Security Officer's Duties & Responsibilities

PURPOSE:The purpose of this section is to define the role of the Security Director and to describe his/her authority, duties and responsibilities.

POLICY: The institution's President or Board of Directors will designate a Security Director, who will have the authority to develop and to administer a written Security Program for each office, department, function and facility. This Security Program will be developed within the guidelines of accepted industry standards of care.

The term "Security Director" is intended to indicate one (1) person who is ultimately responsible for the institution's security function. The term "Security Director" also implies the actual named person or a designate.

The term "Unit Security Officer" is intended to indicate one (1) person who is ultimately responsible for a(n) office's, function's or department's security function, and also implies the actual named person or a designate. The Unit Security Officer reports directly to the Security Director regarding security issues.

The Security Director position will be an executive position and will be subject to a written position description clearly describing the position's duties and level of authority. The positions of the Security Director, Personnel Director, Compliance Officer, Auditor and Chief Financial Officer will not be assigned to the same person.

The Security Director will report directly to the Board of Directors regarding all security matters. The Security Director may also report to the institution's President/Chief Executive Office regarding general security matters, except when to do so might reasonably jeopardize the results of an investigation or in those matters whose sensitivity dictates they be brought directly to the Board.

The Security Director is responsible for the development and administration of the following segments of the institution's overall Security Program:

Establishing procedures of opening and closing for business and for the safekeeping of all currency, negotiable securities, and similar valuables at all times. Such procedures include, but are not limited to:

Retaining a record of any robbery, burglary or larceny committed or attempted against the institution;
Maintaining a camera that records activity in the banking office;
Using identification devices, such as prerecorded serial-numbered bills or chemical and electronic devices;
Physical security: access control and the storage of sensitive material;
Technical security: alarms, electronic countermeasures and intrusion detection systems; and
Electronic data transmission and storage security: use of computers, fax machines and telephones; protection of LAN, WAN, passwords and storage of disks;

Establishing procedures that will assist in identifying persons committing crimes against the institution and that will preserve evidence that may aid in their identification or prosecution; such procedures may include, but are not limited to:

Personnel security: background investigation program and security clearances;
Procedural security: handling sensitive material, transfer of sensitive material, addressing violations;
Investigating all suspected criminal violations, suspicious incidents and policy violations as it's appropriate;
Maintaining intrusion devices, alarms and cameras that record activity in appropriate locations and that warn of threats;
Retaining a record of any crime committed or attempted against the institution;
Develop a crisis management plan to address potentially violent events;
Design appropriate recording devices for electronic systems maintenance and repair;
Design appropriate forms and devices for access control to safes, file cabinets and restricted areas;
Develop appropriate guard orders;
Establish a Unit Security Officer Program;
Develop, implement and administer an Executive Protection Program to insure the safety of specific institution officials;
Institute a program to survey residences of appropriate executives and evaluate and recommend improvements to upgrade the security of the residences, if necessary; and
Design, implement and administer a security violation program containing appropriate violation forms, reporting forms, damage control reports and after action reports;

Establishing, coordinating and implementing a Security Program for all offices, facilities, departments and functions, consistent with all Regulation H and other regulatory requirements, and other sound business and security practices;
Providing for selecting, testing, operating and maintaining appropriate security devices, insuring that all devices equal or exceed minimum standards regarding security devices;
Supervising the installation, maintenance, and operation of security devices where approved by the Board of Directors;
Establishing, supervising and maintaining records of operation, testing and control of all security devices in each office;
Providing for initial and periodic training of employees in their responsibilities under the Security Program and regarding appropriate employee conduct during and after emergencies;
Establishing, scheduling and supervising a continuing instructional and training program for the operation of security devices and protective measures;
Conducting continual surveys of all offices to determine the need for additional security services and make corresponding recommendations to the Board of Directors;
Establishing, supervising and maintaining records reflecting conformance to security procedures by institution personnel and non-employee associates and contractors in each office;
Assuming overall supervision, control, and direction of the institution's Guard Force and other related services where required;
Maintaining records indicating the names and titles of law enforcement officers and other persons consulted in connection with the installation, maintenance and operation of security devices or programs, and appropriate law enforcement officers to contact in the event of any emergency or committed or attempted crime;
Reviewing, investigating when necessary, and reporting to the appropriate law enforcement agency all losses where possible criminal action is indicated, not including civil actions which may be subject to other remedies;
Handling the institution's interests in each attempted or completed crime and to complete an internal report for each offense.
This report is to be maintained in files at a central location within the Security Department for review by auditors and regulators as required;
Establishing and maintaining satisfactory liaison with law enforcement officers at all levels in areas where offices are located, and maintain files for each office, department and facility regarding available resources and emergency services agencies available to that office, department or facility;
Conducting special background checks and security investigations of institution personnel and applicants, as may be requested by the Board of Directors or other appropriate personnel;
Preparing and submitting a Security Program evaluation and compliance report to the Board of Directors at least annually. The presentation of and action taken upon this report will be reflected in the Board's minutes. The Security Director will retain this information on file for at least five (5) years, for review by auditors and regulators as required;
Coordinating all appearances of institution personnel in court proceedings arising from their employment by the institution, where their testimonies as witnesses are required by subpoena and to provide for accompaniment during court proceedings;
In conjunction with appropriate personnel, researching, developing, implementing and testing the institution's Disaster Recovery and Business Resumption Plan as it relates to the security function, and maintaining listings that may be used for both routine and emergency operations. This listing may be retained on a database and updated at least annually, and will include, but is not limited to:
- Emergency services agencies and community resources;
- Equipment;
- Facilities;
- Vendors;
- Personnel; and
Maintaining a current master copy of the Security Program secured at his/her primary workplace, and a duplicate master copy at his/her place of residence or other appropriate location.

Note: This template is included with Security Education Systems' Security Program Manual.

? Security Education Systems 1983 - 2001
Last updated on October 25, 2001

First published on BankersOnline.com 11/5/01