Grading Exercise 2019 Documentation Checklist Final (Old)

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Final version
SECURITY AGENCIES (SAs) GRADING EXERCISE 2019
DOCUMENTATION CHECKLIST
Name of Security Agency
Number of DVDs/CDs Submitted by

Agency
Number of Full-time/Part-time Full-time Security Officers:

Security Officers Declared by
Agency Part-time Security Officers:
Number of Deployment Sites

Declared by Agency
Number of Clients Declared by
Agency
Name of Assessor(s)
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1
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Processes Category
Remarks/Observations Points
Areas of Audit
(To tick or circle where appropriate) Awarded
1.1.1 Score System (max 6 pts) pt
Is there a systematic process to ensure that
Security Officers are aware of the Submitted 85% and above of the required number
6
functional duty they are employed for (pre- of documentation
employment)? Submitted 60% to <85% of the required number of
4
documentation
Documentation of pre-employment discussion Submitted 35% to <60% of the required number of
on job descriptions and responsibilities. 2
documentation
The numbers required are as follows: Submitted 0% to <35% of the required number of
0
documentation
Number of Assessor’s Observation
Number of Documentation
Security
required for submission
Officers
1 or 10% of total Security
1 – 100
Officers (whichever is higher)
101 - 500
501 - 2000
> 2001
Document must include at least the followings:

 Name and NRIC/FIN No. of Security Officer
 Acknowledgment by the Security Officer
 Job description detailing the functions of a
security officer as prescribed in the Private
Security Industry Act (PSIA) and Progressive
Wage Model (PWM).
Past JDs outside the period of assessment are

acceptable.
Total
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2
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Areas of Audit
Security Officers are aware of the Submitted 85% and above of the required number
6
functional duty they are employed for (pre- of documentation
promotion)?
Submitted 60% to <85% of the required number of
4
documentation
Documentation of pre-promotion briefing on
expanded job descriptions and additional Submitted 35% to <60% of the required number of
2
responsibilities. documentation
The numbers required are as follows: Submitted 0% to <35% of the required number of
0
documentation
Number of Assessor’s Observation
Number of Documentation
Security
required for submission
Officers
1 – 100
101 - 500
501 - 2000
> 2001
Document must include at least the followings:

 Name and NRIC/FIN No. of Security Officer
 Acknowledgment by the Security Officer
 Job description (JD) for the next higher
grade as prescribed under the PWM.
Past JDs outside the period of assessment are

acceptable.
Total
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3
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Areas of Audit
Security Officers are aware of their Submitted 70% and above of the required
5
functional duties at the sites they are documentation
deployed? Submitted 35% to <70% of the required
3
documentation
Past induction checklists for specific Submitted 0% to <35% of the required number of
0
deployment sites. documentation.
Assessor’s Observation
The numbers required are as follows:
Number of Number of Induction

Deployment Checklist required for
Sites submission
1 or 20% of total sites
1 – 100
(whichever is higher)
> 100
Checklist must include all the followings:

 Name and NRIC/FIN No. of Security
Officer
 Date of induction
 Name of deployment site
 Site orientation for the purpose of
terrain awareness
 Site vulnerabilities
 Briefing on the specific roles expected
of the security officers
 Contact details of the relevant
personnel and the authorities
 Location of the relevant SOPs
 Location of fire-fighting equipment
 Acknowledgment by the Security
Officer
Note: SAs with no deployment site must seek

prior approval from PLRD before this criterion
can be exempted from assessment
Total
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4
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Areas of Audit
Is there a Standard Operating Procedure
(SOP) on Bomb Threat? SOP with all 5 specified components 5
The SOP must have the following components: No SOP or submitted SOP with <5 specified
0
1) Checklist for gathering more information components
when a bomb threat is received (e.g. Assessor’s Observation
received through telephone or text
messages)
2) Search procedure to confirm presence of
bomb
3) Calling the Police if a bomb or a
suspicious item is found
4) Evacuation procedures
5) Crowd control procedures
Total
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5
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Areas of Audit
(SOP) on Fire Emergency? SOP with all 6 specified components 5
No SOP or submitted SOP with <6 specified
The SOP must have the following components: 0
components
1) Procedure to confirm presence of fire
2) Calling ‘995’
3) Activation of fire alarm to warn others
4) Procedure to fight the fire
5) Procedure for evacuation
6) Procedure for Crowd control
Total
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6
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Areas of Audit
(SOP) to deal with suspicious persons, SOP with all 4 specified components 5
vehicles, activities and objects?
0
components
SOP on Dealing with Suspicious Persons,
Vehicles, Activities and Objects.
The SOP must have the following components:

1) Recording the description of the
suspicious person/vehicle/activity/object
2) Assessment of whether the suspicious
person/vehicle/activity/object poses any
real threat
3) Procedure for managing the suspicious
person/vehicle/activity/object when the
threat is assessed to be real (e.g.
management of unauthorised access for
person and vehicle, and evacuation and
crowd control procedures for suspicious
object)
4) Calling ‘999’
Total
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7
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Areas of Audit
Does the SA have an SOP for After Action
Review (AAR)? SOP with all 4 specified components 5
SOP for carrying out an AAR. No SOP or submitted SOP with <4 specified
0
components
The SOP must have the following components: Assessor’s Observation
1) What was supposed to happen
2) What actually happened
3) Why did it happen
4) How to prevent it from recurring
Total
Did the SA conduct AAR based on
occurrences of learning values at the Submitted 75% or more of the required
8
deployment sites during the period of documentation
assessment (1st June 2018 to 31st May Submitted 50% to <75% of the required
5
2019)? documentation
Submitted 25% to <50% of the required
2
Past AAR reports based on occurrences of documentation
learning values (E.g. actual incidents or near Submitted 0% to <25% of the required
0
misses) at the deployment sites. The numbers documentation
required are as follows: Assessor’s Observation
Number of
Number of AAR required
Deployment
for submission
Sites
1 – 100
> 100
The submitted AARs must at least

comprise of the following components:
 What actually happened
 How to prevent it from recurring
(Note: SAs with no deployment site must seek

prior approval from PLRD before this criterion
can be exempted from assessment.)
Total
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8
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Areas of Audit
Does the SA have an established process
for conducting exercises to test the SOP with all 5 specified components 5
Security Officers’ response pursuant to the No SOP or submitted SOP with <5 specified
Bomb Threat SOP? 0
components
SOP for Planning a Bomb Threat Exercise.
The SOP must include the following key

components:
1) Guidelines for different type of exercise
(discussion-based or deployment-based)
2) Developing an exercise scenario
3) Planning and preparation (detailing the
roles, responsibilities, logistics and set
up)
4) Exercise safety
5) Exercise evaluation/AAR
Total
Did the SA conduct any Bomb Threat
2 Exercise Reports and both reports with all 5
Exercises during the assessment period 12
specified components
(1st June 2018 to 31st May 2019)?
1 Exercise Report with all 5 specified components 6
The SA must conduct at least 2 Bomb Threat
Exercises during the assessment period and No Exercise Report or Exercise Report (s) with <5
0
submit Exercise Reports for these 2 exercises. specified components
Each report must contain the following
components:
1) Exercise Objectives
2) Date/Time/Place of the exercise
3) Participants involved
4) Key Observations
5) Lessons Learnt
Total
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9
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Areas of Audit
for conducting exercises to test the SOP with all 5 specified components 5
Security Officers’ response pursuant to the
Fire Emergency SOP? 0
components
SOP for Planning a Fire Emergency Exercise.
The SOP must include the following

components:
(discussion-based or deployment-based)
up)
4) Exercise safety
Total
1.1.12
Score System (max 12 pts) pt
Did the SA conduct any Fire Emergency
Exercises during the assessment period 2 Exercise Reports and both reports with all 5
(1st June 2018 to 31st May 2019)? 12
The SA must conduct at least 2 Fire 1 Exercise Report with all 5 specified components 6
Emergency Exercises during the assessment No Exercise Report or Exercise Report (s) with <5
0
period and submit Exercise Reports for these 2 specified components
exercises. Assessor’s Observation

components:
4) Key Observations
5) Lessons Learnt
Total
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10
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Areas of Audit
1.1.13
Does the SA have an established process Score System (max 5 pts) pt
for conducting exercises to test the
Security Officers’ response pursuant to the SOP with all 5 specified components 5
Suspicious Persons, Vehicles, Activities No SOP or submitted SOP with <5 specified
and Objects SOP? 0
components
SOP for Planning a Suspicious Persons,
Vehicles, Activities and Objects Exercise.

components:
(discussion-based or deployment-based
up)
4) Exercise safety
Total
Did the SA conduct any Suspicious
Persons, Vehicles, Activities and Objects 2 Exercise Reports and both reports with all 5
12
Exercises during the assessment period specified components
(1st June 2018 to 31st May 2019)? 1 Exercise Report with all 5 specified components 6
No Exercise Report or Exercise Report (s) with <5
0
The SA must conduct at least 2 exercises specified components
pursuant to the SOP on dealing with Assessor’s Observation
Suspicious Persons, Vehicles, Activities and
Objects during the assessment period and
submit Exercise Reports for these 2 exercises.

components:
4) Key Observations
5) Lessons Learnt
Total
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11
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Areas of Audit
Is there an established process to conduct
Red Teaming exercises? SOP with all 5 specified components 5
SOP for Planning a Red Teaming Exercise. 0
components
components:
1) Guideline for different type of exercise
(e.g. suspicious items, access control)
2) Execution of exercise (red teamer’s
approach)
3) Exercise safety
4) Contingency plan for real incident
occurring during exercise
Total
Did the SA conduct any Red Teaming
Exercises during the assessment period 2 Exercise Reports and both reports with all 5
12
(1st June 2018 to 31st May 2019)? specified components
1 Exercise Report with all 5 specified components 6
The SA must conduct at least 2 Red Teaming No Exercise Report or Exercise Report (s) with <5
Exercises during the assessment period and 0
submit Exercise Reports for these 2 exercises. Assessor’s Observation
components:
1) Exercise Objectives (specify Red
Teaming scenario)
4) Key observations
5) Lessons learnt
Total
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12
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Areas of Audit
to manage incident reporting?
SOP with all 3 specified components 5
SOP on Incident Reporting. No SOP or submitted SOP with <3 specified
0
components
The SOP must contain the following key Assessor’s Observation
components:
1) Guidelines to establish a range of severity
of incidents
2) A matrix to stipulate the corresponding
persons or parties to be informed based
on the severity of the incident
3) A format for reporting the incidents
containing the components below:
- What happened?
- When did it happen?
- Where did it happen?
- Who was involved?
- How did it happen?
- Why did it happen?
- Is there any security implication due to
the incident?
Total
1.1.18 Score System (max 6 pts) pts
Does the SA have an established format for
reporting of incidents during the period of 1 Incident Report with all 7 specified components 6
assessment (1st June 2018 to 31st May
2019)? No Incident Report or Incident Report with <7
0
The SA must submit at least 1 Incident Report Assessor’s Observation
during the assessment period for assessment.
The Incident Report must contain the following

components:
1) What happened?
2) When did it happen?
3) Where did it happen?
4) Who was involved?
5) How did it happen?
6) Why did it happen?
7) Is there any security implication due to
the incident?
Past incident report that is outside the

assessment period will not be accepted and 0
point will be awarded.
If any of the above component is not

applicable, the SA must provide explanations
in the submission.
Total
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13
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Areas of Audit
Are supervisory checks carried out on
Security Officers during the assessment Evidence showing one supervisory check was
period (1st June 2018 to 31st May 2019)? carried out once a month for 12 months from 1
10
Jun 2018 to 31 May 2019, and the dates tallied
Documents submitted must contain the with the roster
following:
Evidence showing one supervisory check was
 Supervisory Check Roster for all 12
carried out once a month for at least 9 months
months of the assessment period. 8
from 1 Jun 2018 to 31 May 2019, and the dates
 Evidence showing that supervisory checks
tallied with the roster
were conducted based on the Supervisory
Check Roster must be submitted. Evidence showing one supervisory check was
Examples of evidence are Occurrence carried out once a month for at least 5 months
Book, Supervisory Check Book, or any 4
from 1 Jun 2018 to 31 May 2019, and the dates
other documentary records. tallied with the roster
All other situations that do not meet the

0
requirements above
Total
Does the SA have a process to conduct a
security risk survey? SOP with all 5 specified components 5
SOP for conducting security risk survey. No SOP or submitted SOP with <5 specified
0
components
SOP must include the following components: Assessor’s Observation
1) General survey of the premises
2) Identification of all entry and exit points
3) Identification of critical assets within the
premises
4) Identification of risk areas
5) Recommendations to address or mitigate
the identified risk areas
Total
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14
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Areas of Audit
Was there any security risk survey
conducted during the period of assessment Submitted 75% or more of the required risk survey
8
(1st June 2018 to 31st May 2019)? reports
Submitted 50% to less than 75% of the required
6
There must be submission of past survey risk survey reports
reports for assessment. Submitted 25% to less than 50% of the required
4
risk survey reports
The numbers required are as follows: Submitted less than 25% of the required risk
0
survey reports
No. of Deployment Number of risk survey Assessor’s Observation
Sites for submission
1 – 50

51 to 100

> 100
For the risk surveys submitted, SAs must

ensure that they contain at least these 2
components:
 Identification of risk areas
 Recommendations to address or mitigate
the identified risk areas
If 100% of SA’s service buyers refused to

conduct the security risk surveys and the SA is
able to provide evidence to support the
refusal, the SA may be exempted from this
criterion.
However, if the SA is unable to provide

evidence for one or more sites, then these
sites will be counted towards the number of
risk surveys required for submission.
Example:
Out of 80 deployments sites, 50 refused to
conduct security risk surveys and the SA is
able to provide evidence to show this. In this
case, the number of sites will be deemed as 30
(80 – 50) for this purpose. Therefore, based
on the requirement of this criterion, the SA is
required to submit 3 risk surveys.
Total
Points Awarded for Processes Category /147 pts
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15
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Systems and Technology Category
Areas of Audit
3.1.1
Score System (max 40 pts) pt
How did the SA redesign the Security
Officer’s job functions to weave in What was the Security Officer’s job scope and
technology in order to enhance responsibility before the job was redesigned with 5
productivity? the incorporation of technology?
The agency must submit a write-up that Describe how the technology has supported the
15
contain the following components: redesign of this job
 What was the Security Officer’s job Describe the Security Officer’s new/ revised job
scope and responsibility before the job scope and responsibility after the job was re- 5
was redesigned with the incorporation of designed
technology? What productivity enhancements and/or manpower/
 Describe how the technology has man-hours savings did the SA achieve through the 10
supported the redesign of this job job re-design?
 Describe the Security Officer’s new/
revised job scope and responsibility after How was the re-designed job aligned with the
5
the job was re-designed Security Industry Transformation Map strategies?
 What productivity enhancements and/or Assessor’s Observation
manpower/ man-hours savings did the
SA achieve through the job re-design?
 How was the re-designed job aligned
with the Security Industry Transformation
Map strategies?
The agency must submit a write-up (of not

more than 1,500 words) using the template
provided by PLRD (please refer to the
Annex).
Materials provided by a 3rd party vendor or

generic technology brochures will not be
accepted other than as supporting
documents.
Total
Points Awarded for Systems and Technology Category /40 pts
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16

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Number of DVDs/CDs Submitted by

Number of Full-time/Part-time Full-time Security Officers:

Number of Deployment Sites

Document must include at least the followings:

Past JDs outside the period of assessment are

Document must include at least the followings:

Past JDs outside the period of assessment are

Number of Number of Induction

Checklist must include all the followings:

Note: SAs with no deployment site must seek

The SOP must have the following components:

The submitted AARs must at least

(Note: SAs with no deployment site must seek

The SOP must include the following key

The SOP must include the following

Each report must contain the following

The SOP must include the following

Each report must contain the following

The Incident Report must contain the following

Past incident report that is outside the

If any of the above component is not

All other situations that do not meet the

6 or 10% of total sites

11 or 10% of total sites

For the risk surveys submitted, SAs must

If 100% of SA’s service buyers refused to

However, if the SA is unable to provide

Points Awarded for Processes Category /147 pts

The agency must submit a write-up (of not

Materials provided by a 3rd party vendor or

Points Awarded for Systems and Technology Category /40 pts

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