Attachment 33-Lock Key Mgmt..pdf

SUBJECT:

SOP#:

OFFICE OF ARTESIA OPERATIONS (OAO)

omelan Sec rity

§'f ANDA RID OPERA 1r

PR OClE ]O) [JJR 18§

Lock Hardware and Key Management Program

403 DATE ISSUED: 11/20()5

REMARKS: EFFECTIVE:

G

1. INTRODUCTION:

Responsibility for Office of Security (OSPR). The OAO has experienced tremendous facilities grm,vth in recent years and the increasing number of facilities, relocations of existing staff and assignment of new staff to office space along with the high volume of lock hardware changes and key requests has made single point lock hard,vare and key management impractical.

2. PURPOSE:

Key management is a responsibility of all staff who are assigned keys. Lock hardware control is the responsibility of the organization head in charge of the respective functional area. In order to provide more effective control and accounting of lock hardware and keys, each CAO Division, Branch and Partner Organization must participate in documentation, distribution, recovery and control of locks hardware and keys in their functional areas. The purpose of this Standard Operating Procedure (SOP) is to establish an effective program.

3. REFERENCES:

a. FLETC Directive 71-01, · Access Control

b. FLETC Directive 70-07.A, Space Assignment and Utilization

c. FLETC Directive 71-11, Building/ Area Security & Access

OAO Lock Harclwate and Key Management Program SOP 8/26/05

g. Key lDiupllicatio:n -The fabrication of any instrument out of any material designed to open any lock is considered key duplication. OAO facm.ty lk:eys sure to be dMplicated only by submission of appl!'oved iLock Ha.:rdlwa:re and Key Requests illl accordance with this SOP. The only exceptions to this are Dormitory student iroom keys which are managed by the Dormitory service contractor.

h. JK.ey Security - Key security is the physical control of all keys to any OAO facility in a manner that prevents loss, unauthorized use, unauthorized duplication and includes active participation in accounting for OAO facility keys.

i. Functional Area - Functional areas within organizations are unilaterally determined by the OAO Deputy Assistant Director, Division Chiefs and Heads of Partner Organizations.

j. Departure - Departure includes transfer, reassignment, retirement, termination and any other action that results in any person leaving a functional area.

k. Key Custodian - Key Custodians are those individuals assigned lock hardware and key management responsibilities for a particular functional area.

t Lock Efa�dl.ware and Key Request Form - All requirements for lock hardware changes or additional keys are to be originated using the Lock Hardware ands Key Request form. This form is to be initiated by the requestor, processed by the Key Custodian and submitted through the chain of command for approval at the OAO Division Chief or Partner Organization Head level prior to forwarding to the MCB for action.

m. Key Function - Describes the office and/or area(s) to which a specific key will provide access.

n. Key Tags - Unassigned keys will be tagged in a manner that reflects the key function as OSPR maintains archived copies or originals.

6. Responsibilities:

a. OAO Deputy Assistant Director:

The OAO Deputy Assistant Director will ensure center-wide compliance with these procedures and guidelines. The OSPR is the approving official for replacement of lost or missing keys, replacement of master key systems, and ariy fiduciary charges that result from individual or organizational negligence in key management and accountability.

OAO Lock Hardware and Key Management Program SOP

b. OAO JDivnsimll.s and Btaneb.es:

OAO Divisions and Branch Chiefs will be responsible for overseeing the implementation of these procedures and guidelines. Periodic checks v,.rill be made to ensure compliance with this SOP. Each Division or Branch will determine the appropriate functional area(s) and delegate lock hardware and key management responsibilities to identified individuals (Key Custodians) in each functional area or office. This will be accomplished in a manner which ensures that locks and keys to all OAO facilities used by a particular FLETC OAO organizational element has been properly accounted for pursuant to this

SOP.

c. lParlnell" Organizations:

Partner Organizations' Academy Directors or his/her designee will identify key custodians in their respective areas of operation. Each director will ensure assigned personnel identify appropriate functional areas and delegate lock hardware and key management responsibilities to their Key Custodian(s) for each functional area. This will be accomplished in a manner which ensures that locks and keys to all OAO facilities used by a particular organization are properly accounted for pursuant to this SOP.

d. Key Custodians in each funetionaD. area will:

( 1) are determined. and identified position, name, office location, key function and telephone extension number. Key custodians identify which individuals have possession of any OAO facility key(s) and maintain a log of that information in an electronic spreadsheet log. The log will also reflect all unassigned keys maintained in the functional area or held within the OSPR.

The preferred spreadsheet is Microsoft (MS) Excel or any spreadsheet that can be opened by MS Excel. The log is to be maintained current-daily and physically verified on .a quarterly basis. The log will be made available for inspection/ audit and to the OAO Deputy Assistant Director's office as requested.

(2) distribute and recover all keys to any OAO facility used by any individual in that functional area. Each distribution or recovery will be·entered in the electronic spreadsheet log for that functional area. Individuals provided facility keys must sign a receipt which the Key Custodian will retain in a file until the key(s) eventual recovery. Unassigned keys will be tagged and secured in a locked key cabinet or secure location specified for that purpose and approved by their supervisor.

(3) balance current key receipts and unassigned keys monthly against the total facility keys in existence for the functional area. A physical inventory of keys is to be conducted annually and balanced.

(4) proactively locate individuals departing their functional area and recover all OAO facility keys prior to the individual's departure.

OAO Lock Hardware and Key Management Program SOP

(5) serve as the point-of-contact for Lock Hardware and Key Requests originating in that functional area.

(6) document all lost and missing keys with a memo or e-mail to their supervisor which describes the missing key(s) (key.function, individual last assigned the missing key and date the /cey was discovered missing). An original memo or an e-mail describing the circumstances or providing justification for the requirement of key replacements will be provided to the OAO Division Chiefs, the Partner Organization Academy Director (or their designee), or the Contractor Project Manager through assigned COR \vill be submitted to the OAO Deputy Assistant Director. The OAO Deputy Assistant Director will approve or authorize the requested action.

e. Jiimdividllllal lResponsftbilities:

Individuals who have been assigned keys to any OAO facility are responsible for the physical control and appropriate use of those keys. It is the responsibility of each individual to secure each key issued at all times, in a manner that prevents loss, unauthorized use, ·unauthorized duplication, cooperation with Key Custodians, compliance with this SOP and to ensure account of OAO facility keys. Individuals identi(ying or reporting any unofficial use, loss, or theft of OAO facility keys should report this information to the OAO Security Office at (505) 748-8136.

f. OSPR.

(1) OSPR will serve as the OAO clearinghouse for all approved Lock Hardware and Key Requests. OAO Divisions & Branches, Partner

Organizations, and Contractor operations will not independently initiate facility lock hardware changes or facility key duplication services.

(2) The OSPR is the Lock Hardware and Key Request manager for OAO. All approved Lock Hardware and Key Request forms submitted to OSPR will be logged, acted on and tracked by the OSPR The OSPR will advise the requesting Key Custodian when the requested lock hardware or key service has been completed.

(3) The OSPR will maintain one unassigned copy of each key for all OAO facilities, including room keys. Keys will be secured in a locked key cabinet. The purpose of this is to allow release of a key to an approved locksmith for duplication if required to comply with approved Lock Hardware · and Key Requests. The only exceptions to this are Dormitory student room keys which are managed by the Dormitory service contractor.

(4) The OSPR will retain completed originals of all approved Lock Hardware and Key Request forms reflecting signatures, actions and dates in a separate file for a period of three years. After three years, the forms are to be shredded.

OAO Lock Hm·dware and Key Management Program SOP

. . . (5) !he OSPE will maintain a spreadsheet reflecting b.µ1ldmg/fac1hty number, room number, lockset pinning code, functional :rrea(s), number of �eys assigne� to the functional area(s) and number of keys m the OSPR key cabinet along with tag number if different than building and room number. g. Contractor Operations.

(1) Service Contractors will maintain copies of all OAO facility keys required to perform their contract's statement of work.

(2) Service Con tractors will manage keys in a manner that ensures physical control of all keys to prevent loss, unauthorized use, unauthorized duplication and which includes documented accounting for all OAO facility keys in the contractors' possession.

(3) Service Contractors will maintain OAO facility key inventories reflecting key function, individual assigned and unassigned keys. Unassigned keys will be tagged and maintained in a locked key cabinet.

(4) Service Contractors ·will document all lost and missing keys with a memo or e-mail to their COR which describes the missing key(s) (key function, individual last assigned the missing key and date the key was discovered missing.) A copy of the memo or e-mail will be provided to the Administering Contracting Officer who will forward a copy to the OAO Deputy Assistant Director.

(5) Key inventories, key cabinets, key tags, key records and copies of key reports and related computer key records are to be maintained in a segregated manner, made available to the government on demand and turned over to the government at the end of the contract.

(6) Security Cont:ractor:

The Security Contractor is responsible for ensuring all personnel clearing the Center have complied with key control responsibilities, turning in all government keys to their respective key custodian. Notice of staff changes or the requirement for Security to obtain keys from individuals no longer authorized to an OAO facility area will be provided by the office or organizational element in which the employee was previously assigned. Any lost or found keys on the Center will be reported to the Security Office upon discovery, who will coordinate accountability w�th OSPR. Security personnel will only provide access to work areas, operations, or dorm rooms to personnel or individuals that have documented assigned key access.

The Dorm contractor is required to ensure that all students gain access to assigned dorm areas. Additionally, students who turn in keys to the Registration-desk must obtain documentation or ensure notification of key turn-in is forward to the Security Office. All FLETC, PO, Contractor personnel or students leaving the Center may tum in keys at the time of clearing the

OAO Lock Hardware and Key Management Program SOP

Center and when turning in FLETC ID badges and/or when obtaining law enforcement (duty) or personal weapons upon departure.

7. Office cf Primary Interest: OSPR.

8. Attachments:

a. Lock Hardware and Key Request 11». Key Receipt

c. Key Inventory Control Ledger

By order of:

(11/2005)

DISTRIBUTION:

OAO Staff On-Site Participating Organizations On-Site Contractors

OAO Lock Hardware and Key Management Program SOP

UE T

Step 1. JRequesto:. compl<etes and provides to Key Custodian

D&te:

Req estG;:d. lby:

eques\Cl7J)!l''s Tellephl7J)rme Ext<ensiroim:

Se:rwice Re�1U1esfc JL,ccaUolll:

Bldg#: _____ Room#: ____ _ Description:

Steu» 2. Key Custodi::u1 logs request fol!' tracking an.d submits tmouglm clhain of command!. to OAO Division Chief o:r Head of Partner Orgamdzation for appmvaU

Service Request Approved: Date Approved:

Signature (OAO DC or BC, PO Academy Dir., or Designee)

Step 3. lli'oTWard to OSPR for action Service Ordered By: Date Ordered:

OSPR signature

Date Service Work Completed and Key Custodian Advised:

OAO Lock Hardware and Key Management Program SOP 8/26/05

Attachment 3 8 (Page 8 of I 0)

OAO Lock Hardware and Key Management Program SOP 10/12/15

LOCK HARDWARE AND KEY REQUEST

Step 1. Requestor completes and provides to Key

Custodian Date:

Requested by:

Requestor’s Telephone Extension:

Service Request Location:

Bldg. #: Room #:

Description:

Explain Service Requested:

Step 2. Key Custodian logs request for tracking and submits through chain of command to OAO Division Chief, Head of Partner Organization or COR for approval

Service Request Approved: Date Approved:

Signature (OAO DC or BC, PO Academy Dir., or COR)

Step 3. Forward to SEM for action

Service Ordered By: Date Ordered:

SEM signature

Date Service Work Completed and Key Custodian Advised: