Security Industry Authority - GOV.UK

SIA Annual Report and Accounts 2020-21Key performanceindicatorsOur performance managementsystem includes key performanceindicators (KPIs), which are linkeddirectly to the achievement of ourcorporate objectives, and a cascadeof performance indicators which, inturn, drive the KPIs. The KPIs show ata glance how the SIA is working to:‒ protect the public through operatingan efficient and effective licensingfunction‒ protect the public through effectivecompliance and enforcement activity‒ be an efficient and effectivecustomer-focused organisation‒ support its people to ensure weperform well as an organisationThis was the first year of a new set ofstretching KPIs that sit alongside ournew three-year corporate plan. The newKPIs now reach across all areas of theSIA. We report on the progress of allKPIs to the executive directors’ groupon a monthly basis, and to the Authorityon a quarterly basis.The SIA protects the public through operatingan efficient and effective licensing functionAchieved ratein 2020-211Improvingtimeliness ofdecisions85% of all complex individual licenceapplication decisions are made within 25working days82.4%2ImplementingefficienciesMaximise straight through (automatic)individual licence processing by increasingthe number of applications (by 25% overthree years) that require no manualintervention8.96%3ReducingReduce the amount of avoidable contactavoidablefrom applicants by 20%customer contact4Reducing threatto public safety100% of initial decisions to suspend alicence are made within five working daysfrom receipt of sufficient information142%99%

SIA Annual Report and Accounts 2020-21The SIA protects the public through operatingan efficient and effective licensing function5Increasing ACSstandardsIncreasing the percentage of the SIAlicence population that are employed byan ACS business by 5%The SIA protects the public through effectivecompliance and enforcement activity6Providingassurance onhigh standards ofcomplianceMaintaining or improving compliancewith the Private Security Industry Act(PSIA); 98% (or above) compliance withthe requirement to hold a valid licence (orlicence dispensation notice) for the activitybeing undertaken7Securingtimely (willing)compliance80% of those businesses issued withformal warnings and/or ImprovementNotices for non-compliance are assessedas compliant on follow-up inspections8Taking robustaction againstnon-compliance80% success rate for prosecutions broughtfor PSIA and non-PSIA offences9Taking robustaction againstnon-complianceReport on value of criminal fundssuccessfully awarded for confiscation inproceedingsThe SIA is an efficient and effective customer-focusedorganisationAchieved ratein 2020-21-3%Achieved ratein 2020-2199%100%93% 16KAchieved ratein 2020-2110Improving ourcore costs andefficiencyMake savings or efficiencies of 1.5% perannum (over 480,000) on our overallresource expenditure 1,157K11ImprovingIT servicesavailabilityProviding at least 98% service availabilityat optimum levels for our IT-STeP licensingsystem, by rolling month, quarter, and 12months99.41%15

SIA Annual Report and Accounts 2020-21The SIA supports its people to ensure we perform well as anorganisationAchieved ratein 2020-2112(a)Managing staffturnover andwellbeinga) Staff turnover rates not to exceed 15%12.47%12(b)Managing staffturnover andwellbeingb) 98% of welfare check responses (ascarried out by Chief Executive quarterly)are positive96%We ended the financial yearwith a very good performanceoutturn. Performance held up well,notwithstanding COVID-19 relatedchallenges and new, stretching targetsand increased volumes.COVID-19 made a few KPIs particularlychallenging. This included KPI 5, whichwas set before the pandemic, andproved unworkable due to the impactof COVID-19 on the industry, particularlywithin the night-time economy andevents sector. Moving forward, anupdated KPI 5 will focus on the retentionof ACS businesses and be a morerealistic, but still challenging, measure.The SIA achieved a significant surplusin 2020-21. A surplus was expected inthe financial year but will be offset bydeficits in subsequent financial years asthe SIA aims to break even across thethree-year licensing cycle.We are also pleased to include measureson staff welfare for the first time.The majority of our KPIs were met orwere within 5% of target, including forour front-line licensing services.There are some areas where we knowwe have more work to do over thethree years of the Corporate Plan, suchas KPI 3. Our priority for KPI 3 in 202122 is to obtain a better understandingof what drives our contact, be in abetter position to understand contactbehaviour, and implement a newcontact strategy. This strategy willinclude a mix of technology and licenceprocess improvements over the nexttwo years.Michelle RussellChief Executive and Accounting OfficerSecurity Industry Authority15 July 202116

SIA Annual Report and Accounts 2020-21Performanceanalysis17

SIA Annual Report and Accounts 2020-21Core statutoryresponsibilitiesof foreign embassies preventingapplicants from obtaining overseascriminality checks), we achieved 82%against this target.LicensingIn 2020-21 we granted 157,921 licences,33,000 more than the total numberwe granted the previous year. This wasan increase of 27% year-on-year. Theprevious financial year was a low year inthe three-year cycle, so an increase wasexpected this year. We achieved thisdespite the unprecedented challengesof managing licensing operationsduring a lockdown, a number of seriousservice issues experienced by deliverypartners, and our own resourcingpressures following a temporary halt onrecruitment due to the pandemic.Where there is a public safety concern,whether we identify it ourselves or it isbrought to our attention, we aim to takeaction within five working days. In 202021 we processed information relatingto public safety concerns within thatfive-day target for 99% of cases. For thevast majority of cases we took actionwithin two to three days. We assessintelligence as we receive it, and if wedetermine that there is an imminentthreat, we take immediate action. In2020-21 we suspended 734 licences andrevoked 934 licences. These actionsare resource-intensive, often requiringmultiple engagements with the licenceholder and police partners. We do notreactivate licences unless we haveobtained sufficient assurance that thelicence holder does not pose a risk topublic safety.We completed 88% of licensingdecisions within 25 working days ofreceiving a correct and completeapplication. This is 3% lower than in2019-20, although against a far highervolume of licence applications. Togain a better understanding of ourperformance in this area, in 2020-21we also began to track performanceby categorising licensing decisionsdepending on their complexity. Prior tothe onset of the COVID-19 pandemic weset ourselves the target of completing85% of ‘complex’ licensing decisionswithin 25 working days. Despite theoperational difficulties we faced overthe last year, many of which wereoutside our control (such as the closureAs a result of the COVID-19 pandemic,we decided to move most of ourstaff to remote working. We quicklyadapted to the new working situationwith no detrimental impact on serviceor performance. By transferringour phone system we were able tocontinue facilitating calls from bothindividuals and businesses. We also18

SIA Annual Report and Accounts 2020-21dealt with 236,984 service requestsfrom customers. Where we previouslyrequested that any additional physicaldocuments required as part of theintegrity checks be sent to us by post,we established a system for receivingscans of original documents whichwe can subsequently verify. Thischange has been of benefit to bothlicence applicants and our operationalprocesses.External assessing bodies carry outthe assessment of ACS applications.Our role is to assure those bodies. Wehave continued to do this by reviewingthe assessment reports, holdingquarterly meetings with each of thefour assessing bodies, and training andwitnessing assessors from those bodies.We have been responsive and flexiblein our management of the scheme thisyear. Our flexibility was well receivedby industry, and has afforded manycontractors the ability to stay in thescheme until their businesses recover.It has also allowed those who havediversified during the pandemic theopportunity to enhance their approvedcontractor status with the ability toinclude additional sectors during theirassessments.We also worked closely with the HomeOffice to modify our processes, in stepwith the temporary national guidanceon identity validation. For example,UK passports were checked with HMPassport Office via an automatedverification system. Foreign passportswere checked via verification software.As a result, from April 2020, most peoplewho were renewing their licence did notneed to go to the Post Office to havetheir documents checked.Qualificationsand StandardsApproved ContractorScheme (ACS)Our role is to set the standards for thebaseline qualifications required toobtain a licence. 68,598 qualificationswere awarded by external trainingproviders during the year in supportof licence applications. It is theresponsibility of the approvedawarding organisations to assure theproviders of training leading to thosequalifications. It is our responsibilityto assure the performance of theawarding organisations. We do this byengaging with awarding organisationsthrough separate quarterly meetingsand joint forums. We also made 250virtual unannounced visits to trainingproviders during the year. Where thereis suspected malpractice or criminalityOur role is to ensure only fit and propercompanies gain entry to the ACS. At theend of the year there were 833 approvedcontractors: 540 re-registrations(annual event), 265 renewals (triennialevent) and 43 new applications.Where companies do not conform tothe standard, we provide appropriatesupport and guidance to highlight therequired improvement. If companies donot achieve this, they will not be allowedto join the scheme or will be removedfrom it to maintain its integrity.19

SIA Annual Report and Accounts 2020-21such as fraudulent activity relatingto obtaining or issuing licence-linkedqualifications, we will take action.in 319 individuals being checked anda compliance rate of 98.12%.We received over 4,765 intelligencereports and concerns during the year.We assess all of them and, whereappropriate, allocate for furtherexploration and/or action. Over 87% ofthe reports we receive are forwardedfor action. Even if we decide to takeno further action, the report is loggedand considered if further intelligencematerialises.Compliance, inspectionsand intelligenceWe undertake a range of inspections offrontline operatives, some with partnerssuch as the police and local authorities,to check compliance with the licensingrequirements in the Private SecurityIndustry Act 2001 and our regulatoryregime. Our ability to conductoperational field work during 2020-21was impaired by the restrictions arisingfrom the COVID-19 pandemic, whichhad a dramatic impact on the nighttime economy and the festivals andevents calendar. These are both sectorswhich rely heavily on security operatives.However, we prioritised our intelligenceled work, and continued our inspectionswhen the rules relaxed in other areassuch as retail, office and health.We also undertake desktop and fieldintervention cases to address risksand actionable intelligence regardingnon-compliance with the licensingrequirements, or non-conformance withthe ACS. We opened 665 interventioncases against a target of 600 andcompleted 689 intervention casesagainst a target of 650 during the year,having addressed the intelligence and/or risk. Last year 96% of cases wereclosed within set timescales.During 2020-21 we checked 328individuals via random licence checksand found a compliance rate of 99.4%.We carried out eight significantinspection operations across the UKto identify and tackle non-complianceand non-conformance. These includedtwo operations with partners, andchecks of licensing compliance at 194sites and venues.Criminal investigationsThe vast majority of those workingwith or in the industry know about therequirements of the Private SecurityIndustry Act 2001, which is coming up toits 20th anniversary. However, there arethose who choose not to comply andwho abuse the trust and confidence inthe private security industry. Dependingon the circumstances we may issue awarning. Where we need to, we havethe will and capability to prosecuteoffenders, not just for offences underthe PSIA but also for other offenceswhere the regulatory regime isIn addition to the random inspectionsundertaken, and driven by ourassessment of threat, risk and harm,we undertook 12 intelligence-ledinspection operations. These resulted20

SIA Annual Report and Accounts 2020-21undermined, and where the public havebeen put at risk.those who engage in criminal activitywithin the private security industry donot financially benefit from their crimes.It also limits the ability of individuals touse money gained through criminalityto re-enter the security industry as anew business.Last year, 46% of our cases involvedoffences under the Private SecurityIndustry Act 2001. 54% involved widercriminal activity. This included complexand serious offending under the FraudAct 2006, the Identity and DocumentsAct 2010, the Bribery Act 2010 and theForgery and Counterfeiting Act 1981.Where we undertook a prosecution,93% of cases, resulted in a successfulconviction. This year we prosecuted36 individuals and 12 businesses, anincrease of 66% on the previous year.Successful prosecutions this yearhave resulted in over 13,000 of fines,92 weeks of suspended custodialsentences, and six community orders.These included 400 hours of unpaidwork, 20 days’ rehabilitation, and twocurfew orders. We were also awardedover 25,000 of costs.Under the Asset RecoveryIncentivisation Scheme (ARIS), theSIA can expect to receive 34% of thevalue of the confiscation orders. Weare able to use the ARIS funds for ‘goodcauses’ connected with the securityindustry. This year we made an awardof 9,372.23 to the Worshipful Companyof Security Professionals’ Charity TrustCrisis Fund. The fund supported anyoneworking within the security industrywho suffered as a result of the COVID-19pandemic. This included anyone whowas hospitalised, and the immediatedependents of any individual workingin a frontline security role who died.At the end of the year, we had 81live criminal investigations into 82businesses and 190 individuals. Thenumber of criminal investigations hasincreased by 31%, from 62 at the sametime last year.Confiscation orders andthe Proceeds of Crime ActThe SIA is a ‘designated body’ underthe Proceeds of Crime Act (POCA). Thisyear, our team of Accredited FinancialInvestigators helped us obtain threecourt confiscation orders totalling 15,811 worth of assets gained throughcriminal activity. Confiscation acts asa deterrent to others and ensures that21

SIA Annual Report and Accounts 2020-21Our strategic prioritiesIn addition to our core activities of licensing, standards and compliance, we measureour progress against the four strategic priorities set out in our Corporate Plan:1. Improving standardsTo improve standards in the private security industry.2. Our peopleTo develop our people so individual, team and corporate performancecontinually improves in achieving our purpose.3. Adding valueTo deploy and develop our people and assets to optimise their value.4. Highlighting the industry’s capabilityTo support government, police and others to work with us and theprivate security industry to shape and evolve the sector to respondto future challenges and opportunities.22

SIA Annual Report and Accounts 2020-21Achievements againststrategic priorities1. Improving standardsTo improve standards in the private security industry.New standards of qualificationsfor the industryCode of conductWe published a response to the publicconsultation on the Code of Conducton 14 January 2021, following analysisof nearly 4,000 responses. We startedas a result to plan further work toexplore whether and how a code ofconduct would work as a proportionateregulatory approach, in light of theimpact it would have on the privatesecurity industry.At the end of the year, we launchednew licence-linked qualifications forthe industry that are raising standardsof skills and professionalism. Weconsulted on the new qualifications anddeveloped them with experts acrossthe industry to include updated andmore safety-critical content. We ran aprogramme of four webinars designedto upskill the private security industryon the new qualifications. Thesewere well attended, with almost 500delegates in total. We had already putback the timing of the changes due tothe impact of COVID-19 on the industry.The changes will help operatives to keeppeople safe and contribute to drivingindustry performance. We also workedin parallel to prepare the standardsfor the top-up training due to startin October 2021.Regional networks and onlineevents for approved contractorsThis year we delivered on ourcommitment to establish regionalnetworks for approved contractors.Network events, run by industryfigures, have taken place regionallyand have been supported by a nationalevent. Between September (officiallaunch) and March, we had around100 attendees across three networkevents. They covered some of the criticalbusiness issues of the day and gavebusinesses the opportunity to sharebest practice and improve. We also23

SIA Annual Report and Accounts 2020-21Skills Boardran a programme of four webinars forapproved contractors, which drew morethan 150 participants.We set up structures that will help us towork with industry to improve standards.We are very grateful to the expertswho have helped us by influencing ourthinking in the advisory groups we haveset up. The Strategy and Standards Groupis already playing a key role in helpingus to consider how we can improvethe standards we require for licencelinked qualifications and approvedcontractors. This group, which is madeup of senior industry representativesand stakeholders from education,training and professional associations,helps steer our work on standards. Wehave also set up two new groups thatwill help us to deliver key areas of work.These are looking at setting up systemsof continuing professional developmentand centres of excellence respectively.We will finalise the establishment of aSkills Board next year.Continuity of training provisionduring COVID-19We worked with training providers andawarding organisations to pilot, andthen roll out, virtual classroom deliveryof licence-linked training. This ena

The Security Industry Authority (SIA) is a public body reporting to the Home Secretary. We were established under the Private Security Industry Act 2001 to contribute to public protection by setting and improving standards in the regulated private security industry. The Act covers England, Wales, Scotland and Northern Ireland and the following