn plus:Employees are encouraged to usetheir full entitlement.All aspects of the previouscolumn plus:Employees are entitled to paid leaveor enhanced payment in lieu ofleave for public holidays that arenot included as part of the annualentitlement.All aspects of the previouscolumn plus:Leave entitlement is monitored andemployees are told of theirremaining entitlement. A carry overpolicy exists and is communicatedto employees.Statutory definitions are used tocalculate pro-rata payments.Holiday entitlement exceedsstatutory minimum.150The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.1 A holiday entitlement policy exists which is implemented and communicated.Clarification:The ACS Standard requires the applicant organisation to encourage employees to take theirfull entitlement.Good practiceEmployees are given a duty roster 3-6 months in advance to help staff maintain a work lifebalance.More info at:Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opinion gathering.Directgov.co.ukwww.direct.gov.uk/en/Employment/Employees/Timeoffandholidays/index.htm151The contents of this publication are copyright ©2013 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.

Requirements change for 2013Good practice change for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.3.2 A pensions policy exists which is implemented and communicated.Required Achievement LevelThere is no workplace pensionscheme in place and theorganisation is unaware of itsresponsibilities under autoenrolment.The organisation offers aworkplace pension scheme(stakeholder or companypension) AND/OR is aware ofand preparing for autoenrolment.Employees are encouraged toseek advice relating to howmembership of the schemeand/or auto-enrolmentcorrelates with the level ofstate pension.All aspects of the previouscolumn plus:Where not currently requiredto auto-enrol, the organisationis continuing to provide aworkplace pension scheme(company or stakeholder) inadvance of their staging datefor auto-enrolment.The organisation facilitates theavailability of expert advice relatingto pension arrangements.All aspects of the previouscolumn plus:There is a workplace pensionscheme in place to which theemployer contributes, at leastmatching employee contributions. Itis open to all employees.All aspects of theprevious column plus:The employer provides a definedbenefit occupational pensionscheme open to all employees.152The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.2 A pensions policy exists which is implemented and communicated.Clarification:The ACS Standard requires organisations to take some responsibility for ensuring theiremployees are aware of the risks of not providing for their retirement. Recent pensionsreform means that companies are no longer required to provide a stakeholderpension scheme. However organisations should be able to demonstrate that theyare aware of, preparing for and communicating with their staff about autoenrolment.Further information on the statutory requirements relating to the provision of pensionsincluding auto-enrolment can be found at www.gov.uk/workplacepensionsThe Pensions Advisory Service www.pensionsadvisoryservice.org.uk/ or the regulatorwww.thepensionsregulator.gov.uk both provide free and impartial advice, including lotsof information about auto-enrolment.Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.Good practice: Some organisations invite a financial or pensions advisor to offer help to staff. Annual reminders sent out with wage slips can be a useful reminder for staff to reconsidertheir pension provision. Contributory pension schemes can encourage staff to join the company scheme.153The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.3 A health and safety policy and supporting procedures exist and are implemented.Required Achievement LevelThere is a health and safety policyin place.All aspects of the previouscolumn plus:All aspects of the previouscolumn plus:All aspects of the previouscolumn plus:All aspects of theprevious column plus:The policy meets minimum legalrequirements.It is displayed at all locations and isimplemented.All employees are given health andsafety training as part of theirinduction when joining theorganisation.Procedures are in place toconfirm the safety of employeeswhilst working at a customer site.Lessons learned from the review ofincidents lead to changes inpractice.All employees are given health andsafety training on a regular basis toreinforce the message.Specific and refresher training isgiven to employees when changingsites.There are procedures for dealingwith workplace violence/violentincidents.There is a health and safety policyin place that goes beyond minimumlegal requirements.It is fully implemented withsupporting procedures.Performance reporting goes beyondminimum legal requirements.Performance against all health andsafety measures is regularly andfrequently monitored and reviewed.Additional health and safetyawareness courses are regularlyundertaken by all employees.The policy is recognised as bestpractice within the industry. Theorganisation is a member of anappropriate recognised scheme,for example:• Safe Contractor• RoSPA• British Safety Council• Community SafetyAccreditation Scheme154The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.3 A health and safety policy and supporting procedures exist and are implemented.Clarification:There is a statutory requirement for all organisations with five or more employees to have ahealth and safety policy and supporting procedures to ensure the safety of employees atwork. The ACS Standard requires organisations to consider the risks to employees atcustomer sites and venues.At customer sites, staff must be trained in line with the customer’s Health & Safety policy andprocedures.Risk assessments should be regularly reviewed.Staff carrying out risk assessments should be appropriately trained.Organisations should particularly consider lone worker policy and practice.The ACS standard requires organisations to have specific policies that deal with workplaceviolence/violent incidents.Ref: BS7958; BS7499; BS7984Good practice: Accreditation to the Safe Contractor Scheme which ensures correct advice andtraining is given to all employees along with other requirements such as conductingrelevant risk assessments. Risk assessments are ideally ‘point of use’ documents and should be readily available forstaff to refer to at their place of work. Organisations might use scoring mechanisms to prioritise risks. For further information refer to organisations like: HSE, ROSPA, and British SafetyCouncil. Days lost due to incidents are monitored. Each employee completes an annual Health & Safety questionnaire.Linkages with other Indicators:2.4.4 All procedures are regularly reviewed.5.2.3 Control rooms/response rooms are designed, fitted and equipped in a mannerappropriate to purpose.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework,common law, working practice, and industry standards/codes of practice.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.9.5.1 The regular review of performance against internal and external environmental/societal/ health and safety performance indicators.155The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.4 An approach to provision of welfare and benefits is in place.Required Achievement LevelThe welfare and benefits offeredby the organisation meet the legalrequirements.All aspects of the previouscolumn plus:Appropriate uniforms are suppliedand the organisation ensures theyare cleaned and renewed.Necessary Personal ProtectiveEquipment (PPE) is provided freeof charge.All employees are made aware ofthe welfare and other benefitspackage.All employees have regular contactwith a supervisor or manager whocan address any welfare concerns.All aspects of the previouscolumn plus:The welfare and benefits offered bythe organisation exceed the legalrequirements and include suchthings as: compassionate leavearrangements self certification for periods ofsickness up to seven days payment of training required toobtain an SIA licence days spent on the trainingrequired for an SIA licence arepaidAll aspects of the previouscolumn plus:The welfare and benefits packagealso includes: payment of the SIA licenceapplication fee personal accident cover sufficient legal cover counselling service from trainedprofessionals after sufferingtrauma.156The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements.6.3.4 An approach to provision of welfare and benefits is in place.Clarification:The welfare of employees and the benefits provided by employers will be key to making theSecurity Industry a career of choice and to retention of employees. The welfarearrangements and the benefits provided should be comparable in range to competitors inboth the industry and the local market place.Regardless of the size of applicant organisation the working conditions should encouragerecruitment into the industry and loyalty from employees.Further information on the Personal Protective Equipment (PPE) can be found at:www.hse.gov.uk/pubns/indg174.pdfRef: BS7499; BS7984; BS7958; BS7872Note: The examples given in the SAW are not definitive. Other examples of welfare andbenefits should be considered.Good practice: Some organisations might offer bonuses to recognise effective performance. Howeverorganisations need to ensure that the process is fair and transparent. Some organisations transport staff paid at the minimum wage to and from work. Some organisations provide free accommodation to staff undertakingsignificant travel to work as distant sites. Additional support offered on the business premises for employees who donot have English as their first language. Confidential Employee Assistance Programme (EAP) that is operated by anexternal professional agency.157The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.4 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves.6.4.1 A process for the appraisal of employee performance is in place and is implemented.Required Achievement LevelOccasional discussions onemployee performance take place.All aspects of the previouscolumn plus:All aspects of the previouscolumn plus:All aspects of the previouscolumn plus:All aspects of theprevious column plus:Training and development needsare agreed and implemented.All employees have at least anannual discussion with a supervisoror manager about theirperformance.The discussion is based on theviews of their immediate supervisoror manager, and these views aresupported by appropriate evidenceThe discussions contain positivefeedback and are based on inputfrom the customer and colleagues.Training and development needsare agreed, recorded andimplemented.Interim discussions are held atleast six monthly with animmediate supervisor ormanager.All performance discussion istwo-way and is documented.The discussion is two-way and isbased on more than a simple ticklist.158The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.4 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves.6.4.1 A process for the appraisal of employee performance is in place and is implemented.Clarification:The term ‘Appraisal’ does not necessarily mean a formal appraisal system. However all staffshould have a personal discussion, at least annually, with their supervisor or manager abouttheir performance. The discussion should be specifically about performance and theemployee should be made aware of the purpose.It should also be fair, two-way and focus not only on past performance but also on futureneeds to improve performance. The format of the discussion should be appropriate to thesize of the applicant organisation and the needs of the employees. It should not be basedsolely on a tick-box site review (e.g. against assignment instructions).It is important that any such discussions are documented in some way to clarify and ensurecomplete understanding of the discussion and avoid any potential dispute.Good practice: All discussions would be documented and signed by the manager and the employee.Previous discussions would be used to form the basis of the current discussion so thatactions can be confirmed as being completed and improvements recognised. There should be a clear link between an individual’s objectives and the wider aims andobjectives of the organisation. This may simply be an understanding of the overalldirection of the organisation and the impact of their role, for example their performancemight influence whether or not a contract is renewed or extended.Linkages with other Indicators:6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.2.1 All employees have training plans and records.6.2.2 All employees are trained to the required standard.6.2.6 Customer feedback is obtained for all individuals working with clients.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.159The contents of this publication are copyright ©2013 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.

Good practice added for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.4 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves.6.4.2 Self learning and improvement is encouraged.Required Achievement LevelSelf learning and improvement arenot encouraged or supported.Employees are encouraged toundertake relevant/specialisttraining.Requests from employees aresupported where possible.All aspects of the previouscolumn plus:Recognised formal qualifications intheir chosen relevant disciplinesbased on national occupationalstandards are encouraged with allemployees.Employees are aware of theopportunities available to them.All aspects of the previouscolumn plus:Self learning and developmentoutside of their chosen relevantdisciplines are also encouraged.Assistance with learning activities isoffered. All aspects of the previouscolumn plus:Companies provide paid time offfor all job-related training.The organisation funds themembersip of professionalbodies and professionalcertification fees.160The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.4 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves.6.4.2 Self learning and improvement is encouraged.Clarification:The main focus of this indicator is the need to improve the skills and competencies withinthe industry. Applicant organisations should demonstrate how they encourage employees toundertake additional/specialist training and the achievement of formal qualifications.Ref: BS7958; BS7499; BS7984Where organisations tend to focus on individuals training needs the following links provideuseful information www.skillsforsecurity.org.uk or The Security Institute:www.security-institute.orgGood practice: Access to e-learning. Building links with local training providers, and exploring potential funding opportunities. Assistance with basic skills The organisation funds the membership of relevant professional bodies andprofessional certification fees such as membership of the Security Institute,Institute of Risk Management, Chartered Security Professional Status, CIPD,ILM, IPSA, ASIS, Institute of Directors, EPIC (Ex-police in Industry andCommerce) etc.Linkages with other Indicators:6.2.1 All employees have training plans and records.6.4.1 A process for the appraisal of employee performance is in place and is implemented.161The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.4 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves.6.4.3 The organisation develops employees especially those with leadership potential.Required Achievement LevelThere are procedures in place toassist in the development ofemployees. All aspects of the previouscolumn plus:Employees who want to develop orwho demonstrate leadershippotential are identified.All aspects of the previouscolumn plus:Employees with potential and whowant to develop are identified andgiven special opportunities to learnabout the business from a variety ofpositions. All aspects of the previouscolumn plus:Employees with potential who wantto progress are provided withopportunities for appropriatedevelopment.Employees with leadership potentialare mentored and developed bytheir immediate supervisor/manager. All aspects of the previouscolumn plus:An implemented succession planthat is reviewed at least annually.Employees with leadershippotential are mentored anddeveloped by the seniormanagement team.Special provisions are made interms of training andrecompense to encourageemployees to stay with theorganisation and take greaterresponsibility.162The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.4 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves.6.4.3 The organisation develops employees especially those with leadership potential.Clarification:This may be achieved on an informal basis or, in the case of some larger organisations, on amore formal basis. However informal, the procedures must address the ACS Standardrequirements. Informal procedures will be tested through discussions with employees.The existence of procedures does not necessarily mean that employees wish to takeopportunities presented to them. The applicant organisation should demonstrate thatparticipation would be encouraged if an employee shows the desire.It is possible that smaller organisations feel they do not have the opportunity to implementsuch developmental procedures as they can not support more positions of responsibility.Such organisations should recognise the needs of the employees and make such provision asis possible recognising that the employee may leave once additional skills and competencieshave been developed.Good practice: Succession planning. Peer training. Mentors. Publicising internal promotions and successes. Project work and/or secondments. Multi-skilling for staff with potential.Linkages with other Indicators:6.1.2 Defined employee training, development and improvement policy and procedures arein place, implemented and communicated.6.4.1 A process for the appraisal of employee performance is in place and is implemented.6.4.2 Self learning and improvement is encouraged.163The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.5 An SIA Approved Contractor can demonstrate that it meets the requirements of the Working Time Directive.6.5.1 The organisation adheres to the Working Time Directive.Required Achievement LevelThe organisation works within thelegal requirements of the WorkingTime Directive.Employees are not put underpressure to opt out of therestrictions before theemployment contract is signed.All aspects of the previouscolumn plus:Discussions take place whereappropriate with customers toencourage shorter shift patterns.All aspects of the previouscolumn plus:The organisation exceeds the legalrequirement of the Working TimeDirective through having nocontracts that require 56 or 60hour shift patterns.All aspects of the previouscolumn plus:The organisation exceeds the legalrequirement of the Working TimeDirective through the utilisation ofthe 48 hour week.Shift patterns and the number ofhours worked are appropriate toprotect the health and safety andensure the effectiveness ofemployees.164The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.5 An SIA Approved Contractor can demonstrate that it meets the requirements of the Working Time Directive.6.5.1 The organisation adheres to the Working Time Directive.Clarification:There is a statutory requirement to work in accordance with the Working Time Directive.Further information is available from www.bis.gov.uk, www.businesslink.gov.uk orwww.eubusiness.comRegular review of shift patterns, and regular risk assessments to ensure safe practice.Routine monitoring of hours worked for each individual, including work undertaken forother employers.Ref: BS7958Good practice: Proactive education of customers on the benefits of reduced working hours, e.g.contracts delivered by more staff on less hours but at an enhanced hourly rate.Linkages with other Indicators:2.3.3 The management of contractual arrangements with the customer has been defined andimplemented.3.2.2 An approach to responding to tender/request for services exists and is implemented.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.165The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 6Criteria 6 – People6.5 An SIA Approved Contractor can demonstrate that it meets the requirements of the Working Time Directive.6.5.2 The legislation on the national minimum wage is implemented.Required Achievement LevelThe national minimum wage isadhered to.The national minimum wage isadhered to or exceeded, for basictake home pay.Overtime payments are notincluded in the calculation. They areover and above basic take homepay.All aspects of the previouscolumn plus:Employees are paid equitablythroughout the organisationaccording to their job role andresponsibilities. All aspects of the previouscolumn plus:The company benchmarks its wagerate for frontline staff againstcomparable sectors/firms. All aspects of the previouscolumn plus:Financial records demonstratetransparency on howoverheads are built into thecharge rate and how wagerates and payment arestructured.166The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 66.5 An SIA Approved Contractor can demonstrate that it meets the requirements of the Working Time Directive.6.5.2 The legislation on the national minimum wage is implemented.Clarification:The ACS Standard requires organisations to pay, at least, the national minimum wageexcluding overtime payments. This should apply regardless of their assumed employmentstatus (employed, self employed, temporary, part time etc)Exceptional circumstances might be where an individual, possible the MD of a subcontractcompany, deliberately invoices for a payment which equates to an hourly rate below theNMW for a particular reason. This might be to do with other contracts already in place withthe same provider, where the security provision is an ‘added extra’, providing added value toan existing arrangement.Test:Examine employee records and trace a selection of employees through the payroll system.Linkages with other Indicators:7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.9.3.1 The regular review of performance against key employee performance indicators.9.4.1 The regular review of performance against responses from employee opiniongathering.167The contents of this publication are copyright ©2013 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.

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ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – LeadershipAn SIA approved contractor has effective leadership.Note:1. Examples of the types of evidence the assessor may consider sufficient tomeet the ACS Standard are given wherever possible. As verification visits areconducted additional examples will be added through input of the assessorCommunity of Interest. This also applies to the examples of Good Practicecontained in this section. Should an assessor have difficulty in determiningwhether evidence presented by an applicant meets the ACS Standard theyshould contact the SIA ACS Team.169The contents of this publication are copyright ©2013 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.

Good practice added for 2013ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework, working practices and industry standards/codes of practice.Required Achievement LevelLeaders have some knowledge ofthe legislative framework, workingpractice and industrystandards/codes of practice forthe sector.Leaders have an appropriateknowledge of the legislativeframework, working practice andindustry standards/codes of practicefor their sector and role within theorganisation.They can apply this knowledge totheir organisation.All aspects of the previouscolumn plus:They actively seek information oradvice to ensure they are workingto the most current and up to datelegislation, , working practice andindustry standards and/or codes ofpractice for the sector.All aspects of the previouscolumn plus:The senior leaders of theorganisation are involved in thereview and update of workingpractices and industrystandards/code of practice for theirsector.All aspects of theprevious column plus:The senior leaders of theorganisation have arecognised qualification in arelevant discipline.170The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.1 Leaders can demonstrate, relevant to sector, knowledge of the legislative framework, working practices and industry standards/codes of practice.Please refer to the Glossary in section 5, for a definition of: LeaderClarification:It would be expected that, through appropriate questioning, the assessor should establishthat the leaders of the applicant organisation have an outline knowledge, at a minimum, of thelegislative framework, common law, working practice and industry standards/codes ofpractice.It is acceptable for applicant organisations to outsource the procurement of this informationto specialist organisations. This is ‘delegation’ not ‘abdication’ and the leaders have a duty toensure they understand and apply the requirements where necessary.Ref: BS7858; BS7958Test: Where there is a hierarchical management structure a representative sample of leaders atall levels should be interviewed. Familiarity with SIA developments and PSIA requirements should be tested. Does the company attend ACS forums?Good practice:Leaders use various sources of information such as Business Link, BIS, ILM, and BSI updatesetc to keep abreast of current and future developments in their sectors.The senior leaders of the organisation have a recognised qualification in arelevant discipline, for example: Degree/foundation degree in Security Management, Crowd Management,Terrorism, Risk Management, Policing Certificate or Diploma in Security Management Finance or HR qualification MBA or Business Management qualification NVQ/BTEC in discipline relevant to business e.g. customer service, security Qualifications achieved during service with Armed Forces and/or policeLinkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.171The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.2 Leaders are involved in the development and implementation of relevant policies and procedures.Required Achievement LevelLeaders are involved in thedevelopment of policies andprocedures.All aspects of the previouscolumn plus:Leaders review policies andprocedures in an ad-hoc manner,usually when problems haveoccurred.All aspects of the previouscolumn plus:Leaders are actively involved inensuring they are implemented inthe relevant parts of theorganisation.All aspects of the previouscolumn plus:Leaders continue to be involved inthe regular review of policies andprocedures to ensure they remainrelevant to the business andeffectively implemented.172The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.2 Leaders are involved in the development and implementation of relevant policies and procedures.Clarification:There is a clear link in this Indicator to the Plan Do Check Act (PDCA) cycle. The ACSStandard is looking for leader involvement in the development of the policies and proceduresthat form the basis of the way the company operates. Leaders are expected to act when anissue or complaint arises, not only to respond to the complaint but also to look at andamend what, in the policies and procedures, contributed to the issue or complaint. Theleaders also need to ensure that the amendments are implemented.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.Good practice:Leaders ensure that emergency and contingency procedures are regularly tested.Leaders involved in the regular review of the policies and procedures to ensure that theycontinue to be relevant to the business and compliant to legislation.Examples could include: changes to procedures after an incident changes to procedures following an ISO9001or British Standards assessment/audit development of policies and procedures following changes in employment law communication of importance of adhering to procedures development of back up and safety proceduresRef: ISO9001; BS7958173The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.3 Managers and directors responsible for processes and key personnel can demonstrate an understanding of procedures.Required Achievement LevelThe understanding of theorganisation’s procedures by themanagers and directorsresponsible for processes and keypersonnel is incomplete.The managers and directorsresponsible for processes and keypersonnel understand some of theprocedures within their sphere ofresponsibility.All managers and directorsresponsible for processes and keypersonnel understand all of theprocedures within their sphere ofresponsibility.They actively ensure they are fullyimplemented.All managers and directorsresponsible for processes and keypersonnel understand the linksbetween the procedures and howthey work together to deliver theplans for the business.They actively ensure they are fullyimplemented in a manner reflectingthe organisations values.174The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.3 Managers and directors responsible for processes and key personnel can demonstrate an understanding of procedures.Clarification:The assessor should be looking for evidence that the leaders understand what should be andwhat is happening within their organisation. Where the two differ there should be evidencethat action is being taken to ensure correct procedures are implemented.Ref: ISO9001;BS7958; BS7499Good practice: Leaders participate in company training and induction. Leaders take ownership of specific procedures and/or processes. Leaders are trained on sites as cover Leaders are frontline licensedLinkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.175The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.1.4 Leaders review key results and ensure that improvements are planned and implemented.Required Achievement LevelLeaders review key results in anad-hoc manner.Leaders are involved in the reviewof key performance results.Leaders are involved in the reviewof performance in their own area ofresponsibility.All aspects of the previouscolumn plus:Leaders are actively involved in thecreation and implementation ofimprovement plans within theirown area of responsibility.All leaders are regularly involved inthe review of key performanceresults.These reviews lead to theidentification and prioritisation ofimprovement plans.All leaders are actively involved inensuring that improvement plansare implemented.176The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front.7.1.4 Leaders review key results and ensure that improvements are planned and implemented.Clarification:Closely linked with 7.1.2 and 7.13 this indicator is closing the loop by requiring the leaders toreview performance results and to take action, where appropriate, to improve performance.Ref: ISO9001Examples could include Leaders review performance regularly against targets. Shortfalls are addressed. Improvements in performance are recognised by leaders.Good practice: Leaders are directly involved in actions to address shortfalls in performance.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.177The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.2 An SIA Approved Contractor can demonstrate that the leaders review and improve the effectiveness of their leadership skills.7.2.1 Leaders consult stakeholders on their leadership skills and have personal development plans based on the feedback.Required Achievement LevelFeedback from customers andemployees on leadership skillsis noted.Feedback from customers andemployees on leadership skills isacted upon when it is received.Leaders regularly seek feedbackfrom customers and employees ontheir strengths and developmentopportunities in the area ofleadership.The areas for improvement arenoted and actions are taken tochange behaviour.All aspects of the previouscolumn plus:Improvement plans exist to addressdevelopment opportunities.Improvement plans detail specificactions to be taken within agreedtimescales.All aspects of theprevious column plus:All leaders also regularly seekfeedback on their leadershipstrengths and developmentopportunities from otherstakeholders such as consumers,police and other authorities.The feedback is reviewed andimprovement plans are createdto address the developmentopportunities.Improvement plans aremonitored for progress.178The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.2 An SIA Approved Contractor can demonstrate that the leaders review and improve the effectiveness of their leadership skills.7.2.1 Leaders consult stakeholders on their leadership skills and have personal development plans based on the feedback.Please refer to the Glossary in section 5, for a definition of: ApproachExamples could include: Leaders have an “open door” policy within their organisationClarification:For many of the applicant organisations this is a new area of consideration. Obtainingfeedback on leadership style is likely to be conducted on an informal basis rather thanthrough a mechanism such as ‘360 degree feedback’. In some organisations feedback fromemployees on leadership skills within may be undertaken on a more formal basis.Whichever approach is used it must be applied to all leaders within the organisation andsought from all employees.There must be evidence that feedback from employees is obtained, how it is obtained, andhow it is acted upon to drive improvements in behaviour and management style.There may be few examples where feedback from customers has been received. Theassessor should encourage applicant organisations to consider making a request for this typeof feedback as part of discussions with clients on an annual basis.Good practice: Leadership is addressed specifically within employee and customer feedback mechanisms. Other feedback from customers is gathered through means such as the tenderingprocess, contract review, informal discussion. Feedback is used for leader’s personal development plans. CEO’s have personal development plans.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.179The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.3 An SIA Approved Contractor can demonstrate that the leaders develop a culture of openness.7.3.1 Leaders have developed a set of high values or codes of ethics that are implemented throughout the organisation.Required Achievement LevelLeaders have not developed a setof values or a code of ethics bywhich the organisation is managedand led.Leaders have developed a set ofvalues or a code of ethics that guidebehaviour on such things as: confidential reporting of issues,non-compliance with procedures,service delivery failures andlegislation, regulation and policyinfringements intolerance of bullying andharassment of employees respectful treatment ofemployees ethical dealings with customersand consumersAll aspects of the previouscolumn plus:These are known by all employeesand are implemented throughoutthe organisation.Procedures are in place to takeaction against individuals who donot work within the values or codeof ethics.All aspects of the previouscolumn plus:Employees would agree that leadersact as role models for the values orcode of ethics.All aspects of theprevious column plus:Leaders take an effective role inpromoting a set of values orcodes of ethics within theindustry.180The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.3 An SIA Approved Contractor can demonstrate that the leaders develop a culture of openness.7.3.1 Leaders have developed a set of high values or codes of ethics that are implemented throughout the organisation.Clarification:The key point within this Indicator is how the organisation ensures the implementation of thevalues or code of ethics throughout the organisation.It is easy to develop values and a code of ethics but it is harder to ensure that they areadhered to throughout the organisation. The Assessor should examine how the organisationensures compliance and what action is taken where non compliance is identified.Examples could include: leaders proactively monitor the implementation of the company’s values. Recognising when individuals behave according to values. Taking disciplinary action when individuals do not behave according to values. ‘fear free’ internal whistle blowing procedures. communicating the values/or code of ethics to all employees and customers.Test:With the leaders – check how the values or codes of ethics were developed.With employees – customers and others check how well they are implemented.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.Good practice: Employees are asked for their feedback on how well leaders act as role models as part ofthe review of leadership skills. Employees are assessed against company values as part of the appraisal process.181The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.4 An SIA Approved Contractor can demonstrate that the leaders develop and implement an effective management system that continually improves theorganisation and its performance.7.4.1 Leaders are involved in improvement activity.Required Achievement LevelLeaders cannot demonstrate thatthey are involved in improvementactivity.Leaders are involved inimprovement activity in an ad-hocmanner.Leaders are routinely involved inimprovement activity.Leaders can provide examples ofimprovements they have beeninvolved with. All aspects of the previouscolumn plus:Leaders’ involvement delivers addedvalue to the improvement.182The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.4 An SIA Approved Contractor can demonstrate that the leaders develop and implement an effective management system that continually improves theorganisation and its performance.7.4.1 Leaders are involved in improvement activity.Clarification:Leaders are required to be actively involved in any improvement activity within the applicantorganisation. Evidence of where leaders have been involved in improving service deliveryeither to a particular customer or to the organisation as a whole should be available.Evidence of this involvement must be presented to the assessor.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.Examples could include: being open to and acting on employee suggestions and feedbackGood practice: Employee suggestion box Improvement suggestions are rewarded with bonus/gifts etc Leaders are involved in external improvement activity such as work with emergencyplanning, community safety and police work Setting up information and consultation working groups183The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.4.2 Leaders encourage employee participation in improvement activity.Required Achievement LevelLeaders cannot demonstrate thatthey encourage employeeparticipation in improvementactivity.Leaders encourage employeeparticipation in improvementactivity in an ad-hoc manner.Leaders routinely encourageemployee participation inimprovement activity and consideremployee suggestions and ideas forimprovement in service delivery.There are examples ofimprovements in service delivery asa result of employee involvement. All aspects of the previouscolumn plus:Leaders offer support and guidanceduring improvement activity. All aspects of theprevious column plus:Leaders can evidence that lessonslearnt during improvementactivities are shared across theorganisation as appropriate.184The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.4 An SIA Approved Contractor can demonstrate that the leaders develop and implement an effective management system that continually improves theorganisation and its performance.7.4.2 Leaders encourage employee participation in improvement activity.Clarification:Employee participation in improvement activity helps both in the development of theemployee and adding interest to the role. In addition employee participation helps to add a‘practical application’ to any proposed improvements.Evidence of where employees have been involved in improving service delivery either to aparticular customer or to the organisation as a whole should be viewed by the assessor.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.Examples could include: being open to and acting on employee suggestions and feedbackGood practice: Employee suggestion box. Improvement suggestions are rewarded with bonus/gifts etc. Leaders are involved in external improvement activity such as work with emergencyplanning, community safety and police work. Appointment of Training Champions and ‘Best Practice Sharing’ sessions toensure new initiatives are effectively publicised185The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 7Criteria 7 – Leadership7.4.3 Leaders recognise individual and team efforts.Required Achievement LevelLeaders cannot demonstrate thatthey recognise individual and teamefforts.Leaders recognise individual andteam efforts in an ad-hoc manner.There are processes in place torecognise individual and teamefforts.There are examples of recognitionof individual and team efforts. All aspects of the previouscolumn plus:The leaders actively ensure that theprocedures are fully implemented. All aspects of theprevious column plus:Leaders publicise staffrecognition within theorganisation and externalstakeholders.186The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 77.4 An SIA Approved Contractor can demonstrate that the leaders develop and implement an effective management system that continually improves theorganisation and its performance.7.4.3 Leaders recognise individual and team efforts.Clarification:Recognition of staff does not necessarily have to be in terms of financial reward. Other formsof recognition may be regarded as effective motivation.The type and level of recognition will be dependent on the size of the applicant organisation.For example it is easier for the ‘top man’ of a small applicant organisation to recogniseindividuals than that of a larger applicant organisation.Where recognition is on an informal basis (verbal and/or individual basis) it is important forthat the applicant organisation can evidence deployment throughout the organisation.Organisations must be able to provide examples to the assessor of where individual and/orteam performance has been recognised.Linkages with other Indicators:Leadership links to all other criteria within the ACS Standard. Without the direction of theleaders an organisation would not have policies and procedures in place to achieve therequirements of the ACS Standard.Examples could include: employee of the month; awards also for Outstanding Improvement, Best NewStarter, Long Service Award, and Best Turned out Employee verbal praise during discussions or visits to customer sites. letters of commendation detail in staff newsletters bonus schemes or vouchersGood practice: Customer of the year letters of praise from customers are published within the company,Christmas parties/gifts. Birthday cards for staff. Long term service awards. Employee of theyear award/dinner. Free company shares awarded; long service awards.187The contents of this publication are copyright ©2013 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.

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ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 8Criteria 8 – Corporate Social ResponsibilityAn SIA approved contractor recognises and acts on its corporate socialresponsibility.General:CSR is about how business takes account of its economic, social andenvironmental impacts in the way it operates-maximising the benefits andminimising the downsides.Responsible business should be at the core of a company’s strategy, not just abolt-on to operations- implementing initiatives to improve their positive impactnot just minimising their negative impact.Stakeholder relationships are key to CSR. For example- is the value ofstakeholder relationships clearly understood by your organisation? Doesstakeholder engagement take place at both strategic and site level?All applicant organisations should be compliant with legislation on Health andSafety and Environmental issue.Actions taken should be linked with enhancing the perception of the generalpublic of the Security Industry, working with the police to develop their role inthe wider police family and the protection of the public, .Please refer to section 5 – Glossary, if required, for a definition of CorporateSocial Responsibility189The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 8 – Corporate Social ResponsibilityAn SIA Approved Contractor recognises and acts on its corporate social responsibility.8.1 An SIA Approved Contractor can demonstrate that it actively manages the impact of its services on society.8.1.1 There is a policy relating to corporate social responsibility which is communicated and implemented.Required Achievement LevelThe organisation has notconsidered its responsibility tosociety as a whole.The organisation is aware of itsresponsibilities to society.There are some examples ofactions taken that are consistentwith these responsibilities.The organisation is aware of itsresponsibilities to society and takesa positive stance to ensureownership.Employees are aware of theirresponsibilities and act accordingly.Steps have been taken to makecustomers aware of theorganisation’s positive stance on itsresponsibilities to society.A policy relating to corporate socialresponsibility exists.The policy outlines theorganisation’s positive stance onenvironmental and social issues anddirectly addresses protection of thepublic.It is communicated to all employeesand customers. All aspects of theprevious column plus:The policy covers a widespectrum of activity, including anenvironmental policy statement.It is fully implemented.190The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 98.1 An SIA Approved Contractor can demonstrate that it actively manages the impact of its services on society.8.1.1 There is a policy relating to corporate social responsibility policy which is communicated and implemented.Please refer to the Glossary in section 5, for a definition of:Corporate Social ResponsibilityClarification:The ACS Standard does not require the applicant organisation to have a written CorporateSocial Responsibility Policy.Taking steps to make customers aware could include a CSR comment or statement on theorganisation’s web site or in promotional literature. In a small organisation it could simply bereference to CSR in client discussions.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.3.2 There is an awareness of the impact of service delivery on consumers at all levels ofthe organisation.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.Examples could include: awareness throughout the organisation of the role the organisation plays in ‘keepingpeople safe’, for example Door Supervisors removing weapons from individuals andhanding them over to the police. consideration of activities the organisation could be doing, however small, to reduce theimpact of their work on the environment and community at large.Good practice: A written policy might help demonstrate the organisation’s commitments to CSR.Publicising this to all employees and customers would be a further enhancement. The policy could include ethical purchasing, and local recruitment.191The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 8 – Corporate Social Responsibility8.1 An SIA Approved Contractor can demonstrate that it actively manages the impact of its services on society.8.1.2 Activities to promote and improve the reputation of the private security industry with the local community and with customers are planned and implemented.Required Achievement LevelThe organisation has notconsidered its impact on thereputation of the Private SecurityIndustry.The organisation is aware of how itmay impact the reputation of thePrivate Security Industry.The organisation takesopportunities to enhance thereputation of the private securityindustry when appropriate. All aspects of the previouscolumn plus:Appropriate contact with the policeis maintained.Actions that may enhance thereputation of the Private SecurityIndustry are planned and linked tolocal activities and to customerinitiatives where appropriate. All aspects of the previouscolumn plus:The organisation actively workswith relevant organisations topromote protection of the publicwithin the local community.They actively encouragerecruitment by promoting a positiveimage of the private securityindustry through their actions. All aspects of theprevious column plus:The organisation has beenrecognised by relevantorganisations as a leader indeveloping the reputation of theprivate security industry.192The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 98.1 An SIA Approved Contractor can demonstrate that it actively manages the impact of its services on society.8.1.2 Activities to promote and improve the reputation of the private security industry with the local community and with customers are planned and implemented.Clarification:The reputation of the private security industry within the local communities and withcustomers is often damaged by a small number of individuals and companies. The focus ofthis Indicator is around applicant organisations taking positive action to improve/change thisreputation.Everyone within the organisation should recognise their responsibilities with respect to CSR,and be able to articulate the impact their work has on the local community and environment.The assessor should look for evidence that the whole organisations is aware of the activitiesof the organisation and their responsibility to participate.Most security organisations will come into contact with the police at some point- forexample in response to incidents. Assessors should judge whether organisations have theappropriate level of contact. For example larger companies may sit on ACPO consultationgroups. Smaller organisations may have more reactive relationships but could try to buildlinks via local community safety groups or beat officers. Door supervision companies maywish to liaise with their local police licensing officer. Some companies have built links throughattendance at police seminars such as Project Griffin or are approved police CommunitySafety Accreditation Scheme partners. Assessors should try and establish contact with apolice representative who knows the company, and talk to them as a stakeholder.Examples could include:Good practice:presenting a professional ‘image’ when dealing with customersbelonging to local enterprise groups such as the local business linkbehaviour when in contact with local communitysponsoring local sports teamsparticipating in /supporting local activitiestalks in local schools about the role of security industry A planned approach to CSR to ensure that activities fit with the organisations overall aimsand objectives. Active member of town centre groups aimed at reducing crime Open days to encourage local people to appreciate the role and potential impact of theorganisation Recruitment of people with special needs Free security services offered to local events Creation of a cross-organisation working group to consider “what do we do”,“what can we do” and “how do we achieve it” with regard to CSR.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.2.3.2 There is an awareness of the impact of service delivery on consumers at all levels ofthe organisation.7.3.1 Leaders have developed a set of high values or codes of ethics that are implementedthroughout the organisation.193The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 8 – Corporate Social Responsibility8.2 An SIA Approved Contractor can demonstrate that it manages waste and non renewable resources in a socially responsible way.8.2.1 The organisation considers its impact on the environment in service delivery and running the business.Required Achievement LevelThe organisation has notconsidered its impact on theenvironment.The organisation is aware of itsimpact on the environment and istaking steps where appropriate toreduce this impact.There is a policy relating to theorganisation’s environmentalimpact. It is included in theinduction of new staffSome aspects of performanceagainst the policy are monitored. All aspects of the previouscolumn plus:The environmental policy iscommunicated to employees andcustomers and included in tenderdocuments..All aspects of theprevious column plus:The environmental policy isintegrated into an organisationwide corporate socialresponsibility statement.It is fully implemented.Performance against the policy ismonitored.194The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 98.2 An SIA Approved Contractor can demonstrate that it manages waste and non renewable resources in a socially responsible way.8.2.1 The organisation considers its impact on the environment in service delivery and running the business.Clarification:Any actions taken to reduce the impact of service delivery on the environment need to beappropriate to the sector. For example CVIT vehicles are not designed to be environmentallyfriendly however there are actions that could be taken around maintenance and emissiontesting that could have an impact. However in some other sectors mobile patrols could bedone using more environmentally friendly modes of transport such as scooters instead ofcars.There should also be an awareness of what recycling is possible within their type of business.The assessor should look for evidence of activities undertaken in practice, rather than justwhat is written down in policies.Examples could include: safe disposal of batteries, computers, etc. recycling of paperwork. recycling printer cartridges. old computers given to the community. recycling of uniforms. use of alternate types of transport. Safer driving initiatives. Reductions in Utility usage e.g. electricity.Good practice: Ethical purchasing e.g. local purchasing Waste transfer notes to confirm correct disposal Tracking devices to monitor the speed of vehicles. Effective route planning to reduce impact on environment Keep petrol tanks less than 75% full Development of public transport policy Purchasing fair trade tea and coffee Conformance to ISO14001 Implemented “lights off” policy Dual Fuel operations vehicles which give instant reductions in greenhousegases, carbon footprint and are also exempt from the London congestioncharge.Linkages with other Indicators:1.3.1 A plan for the business exists with a clear review schedule.5.2.3 Control rooms/response rooms are designed, fitted and equipped in a mannerappropriate to purpose.5.2.5 Service enhancing technology is used to improve service delivery to customers andsafety for employees.195The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9This page intentionally left blank196The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – ResultsAn SIA approved contractor measures, understands and improves itsachievements in relation to all stakeholders and adopts a continualimprovement policy.General:The Results criterion focuses on how the applicant organisation knows that itsprocesses are delivering the desired outcomes. e.g. how effective are theseprocesses? Are processes achieving what the organisation wants them to achieve?How successful is the organisation?The assessor should encourage applicant organisations to develop and implementquantitative measures that support progress in improving or sustaining goodperformance and relationships. By doing this, periodic targets can be set andpositive trends demonstrated.Results include the targets that have been set, measurement against these targets,and benchmarks established.This applies to all applicant organisations, regardless of size and nature of thebusiness, although the actual measures used will vary. All measures identifiedshould be relevant to the needs and aspirations of the applicant organisation.It should always be possible to have quantifiable results, i.e. figures to demonstrateprogress over time against targets. Where this is not possible the assessor shouldsatisfy themselves that the applicant organisation can demonstrate non-quantifiedperformance.197The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – ResultsAn SIA Approved Contractor measures, understands and improves its achievements in relation to all stakeholders and adopts a continual improvement policy.9.1 An SIA Approved Contractor can demonstrate that it measures and improves performance against key customer and consumer indicators.9.1.1 The regular review of performance against service level agreements and/or key customer performance indicators.Required Achievement LevelPerformance against service levelagreements and key customerperformance indicators is notregularly reviewed.The number of measures is notsufficient to give a true picture ofperformance.Performance is reviewed on acontract by contract basis.Measures cover all key aspects ofthe services provided to customers.Reasons for shortfalls inperformance are understood.There are examples ofimprovements in performance.Performance against service levelagreements and key customerperformance indicators is regularlyreviewed.Measures cover all key aspects ofthe services provided to customers.The results show positive trendsand/or sustained good performancefor the period of time the measurehas been in place.Improved performance has takenplace in the areas targeted forimprovement.Reasons for shortfalls inperformance are understood.All aspects of the previouscolumn plus:All measures have targets. Theseare either met or the reasons forshortfalls in performance areunderstood and are beingaddressed.All aspects of theprevious column plus:Comparisons of performance aremade with relevant organisationsinside and/or outside of thesecurity industry.Performance comparesfavourably.External comparisons arerelevant for promoting learningand improvement.198The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.1 An SIA Approved Contractor can demonstrate that it measures and improves performance against key customer and consumer indicators.9.1.1 The regular review of performance against service level agreements and/or key customer performance indicators.Clarification:This is a results indicator where the applicant organisation can provide quantitative measuresrelating to service delivery. Measures should be in place to demonstrate how well theorganisation and employees deliver to customer requirements. Without quantitativemeasures in place the applicant organisation can not demonstrate positive trends and/orsustained good performance or improvements in performance.Test:Discussion with Managing Director and where applicable other management personnel suchas the Operational Director as to what measures are maintained and the outcomes achieved.Review of results provided.Examples could include: performance indicators within a service level agreement compliments and complaints duration of relationship customer retention new and lost business effective recommendationLinkages with other Indicators:1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.2.1.1 Key service delivery processes have been identified and are understood by all.2.4.2 Customer and consumer performance indicators and service level agreements havebeen established.3.3.2 A customer complaints procedure is in place and implemented.3.4.2 An approach to the management of consumer contact is in place and implemented.199The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – Results9.2 An SIA Approved Contractor can demonstrate that it measures and improves both customer and consumer perception of its organisation, its peopleand its services.9.2.1 The regular review of performance against responses from customer opinion gathering.Required Achievement LevelCustomer opinions are notregularly reviewed.Customer opinions are regularlyobtained and reviewed on acustomer by customer basis.Reasons for shortfalls inperformance are understood.Customer opinion has improvedfollowing changes made as a resultof feedback.Performance against customerperception measures is regularlyreviewed.Measures cover all aspects of theservices provided to customers.The results show positive trendsand/or sustained good performancefor the period of time the measurehas been in place.Reasons for shortfalls inperformance are understood.Improved performance has takenplace in the areas targeted forimprovement.All aspects of the previouscolumn plus:All measures have targets. Theseare either met or the reasons forshortfalls in performance areunderstood and are beingaddressed.All aspects of theprevious column plus:Comparisons of performance aremade with relevant organisationsinside and/or outside of thesecurity industry.Performance comparesfavourably.External comparisons arerelevant for promoting learningand improvement.200The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.2 An SIA Approved Contractor can demonstrate that it measures and improves both customer and consumer perception of its organisation, its people andits services.9.2.1 The regular review of performance against responses from customer opinion gathering.Clarification:Opinion gathering to deliver quantitative measures does not have to be a formal annualquality questionnaire; it can be as simple as a series of set questions to be discussed with allcustomers, with the results being consolidated, into percentages or numbers, for theorganisation.Some organisations will have sophisticated systems for doing this, whereas otherorganisations may gather information on an informal basis.Organisations should be able to provide examples of feedback from customers, including anindication of how the organisation has responded, and any action taken as a result.Test:Discussion with Managing Director and where applicable other management personnel suchas the Marketing Director and Operational Director as to what measures are maintained andthe outcomes achieved.Review of results provided.Examples could include their views on: capability and behaviour of employees value for money reliability responsiveness flexibility communication accessibility intention to renew contract willingness to recommendLinkages with other Indicators:2.3.1 The organisation understands its customer’s requirements.3.3.1 A process for ongoing customer site visits has been defined and implemented.3.4.1 Procedures are in place to handle consumer feedback and are implemented.201The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – Results9.3 An SIA Approved Contractor can demonstrate that it measures and improves performance against key employee indicators.9.3.1 The regular review of performance against key employee performance indicators.Required Achievement LevelEmployee performance measuresrelate to performance in servicedelivery.They are reviewed as and whendiscussions about performancetake place with the customer.All aspects of the previouscolumn plus:Additional measures cover all keyaspects of employee activity.Reasons for shortfalls inperformance are understood.There are some examples ofimprovements in performance.All aspects of the previouscolumn plus:Measures covering all aspects ofemployee activity are regularlyreviewed.The results show positive trendsand/or sustained good performancefor the period of time the measurehas been in place.Improved performance has takenplace in the areas targeted forimprovement.All aspects of the previouscolumn plus:All measures have targets. Theseare either met or the reasons forshortfalls in performance areunderstood and are beingaddressed.All aspects of theprevious column plus:Comparisons of performance aremade with relevant organisationsinside and/or outside of thesecurity industry.Performance comparesfavourably.External comparisons arerelevant for promoting learningand improvement.202The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.3 An SIA Approved Contractor can demonstrate that it measures and improves performance against key employee indicators.9.3.1 The regular review of performance against key employee performance indicators.Clarification:This Indicator is asking an organisation to demonstrate that they measure, review andimprove the way in which they manage their employees. It is looking for organisations tomonitor and measure items that appear in Criterion 6 PeopleTest:Discussion with Managing Director and where applicable other management personnelsuch as the HR Director as to what measures are maintained and the outcomes achieved.Review of results provided.Examples could include: average length of service levels of training and development involvement in improvements competency requirements versus competencies available success rates of training and development to meet objectives recognition of individuals and teams use of benefits absenteeism and sickness levels recruitment trends staff turnover number of SIA licensed employees accuracy of personnel administration communication effectiveness training evaluation appraisals conducted on timeLinkages with other Indicators:All of Criterion 6 People.203The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – Results9.4 An SIA Approved Contractor can demonstrate that it measures and improves employee perceptions of the organisation and their role within it.9.4.1 The review of performance against responses from employee opinion gathering.Required Achievement LevelEmployee opinions are gathered.Recording of opinions is notnormal practice but comments areacted upon when appropriate.Employee opinions are regularlyobtained and reviewed.Reasons for shortfalls inperformance are understood.Appropriate actions have beentaken on some issues raised byemployees.Performance against more formalemployee perception measures isregularly reviewed.Measures cover all aspects ofemployee activity.The results show positive trendsand/or sustained good performancefor the period of time the measurehas been in place.Reasons for shortfalls inperformance are understood.Improved performance has takenplace in the areas targeted forimprovement.All aspects of the previouscolumn plus:All measures have targets. Theseare either met or the reasons forshortfalls in performance areunderstood and are beingaddressed.All aspects of theprevious column plus:Comparisons of performance aremade with relevant organisationsinside and/or outside of thesecurity industry.Performance comparesfavourably.External comparisons arerelevant for promoting learningand improvement.204The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.4 An SIA Approved Contractor can demonstrate that it measures and improves employee perceptions of the organisation and their role within it.9.4.1 The review of performance against responses from employee opinion gathering.Clarification:Opinion gathering to deliver quantitative measures does not have to be a formalquestionnaire; it can be as simple as a series of set questions to be discussed periodicallywith all employees, with the results being consolidated, into percentages or numbers, forthe organisation.Some organisations will have sophisticated systems (e.g. Joining or exit interviews, culture orstaff surveys), for doing this, whereas other organisations may gathering information on aninformal basis.Organisations should be able to provide examples of feedback from employees, including anindication of how the organisation has responded, and any action taken as a result.Test:Discussion with Managing Director and where applicable other management personnel suchas the HR Director as to what measures are maintained and the outcomes achieved.Review of results provided.Good practice:Regular quarterly "Employee Engagement Meetings" to gather feedback fromemployees and ideas for improvement."Q and A" notice board where staff can post up questions and directors answerthem.Examples could include their views on: communication equal opportunities leadership involvement recognition training and development the approach to business employment conditions health and safety conditions job security pay and benefits working environment the organisations role in the community and society the organisations environmental views and activitiesLinkages with other Indicators:All of criterion 6 People.205The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – Results9.5 An SIA Approved Contractor can demonstrate that it measures and improves performance against key indicators for the way in which it supports thecommunity and the environment in which it operates.9.5.1 The review of performance against internal and external environmental/societal/ health and safety performance indicators.Required Achievement LevelPerformance in relation to theenvironment, health and safetyand impact on society is notmonitored.Health and safety performanceindicators are regularly reviewed.Reasons for shortfalls inperformance are understood.All aspects of the previouscolumn plus:Performance indicators are in placeto measure environmental and/orsocietal activity.Improved performance has takenplace in the areas targeted forimprovement.Performance in relation to theenvironment and/or impact onsociety is monitored or reviewed.All aspects of the previouscolumn plus:All measures have targets. Theseare either met or the reasons forshortfalls in performance areunderstood and are beingaddressed.The results show positive trendsand/or sustained good performancefor the period of time the measurehas been in place.All aspects of theprevious column plus:Comparisons of performance aremade with relevant organisationsinside and/or outside of thesecurity industry.Performance comparesfavourably.External comparisons arerelevant for promoting learningand improvement.206The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.5 An SIA Approved Contractor can demonstrate that it measures and improves performance against key indicators for the way in which it supports thecommunity and the environment in which it operates.9.5.1 The review of performance against internal and external environmental/societal/ health and safety performance indicatorsClarification:The Assessor should encourage applicant organisations to consider measuring some of theactivities conducted in Indicator 8.2.1.Examples could include measuring activities such as: emissions from transport. utility consumption. waste streams e.g. paper, printer cartridges, batteries, glass. use of new and recycled materials. accidents and near misses. media interest. contribution to local economic development.Test:Discussion with Managing Director and where applicable other management personnel suchas the Health and Safety Manager as to what measures are maintained and the outcomesachieved. Review of results provided.Linkages with other Indicators:6.3.3 A health and safety policy and supporting procedures exist and are implemented.8.2.1 The organisation considers its impact on the environment in service delivery andrunning the business.In addition awards and membership of health and safety bodies may provide an indication ofthe extent of an organisations commitment to the environment, society at large andprotecting the public.207The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – Results9.5.2 Key measures are used to indicate reputation within the local community.Required Achievement LevelThe reputation of the organisationwithin the local community is notmonitored.There are some examples ofpositive feedback from the localcommunity.All aspects of the previouscolumn plus:The organisation maintains a goodreputation within the localcommunity.All aspects of the previouscolumn plus:The organisation encourages andacts upon individual feedback.The organisation actively seeksfeedback from the police and otherrelevant authorities on itsperformance in upholding thereputation of the security industry.All aspects of theprevious column plus:The organisation measures itsreputation within the localcommunity, police and otherrelevant authorities byconducting opinion gatheringexercises on a regular basis.208The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.5 An SIA Approved Contractor can demonstrate that it measures and improves performance against key indicators for the way in which it supports thecommunity and the environment in which it operates.9.5.2 Key measures are used to indicate reputation within the local community.Clarification:The Assessor should encourage applicant organisations to consider measuring some of theactivities conducted in Indicator 8.1.2.Examples could include: relationships with relevant authorities, local media, local community. ethical behaviour e.g. poaching contracts from other security providers. impact on local economies e.g. reduction in crime levels. nuisance and harm from the organisation’s operation. E.g. speed of response to audiblealarms in residential areas.Test:Discussion with Managing Director and where applicable other management personnel suchas the Quality Manager as to what measures are maintained and the outcomes achieved.Review of results provided.Linkages with other Indicators:3.4.2 An approach to the management of consumer contact is in place and implemented.8.1.2 Activities to promote and improve the reputation of the private security industry withthe local community and with customers are planned and implemented.209The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 9Criteria 9 – Results9.6 An SIA Approved Contractor can demonstrate that it measures and improves performance against key outcomes and financial indicators criticalto the business.9.6.1 The regular review of performance against success factors and key financial indicators critical to the business.Required Achievement LevelPerformance against keyoutcomes is not regularlyreviewed.The number of measures is notsufficient to give a true picture ofperformance.Performance against key outcomesis regularly reviewed.Measures cover all key aspects ofthe business outside of employeeand customer indicators.Reasons for shortfalls inperformance are understood.All aspects of the previouscolumn plus:The results show positive trendsand/or sustained good performancefor the period of time the measurehas been in place.Improved performance has takenplace in the areas targeted forimprovement.All aspects of the previouscolumn plus:All measures have targets. Theseare either met or the reasons forshortfalls in performance areunderstood and are beingaddressed.All aspects of theprevious column plus:Comparisons of performance aremade with relevant organisationsinside and/or outside of thesecurity industry.Performance comparesfavourably.External comparisons arerelevant for promoting learningand improvement.210The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 4 – Criterion Specific Guidelines: Criteria 99.6 An SIA Approved Contractor can demonstrate that it measures and improves performance against key outcomes and financial indicators criticalto the business.9.6.1 The regular review of performance against success factors and key financial indicators critical to the business.Clarification:This Indicator focuses on how the applicant organisation knows that its processes aredelivering the desired outcomes. e.g. how effective are these processes? Are processesachieving what the organisation wants them to achieve? How successful is the organisation?Organisations should be able to provide examples of actual results or outcomes achievedagainst their own targets and against industry benchmarks.Some analysis of trends over time should also be carried out.Examples could include:Financial outcomes such as: Turnover net profit sales meeting of budgets cash flow costs depreciationNon financial outcomes: market share success rates on tenders contract retention customer visits e.g. % of planned visits achieved customer complaints e.g. speed of resolution level of customer satisfaction e.g. from surveys, what level is achieved against target percentage of licensable staff with an SIA licenceGood practice: Use of charts and graphs to illustrate performance against targets. Publication and sharing of information to all employees and customers. Publicity around key successes.Test:Discussion with Managing Director and where applicable other management personnel suchas the Finance Director as to what measures are maintained and the outcomes achieved.Review of results provided.Linkages with other Indicators:1.2.1 Critical success factors have been clearly identified and internal measures are in placeto monitor progress towards achievement.1.2.2 Goals, objectives and targets are clearly visible for all levels of the organisation.1.3.1 A plan for the business exists with a clear review schedule.211The contents of this publication are copyright ©2013 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.

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Approved Contractor SchemeAssessor GuideSection 5Glossary213The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 5 – Glossary5. Glossary214The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 5 – GlossaryAnalysisThe examination of facts and data to provide a basis for effective decisions and actions.ApproachThe methods used by a provider of security services to manage and delivery their business. When considering approaches organisations should also consider the appropriateness of the methodand the effectiveness of their use.AssessmentThe systematic review of an organisations activities and results against the ACS Standard.Assignment InstructionsA set of written instructions drawn up by a service provider specifying contractual duties in relation to a particular site, venue or person.BenchmarkingComparing your performance with that of another company, not necessarily from the Private Security Industry to see how well you are doing as an organisation.Code of PracticeA code of practice details how the activities within the organisation should be conducted and to what standard. Internal procedures would not normally be considered a ‘code of practice’.ConsistencyThe quality, state or fact of being consistent in the application of the ACS Standard through the assessment process.ConsumerAny person in society at large who has contact with a provider of security services in the course of delivery of a service to the customer.Control RoomA secure area where: assistance, information, advice can be obtained in routine or emergency situations; employees can be monitored; recording can be undertaken.Corporate Social ResponsibilityTaking in to account the ethical, social and environmental impacts of the organisation’s activities and taking complementary action to address those impacts where appropriate, using theorganisation’s own resources and expertise.The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 5 – GlossaryCritical Success FactorsOutcomes that an organisation needs to achieve in order to attain its mission. They usually relate to all aspects of the business such as financial, employees, customers etc. and haveperformance indicators that can be monitored supporting their achievement.CustomerThe person or organisation that contracts with the security provider for the delivery of security services.DeploymentThe extent to which an approach is applied in addressing the requirements of the standard. Deployment measures whether the standards are actually being applied in the workplace across all ofthe sites and work units in the organisation.EffectiveIt asks the question “how well a process or measure addresses its intended purpose?” Determining effectiveness requires the evaluation of how well a need is met by the approach taken and itsdeployment or by the measure used.GoalsA future condition or performance level that one intends to attain. Goals can be both short-term and long-term. Goals are ends that guide actions. Quantitative goals, or targets, include anumerical point or range.Head OfficeThe term used to describe the main operational base for the company. For very small organisations this may be a room within the Owners home. However, whatever is used or where ever the‘head office is based it must be fit for the purpose it is serving.InspectionThe careful examination and scrutiny against predetermined, rigid requirementsIntegrationThe harmonization of plans, processes, information, resource decisions, actions, results and analysis to support key organisational goals i.e. getting things to work together effectively.KeyThe major and most important elements or factors, those that are critical to achieving intended outcomes. The essential elements for pursuing or monitoring a desired outcome.The contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 5 – GlossaryLeaderAny person in the organisation that has responsibility for, or influences other people within the organisation.Measures and IndicatorsNumerical information that quantifies input, output and performance dimensions of processes, services and the overall organisation (outcomes).MissionA mission describes the purpose of the organisation. A mission statement answers the question “what is it that the organisation would like to achieve?”OrganisationA company, division, department, sole trader, self employed person that has or may apply to the SIA for Approved Contractor status.Organisational LearningNew knowledge and skills acquired through evaluation, study, experience and innovation. Organisational learning is achieved through research, evaluation and improvement cycles, employeeand customer ideas and input, best practice sharing and benchmarking. To be effective learning should be embodied in the way the organisation operates.PerformanceOutput results and their outcomes obtained from processes, services that permit evaluation and comparison relative to goals, standards, past results and other organisations. It can beexpressed in non-financial and financial terms.PolicyAn over arching statement that determines how an organisation will handle an aspect of its business. A policy will have a number of processes and procedures supporting the implementation.ProcessThe method by which a ‘product’ is delivered. It is the high level how things are done within an organisation and covers all parts of the business that have an impact.ProcedureIndividual instruction that explain to an individual how to ‘do’ their job. Assignment instructions are procedures for how to deliver the service to a particular customer.PSIAPrivate Security Industry ActThe contents of this publication are copyright ©2013 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.

ACS Assessor GuideSection 5 – GlossaryPurchasing procedureA procedure an organisation has in place to procure/purchase goods and services such as, stationery, equipment, etc.Response RoomA secure area where: assistance, information, advice can be obtained in routine or emergency situations; employees can be monitored; recording can be undertaken.ReviewA systematic consideration of how well an organisations processes and systems are performing in relation to the desired results. Where reviews identify that process and systems are notdelivering results actions to correct should be evidentService DeliveryThe process of delivering to the customer the requirements as outlined in a contract or terms and conditions of supply.SiteA particular location where security services are delivered e.g. a nightclub, retail outlet, factory, gatehouse, bank, hospital etc.StakeholderPerson or organisation with a vested interest in the outcome of any activity e.g. procedure, process, business etc.Sub ContractorA self employed individual or a company that is contracted to provide service delivery on behalf of the applicant organisation. Agency staff are not considered to be sub contractors.SupervisorA person with responsibility for other employees.ValuesSometimes called a code of ethics. A set of values statement explains the principles by which the organisations people will behave and on which all business relationships, with employees,customers and other stakeholders are based. For example: ‘trust’ ‘support’ ‘truth’VerificationThe action taken by an Assessor to prove that the self assessment conducted by an applicant organisation is true by the gathering of evidence. The evidence can be ‘hard’ such as documents orcan be ‘soft’ such as that gathered through discussion and interviews.The contents of this publication are copyright ©2013 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.