BS7984 Checklist

Information

Document No.
Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

4 THE ORGANISATION AND DOCUMENTATION

4.1 Structure
The organization should possess a clearly defined management structure showing control and
accountability at each level of operation.
Details of the ownership of the organization should be established and the principals’ curricula vitae made
available. Any unspent criminal convictions or undischarged bankruptcy of a principal or director should
be disclosed on request.
The organization should operate a documented complaints management system in accordance with BS ISO
10002. NOTE Attention is drawn to the Rehabilitation of Offenders Act 1974 [2], whose provisions govern such disclosure
Does the organization possess a clearly defined management structure?
Does this published structure detail control and accountability at each level of operation?
By what method is the ownership of the organization established?
Are the principals C.V.’s made available?
Are any unspent criminal convictions or undischarged bankruptcy of any principal or director disclosed on request?
Does the organisation operate a documented complaints management system?
4.2 Finances
The organization should have sufficient working capital for its requirements. The fixed capital of the
organization should be sufficient for current and planned needs.
The organization should be able to present two years’ audited trading accounts, except if starting as a
subsidiary of an established organization, and/or if staff experience and adequate financial backing are
evident.
The organization should prepare annual accounts.
The accounts should be certified by an accountant or solicitor with complete details of expenditure and
income. Accounts should be available for examination by the customer.
Does the organization solely provide an in-house service (and not contract out such services)? If no, do the recommendations given in 4.2 apply?
Does the organization have sufficient working and fixed capital for current and planned needs?
Has the organization submitted last 2 years audited trading accounts to Companies House
Are current annual accounts available and are these certified?
4.3 Insurance
The organization should possess insurance cover commensurate with the business undertaken and the number of persons employed e.g. public liability, contractual efficacy, employer’s liability, and vehicle insurance.
Fidelity guarantee should be available up to limits required by the customer e.g. loss of keys, wrongful arrest and product liability.
Does the organization posses the following insurance at a level of cover commensurate with the business undertaken and the number of persons employed:

5 RESOURCES

5.1 Premises
The organization should have an administrative office(s) and/or operational centre(s) where records, certificates, correspondence, files and other documents necessary for conducting business transactions should be kept in a secure manner. The location of records and documentation, both local and centralized, should be clearly defined by the organization.
Does the organization have an administrative office and/or operational centre where records, professional and business documents, certificates, correspondence, files and other documents necessary for conducting business transactions should be kept in a secure manner? Is the location of records and documentation, both local and centralized clearly defined by the organization?
5.2 Staff
5.2.1 General
The organization should ensure that it has employed sufficient keyholding response officers to fulfil its contractual obligations, and sufficient supervisory staff to manage those contracts.
The organization has adequate: (i) staff to fulfil its contractual obligations (ii) supervisory staff to manage day and night assignments and to make regular site visits.
24 hour rotas available covering all periods?
5.2.2 Selection and screening
All persons undertaking, or having access to details of an assignment, keyholding and response duties should be selected and screened in accordance with BS 7858.
If employees are acquired through a take-over, the organization should satisfy itself that the recommendations of this subclause have been fully met.
They should also be able to demonstrate good reading, writing and verbal communication abilities.
Only persons of competence and integrity should be employed and a personal interview should be conducted to assess suitability.
Full pre-employment enquiries should be carried out to confirm an applicant’s identity and to ensure that they are suitably qualified.
Where night-time working is involved, prospective employees should be asked to confirm that there is nothing in their circumstances which would be detrimental to their working night shifts. Night-time workers should be offered the opportunity of a medical assessment.
Procedures should be in operation to monitor the health and physical ability of employees throughout their employment to ensure that they remain fit for the work for which they are being employed. A person whose duties are changed should undergo further physical tests as appropriate.
Employees whose duties may involve driving should be required to demonstrate that they are licensed to handle all relevant vehicles. Drivers' licences should be inspected every six months and the most up-to-date copy of the licence kept on file.
Are all persons undertaking or having access to details of an assignment, keyholding and response duties selected and screened in accordance with BS 7858?
Are employees acquired through a take-over screened in accordance with BS7858?
Are employees able to demonstrate good reading, writing and verbal communication abilities?
Are only persons of competence and integrity employed and is a personal interview conducted to assess suitability.
Are full pre-employment enquiries carried out to confirm an applicant’s identity and to ensure that they are suitably qualified.
Where night-time working is involved are prospective employees asked to confirm that there is nothing in their circumstances which would be detrimental to their working night shifts?
Are night-time workers offered the opportunity of a medical assessment?
Are there procedures in operation to monitor the health and physical ability of employees throughout their employment to ensure that they remain fit for the work for which they are being employed?
A person whose duties are changed do they undergo further physical tests as appropriate?
Employees whose duties may involve driving are they required to demonstrate that they are licensed to handle all relevant vehicles?
Are drivers' licences inspected every six months and the most up-to-date copy of the licence kept on file.
5.2.3 Health
Prospective employees should be required to submit details of their medical history prior to employment and should be able to demonstrate;
a) good general health;
b) good eyesight (including colour vision)
c) hearing and sense of smell.
In order to ensure that the physical condition of keyholding response officers remains compatible with the duties to which they have been assigned, documented procedures should be in place for performing routine health checks and reports. When the physical demands of a person’s duties change their physical condition and suitability should be reassessed as appropriate.
Are prospective employees required to submit details of their medical history prior to employment?
Are there documented procedures in place for performing routine health checks and reports?
When the physical demands of a person’s duties change is their physical condition and suitability reassessed?
5.2.4 Terms and conditions of employment
Employees should receive a written statement of the terms and conditions of their employment, which should include details of the following:
a) the job title
b) the effective start date;
c) probationary period, if required;
d) provisional period subject to vetting, if applicable;
e) pay and allowances;
f) hours and days of work’
g) leave entitlement;
h) conditions of payment during absence through illness; i) pension entitlement;
j) industrial injury procedures;
k) the address of the organization;
l) equipment supplied;
m) disciplinary and appeals procedures;
n) terms of notice of termination of employment;
Persons should not be required to work hours that could be detrimental to their health, safety or efficiency.
NOTE Attention is drawn to statutory requirements relating to employment and in particular to requirements relating to working time regulations [3]
Do personnel receive a written statement of terms and conditions of their employment, which include details of the above items?
Do personnel work excessive hours?
5.2.4 Terms and conditions of employment
Employees should receive a written statement of the terms and conditions of their employment,
which should include details of the following:
a) the job title
b) the effective start date;
c) probationary period, if required;
d) provisional period subject to vetting, if applicable;
e) pay and allowances;
f) hours and days of work’
g) leave entitlement;
h) conditions of payment during absence through illness;
i) pension entitlement;
j) industrial injury procedures;
k) the address of the organization;
l) equipment supplied;
m) disciplinary and appeals procedures;
n) terms of notice of termination of employment;
Persons should not be required to work hours that could be detrimental to their health, safety or
efficiency.
NOTE Attention is drawn to statutory requirements relating to employment and in particular to requirements relating
to working time regulation
Do personnel receive a written statement of terms and conditions of their employment, which include details of the above items?
Do personnel work excessive hours?
5.2.5 Disciplinary code

Employees should be instructed that the following (including the aiding and abetting of others) constitute a
breach of the terms and conditions of employment:

a) neglecting to complete a required task at work promptly and diligently, without sufficient cause;
b) leaving a place of work without permission, or without sufficient cause;
c) making or signing any false statements, of any description;
d) destroying, altering or erasing documents, records or electronic data without permission or
through negligence;
e) divulging matters confidential to the organization or customer, either past or present, without
permission;
f) soliciting or receipt of gratuities or other consideration from any person;
g) failure to account for keys, money or property received in connection with business;
h) incivility to persons encountered in the course of duties, or misuse of authority in connection with
business;
i) conduct in a manner likely to bring discredit to the organization, customer or a fellow employee;
j) use of uniform, equipment or identification without permission;
k) reporting for duty under the influence of alcohol or restricted drugs, or use of those substances
whilst on duty;
l) failure to notify the employer immediately of any;
1) conviction for a criminal and/or motoring offence;
2) indictment for any offence;
3) police caution;
4) legal summons;
5) refusal, suspension, withdrawal (revocation) or suspension of a Security ndustry Authority
(S A) licence.

m) permitting unauthorized access to a customer’s premises to any person;
n) carrying of equipment not issued as essential to an employee’s duties, or use of a customers
equipment or facilities without permission;
o) not maintaining agreed standards of appearance and deportment whilst at work.
NO E his list is not exclusive and does not necessarily include all actions that may also constitute criminal offences
Do personnel receive instruction that the above items (including the aiding and abetting of others) constitute a breach of the terms and conditions of employment?
5.2.6 Identification

Employees, who are required to be screened in accordance with 5.2.2 should be issued with an identity
card incorporating the following information:

a) the name, address and telephone number of the organization;
b) the name of the employee, employee number and employee’s signature;
c) the expiry date of the card (not more than 3 years from the date of issue);
d) a current photograph of the employee.

Employees should be required to carry their identity cards while on duty.

dentity cards should be formally withdrawn from employees renewing their cards or leaving the
organization, and destroyed in a secure manner.

A record of identity cards issued should be maintained. his record should also indicate the status and
location of withdrawn cards, e.g. whether they have been destroyed or lost, or where they are held by the
employee/organization.
NO E: Where a keyholding response officer is required to display a S A licence this does not negate the need for company
identificatio
Are all screened personnel issued with ID Cards?
Do identity cards contain the information as required in a) to d) above as a minimum?
Are employees required to carry their identity cards while on duty?
Are identity cards formally withdrawn from employees renewing their cards or leaving the organization, and destroyed in a secure manner?
Is a record of identity cards issued maintained?
Does this record indicate the status and location of withdrawn card?
5.3 Equipment and uniforms

5.3.1 Uniform

Unless otherwise requested by the customer, employees should wear the uniform supplied when on duty.

Employee uniforms should clearly display the insignia of the organization. Uniforms should be readily
distinguishable from those of the civil emergency services or armed forces.

Some clothing, such as high visibility jacket should be available to employees for use on occasions when
the employee is not in uniform and is required to respond to an emergency call. his clothing should
enable the employee to be clearly distinguished by the civil emergency services or armed forces.

The organization should ensure that uniforms are periodically cleaned and renewed.
Are uniforms supplied and worn whilst on duty?
Do uniforms display the organization’s insignia?
Are uniforms distinguishable from those of the civil emergency services or armed forces?
Is clothing, such as a high visibility jacket, available to employees for use on occasions when the employee is not in uniform and is required to respond to an emergency call?
Does the organization ensure that uniforms are periodically cleaned and renewed?
5.3.2 Vehicles

Unless they are involved in covert operations or otherwise excepted under contract, operational vehicles
should clearly display the organization’s name, badge or logo, and telephone number.

Operational vehicles should:

a) be appropriate for the intended use;
b) carry a two-way communication device;
c) be inspected by the organization at least once per month to ensure that they are roadworthy;
d) be serviced regularly, in accordance with the manufacturer’s instructions;
e) have any damage repaired as soon as possible;
f) be kept clean and tidy

Vehicles being used as a secure facility should conform to clause 6.8.4
Do operations vehicles clearly display the organization’s name, badge or logo, and telephone number (unless as excluded above)?
Are operational vehicles compliant in relation to items a) to f) above?
5.3.3 Other equipment

All equipment used by employees or supplied to a customer should be appropriate for the intended use, in good working order and maintained regularly.

Timing devices should be calibrated regularly (see 5.3.4).
Is all equipment used by employees or supplied to a customer: a) appropriate for the intended use? b) in good working order? and c) maintained regularly?
Are timing devices regularly calibrated?
5.3.4 Equipment records
Records should be kept of all equipment issued. Employees should be required to sign for equipment and
uniforms received and to give an undertaking to return equipment on termination of employment.
Records of equipment calibrated and/or repaired should be kept and maintained for at least 12 months.
Records of vehicle maintenance and repair should be kept for the period of ownership of the vehicle.
Is a record maintained of all equipment issued?
Are employees required to sign for equipment and uniforms received?
Are records of equipment calibrated and/or repaired, retained and maintained for at least 12 months?
Are employees required to give an undertaking to return equipment on termination of employment?
Are records of vehicle maintenance and repair kept for the period of ownership of the vehicle?
5.4 Training

5.4.1 General

The organization should have a clearly defined and documented training policy.
Is a training policy clearly defined and documented?
5.4.2 Induction training

The organization should provide induction training in matters related to conditions of employment and
organizational procedures for all employees. his induction training would be additional to the basic job
training described in 5.4.3. nduction training should be completed before the response officer is
appointed to an assignment.

Note: he content and duration of induction training are left to the discretion of the organization.
Does the organization provide induction training in matters related to: a) conditions of employment? b) organizational procedures for all employees?
Is induction training completed prior to appointment to assignment?
5.4.3 Basic job training

Basic job training should be provided for all employees engaged in response duties, whether full-time or
part-time, including seasonal and casual employees.

Basic job training should be provided prior to commencement of operational duties.

raining should be provided by sector-competent, qualified training persons, in a room that is adequately
equipped and conducive to effective learning. raining should last at least5 32 hours, including
examination and should cover the following core subjects:

a. introduction to the security industry and the roles and responsibilities of security officers;
b. patrolling
c. control off access and egress;
d. searching
e. security and emergency systems
f. fire safety;
g. health and safety at work;
h. the law;
i. emergencies
j. customer care and social skills;
k. communication and reporting
l. equality and diversity
m. communication skills and conflict management.

When the training period is complete, the trainee should take a written examination comparable with a
national recognized qualification which meets minimum core competency as set by the Sector Skills Body
(SSB).
Does the organization provide basic job training for all employees engaged in response duties, whether full-time or part-time, including seasonal and casual employees?
Is basic training completed prior to appointment to commencement of operational duties?
Is training provided by sector-competent, qualified training persons, in a room that is adequately equipped and conducive to effective learning?
Does training last at least 32 hours and cover the core subjects as above?
Does the trainee take a written exam comparable with a national recognized qualification?
5.4.4 Keyholding and response officer training
raining should last a total of at least 16 hours in addition to the basic job training (see5.4.3) including an
examination, and should cover the following core subjects:
a) roles and responsibilities
b) health ad safety issues relevant to the activities of a keyholding response officer;
c) assessing risks associated with entering sites and premises;
d) legislation, regulation and codes of practice relevant to keyholding and response, particularly
Association of Chief Police Officers (ACPO), Chief Fire Officers Association (CFOA) and local police
policy;
e) management of keys;
f) operating and interrogating alatm panels to locate cause of alarm;
g) maintaining the security of premises;
h) preserving potential evidence;
i) reporting and documentation requirements relevant to response visits;
j) navigational skills.

During the first three months of employment, the competence of the response officer should be assessed by a suitably qualified or experience supervisor or manager against performance criteria comparable with the core competencies as defined by the SSB.
Does the training last a total of at least 16 hours in addition to the basic job training?
Is there an examination?
Does the training and instruction of response centre staff include the items as above?
Does the training cover the core subjects above:
5.4.5 Response centre training

raining and instruction of response centre staff should include the following:

a. outline of response centre operation;
b. detailed explanation of duties;
c. radio and telephone procedures;
d. documentation and recording procedures;
e. emergency procedures;
f. location and use of response centre records;
g. explanation of keyholding response officers’ rosters;
h. explanation of response centre staff rosters;
i. collation and provision of information about response events;
j. allocation of resources for keyholding response.
5.4.6 Takeovers
If employees are acquired through a takeover, the organization should identify their training needs and
address them with a specific training policy. his policy should take practical work-related experience as
well as qualifications into consideration. Employees acquired through takeover should not be exempt from the induction training described in 5.4.2.
Do any current employees fall within the above criteria?
Were the training needs of these individuals identified and addressed?
Was induction training provided in any event?
5.4.7 Refresher training

The effectiveness of all employees should be continuously monitored. f the effectiveness of an employee is found to be unsatisfactory refresher or remedial training should be provided by suitably qualified persons as soon as practicable.
By what method is the effectiveness of all employees monitored?
Where the training needs of these individuals is identified, is training provided?
5.4.8 Contingency training

If there is a change in methods, procedures or legislation, keyholding response officers should be retrained
to a proficient level by suitably qualified personnel. f practicable, training should take place before change is implemented.
Where there is a change in methods, procedures or legislation, are keyholding response officers re-trained to a proficient level by suitably qualified personnel?
Where the lack of training before implementation of the change would have a major impact on the operation, did training take place before change was implemented?
5.4.9 Vocational training
Keyholding response officers should be encouraged to achieve recognized formal qualifications in addition
to basic job training, in security disciplines, e.g. qualifications based on the appropriate national
occupational standards.
Are formal qualifications are offered by the organization to keyholding response officers?
5.4.10 Training records
All training provided and qualifications achieved should be accurately recorded on a form specific for the
purpose, signed by the trainee, countersigned by the trainer and retained. Where a certificate of
competence is provided by a recognized and relative sector competent training organization, a copy should be retained.
Are Training Records maintained that comply with the above requirements? (Note: Records of External Training will not normally have signature of Trainee)
Are Training Records reviewed annually by the organization?
5.5 Suppliers

5.5.1 Suppliers of subcontract labour
The organization should obtain the customer’s agreement on conditions for the use of suppliers of
subcontract labour for undertaking the duties of keyholding response officers, and controllers.
Employees of a supplier of subcontract labour should also follow the recommendations given in 5.1, 5.2
5.3, 5.4, 5.5 and, 5.6. he organization should satisfy itself that these recommendations have been
followed.
Does the organization use sub-contract labour?
By what method is the customer’s agreement obtained for the use of subcontract labour?
Do the requirements of clauses 5.3, 5.4, 5.5 and 5.6 cover subcontractors?
5.5.2 Qualifications of suppliers’ personnel
he organization should satisfy itself that suppliers’ personnel who have access to a customer’s site and/or
confidential records;

a. are satisfactorily screened in accordance with BS 7858;
b. are satisfactorily experienced and trained to undertake the work involved (see 5.4)
c. are adequately insured;
d. have individually signed a confidentiality agreement relating to the disclosure of the customer’s
and the organization’s confidential information and/or material;
e. agree to report immediately to the organization any alleged or actual contravention of the law;
f. are appropriately licensed by the S A.
Evidence of items a. to f. above should be retained by the organization.
Are subcontract personnel: a. screened in accordance with BS7858 b. satisfactorily experienced and/or trained to undertake the work involved? c. adequately insured? d. required to have individually signed a confidentiality agreement relating to the disclosure of the customer’s and the organization’s confidential information and/or material? e. required to report immediately to the organization any alleged or actual contravention of the law? f. Appropriately licensed by the SIA
Are records maintained of the above?
5.6 Documents and data
Separate records (hardcopy or electronic) should be maintained for each customer, employee and
supplier.
The records should be held in a secure manner, but should be easily accessible to authorizedpersons who have been screened (see 5.2.2).
Amended and/or updated records should be identifiable by date and clearly distinguishable from
previous versions.
Information stored in an electronic retrieval system should be regularly backed-up. he back-up copies should be stored separately.
Archived records should be clearly indexed.
All records concerning a contract should be maintained for at least 12 months.

Such records should include:
a) all issues of assignment instructions;
b) key registers and incident reports;
c) details of persons deployed to the assignment.

An employee’s basic records (as detailed in BS 7858) should be kept for at least 7 years from the
cessation of their employment.
Are separate records (hardcopy or electronic) maintained for each customer, employee and supplier?
Are the records kept in a secure manner and only accessible to authorized personnel?
Are amended and/or updated records identifiable by date and clear distinguishable from previous versions?
Is information stored in an electronic retrieval system regularly backed up?
Are the back-up copies stored separately?
Are archived records clearly indexed?
Are records concerning a contract maintained for at least 12 months?
Do such records include: a) all issues of assignment instructions? b) Key registers and incident reports? c) Details of persons deployed to the assignment?
A employee’s basic records (as per BS 7858) kept for at least 7 years from the cessation of their employment?

6 SERVICE

6.1 Sale of Services
6.1.1 Contacting prospective customers

When making calls to potential customers in order to promote keyholding and response services, callers
should identify themselves and their organization, by their identification card if calling in person, and
should make clear the purpose of the call at the start of the conversation. hey should enquire whether the
timing of the call is convenient. Calls should not be made later than 21.00, unless by invitation. Telephone
callers should not ask customers for details of their existing keyholding arrangements.
When making calls to potential customers, do callers: i. identify themselves and the organization? ii. produce an ID card if calling in person? iii. make clear the purpose of the call at the start of the conversation? iv. enquire if the timing of the call is convenient? v. ensure calls are made before 21.00, unless by invitation? vi. never ask customers for details of their existing security arrangements?
6.1.2 Customer information
Organizations should provide potential customers with the following basic information, which may take the form of a brochure:

a) the name, address(es) and telephone number(s) of the organization;
b) the names of principal(s) of the organization and contact name(s) for further information;
c) details of trade association membership, claims of compliance with industry standards, and/or
details of certification by a UKAS-accredited (United Kingdom Accreditation Service) certification body and SIA Approved Contractor Scheme status;
d) the registered number, address and date of registration, if the organization is incorporated;
e) any previous name(s) of the organization
f) the details of any parent organization (e.g. immediate holding company) or ultimate holding
company;
g) details of officer uniforms and equipment, and identifying insignia;
h) details of the communication systems used by personnel on duty.

If requested by a potential customer, the organization should supply additional information as follows:

a) terms and conditions of employment of keyholding response officers;
b) the type and extent of insurance cover;
c) reference sources for details of previous or current work carried out by the organization;
d) organization chart, and details of the number of employees, employee qualifications and number
of personnel on supervisory duties alone.
Does the Organizations provide potential customers with the following basic information (Note may take the form of a brochure): a) the name, address(es) and telephone number(s) of the organization? b) the name(s) of the principal(s) of the organization and contact name(s) for further information? c) details of uniforms and equipment, and identifying insignia? d) details of the communication systems used by personnel on duty e) details of trade association membership? f) claims of compliance with industry standards, and/or details of certification by a UKAS-accredited certification body and SIA Approved Contractor Scheme status? g) if the organization is an incorporated company the registered number, address and date of registration? h) Any previous name(s) of the organization? i) the details of any parent organization (e.g. immediate holding company or ultimate holding company)?
If requested by a potential customer, does the organization supply additional information as follows: 1) terms and conditions of employment of a security officer on guarding duties? 2) the type and extent of insurance cover? 3) reference sources for details of previous or current work carried out by the organization? 4) an organization chart, and details of the number of employees, employee qualifications, and number or personnel on supervisory duties alone?
6.1.3 Quotations

A clear written contract should be provided by the organization. f the quotation is accepted by the
customer, it should form part of the contract (see 6.2). he quotation document should state:

(a) the terms and conditions under which the work would be carried out;
(b) the total costing for the service and the arrangements for payment;
N6.1.3 Quotations

A clear written contract should be provided by the organization. f the quotation is accepted by the
customer, it should form part of the contract (see 6.2). he quotation document should state:

(a) the terms and conditions under which the work would be carried out;
(b) the total costing for the service and the arrangements for payment;
NOTE 1 Costing can include information on the gross pay of personnel
(c) the contract period, along with the procedures for termination of the contract and reference to any
exclusion, penalty clauses or other restrictions;
NOTE 2 he contract might not necessarily be for a specified period, but can take the form of a temporary works order.
(d) he liabilities of the organization, which should not be unlimited, other than by law;
(e) Details of the customer’s requirements, derived from an initial site Audit (6.3) or from the
customer’s written instructions, and including clear cross-reference to any separately documented
requirements or instructions;
(f) Arrangements for statutory holidays;
(g) he obligations of the organization to the customer, including the expected response to events E 1 Costing can include information on the gross pay of personnel
(c) the contract period, along with the procedures for termination of the contract and reference to any
exclusion, penalty clauses or other restrictions;
NOTE 2 The contract might not necessarily be for a specified period, but can take the form of a temporary works order.
(d) he liabilities of the organization, which should not be unlimited, other than by law;
(e) Details of the customer’s requirements, derived from an initial site Audit (6.3) or from the customer’s written instructions, and including clear cross-reference to any separately documented requirements or instructions;
(f) Arrangements for statutory holidays;
(g) he obligations of the organization to the customer, including the expected response to events
(including response times), provision of specialist advice or duties (e.g. areas specifically to be
inspected and any limitations) and reference to any relevant British Standards;
(h) he obligation of the organization to maintain confidentiality with respect to information obtained
whilst tendering for or fulfilling a contract;
(i) hat the organization cannot enter into any commitment which would involve assuming the
powers of the civil police;
(j) he obligation of the customer to identify and consult with the organization on any specific health
and safety requirements that apply, during the period of the contract;
(k) he obligation of the customer to provide and/or maintain any specified item or service, which the
customer has agreed to provide and which is necessary for fulfilling the assignment.
(l) he obligation of the customer to satisfy themselves that if an external key storage facility at the
customer premises (See 6.9) is to be used that this method of storage is acceptable to their
insurers;
(m) he means for reporting and exchanging operational information, including specified contingency
plans;
(n) hat keys will be immediately surrendered to an authorized representative of the customer if
requested by the customer in writing;
(o) the period of retention and method of disposal of any keys that are unclaimed on cessation of a
contract;
(p) that keyholding and response services can be provided simultaneously for a number of customers,
and that, accordingly, interruptions or delays can occur if an event occurs at the premises of another customer during the course of a keyholding response officer's duties.
Is a clear written quotation provided by the organization?
Does the quotation document include the items as above?
6.2 Contracts
The customer should be asked to sign either:
a) a form of acceptance indicating that they have read and understood the quotation, terms and
condition; or
b) a contract document referring to the quotation, terms and conditions.

The contract should be agreed and exchanged before work commences, or, in cases of great urgency, as
soon as practicable.

If the customer is reluctant to enter into a written contract, a copy of the quotation, terms and conditions
should be sent to the customer, with a letter stating that in the absence of indication to the contrary, the
terms and conditions of the organization apply to the work.

If the quotation, terms and conditions are accepted but include amendments or optional extras, the
organization should confirm in writing the agreed changes within seven days.

An authorized person from the organization and of the customer should sign the agreed contract and a
copy should be kept. he contract should be either agreed and exchanged before work commences or, in
cases of great urgency, as soon as is practicable.

Any changes to the contract should be agreed in writing by the customer and the organization.
Is a form of acceptance or a contract document signed by an authorized person within the organization and a copy retained?
Is a form of acceptance or a contract document signed by an authorized person within the organization and a copy retained?
In cases where the customer is reluctant to enter into a written contract, is a copy of the contract sent to the customer, with a letter stating that in the absence of indication to the contrary, the terms and conditions of the contract will apply to the work?
If the quotation, terms and conditions are accepted but include amendments or optional extras, does the organization confirm in writing the agreed changes within seven days.
Are contracts signed by an authorized person within the organization and a copy retained?
Are changes to the contract agreed in writing by the customer and the organization?
6.3 Initial site Audits
Prior to commencement of a service, the organization should undertake an initial site Audit. A report
should be made, identifying any health and safety and security risks that keyholding response officers could face in carrying out the service, and providing information useful for production of assignment
instructions.
NOTE Attention is drawn to the requirements of the Health and Safety at Work Act 1974 [4].
A competent person should conduct initial site Audits, and records should be maintained to confirm that all relevant aspects have been considered. If possible, the report should form part of the proposal to the
customer; however, it should be made clear that it is not intended to be a full assessment and
recommendation for the overall security of the site.
If the customer declines to have initial site Audits conducted, a letter should be obtained, or notes from a
meeting with the customer should be produced, confirming this. In these cases, an assessment should be
made by the organization to ensure that health and safety requirements are complied with.
Where existing assignments are taken over, the organization should discuss with the customer and the
previous service provider any implications with respect to current employment legislation.
Prior to commencement of a service, are initial site audits undertaken?
Are initial site Audits carried out by a competent person?
Are records maintained (Site Audit Record) to confirm that all relevant aspects have been considered?
Does the report form part of the proposal to the customer and does it clarify that it is not intended to be a full assessment and recommendation for the overall security of a site?
Where the customer declines to have initial site Audits conducted, is a letter obtained, or notes from a meeting with the customer produced confirming this?
In such cases, is an assessment made by the organization to ensure that health and safety requirements are complied with?
Where existing assignments are taken over, does the organization discuss with the customer and the previous service provider any implications with respect to current employment legislation?
6.4 Keyholding and response to events
6.4.1 General
The organization should respond in accordance with the contract they have with the customer. The date and time of notification of an event should be recorded, and from whom it was received. There should also be a record of the responding officer.
Does the organization respond in accordance with the contract with the customer?
Is the following recorded? a) date and time of notification of an event b) from whom received c) the name(s) of the responding officer(s)
6.4.2 Keyholding response officers

Keyholding response officers should be in possession of up-to-date assignment instructions when
responding to an event.

Keyholding response officers should make check calls to the, where applicable, details of the next premises or location to be visited. In all circumstances a check call should be made at least once per hour.
Where electronic check calls are made they should be made by a secure method that identifies the
individual.

Upon completion of an event a record should be mad by either the keyholding response officer, or the
response centre, as appropriate, and should include the following;
a) location of the event;
b) Date and time of arrival at and departure from the event;
c) Details of the event;
d) Action taken;
e) Name and addresses of persons present at the event;
f) Authorization to depart

The keyholding response officer should not leave the location of the event until authorized.
Are keyholding response officers in possession of up-to-date assignment instructions when responding to an event
Do keyholding response officers make check calls to the response centre on arrival and departure?
Is their location and details of the next premises to be visited given to the response centre?
In all circumstances, are check calls made to the response centre at least once per hour?
Where electronic check calls are made is there a secure method that identifies the individual?
Upon completion of an event, is a record made that includes the items above as a minimum?
6.4.3 Follow-up

Procedures should be in place setting out how the organization follows up events.
Are procedures in place for the follow up of events?
6.5 Key management
6.5.1 General

Procedures should be in place to ensure the security and disposal of the keys, and that records are
maintained (see 6.7.6).

An effective management audit system should be in place to verify that the recommendations of 6.5 have
been followed.
Are procedures in place for the security and disposal of keys?
Are records maintained?
Are audits undertaken by management to ensure that these procedures have been followed?
6.5.2 Initial receipt of keys

A receipt should be made out for the key provided by a customer for keyholding services. Receipts should
detail the date and time of the exchange and the person receiving the keys, together with a description of
the keys. Receipts should be signed and a copy provided to the customer.

Keys should be deposited within a secure facility (see 6.8) without delay and not left unattended during
transit.
Are receipts made out for key(s) provided by a customer for keyholding service?
Do receipts detail the date and time of the exchange and the person receiving the keys, together with a description of the keys?
Are receipts signed and a copy provided to the customer?
Are keys deposited without delay and kept within a secure facility (refer to clause 6.8)?
Are keys not left unattended during transit?
6.5.3 Control of keys
Within the response centre or secure facility each set of keys should be securely controlled to prevent
unauthorized access in a manner that prevents misuse. Keys should be kept sealed; the seal should be
uniquely numbered and the number recorded in the key register.
A record of keys issued and received should be maintained and stored securely (see 6.7.6).
Where keys are managed by the organization, but not solely for its use, a register describing the keys and
their status and location should be maintained.
When not in use, keys should be kept within a response centre or secure facility located within the premises owned or leased by the organization (to which access is restricted to the organization’s employees). If the secure facility is within a vehicle, the vehicle should be protected as described in 6.8.4.
Each set of keys should be stored ready for Audit at all times. he set of keys should be uniquely numbered
and the number recorded in a key register (see 5.6b). Keys should be coded in a manner that does not
indicate directly the name and address of the site to which they belong.
Addresses relating to the key codes should be recorded in the key register. When not in use, the key
register should be kept within another area within the secured facility. At least weekly, the organization’s
management should confirm that the stored keys match the key register and that all movements have been properly recorded. Where keys are held which are not in regular use (i.e. daily or weekly), these should be kept in a manner which would indicate any use, such as a separate key cabinet which is additionally secured with a security seal.
NOTE During the weekly check, the management would only need to check the security seal and not each individual key, unless the seal has been broken.
At least quarterly, the management should break the seal and confirm that all stored keys match the key
register. he organization should confirm and record that this procedure has been carried out.
Keys should be kept in a secure manner within a vehicle safe.
Keys fixed to a carrying device should remain in the possession of the keyholding response officer during
the attendance of an event.
If the keys are kept in a vehicle safe (see 6.8.4) the vehicle should be locked when not occupied.
When the vehicle is not operational, keys should not be kept within it.
At the end of each assignment, keys that have been issued should be returned and inspected to ensure that the keys remain securely affixed.
All key movements in and out of storage should be recorded in the key register.
Within the response centre or secure facility, is each set of keys securely controlled to prevent unauthorized access?
Are physical keys sealed?
Are seals uniquely numbered and the number recorded in the key register?
Is a record of keys issued and received maintained and stored securely (see 6.7.6)?
Where keys are managed by the organization, but are not solely for its use, is a register describing the keys and their status and location maintained?
When not in use, are keys kept within a response centre or secure facility located within the premises owned or leased by the organization?
If the secure facility is within a vehicle, is the vehicle protected as described in 6.8.4?
Is each set of keys stored for Audit at all times?
Are the keys uniquely numbered and the number recorded in the key register?
Are the keys coded in a manner that does not indicate directly the name and address of the site to which they belong?
Are addresses relating to the key codes recorded in the key register?
When not in use, is the key register kept within another area within the secured facility?
At least weekly does the organizations management confirm that the stored keys match the key register?
Are all movements properly recorded?
Where keys are held which are not in regular use (i.e. daily or weekly) are they kept in a manner which would indicate any use, such as a separate key cabinet?
Is the separate key cabinet additionally secured with a security seal?
At least quarterly do the management break the seal and confirm that all stored keys match the key register?
Does the organization confirm and record that this procedure has been carried out?
Are keys kept in a secure manner or within a vehicle safe?
Do keys fixed to a carrying device remain in the possession of the keyholding response officer during the attendance on an event?
If the keys are kept in a vehicle safe (see 6.8.4) is the vehicle locked when not occupied?
When the vehicle is not operational, keys should not be kept within it. Is this the case?
At the end of each assignment are keys that have been issued returned and inspected to ensure that the keys remain securely affixed?
Are all key movements in and out of storage recorded in the key register?
6.5.4 Returning and disposal of keys
The organization should surrender any of the customers’ keys to the customer when requested to do so, in
writing or via facsimile, or upon termination of the contract.
Keys should be returned in one of the following ways:
a) the customer’s representative calling at the organization’s office by prior appointment;
b) by a postal or courier service providing for signed and dated delivery, collection and full
tracking of consigned packages;
c) by special arrangements set up by the customer in conjunction with senior management of the
organization.
If keys are unclaimed at the end of the contract, their period of retention and method of disposal should be recorded.
If keys held by the organization are unclaimed on cessation of a contract, their period of retention and
method of disposal should be recorded and the record retained for seven years.
When requested to do so, in writing or via facsimile, or upon termination of the contract, does the organization surrender the customers’ keys back to the customer?
Are keys returned in one of the above ways:
If keys are unclaimed at the end of the contract, is their period of retention and method of disposal recorded?
If keys held by the organization are unclaimed on cessation of a contract, is their period of retention and method of disposal recorded and the record retained for seven years?
6.6 Assignment instructions
Assignment instructions for all duties associated with keyholding and response services should be agreed
and approved by the organization and customer, and should be available at the start of the contract.
Assignment instructions should be agreed with the customer, and a date set for a review. Reviews of the
assignment instructions should be carried out at regular intervals not exceeding 12 months. Permanent alteration to the instructions resulting in changes of staff or operational requirements should be agreed
between the organization and customer. Any amendments to the instructions should be recorded.
emporary alterations to the instructions should be recorded in the assignment documentation.
Assignment instructions should be readily available to personnel on duty. Emergency and site information
should be immediately available in the response centre. Assignment instructions should be held in the
secure facility (see 6.8). Copies of operational assignment instructions issued to keyholding response
officers should not include the premises’ address or other means of site identification.
Keyholding response officers and other security staff should be familiar with assignment instructions and
operational practices. Assignment instructions should include, though not be limited to, details of the
following;
a) service provided;
b) description of premises;
c) hazardous conditions (Health and Safety Assessments);
d) agreed means of access;
e) method of operating/re-setting alarm;
f) areas of Audit;
g) location of main services;
h) contingency plans.