audit report for Responsible Business Standards

Strategic Management Partners Ltd Audit Report and Certification Summary 2012 of 17

THE RESPONSIBLE BUSINESS STANDARDAudit Report & Certification Summary

Company: Strategic Management Partners Ltd. Address (1): Windmill DownsMain contact: Clive Bonny Address (2): 58 Nevill RoadPosition: Founder & MD Town: RottingdeanE-mail Address: [email protected] County: East SussexTelephone: 01273 308865 Postcode: BN2 7HGWeb Site: www.consult-smp.com Registered No.: 06973098Industry: Business Services Turnover: Up to £100kNo. Employees: 1-4

Business Description: Business Consultancy working from home from a separate annexe

Certification SummaryDate of audit: 11th April 2012Name of auditor: Martin MurphyE-mail address: [email protected] of lead auditor: Kathryn EbdonE-mail address: [email protected] No: 10798/12005

Based on the scope of the audit, the information provided and the findings of the auditor delivered in an accurate, professional, independent and objective manner, Strategic Management Partners Ltd has been awarded The Responsible Business Standard as follows:

OVERALL AWARD: GOLD

Award in each Section:

Workplace: GOLD Environment: GOLD Community: GOLD Marketplace: GOLD Ethics, Values & Transparency: GOLD Business Processes / Continuity: GOLD

The certification is valid for two years on the basis of an annual light touch review to ensure there are no major adverse changes, time sensitive documentation is still in place /renewed as appropriate, and objectives are being met.

Signed on behalf of the Organisation for Responsible Businesses:

Jill PoetManaging Director


SCORING KEY:

Pre Audit Questions, Ratified at Audit

The company has many policies on the web site relating to aspects of CSR. In particular, the website reiterates the Global Sullivan Principles of ethical practice. Managing director Clive Bonny has also had published by The Economist Books, jointly with Chris Moon, a book called Business Ethics which details his own business ethics and those of 12 international experts.

Clive has qualified as a Certified Management Consultant, an accredited Workplace Mediator and an Assessor for Investors in Excellence.

Clive confirmed the company had not been the subject of a Health and Safety Executive / Trading Standards / Environment Agency or any other legal investigation..

INITIAL AUDIT INTERVIEWClive has been a consultant since 1989 and was self employed for 20 years. He then set up as a company limited by shares in 2009. The business operates as a consortium of professionally qualified and highly experienced business managers.

Clive has a separate annexe attached to his home which he works from. There are 2 offices, one for himself and one for his wife who is his part time personal assistant and only employee. He has made some major adjustments to his home to ensure his office adheres to the relevant standards of a safe and healthy working environment including having extra patio doors being fitted for fire safety purposes.

Clive describes his passions as supporting the local community, young people and sustainability, heart foundations and local hospitals, and stimulating local entrepreneurship

For each question, companies are scored 0 - 3 on their performance or n/a if appropriate.

Question scoring:

0 = does not meet requirements1 = meets requirements to bronze standard2 = meets requirements to silver standard3 = meets requirements to gold standard

The award given in each section is normally based on the overall percentage:

40% = bronze65% = silver85% = gold

A major issue, such as a bad health and safety record, would adversely affect the normal scoring process in both the appropriate section and the overall result.


SCORE

3

MAIN AUDIT

WORKPLACE

WORKPLACE Part One: Meeting legal requirements

1. Evidence the Employers’ Liability Insurance (note dates)

£2m cover. Evidenced and dates noted. Expiry date 31/12/2012

2. Is the Employers’ Liability Insurance Certificate on display?

Yes

3. Is the HSE Health & Safety Law Poster on display; or, alternatively, have individual health and safety law leaflets been provided to all employees?

Yes, positioned on the white board in the office.

4. Is there a Health and Safety policy? (5 or more employees)

Although Clive only has one employee he does have a Health and Safety Policy which is reviewed and updated annually if necessary. This is evidenced on his website

5. Have appropriate Risk Assessment/s been carried out?

Risk Assessments have been evidenced by the auditor. Hazards have been identified, objectives noted and Clive Bonny is the competent person.

6. Are other appropriate and specific policies and procedures in place to prevent accidents and cases of work-related ill health?

There is a first aid box on premises and also in the privately owned car. Offices are situated on two floors in a separate annexe of Clive’s home and are spacious, well laid out and comfortable with no obvious hazards. Workstations are ideally situated and the premises are very clean and very well ventilated.

Clive has been trained but not certificated in first aid. When the office space was designed Clive showed a clear understanding of hazards and patio doors were included to provide separate fire escape.

7. Are systems in place to ensure company vehicles (or vehicles used for company purposes) are insured, taxed, serviced and MOT regularly?

DVLA send reminders online so system in place which triggers all aspects of licensing, MOT, serving etc.

8. Driving as part of the job: is appropriate driver training provided?

Clive has driving certificate through RSA on safe driving

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3

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3

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2

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n/a 9. If EU rules on drivers’ hours apply, are tachographs correctly maintained,

tachograph data and driver card data correctly downloaded and stored?

10. Are employment contracts issued for all members of staff?

Yes 1 member of staff employed on a part time basis and contract viewed and up to date.

11. Are employee complaints / grievances policy / procedures in place? Are they current and accessible?

Yes current and accessible

12. Are employee disciplinary policy/ procedures in place? Yes. Clive occasionally employs students on work experience and goes through a work experience quality charter with each student. Students are made clear on what to do in a case of disagreement and are made fully aware of their own responsibilities. They are given a copy of the charter and taken through the company handbook as well as being provided with pocket guides..

13. Are correct procedures in place to ensure employees are eligible to work in the UK?

Yes. Clive’s only employee is his wife but he is trained to advise other businesses in this area. WORKPLACE Part Two: Striving for excellence

1. Are employees issued with a comprehensive employee handbook and is it kept up to date?

Yes. The handbook includes policies, processes and certifications and is the same handbook that Clive shows to potential clients.

2. Is training and staff development offered? Is it available for all staff?

Yes. A file lists learning activity on a month to month basis.

3. Are appropriate induction programmes carried out?

Yes. Clive inducts student placements as and when he provides work experience, including work experience charter and Stem Blue Standard to enable him to bid for work for the local council.

4. Are appraisals held regularly; are they 360?, are KPIs set?

These are mainly carried out through Informal reviews.

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3

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3

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3

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3

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3

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3

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2


5. Are Equality and Diversity policies in place?

Yes and clearly demonstrated on the website and in practice.

6. Are flexible working options available?

Yes.

7. Are there regular company social activities?

Yes Clive has a corporate hospitality membership of the 1901 club attached to his local football stadium, Brighton and Hove Albion which he shares with his employee and apprentices.

8. Are any employee benefits offered?

Yes additional vehicle for part time employee, insurance paid for by the business and business networking events. 1901 club hospitality events at local football stadium.

9. Are any rewards and incentives offered?

Yes, in line with employee benefits.

10. Are staff engaged in decision making? Is their feedback encouraged?

Yes, for the only one part time employee who is the wife of the MD.

11. Are any additional employee health and wellbeing considerations in place?

Health and wellbeing is an ongoing consideration, particularly as the only permanent employee is the MDs wife.

WORKPLACE Part Three: Continuous improvement

Are specific objectives in place or being put in place for workplace improvements?

Objectives in place from earlier risk assessment include improving cabling, using back support for office chairs and introducing annual eye tests. Improve security data and maintain certification with ISO

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3

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3

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3

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3

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3

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3

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3


WORKPLACE Part Four: Comments and suggestions

Organisation’s comments

Clive informed me that he was a qualified assessor for Investors in People and applied the standards to his own business.

Auditor’s comments and suggestions for improvements

Clive certainly seems to take his responsibilities very seriously. I recommend he obtains an up to date first aid certificate even though he assures me he is competent in this area.

WORKPLACE Part Five: Results

Level scored by Auditor

Clive fulfills and exceeds all of the legislative requirements, far more than one would expect when he works from home and has one part time employee who is his wife (apart from employing students from time to time on short term contracts) He would have scored 100% in this section if he had had a first aid certificate.

Confirmed by Lead Auditor / Validator:

I am impressed by the formal nature of the arrangements for a small business which employs family members. This sets a really good example for work experience placements on how things can be done with a bit of time and care.

GOLD

GOLD


ENVIRONMENT

ENVIRONMENT Part 1: Meeting legal requirements

1. Do the premises operate under any Environmental Permitting Regulations (EPR) permits: includes PPC (pollution, prevention & control), waste management licenses, water discharge consents, groundwater permits?

2. Evidence proper storage and handling of hazardous substances, including

COSHH notices if applicable.

3. Are any trade effluent consents and agreements applicable?

4. Is the company required to comply with waste packaging legislation

5. Is the company required to comply with WEEE legislation?

6. Site Waste Management Plans for construction projects over £300,000.

7. Is general waste storage and disposal legislation being complied with?

Yes.

8. Recognition of and compliance with any other industry specific environmental legislation:

ENVIRONMENT Part Two: Striving for Excellence

1. Have the owners / senior management identified the environmental impacts of the business?

Yes. The MD is an active member of Environmental Sustainability Knowledge Transfer Networks. Travel costs are monitored by external consultants to reduce fuel consumption by 20%. The company delivers public events on risk and resource management with sustainability experts. They recycle waste paper, glass, plastics, furniture, clothes and office equipment; save 40% on water through the use of water inductors on taps and cistern water savers; save 25% energy with remote monitoring of real time usage and power disablers. The property has 90% double glazing and uses low energy bulbs..

2. Is an Environmental Management System (EMS) in place?

Yes and evidenced in environmental sustainability policy and in practice as detailed above. Also in STEM blue level certification valid until 2013 from South East Business Carbon Hub

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3

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3 3. Is an Environmental Policy in place?

Yes, on the company website there is a policy to support environmental sustainability.

4. Has an environmental audit been carried out?

Yes. The business makes use of an external qualified adviser: Carbon Hub.

5. Are any forms of energy measurement in place, other than bills?

Yes through South East Business Carbon Hub including usage of electricity, gas, water, petrol and amount of waste produced to measure carbon footprint.

6. Is a Waste Management System in place?

Yes. The MD is aware of current best practices relevant to the company and applies checks as part of quality management systems.

7. Is there a general awareness of chemicals and potentially hazardous waste? Yes. Information is included in an environmental sustainability policy which has been viewed.

8. Are they on a green Tariff?

Yes, with Utility Warehouse.

9. Are any processes in place to minimise packaging materials?

Yes, where applicable.

10. Are any systems are in place to reduce the impact of all transportation used

in the business?

Travel costs are monitored by external consultants - Ngage Solutions Ltd to reduce fuel consumption by 20%. The company has recently replaced two cars with lower MPG/CO2 models.

11. Are employees engaged in environmental issues?

Yes. Clive set up the Brighton Sustainability Forum and engages suppliers in the forum to share best practice with the local community and his wife often attends with him.

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3 12. Is the supply chain monitored for environmental credentials? Yes. The MD advises other businesses in this area and demonstrates this in practice by sourcing environmentally friendly stationery including business cards made from recycled paper and vegetable ink.

13. Are environmental concerns and objectives communicated to suppliers and other stakeholders?

Yes, through Brighton Sustainability Forum.

14. Apart from monitoring its own environmental impact, does the company make any positive contribution to any other conservation schemes?

Yes, again through the Brighton sustainability Forum. Clive also runs public events on environmental conservation.

ENVIRONMENT Part Three: Continuous Improvement

1. Are environmental impacts being monitored or are there any plans to do so in the future?

Impacts are monitored through Carbon Hub, recommendations issued and a clear action plan is in process of implementation.

2. Are objectives in place or being put in place to reduce those impacts?

z Turn down thermostat in the office by 1 degree z Reduce electricity usage and upgrade existing lighting. z Drive more economically and take eco driving lessons. z Fit radiator reflectors to reduce energy loss.

ENVIRONMENT Part Four: Comments and Suggestions

Auditor’s comments and suggestions for improvements

Clive is fully aware of his responsibilities and has taken principled action to ensure SMP operates in a responsible manner and shares knowledge with a wide range of stakeholders.

ENVIRONMENT Part Five: Results


For a small business Clive does an awful lot. He is conscientious about his own practices and very enthusiastic about environmental issues in general, which can be evidenced by his work with the local business community through the Brighton sustainability Forum.

Confirmed by Lead Auditor / Validator

Again, a picture of good practice which indicates great integrity.

SCORE

3

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3

GOLD

GOLD


COMMUNITY (PEOPLE)

COMMUNITY Part One & Two: Striving for Excellence

1. Is there an awareness of the main social / economic problems facing the community where the business is established?

Definitely. The MD is involved in various partnerships with schools, and supports social enterprise and small business start ups. He has been delivering short workshops for the Business Community Partnership, and other membership bodies, showing social enterprises how to apply tools to become more resilient. Clive also mentors young entrepreneurs and small start ups free of charge. All evidenced.

2. Does the business get involved in supporting the local community?

Yes. The MD’s main focus seems to be in working with young people. A current project is sponsored by the RSA Catalyst Fund and supports primary and secondary school students into developing their enterprise skills. They are refashioning and recycling old clothes into new garments, then selling them locally, and recycling profits back to school.

3. Are employees encouraged to get involved in community projects? The MD donates 20% of his time to various community projects including Albion in the Community and Want to Work, a scheme to promote apprenticeships and offer short term work contracts. He is supported by his employee wife.

4. Does the company engage in any other philanthropic activities?

Yes, mainly through supporting local hospitals and heart foundations.

5. Are goods and services sourced locally where possible?

Yes. Stationary from a local ISO14000 approved stationer, A Local IT company for servicing IT equipment and local office supplies.

6. Is there involvement in other additional activities?

Activities are extensive..

COMMUNITY Part Three: Continuous Improvement

1. Are there any plans to increase community involvement or, if involvement is already quite high, will this be maintained?

z Run a public event on resilience planning, z Promote 4 apprentices into work, z Assist local social enterprise to bid for the Coastal Community Fund

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3

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3


COMMUNITY Part Four: Comments and suggestions

Organisation comments

Via Albion in the Community, I will continue to run free business continuity events for local business, mentoring young entrepreneurs and start ups and organise cross sector events promoting Business Continuity Planning and Sustainability.

Auditor’s commentsClive does much good work in his local community. He is enthusiastic about helping young people, social enterprise and supporting small start up businesses as well as supporting local hospitals. He aims to give 20 % of his time to local good causes which is highly admirable. All of this has been evidenced.

COMMUNITY Part Five: Results



It’s difficult to comment on the excellent work without slipping into more clichés!

GOLD

GOLD


MARKETPLACE

MARKETPLACE Parts One & Two: Legislation & Striving Towards Excellence

1. Is any other specific legislation applicable to this business? If so, is it being complied with?

2. Is Public Liability insurance in place?

Yes. Valid until 31/12/2012 up to £2,000,000

3. Are there any other specific insurances e.g. professional indemnity?

A comprehensive business policy is in place which includes premises and contents insurance, employers liability, public liability, professional indemnity, product liability, libel and slander. Valid till 31/12/12

4. Are there clear business processes in place? Business policies and processes are evidenced on website and clearly documented. SMP operates as a consortium with Clive as the lead consultant. Processes are straightforward and transparent and absent employees information contained in business continuity plan.

5. Is a fair and ethical purchasing policy in place? An ethical policy has been viewed and evidenced in documents and on website.

6. Does the company have appropriate procedures in place to ensure all products are fit for purpose?

A quality management system is in place to ensure all services are fit for purpose. Procedures detailed include consulting method, client feedback form, learning methodology and project planning procedures. A clear process for the way the company works is also available.

7. Is good customer service a priority? SMP appears to be very transparent in its dealings with customers and presents a portfolio of previous workundertaken to all prospective clients.

8. Are complaints handled efficiently and appropriately? There is a thorough customer feedback service via the website which is externally assessed by the Institute of Consultancy..

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n/a


9. Is clear consumer information provided?

Yes and code of conduct is available on website..

10. Are any after sales services offered? Yes through feedback procedures and again externally assessed by CMC.

11. Is a service provided to vulnerable people e.g. children, the elderly, physically or mentally handicapped?

The company does not provide services to vulnerable people on an ongoing basis but the MD is fully enhanced CRB checked and assists other organisations in this area. Evidenced.

12. Is the typical customer covered by any specific legislation?

13. Are suppliers, staff and the Revenue always paid on time? There are no revenue arrears or cash flow constraints and 12 months cash is always kept available in bank for continuity of trading. Evidenced.

14. Does the company consult with and / or get feedback from customers and suppliers? SMP undertakes a competency based appraisal from clients which goes directly to the Institute of Consultancy 3 times per year. Clear feedback procedures also documented on website.

MARKETPLACE Part Three: Continuous Improvement

Are any objectives in place to make improvements in the marketplace?

z Develop 2 new partnerships with social enterprise z Publicly promote the Responsible Business Standard z Advise 10 SME’s and help them achieve The Responsible Business Standard certification.

MARKETPLACE Part Four: Comments and suggestions

Auditor’s commentsThe company certainly strives for excellence in this area. There are professional and transparent practices in all areas. Clive is an assessor for Investors in Excellence (IIE) and applies those principles to his business.

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3

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MARKETPLACE Part Five: Results

Level scored by Auditor:

Confirmed by Lead Auditor / Validator.

GOLD

GOLD


ETHICS, VALUES AND TRANSPARENCY

ETHICS, VALUES & TRANSPARENCY Parts One and Two: Legislation and Striving for Excellence

1. Does the company have a company code of conduct? The company has a code of conduct which is on the website and in the handbook which is shown to potential customers.

2. Are personal values extended to the operation of the business? Personal values are very much extended to the operation of the business.

3. Are personal values promoted internally? Personally values are promoted internally and are included in an in ethical policy.

4. Are personal values promoted externally? The MD engages with all stakeholders and especially the local community. He wrote a book published by the Economist titled Business Ethics: Facing Up To The Issues. This hardback was named as Book of the Month by the Sunday Times Enterprise Network and is endorsed by the Chairman of Inchcape, Director General of the Institute of Directors, and Chairman of Investors in People. The company’s ethical policy states that “The Company expects all suppliers and partners to work towards and uphold similar ethical and moral standards.”

5. Are business ideas shared and discussed with stakeholders? Clive organises many forums. The Brighton Sustainability Forum is an example of this. He also runs free events on business continuity planning and disaster recovery.

6. Are responsible business practices shared and promoted with others? Absolutely. The MD is active member of a number of professional bodies.

7. Is an animal testing / animal welfare policy in place?

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3

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ETHICS, VALUES & TRANSPARENCY Part Three: Continuous Improvement

Are any objectives in place to encourage ethical behaviour, internally or externally?

z Advise 5 clients on ethics, policies and practice. z Convert the Business Ethics book into an online format z Advise local SME’s on the Freedom of Information Act.

ETHICS, VALUES & TRANSPARENCY Part Four: Comments and suggestions

Auditor’s comments Clearly a very important area for the MD as evidenced by his book Business Ethics and the business practices he adheres to.

ETHICS, VALUES & TRANSPARENCY Part Five: Results



OTHER BUSINESS PROCESSES

OTHER BUSINESS PROCESSES Parts One and Two: Legislation and Striving for Excellence

1. Is any document control in place? All documents are stored safely in a locked cabinet in the office and are dated, legible, current and retrievable.

2. Are any business continuity plans in place? Extensive business continuity plans are in place covering the following areas: ICT failure, premises access denied, key worker illness, disruptive legal action, key client failure, quality assurance processes, environmental sustainability and social responsibility

3. Is there adequate data back-up? IT systems are backed up with cloud based systems and offer online real time recovery

4. Is the business registered under the Data Protection Act? Yes, registration certificate valid to 20/12/12.

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GOLD

GOLD


GOLD

GOLD

5. Are applicable insurances in place to protect the business against losses? A comprehensive business policy is in place which includes premises and contents insurance, employers liability, public liability, professional indemnity, product liability, libel and slander. Valid till 31/12/12 .

OTHER BUSINESS PROCESSES Part Three: Continuous Improvement

Are any improvement objectives in place?

Working towards the new business continuity standard ISO 22301

OTHER BUSINESS PROCESSES Part Four: Comments and suggestions

There are no additional organisation or auditor comments.

OTHER BUSINESS PROCESSES Part Five: Results


Confirmed by Lead Auditor / Validator:

SUMMARY AUDITOR COMMENT

Clive seems very thorough in his work and genuinely concerned about operating to the best principles and standards in his business. I was impressed by the amount of activities he is involved in related to the local community, the environment and also his support for other businesses. He has obviously built up lots of experience over the years. He operates in a very transparent manner.

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3

Organisation for Responsible Businesses LtdTel: 0845 4599749 e-mail: [email protected]

Registered in England & Wales. Company No. 6830936.Registered Office: 84 Wimborne Road, Southend-on-Sea, Essex SS2 4JR.

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