Maintaining Statutory and Mandatory Compliance

© Santia Consulting Ltd 2013
Today’s speaker

Mike Taylor
Health, Safety and Environmental Technical Director
BEng MBA CEng MIET CMIOSH AIEMA
Mobile: 0...
Introduction and Overview
• Maintaining statutory and business critical compliance
• Decisions and priorities
• Issues wit...
What is Compliance?
• Meeting a set of rules or standards
• Which rules?
o
o
o
o

Legislative
Industry
Company
Individual
...
Statutory Compliance?
• Pertaining to laws or
regulations
o
o

o

Health and Safety
Environmental
Equality

• Why?
o

o

S...
Mandatory Compliance?
• Abide by a set of rules – less
stringent that statutory
o
o

o
o

Industry standards – best practi...
Decision Making
• Managers are there to
manage
• Decision making is expected
• What about dynamic
decisions?
o

Short term...
Conflicting Priorities
• Statutory is straightforward –
or is it?
• What is mandatory to one is
not to another
• Business ...
Internal or Out-source
 Outsourcing advantages:
1.

Cost saving

Cost saving

Quality of service

Specialist skills

Cont...
Ensuring the service is delivered
• Having a management system helps
• Effective procurement strategies

• Contract contro...
Assurance
• In-source or Out-source
– assurance is required
• Systems are functioning
• Reported information
• Obtaining c...
Assurance
• Governance processes
• Financial world used to this
o

Everything is working perfectly!

• Protect organisatio...
Assurance Tools
• Framework approach
o

o

o

o

A well designed
management system
A clear understanding of
risk profiles
...
Assurance Levels
• Achievement of objectives
o

Operational units, e.g. cost to
serve

• System/management activity
o

Int...
Case Study
• Large multi-national financial
institution
• Out-sourced FM contract
including statutory and
mandatory (compa...
Santia’s solution
• Pilot a variety of interventions
o

Varied scope and depth

• Developed a plan to assure the level of ...
®

© Santia Consulting Ltd 2013
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Paul Ollerton, Sales and Marketing Director at Santia Consulting Ltd - Maintaining Statutory and Mandatory Compliance

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Paul Ollerton, Sales and Marketing Director at Santia Consulting Ltd, spoke at the FMP Event October 2013.

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  • Paul Ollerton, Sales and Marketing Director at Santia Consulting Ltd - Maintaining Statutory and Mandatory Compliance

    1. 1. Maintaining Statutory and Mandatory Compliance © Santia Consulting Ltd 2013
    2. 2. Today’s speaker Mike Taylor Health, Safety and Environmental Technical Director BEng MBA CEng MIET CMIOSH AIEMA Mobile: 07525 278980 Email: michael.taylor@santia.co.uk © Santia Consulting Ltd 2013
    3. 3. Introduction and Overview • Maintaining statutory and business critical compliance • Decisions and priorities • Issues with outsourcing and contract facilities management • Assurance business partners are delivering • What processes need to be in place to assure compliance is maintained? • Case study of where this has been an issue an how issues were worked to a successful conclusion © Santia Consulting Ltd 2013
    4. 4. What is Compliance? • Meeting a set of rules or standards • Which rules? o o o o Legislative Industry Company Individual © Santia Consulting Ltd 2013
    5. 5. Statutory Compliance? • Pertaining to laws or regulations o o o Health and Safety Environmental Equality • Why? o o Society deems it necessary – a common good Absolute requirement © Santia Consulting Ltd 2013
    6. 6. Mandatory Compliance? • Abide by a set of rules – less stringent that statutory o o o o Industry standards – best practice Company standards/rules Absolute expectations Critical business functions • Often not clear and transparent © Santia Consulting Ltd 2013
    7. 7. Decision Making • Managers are there to manage • Decision making is expected • What about dynamic decisions? o Short term versus long term • Consistency is the goal © Santia Consulting Ltd 2013
    8. 8. Conflicting Priorities • Statutory is straightforward – or is it? • What is mandatory to one is not to another • Business is there to increase profits o On both sides • There has to be alignment and agreement © Santia Consulting Ltd 2013 Delegate it if you can Don’t do it Urgency Importance Do it now Do it later
    9. 9. Internal or Out-source  Outsourcing advantages: 1. Cost saving Cost saving Quality of service Specialist skills Contract obligations © Santia Consulting Ltd 2013 Capacity management/ Staff reduction Risk mitigation/transfer
    10. 10. Ensuring the service is delivered • Having a management system helps • Effective procurement strategies • Contract control and liaison • Effective monitoring • Ability to challenge • Your compliance in their hands © Santia Consulting Ltd 2013
    11. 11. Assurance • In-source or Out-source – assurance is required • Systems are functioning • Reported information • Obtaining confidence © Santia Consulting Ltd 2013
    12. 12. Assurance • Governance processes • Financial world used to this o Everything is working perfectly! • Protect organisations from key risks • More than just audit o Supplier verification, stakeholder engagement, external reporting mechanisms © Santia Consulting Ltd 2013
    13. 13. Assurance Tools • Framework approach o o o o A well designed management system A clear understanding of risk profiles Confidence that key risks are being controlled A process of assurance to confirm the above and determine opportunities for improvement © Santia Consulting Ltd 2013 Situational and gap analysis MI Solution design Insight Solution delivery Programme Implementation
    14. 14. Assurance Levels • Achievement of objectives o Operational units, e.g. cost to serve • System/management activity o Internal audits to demonstrate conformance and compliance • Independent of the organisation o Insight and commentary on the organisation from an external perspective © Santia Consulting Ltd 2013
    15. 15. Case Study • Large multi-national financial institution • Out-sourced FM contract including statutory and mandatory (company) compliance o Moving from one company to another • A majority of key performance indicators ‘green’ • Reality told a different story © Santia Consulting Ltd 2013
    16. 16. Santia’s solution • Pilot a variety of interventions o Varied scope and depth • Developed a plan to assure the level of compliance (amber bordering on red) o From desktop to field inspections/audits • Provided governance process to move forward © Santia Consulting Ltd 2013
    17. 17. ® © Santia Consulting Ltd 2013

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