Level 2 Audit

• Site Name

• Location Mapping
  Address

• Conducted on

  Date

• Prepared by

• Name of site personnel supporting audit

1.0 EMPLOYEES

• 1.1 - Are all employees dressed in accordance to site requirements and standards?

  Yes

  No

  N/A

• 1.2 - Are all employees smart and presentable?

  Yes

  No

  N/A

• 1.3 - Are all employees holding company ID card that is in date?

  Yes

  No

  N/A

• 1.4 - Are the employees valid ID cards signed?

  Yes

  No

  N/A

• 1.5 - Are all employees displaying or holding the appropriate license for the country?

  Yes

  No

  N/A

2.0 SECURITY BASE

• 2.1 - Is the security base clean, tidy and free of offensive materials?

  Yes

  No

  N/A

• 2.2 - Is the security base free from any unauthorised TV's, personal laptops or tablets devices?

  Yes

  No

  N/A

• 2.3 - Is all equipment used by employees working correctly?

  Yes

  No

  N/A

• 2.4 - Is there sufficient company stationary available (DOB's & Incident Report Forms)

  Yes

  No

  N/A

3.0 SITE OPERATING INSTRUCTIONS

• 3.1 - Is there a hard copy of the Standard Operating Procedures(SOPs) or Assignment Instructions on-site and available for employees to review?

  Yes

  No

  N/A

• 3.2 - Are the SOPs or Assignment Instructions signed by the client and in date within the last 12 months?

  Yes

  No

  N/A

• 3.3 - Is the Daily Occurrence Book or Assignment Log being completed in accordance with site SOPs?

  Yes

  No

  N/A

• 3.4 - Are manning levels detailed in the roster correct to actual schedule for the day?

  Yes

  No

  N/A

• 3.5 - Is there a in date copy of the liability insurance certificate on display or in the Assignment Instructions?

  Yes

  No

  N/A

• 3.6 - Are the SOP's signed and dated by the employees on duty to confirm their understanding of them?

  Yes

  No

  N/A

• 3.7 - Where any changes have been made to the SOPs or Assignment Instructions have the appropriate local approved amendment procedure been followed?

  Yes

  No

  N/A

• 3.8 - Are all shift duties less than 13 hours duration?

  Yes

  No

  N/A

4.0 EMPLOYEE TRAINING RECORDS

• 4.1 - Is there a Employee Training Record folder for all the employees that are on duty?

  Yes

  No

  N/A

• 4.2 - Select one employee training records and confirm that Section 1 Employee Data / Review Summary is complete and signed off correctly?

  Yes

  No

  N/A

• 4.3 - Select one employee training records and confirm that Section 2 Job Description is complete and signed off correctly?

  Yes

  No

  N/A

• 4.4 - Select one employee training records and confirm that Section 3, Phase 3 Site Induction is complete and signed off correctly?

  Yes

  No

  N/A

• 4.5 - Select one employee training records and confirm that Section 4, Phase 4 Competency Assessment is complete and signed off correctly?

  Yes

  No

  N/A

• 4.6 - Select one employee training records and confirm that Section 5, GSK Site Specific Training requirements (myLearning) is complete and signed off correctly?

  Yes

  No

  N/A

• 4.7 - Is the Site Training Matrix correct to employee training records?

  Yes

  No

  N/A

• 4.8 - Where required within each training section are the relevant certificates available in section 7?

  Yes

  No

  N/A

• 4.9 Is there relevant driver mandates in place for employees that use the company vehicle?

  Yes

  No

  N/A

5.0 CCTV COMPLIANT / GDPR

• 5.1 - Is CCTV being operated in accordance of local law.

  Yes

  No

  N/A

• 5.2 - Are the employees aware of 3rd Party disclosure? [Ask them to explain the basic principles]

  Yes

  No

  N/A

• 5.3 - Are staff checking that the playback recording on the CCTV system is working each day?

  Yes

  No

  N/A

• 5.4 - Is there a GSK Privacy Notice for visitors to site?

  Yes

  No

  N/A

• 5.5 - Is there signage displayed informing visitors that CCTV is in use on site?

  Yes

  No

  N/A

6.0 RECORDING AND REPORTING

• 6.1 - Are all employees signing in and out on the DOB, when either going out on patrol or leaving the security base?

  Yes

  No

  N/A

• 6.2 - Are employees working hours for the day as per the sites assignment instructions?

  Yes

  No

  N/A

• 6.3 - When checking the DOB are all under manning or late arrivals being recorded [check last 3 days]?

  Yes

  No

  N/A

• 6.4 - Is a recent incident report presentable and legible with all relevant information?

  Yes

  No

  N/A

• 6.5 Are all Employees signing in the daily occurrence book to confirm their attendance on site?

  Yes

  No

  N/A

• 6.6 Are shift handover checks taking place, to monitor and record security equipment faults etc.

  Yes

  No

  N/A

7.0 KEY MANAGEMENT

• 7.1 - Is the key cabinet locked and the key removed?

  Yes

  No

  N/A

• 7.2 - Is the key cabinet secured to the wall?

  Yes

  No

  N/A

• 7.3 - Are keys held against the key register correct to the key cabinet?

  Yes

  No

  N/A

• 7.4 - Is the key log completed inline with site SOPs?

  Yes

  No

  N/A

• 7.5 - Are key hand-overs recorded in the DOB?

  Yes

  No

  N/A

• 7.6 - Are the keys identified with a tag number?

  Yes

  No

  N/A

• 7.7 - Does the key register and key log indicate how many keys are on a set?

  Yes

  No

  N/A

• 7.8 - Does the key register indicate who is authorised to withdraw key?

  Yes

  No

  N/A

8.0 BOOKING ON & OFF DUTY

• 8.1 - Is the site using an automated Tele-contact system to monitor attendance to site?

  Yes

  No

  N/A

• 8.2 - Are checks calls being completed in accordance with company policy?

  Yes

  No

  N/A

• 8.3 - Does the employee know the company duress procedure?

  Yes

  No

  N/A

• 8.4 - Does the site have a Panic or Duress button located near to their operational base?

  Yes

  No

  N/A

• 8.5 - If " Yes", is the Panic / Duress button tested?

  Yes

  No

  N/A

• 8.6 - If "Yes", is the testing recorded in the Daily Occurence Book or register

  Yes

  No

  N/A

9.0 INSPECTION PATROLS / DUTIES

• 9.1 - Are the correct number and types of patrols being conducted and recorded in the DOB as per the site Instructions?

  Yes

  No

  N/A

• 9.2 - Are the patrols recorded in the DOB correct to either CCTV evidence or card activity reports?

  Yes

  No

  N/A

• 9.3 - Does the patrolling officer have the correct Personal Protective Equipment to carry out their duties safely?

  Yes

  No

  N/A

10.0 HEALTH AND SAFETY

• 10.1 - Does the site have a Preliminary Check List that details the associated health & Safety risks for the site?

  Yes

  No

  N/A

• 10.2 - Does the site have a Health & Safety Risk Assessment covering the highlighted risks from the Preliminary Check List available for employees to review?

  Yes

  No

  N/A

• 10.3 - Are the health & safety risk assessments in date [i.e. reviewed within last 12 months]?

  Yes

  No

  N/A

• 10.4 - Where local law requires Is there a copy of the Health & Safety Executive risk policy for the site on display for employees to read?

  Yes

  No

  N/A

11.0 SITE EMERGENCY RESPONSE

• 11.1 -Does the site have the capability to lock down and secure access & egress points (I.e., Turnstiles, Doors, Vehicle Gates etc) via an emergency physical switch/button or through the use of the access control systems, in case of an emergency?

  Yes

  No

  N/A

• 11.2 - If "Yes", is the lockdown procedure and the process to return the site to normal status tested on a monthly basis?

  Select Yes No N/A

  • Yes
  • No
  • N/A

• 11.3 - If "Yes", are the results recorded on the Daily Occurrence Book or Register to evidence the testing?

  Yes

  No

  N/A

• 11.4 - If "Yes", there a specific Standard Operating Procedure for the Lockdown and return to normal status in place?

  Yes

  No

  N/A

12.0 EMPLOYEES SITE KNOWLEDGE ASSESSMENT

12.1 - ASSESSMENT 1

• Check to ensure that the employee is fully conversant with the chosen security protocol by asking questions and checking supporting documentation.

• Enter the title of the process being reviewed

• Was the employee fully conversant with the chosen procedure?

  Good

  Adequate

  Deficient

  N/A

• Learning outcomes and actions

12.2 - ASSESSMENT 2

• Check to ensure that the employee is fully conversant with the chosen security protocol by asking questions and checking supporting documentation.

• Enter the title of the process being reviewed

• Was the employee fully conversant with the chosen procedure?

  Good

  Adequate

  Deficient

  N/A

• Learning outcomes and actions

12.3 - ASSESSMENT 3

• Check to ensure that the employee is fully conversant with the chosen security protocol by asking questions and checking supporting documentation.

• Enter the title of the process being reviewed

• Was the employee fully conversant with the chosen procedure?

  Good

  Adequate

  Deficient

  N/A

• Learning outcomes and actions

• Audit Rating

  Select 5 Star (>97%)- Key risks are well managed 4 Star (85% - 97%) - Key risks are well managed, except for the issues noted 3 Star (75% - 84%) - Most key risks are adequately managed, except for issues noted 2 Star (60%-74%) - Certain key risks are not adequately managed. 1 Star (<59%) - Key risks are not adequately managed.

  • 5 Star (>97%)- Key risks are well managed
  • 4 Star (85% - 97%) - Key risks are well managed, except for the issues noted
  • 3 Star (75% - 84%) - Most key risks are adequately managed, except for issues noted
  • 2 Star (60%-74%) - Certain key risks are not adequately managed.
  • 1 Star (<59%) - Key risks are not adequately managed.

• 5 Star > 97% - Key risks are well managed.

• 4 Star 85% - 96% - Key Risks are well managed, except for the issues noted.

• 3 Star 75% - 84% - Most key risks are adequately managed, except for the issues noted.

• 2 Star 60% - 74% - Certain key risks are not adequately managed

• 1 Star <59% - Key Risks are not adequately managed

CONFIRMATION

• Name of employee supporting audit review

• Signature

  Sign

• Name of manager conducting audit review.

• Signature

  Sign