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

1. Maintaining Statutory and Mandatory Compliance
© Santia Consulting Ltd 2013

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
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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
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4. What is Compliance?
• Meeting a set of rules or standards
• Which rules?
o
o
o
o
Legislative
Industry
Company
Individual
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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. 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
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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
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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. Internal or Out-source
 Outsourcing advantages:
1.
Cost saving
Cost saving
Quality of service
Specialist skills
Contract obligations
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Capacity management/
Staff reduction
Risk mitigation/transfer

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
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11. Assurance
• In-source or Out-source
– assurance is required
• Systems are functioning
• Reported information
• Obtaining confidence
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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. 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. 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. 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. 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. ®
© Santia Consulting Ltd 2013