OSOP_Key and Lock Control.pdf

Department of Defense HUMINT Training – Joint Center of Excellence 821 Irwin Street, Matlack Hall Fort Huachuca, AZ 85613

21 August 2015

ORGANIZATIONAL STANDARD OPERATING PROCEDURES

Key and Lock Control

Summary. This Organizational Standard Operating Procedure (OSOP) implements the HUMINIT Training – Joint Center of Excellence (HT-JCOE) approved standard for managing key control within this organization.

Applicability. This OSOP is applicable to all DoD Civilians and military personnel of HT-JCOE. All HT-JCOE personnel are held accountable to and are expected to adhere to the procedures set forth in this OSOP.

Proponent: HT-JCOE, J4

DSN: 879-6673, COMM: (520) 538-6673

HT-JCOE KEY CONTROL CUSTODIAN OSOP

1. Purpose. To establish an integrated key and lock control system for all functional areas within HT-JCOE.

2. References:

a. AR 190-13, The Army Physical Security Program, 30 September 1993.

b. AR 190-51, Security of Unclassified Army Property, 30 September 1993.

c. AR 380-50, Department of the Army Information Security Program, 29 September 2000.

d. FM 3-19.30, Physical Security, 8 January 2001.

3. Definitions.

a. HT-JCOE Facility: Any office, building, room, space or other piece of Real

Property utilized by HT-JCOE to perform its mission and there isn’t another activity performing Key Control Officer (KCO) or Key Control Custodian (KCC) duties. HT- JCOE facilities consists of the following:

1) Building 41412 (Old Post)

2) Building 74801 (J4 Warehouse)

3) Building 80022A (Relocatable)

4) Building 80023A (Relocatable)

5) Building 80122 (Controlled Access Area)

6) Building 4320 (1st Floor Davis Monthan AFB)

b. KCO/KCC and Alternate: A responsible individual appointed on orders by memorandum as the representative of this Command on all matters involving keys and locks. He/she is responsible for supervision of the key control system and will ensure that the key control OSOP is followed. It is required that a KCC be appointed down to the course/section level for all entities of HT-JCOE.

c. Key/Lock Types:

1) Office/Course/Section Keys - Any key used to access HT-JCOE Real Property and listed above in 3.a. These key types are usually utilized to access local areas that supports courses or section directly, such as cadre offices and supply rooms.

2) Master Keys - Key which opens all locks (cores) in any given facility or area.

These keys will be issued to maintenance, security, and emergency services personnel in order to make repairs or to access a facility in time of emergency.

3) Controlled Access Area Keys – Keys which opens doors (cores) in any facility that allows open storage processing of classified information up to secret level. These keys will be kept at an absolute minimum, approval to obtain these keys must be granted by the HT-JCOE Commander.

4) Sensitive Compartmented Information Facilities Keys - Keys which opens doors (cores) in any facility that allows open storage processing of classified information up to top secret level. These keys will be kept at an absolute minimum, approval to obtain these keys must be granted by the HT-JCOE Commander, the receiver of these key must have a TS/SCI clearance and a validated needed to know, confirmed by the J2 SSO. These keys shall not be on included on a Master Key system.

5) Installation Level Support Keys – Keys managed by local DPW and NEC personnel are not applicable to the OSOP.

6) Fleet and GSA Vehicle Keys – These keys are not applicable to this OSOP.

7) Locks on storage cases or locking bags - These keys are not applicable to the

OSOP.

4. Responsibilities.

a. All personnel who are issued keys are responsible for their safekeeping until they are returned. No key will be left unattended/unsecured at any time. The loss of a key will immediately be reported through the chain of command to the KCO via Share Point CRF. The course/section responsible for the loss with then initiate an investigation into the loss of the key, the finding of that investigation will be forwarded to the HT-JCOE KCO via MFR to determine financial liability.

b. All personnel who are issued locks are responsible for their safekeeping and accountability.

c. The Facilities Manager serves as the HT-JCOE Key KCO and will issue all keys to the appropriate courses/sections appointed key control custodian. The course/section key control custodian will then issue keys to authorized facilities end users as required.

d. Course/section KCC shall issue keys in accordance with this

SOP to all HT-JCOE personnel on a DA Form 5513-R.

e. All keys shall be hand receipted on DA Form 5513-R.

f. Each course/section shall designate in writing via MFR (See appendix A for example) of all personnel that have authority to pick up keys for their respective areas (see appendix A for example). The number of personnel so authorized will be kept to a minimum that is consistent with operational requirements. This list will be posted where it cannot be viewed by the public. The J4 Facility Manager shall maintain a consolidated archive of KCC appointments for course/sections.

a. The HT-JCOE KCO and alternate will conduct an inspection of All facilities managed keys and DA Forms 5513-R semiannually to ensure to ensure compliance with this OSOP. This inspection must be conducted by at least two individuals to maintain (dual validation of inventory). (See reverse side of DA Form 5513 for inspection sheet).

b. The HT-JCOE KCO will inspect each course/section DA Form

5513-R semiannually to ensure to ensure compliance with this OSOP (if applicable).

According to regulatory guidelines, the HT-JCOE KCO and course/section KCC must conduct a joint inventory off all keys.

c. The KCO will maintain accountability for all master keys as well as keys to facilities that are or may become vacant. HT-JCOE authorized end users will coordinate with the KCO for access to these areas. Master keys will have a joint inventory conducted to establish accountability and the KCO will conduct semiannual inventories to ensure accountability is maintained. These inventories shall be documented via MFR and remained on file with current DA Form 5513-R until next inventory is conducted (see appendix A for example).

d. Prior to relinquishing the duties of KCC, all keys must be accounted for and officially issued to course/section by the KCO. The course/section KCC is held viable for accountability until cleared by the HT-JCOE KCO.

e. The J4 procurement technician will maintain a stock of GSA/DoD approved locks on hand for access and storage shed/conexes/cages. All courses/sections shall submit Work Order request via Share Point when these padlocks are required.

5. General

a. The use of a master key system is prohibited in the following areas:

1) Areas containing Arms, Ammunitions, and Explosives

2) Keys can provide access to multiple course/section operational areas

3) Master Key can provide access to Sensitive Compartmented Information Facilities (SCIF). The SCIF will have its own dedicated key/core overriding capabilities, separate from the remainder of the facilities.

4) Course/Section Supply Rooms/Cages or are in which supplies are stored

b. All unassigned keys and locks not in use will be secured in a lockable container, made of at least 26 gauge steel, equipped with a tumbler type locking device and permanently affixed to a wall. The key depository will be located in a room where it is kept under 24 hour surveillance or in a room that is locked when unoccupied.

c. All unidentified locks/keys will be turned into the Facility Manager, who shall then investigate the origin of the items and identification of the appropriate custodian. If item cannot be identified the Facility Manager shall destroy the keys and maintain a ledger to record destroyed keys and locks.

d. All keys and locks shall be stamped with their unique serial number; no two keys will have the same serial number.

e. No lock will be cut off, forced open, or replaced except in the case of emergency and with the approval of the KCO. The preferred method of replacing a lock will be to submit a work order request via Share Point (specifically outlining the reason for cutting lock and/or requesting additional keys).

f. Disposal of locks/keys: Only the KCO will destroy locks and keys that are found to be unserviceable. Any key or lock found to be unserviceable will be disposed IAW AR 190-51. All keys will be disposed of by cutting in half with bolt cutters.

The KCO will maintain as destruction ledger for all destroyed keys/locks (See appendix D for example).

g. DA Form 5513-R (key control register) will be used when transferring locks and keys from KCC and/or KCC to end users.

1) Procedures: ( See appendix D for example)

(a) Always start o the “front” of the form

(b) In the unit block, enter “Unit/Course/Section, Installation/Post/Base Name”

(c) In the “key number” block enter the key ring number and the description of the lock/area

(d) The individual receiving the key will print his/her name in the top block and sign in the bottom block of the receiver column.

(e) The individual issuing the keys will then print the time/date he/she received the keys in the time and date column.

(f) When the key(s) are returned, the KCO or alternate, will enter the time/date returned column.

(g) The individual receiving the returned keys will print his/her name in the TOP column. They will then sign on the bottom column of the receiver block.

(h) The DA Form 5513-R used to issue out keys(rings) will be maintained on file for 90 days from the date of last time/date entered.

(i) Permanent Issue Keys and Temporary Issue key will be tracked on separate DA Form 5513-Rs. The Words “Temporary” or “Permanent” will hand written on the top of the key control log.

(j) Each course/section that require storage of accountable access keys shall appoint in writing via MFR those individuals authorized unaccompanied access to the Key Control Area, this access roster shall be posted on the outside door of the key box, filing cabinet, or other authorized storage area (see appendix E for example).

APPENDIX A (SAMPLE KCO/KCC APPOINTMENT ORDER)

APPENDIX B (SAMPLE KEY INSPECTION FINDINGS MFR)

APPENDIX D (SAMPLE KEY KEY/LOCK DESTRUCTION LEDGER)

HT-JCOE FACILITY MANAGER PRIMARY KEY CONTROL CUSTODIAN

KEY 1 (3 )

Bldg 78685 Entrance Door

Key number

Description

Number of keys to the area

APPENDIX D (DA FORM 5513-R PAGE 1)

KEY 1-15

Primary

1 JAN 08

Fred H. Green

Fred H. Green

Fred H. Green

Fred H. Green

Course ABC OIC Print

Course ABC OIC Sign

KEY 16-30

Primary

1 JAN 08

Course XYZ OIC Sign

Course XYZ OIC Print

(One Time Initial Issue)

(One Time Initial Issue)

• Courses/Sections Key Custodians will produce a DA Form 5513, IF keys will be issued down to subordinate staff/cadre members

• Course/Section Directors/Leads will provide the HT-JCOE Primary Key Control Custodian (Facility Manager) with a copy of that appointment

1 JAN 08 Initial inventory Key Custodian

(Print and Sign)

(Keep inventory Records for 1 Year)

Joint Inventory with Key Custodian

(Print and Sign)1 JAN 09 1 JAN 09 Joint Inventory Alternate Key Custodian

(Print and Sing)

APPENDIX D (DA FORM 5513-R PAGE 2)

APPENDIX E (UNACCOMPANIED ACCESS ROSTER)