Facilities
Key and Lock Management Policy
The purpose of this policy is to have a documented procedure for the inventory, issuance and return of all University keys (e.g. access to location, office keys, filing cabinet/desk keys).
Facilities are responsible for the implementation of this policy.
Policy Reference No. / FAC/KLM - 01Policy Owner / Interim Director of Facilities
Date Policy Written / January 2016
Date Policy Last Updated / 07 September 2016
Date to Audit Committee
Date for Next Review / September 2017
Comments
Created by: Jean McCardle
January 2016
Contents
1. Policy Statement
2. Rules of Key Issue
3. Faculty/Service Responsibilities
4. Facilities Responsibilities
5. How to request a key/lock6. Picking up keys – collection points
7. Returning keys
8. Transferring keys from one employee to another
9. Broken Keys and Locks
10. Key and Lock Fees
· Appendix 1a – Key Issue and Return Receipt form
· Appendix 1 b – Key Register sheet
· Appendix 2 – Facilities Key Collection sheet
· Appendix 3 – Key and Lock Request form
· Appendix 4 – List of Faculties and Services Building Managers/Key Contacts
1.0 Policy Statement
The policy is designed to protect the personal safety of the University community, by ensuring only authorised people have access to order keys and secure the physical assets for the University. The purpose of this policy is to establish effective guidelines for allowing authorised individuals to access University buildings with properly issued University keys and to set out clearly the standards of conduct expected of staff for key management. Keys are University property; any duplication without contacting Facilities is prohibited.
2.0 Rules of Key Issue
Staff should not routinely have University keys in their possession which they do not need for their immediate duties. The only keys that should be taken home, or away from the premises, are those ‘personal’ keys which are needed to gain immediate access to initial place of work (e.g. building or office).
By possessing a key, the Key-Holder agrees not to compromise the security of any area or building and further agrees to secure each door upon leaving the area unattended. It is every individual’s responsibility to ensure that keys in their possession giving access to University buildings and locations are kept secure at all times. Receipt of a University key carries these implied responsibilities.
a. Unauthorised loaning of keys.
b. Transfer of keys without authorisation
c. Unauthorised duplication of keys
d. Altering keys, lock or mechanisms
e. Damaging tampering or vandalising any University locks or hardware
f. Failure to return a key when requested by a University authorised person, or upon leaving the employment of the University
g. Failure to report lost/stolen keys
h. Will not provide access to unauthorised persons
· Keys should be issued only to those persons who require access to space as part of their University responsibilities.
· If a key is stolen or lost it should be reported as soon as possible to the Nominated Building Manger/Key Contact person. However, if it presents a significant security risk (e.g. external door into student flat), the following must be informed:
- Facilities Helpdesk (ext 3366) during Mon –Thurs 0830 – 1700hrs
or Fri 0830 1630hrs
- Out of normal working hours, the University’s Security Reception (ext 2028)
must be informed
· The loss of a sub master key presents a significant risk to the University and could incur a considerable cost to replace as numerous lock cylinders may be involved.
University staff must return all building keys to the Nominated Building Manager/Key Contact person before discontinuing their employment. Failure to return issued keys may result in charges associated with the cost of rekeying
3.0 Faculty and Service Responsibilities
Faculties and Services may only obtain keys to University facilities and spaces from Facilities. The Nominated Building Managers/Key Contact person is responsible for keys issued for buildings, areas and spaces within their control.
They are responsible for:
a. Maintaining the Faculty/Service key control procedure (See Appendix 1a for Key Issue and Return Receipt form and Appendix 1b for Key Register sheet) for the recording of keys received and issued. This information must be retained for a maximum of 2 years (this is in accordance with the JISC Retention Schedule).
· The Key Issue and Receipt form (Appendix 1a) must be completed by the member of staff receiving/returning the key and authorised by the Nominated Building Manager/Key Contact person. As well as being a key audit trail, staff are signing/agreeing to the conditions listed on the form.
· The Key Register (Appendix 1b) is an overall record of the total number of keys within each Faculty and Services, who has what keys, and also details of grand and sub master keys. Details must be kept up to date at all times, ensuring the correct name is against the relevant key number. If anyone leaves the Faculty/Service or moves office, the sheet must be amended accordingly.
· The Key Issue and Receipt and Key Register forms should always correspond.
b. Requesting/ordering keys.
c. Enforcing the message to staff that keys should be handed in to their Nominated Building Manager/Key Contact person, when no longer required (e.g. leaving the University or moving office)
d. Yearly auditing of all key records. Audits serve an important role in preventing unauthorised access.
e. Reporting all lost/stolen keys.
f. Returning unused keys to appropriate Facilities Manager or nominee (e.g. Team Leader).
g. Ensuring secure storage for spare keys within their area (e.g. key press) – with access restrictions applied.
h. Enforcing the message to staff that keys are not to be left unattended.
4.0 Facilities Responsibilities
a. Are responsible for the maintenance of the lock systems.
b. Will determine the security requirements and the lock type/standards.
c. Establishing the policy, procedures and plans to govern the key and lock systems for the University.
d. Maintaining the lock charts and related hardware documentation.
e. Providing all key and lock work, issuing keys, replacing and/or repairing locks and related equipment, opening locks and stocking necessary hardware and supplies.
f. Provide door and lock hardware specifications, key hierarchy and standards for use in all construction and renovation projects.
g. Maintaining Facilities Key Collection sheet for audit purposes (see Appendix 2).
h. Restore physical security in a timely manner whenever key control is compromised.
i. Organise via IT Services a shared drive area where Faculties and Services can store their Key Information sheets (access will only be given to their particular area). Relevant Facilities Managers will have access to all areas. Please note…..the Key Information shared drive area will not be within Facilities shared drive.
5.0 How to Request Keys/Locks
a) University of Sunderland staff who require access to an interior building space, must
consult with their Nominated Building Manager/Key Contact person in the first instance.
b) The Nominated Building Manager/Key Contact persons should assess the individual need for the key and whether it is a long term or short term requirement. The Nominated Building Manager/Key Contact person must download and complete the Key/Lock Request form (see Appendix 3) which can be accessed from Facilities web page – see below link:
http://services.sunderland.ac.uk/facilities/customerservices/facilitieshelpdesk/
When the form is fully completed and signed by the Nominated Building Manager/Key Contact person, it should be scanned and emailed to:
Only the Nominated Building Manager/Key Contact person of the Faculty/Service are authorised to initiate the request of keys/locks. It is the responsibility of each Faculty/Service to adequately maintain control over the distribution of keys.
All Faculties and Services are required to pay for key and lock replacements, unless part of a refurbishment project. Therefore the Faculty/Service cost code must be entered on the Key/Lock Request form.
c) On receipt of the order form, Facilities Helpdesk will review before issuing to the relevant Facilities Maintenance Manager for processing.
Delivery of keys can be between 1 – 4 weeks, sometimes longer, depending on the supplier.
Facilities Helpdesk will forward a copy of the request on to the relevant Facilities Manager or nominee (e.g. Team Leader) for information purposes.
If for any reason the request cannot be processed, Facilities Helpdesk will contact the relevant Nominated Building Manager/Key Contact person.
d) When work is completed and the key (s) is ready for collection, Facilities Helpdesk will send an email to the relevant member of staff (Nominated Building Manager/Key Contact person will be copied into email) with instructions on where key (s) are to be collected.
e) In order to collect the key(s) staff must provide the following:
- Some form of ID (e.g. University staff card/ driving licence)
- A copy of the ‘Collection’ email from Facilities Helpdesk
- In addition to this, staff must sign Facilities Key Collection sheet (see Appendix 2)
6.0 Picking up Keys – Collection Points
· St.Peter’s Campus keys can be collected from the University’s Security Reception, located in the Prospect building, which is open 24/7
· City Campus keys can be collected from Unit 4 Technology Park reception, between
Monday to Thursday (8.00am–5pm) or Friday (8am–4.30pm).
If you are unable to collect the key (s) and have nominated a member of staff to collect on your behalf, you must reply to the original email sent from Facilities (as in point 5d) advising that you have authorised a member of staff (clearly stating their name in the email) to collect key (s) on your behalf.
Your nominated member of staff must produce their University staff card and a copy of the email where you have notified Facilities of their collection.
7.0 Returning Keys
University staff must return all building keys to the Nominated Building Manager/Key Contact person, before discontinuing their employment or transferring from their present position. The Building Manager/Key Contact person will then update the Key Register.
Please note………. keys must not be directly handed to other members of staff.
All staff will be held responsible for keys which have been issued to them during their time at the University.
· Outmoded/redundant keys resulting from lock changes etc. must be returned to the Nominated Building Manager/Key Contact person, who will then return to relevant Facilities Manager or nominee (e.g. Team Leader)..
· Any keys issued temporarily must be returned to the Nominated Building Manager/Key Contact person upon the conclusion of the time frame for which they were issued.
8.0 Transferring Keys from one Employee to Another
When a key(s) is transferred to a member of staff (e.g.change of office/location) the Nominated Building Manager/Key Contact person must update their records via the Key Register. Records of the current key owner must be kept up to date for audit purposes.
9.0 Broken Keys and Locks
9.1 Broken Keys
Broken keys should be reported to the Nominated Building Manager/Key Contact person for replacement. Wherever possible, the key holder should return the broken key (or pieces thereof) to the Nominated Building Manager/Key Contact person.
The Nominated Building Manager/Key Contact person will complete the Key request form (in accordance with the above procedure – point 4.0)
If a key is broken in the lock cylinder, the Nominated Building Manager/Key Contact person will contact Facilities Helpdesk () to arrange for Maintenance staff to order/replace the cylinder.
9.2 Broken Locks
In the event where a suited lock within a building is broken and needs to be sent away for repair, Facilities will supply and fit a non suited lock with keys as a temporary measure until the suited locks is repaired.
The Nominated Building Manager/Key Contact person will complete the Key request form (in accordance with the above procedure – point 5.0)
It will be the responsibility of the Nominated Building Manager/Key Contact person to control the temporary keys, including the issue and retrieval of these keys upon their reinstatement of the original suited lock.
10.0 Key and Lock Fees
All Faculties and Services are required to pay for key and lock replacements, unless part of a refurbishment project.
Please note: It will be left to the discretion of the Faculty/Service as to whether they charge individuals for replacements.
See below charges:
Key / £20 (including VAT)Mortice lock / £30 (plus VAT)
Cylinder barrel / between £65 - £90 (plus VAT)
Appendix 1a
A separate form is required for each key request
Staff must produce their ‘University Staff’ card on the issue/return of a key
Key Holder:
Once issued with this key, I agree to the conditions listed below:
ü I accept responsibility for the key provided to me
ü I undertake NOT to transfer or LOAN this key to any other person
ü When I no longer require this key, I will return the key to my Building Manager/Key Contact person
ü I will notify my Building Manager/Key Contact person should I lose this key or if it is stolen (or I will notify Security immediately if this presents a significant security risk)
ü I accept that the cost of a replacement key or any alterations to locks as a result of my negligence will be met by my Faculty/Service cost code
Suite Ref: (if applicable) / Building:
Issue of Key (ü) if applicable
o / Return of Key (ü) if applicable
o
Room Number:
Number of Keys: / Cylinder Marking
(key ref number):
Issued to/Returned by:
Staff name: (please print name clearly)
………………………………………………………………. / Date::
Signature…………………………………………………………
Section with Faculty/Service:
Issue/Return of key must be carried out by Building Manager/Key Contact Person
Key issued by / returned to: (please print name clearly)
……………………………………………………………………. / Date:
Signature…………………………………………………………
Appendix 1b
Please open below Excel icon for example of the Key Register Sheet
Appendix 2