assignment instructions security

Do your security officers use assignment instructions? asks Roberta Minty, Managing Director of Total Training Consultancy Limited

As a Managing Director of a Security Consultancy business, and having worked in security for 20 years, I have seen many changes within the industry. With the relatively recent introduction of the Security Industry Authority’s Approved Contractor Scheme, a standard has been set which has been much needed in the security sector. In particular the ACS has highlighted the importance of processes and documents in your business. It has made this mandatory in some cases, such as for site Assignment Instructions.

I have long held the belief that site Assignment Instructions (AIs) are one of, if not the, most important documents a Security Officer has access to whilst on duty. During my time working with all sizes of security company, I have come across many variations of site assignment instructions. There have been the two-page documents which have been scribbled all over as practices have altered, all the way up to vast documents designed to impress clients rather than aid the security officer.

The feedback I have received about AIs when speaking to officers, has surprised me. In some cases such little importance is given to these documents that security officers when questioned do not even know what they are and why they should be used. On the other hand we have officers who are frustrated as their limited AI document does not aid them in their job. At the other end of the scale I have met guards that are baffled by a 100 page Assignment Instruction that bears little relevance to their job and duties.

In our experience an AI is a constant reference for the security officer, which is as important as his licence and uniform! Having passed his Basic Job Training the AIs become a familiar document which includes such important information as duties of security staff, client details and emergency procedures.

The advantages to having detailed but concise AI’s are far-reaching: ? Having them is one of the requirements of the SIA’s Approved Contractors Scheme ? Security Officers are more confident in their job and have a standard to work from ? It gives you a professional image to clients ? Your company processes are more structured ? It is a good indication to your insurers that you are trading correctly

However, when producing your Assignment Instructions you will find that is time consuming and very often it is difficult to know what to include.

We here at Total Training Consultancy Limited have done the hard work for you! We have produced a 45 page set of standard Assignment Instructions that can be used for all of your client sites. They are easily adaptable and contain information approved by a qualified Assessor.

Please visit our website www.totaltrainingconsultancy.co.uk or telephone 01249 783516 for more information.

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Assignment Instructions Tutorial  

Welcome to the assignment instructions tutorial. In this article we’ll take a look at the SIRV decision tree feature to build a specific type of procedure, assignment instructions.

The decision tree feature is ideal for anyone looking to formalise procedures and promote compliant behaviour.

Most organisations record procedures using traditional methods such as flow charts stored in a PDF format. The SIRV decision tree feature has significant benefits over this method. 

Business Case: 4 Reasons for Decision Trees

1) compliance & best practice.

Most procedures are made and then left on a shelf somewhere, only to be seen once a year.

A SIRV decision tree can be seen real-time in the field at any time.

The availability and accessibility of the SIRV decision tree gives users the opportunity to check whether their decision making complies with best practice.

2) Relevant

We work in a rapidly changing world that often calls for changes in procedures. However, changing paper based procedures is time consuming.

With SIRV, any change to a procedure is reflected instantly.

3) Claims Defence

The SIRV decision tree audit feature tracks each time a user accesses and follows a procedure.

This is particularly valuable when making a claims defence.

4) Refresher Training

You can use the decision tree feature to refresh training.

It is easy to take users through a decision tree and ask questions. The audit feature means you can track performance. Ideal for refresher training or inducting new people on site.

Take me straight to the user tutorial

Background: What is a Decision Tree?

We are really excited about the decision tree feature. It can have a real impact on people’s decision making and behaviour.

Organisations will deploy our decision tree feature for:

• Disaster recovery plans
• Safety protocols
• Cleaning procedures
• Assignment instructions (Security)

People use decision trees in many walks of life, in particular finance, software and engineering. However, our inspiration came from the commercial aircraft market, which in-turn took their lead from the United Stated Air Force.

Aircraft Crashes

Back in 1935 the United States Army Air Corp found flying aircraft had become so complex that pilots were unable to process all the aircraft’s different functions. For example, during a flight contest in which a brand new Boeing long range bomber took off, climbed 300 feet, stalled and crashed killing two of the five crew. The complexity was too much for the crew during during take off. As a solution the aircraft industry began unburdening pilots by giving them checklists to complete.

(Further information available in Checklist Manifesto ). 

Today these checklists have developed into decision trees. If they face a problem on an aircraft know not to compute all their options. Instead, they are taught to consult their checklists and decision trees.

The aircraft industry saw the human mind cannot be relied to quickly decide in life and death situations.

Decision Trees vs Assignment Instructions

Assignment  instructions are specific procedures for security guards. Although security guards do not fly planes they do face high impact, low frequency events. Whether it is checking suspicious items or assessing a water leak above a tech room, they too can benefit from the clarity of a decision tree.

Paper based assignment instructions have the following drawbacks:

• Slow: Not all the information assignment instructions contain is relevant to a decision maker, for example version numbering. Therefore, decisions are slow.
• Unclear: The unstructured format of assignment instructions means procedural guidance is vague.
• Hard work: There is a natural resistance to ploughing through dense, word heavy documentation, particularly in a time pressured situation. 
• Inaccessible: Files containing assignment instructions are usually stored in a control centre. As a result, decisions made are remote from the decision maker in the field.

In contrast, decision trees are quick, easy to follow, prescriptive and accessible. 

Decision Trees vs Flow Charts

If you already have flow charts you may have something very similar to a decision tree.  However, the SIRV decision tree feature differs from a flow chart in two important ways:

1) To reduce uncertainty the SIRV decision tree provides a fixed structure. For example, you can only ask one question at a time. 

2) A flow chart on paper allows the decision maker to review the entire flow chart. SIRV limits the decision maker to viewing only one question and its respective answers. This clarity helps the user concentrate on the decision at hand.

Foreground: How to Build a Decision Tree

We’ll look at the SIRV decision tree feature by breaking it down into three areas:

Building a Basic Decision Tree

Editing a decision tree

• Insert level
• Delete level

Advanced features

• Ending in another decision tree
• Ending in another branch of the same decision tree
• End in an incident or event

Audit Trail

Designing your first Decision Tree

You can dive straight into building a decision tree. However, if you’re writing a complex procedure / assignment instruction, you’ll soon find a decision tree’s logical structure demands some forethought.

Important considerations:

• A decision tree follows the format of one question and one or more answers. Each question and answer(s) represent a level.
• A link between decision tree branches is possible.
• A link between decision trees is possible.
• The decision tree user can only view one question and answer(s) at a time.

Unlike many assignment instructions, decision trees are highly prescriptive. If you already have written procedures you will find ‘fuzzy instructions’ inappropriate. For example, an assignment instruction can set a task such as ‘Contact Gold Command’. But, should communication be through phone, email or text? Decision trees are a great way to eliminate confusion and be prescriptive.

Whenever we help organisations build their decision trees we stress test their logic by drafting the decision tree on a white board or large A3 sheet of paper before commencing the build in SIRV.  This is time well spent.  

Do & Review

Building a decision tree can take as little or as much time as you like. Regardless of complexity whenever you are building a decision tree ensure you regularly save it.

When you review a decision tree ensure you view its appearance on the screen the decision maker will use. Information displayed on a 15 inch landscape laptop looks very different on a 4 inch portrait mobile phone.

In the following video we look at building a simple three level decision tree. We name the tree and add the following elements: 

Edit a Decision Tree

Edit a decision tree at any time. once changes are made the decision tree will automatically update., sometimes a decision tree is built but a new question is needed or one needs to be taken away. in the following video we look at editing a decision tree by:.

• Add a level 
• Delete a level

Advanced Features

Here are some advanced decision tree features:.

A gateway stops the user advancing to another level until they have answered positively (Yes) to your question(s). If an answer is negative (No) the user is unable to progress to the next level in the decision tree.

Ending a decision tree branch at the start of another decision tree

Often one assignment instruction / procedure will refer to another assignment instruction / procedure. For example, assignment instructions for suspicious items or fire alarms will often refer to the same evacuation assignment instruction. SIRV allows a link in any branch to the start of another decision tree. 

Link a branch in a decision tree with another branch in the same decision tree 

This allows a link to one branch in a decision tree to another branch in the same decision tree.

Ending a decision tree branch in an incident or event form

At the end of a branch you may want the user to be asked to complete an incident or event form. 

Every time you view a decision tree it records:

• Who saw the decision tree and when
• Route taken through the decision tree

This information is shown through a usage search, shown in the video below.

The pay back for investing time in decision trees is obvious and rapid. Users have power to make better decisions locally and management receive fewer queries. Building a decision tree is simple and some would say fun. 

The following decision trees are available, ready built when you purchase SIRV:

• Business Continuity Plan
• Bomb Threat Received
• Ejecting People
• Lift Entrapment
• Transport Safety
• Vehicle Accident
• Vehicle Breakdown
• Work at Height

You can also download more procedures and assignment instructions here .

Download Now: Assignment Instructions

Ready to download:

> Business Continuity Plan

> Bomb Threat Received

>   Lift Entrapment

> Media Release

> Ejecting People

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Security Policies and Procedures

This course enables participants to explore, design and fully understand the policies and procedures needed for security departments within their organizations. More specifically, participants will discuss managing the implementation and evaluation of their policies and procedures in relation to setting standards, staff safety, security effectiveness and overall performance of the security department. Participants will learn the importance of enforcing, reviewing, and revising security policies and procedures effectively while meeting the legal requirements of the jurisdiction or country the organization is in.

Course Methodology

This course is highly interactive and includes group discussions, case studies and syndicate work. It also includes practical exercises that enable all participants to apply the advanced knowledge they gained and demonstrate their skills in security policies and procedures.

Course Objectives

By the end of the course, participants will be able to:

• Identify numerous types of policies used in security
• Understand Standard Operational Procedures (SOPs)
• Apply assignment instructions to security operations
• Create policies and procedures for their organization
• Manage the successful implementation of security policies

Target Audience

This course is suitable for security professionals who manage and control an organization’s policies and procedures; this includes security supervisors, managers, team leaders and company owners, directors and stakeholders.

Target Competencies

• Communication
• SOP creation
• Team management
• Critical and strategic thinking
• What are security policies?
• What are security procedures?
• Why do we need policies in our organizations?
• How policies affect your work and every-day routines
• Understanding the connection between policies and the law
• The importance of policies and procedures in security
• Different types of policies in the workplace
• 3 types of security policies
• What should a security policy contain?
• Assignment instruction
• Policies and the law
• Wants, needs and benefits of policies and procedures
• Setting a security policy within an organization
• 5 components or elements of a security policy
• Differences between policies and procedures
• Security awareness
• Roles and responsibilities when creating policies
• 3 types of security controls
• Relationship between policy and management
• Policy statements
• Top-down security
• Bottom-up security
• Security standards
• Codes of Security behavior and ethics
• Security administration
• Assignment instructions
• Reporting procedure
• Physical control policies
• Technical control policies
• Structuring your security policy
• Developing a security strategy
• Rational for security strategy
• Consequences of poor policy implementation
• Establishing effective procedures for success
• Implementation of security procedures
• Managing security procedures
• Measuring procedures for assessing performance
• Security procedure typology
• Developing a suitable security policy for an organization
• Developing and writing a policy statement for your organization
• Matching security procedures to the policies
• Developing a written assignment instruction for an organization
• Creating a security plan with a list of suitable policies and procedures for your organization

2024 Schedule & Fees

Per participant.

Fees + VAT as applicable

(including coffee breaks and a buffet lunch daily)

Location & Date

2025 schedule & fees.

Meirc reserves the right to alter dates, content, venue, trainer, and to offer courses in an integrated virtual learning (IVL) format whereby face to face classroom participants and virtual learners participate simultaneously in the same course in an interactive learning experience.

Tax Registration Number: 100239834300003

This course is also offered in Virtual Learning, click on the course below.

Course Outline

Schedule & fees, virtual learning.

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Security Procedures – How Do They Fit Into My Overall Security Documentation Library?

I’ve written previously about the importance of security policies and provided some basic principles for developing solid security policies. This blog post builds upon the foundation of security policies and discusses the importance of security procedures and how they fit into your overall security documentation library. Below are a few principles to keep in mind of when drafting (or reviewing existing) security procedures.

What are Security Procedures?

Security procedures are detailed step-by-step instructions on how to implement, enable, or enforce security controls as enumerated from your organization’s security policies. Security procedures should cover the multitude of hardware and software components supporting your business processes as well as any security related business processes themselves (e.g. onboarding of a new employee and assignment of access privileges).

The Purpose of Security Procedures & Why They’re Needed in an Organization

The purpose of security procedures is to ensure consistency in the implementation of a security control or execution of a security relevant business process. They are to be followed each time the control needs to be implemented or the security relevant business process followed. Here is an analogy. As part of every aircraft flight, the pilot will follow a pre-flight checklist. Why do they do this? Simply put, they do it to ensure that the aircraft is ready to fly and to do everything possible to ensure a safe flight. Although pilots may have flown thousands of hours, they still follow the checklist. Following the checklist ensures consistency of behavior each and every time. Even though they may have executed the checklist hundreds of times, there is risk in relying on memory to execute the checklist as there could be some distraction that causes them to forget or overlook a critical step.

Much like pre-flight checklists, security procedures guide the individual executing the procedure to an expected outcome. One example is server hardening. Even though a system administrator has built and hardened hundreds of servers, the procedure to harden the server still needs to be followed to ensure the server is hardened correctly and to a level that still allows operability with the system of which it is a part. If the hardening procedure is not followed, the system administrator could leave out a step that results in an unacceptable exposure of the server or data (e.g., leaving unneeded ports open on the server or the permissions on a directory open to unauthorized users). The best option would be to automate the hardening procedure through scripts or other automation tools (e.g. Puppet or Chef). This will ensure the consistent execution of the hardening “procedure.”

What is the Relationship Between Security Policies and Security Procedures?

• Security procedures build upon your organization’s security policies. Your organization’s security policies are the foundation of its security program. An important principle of security policies is that they focus on guiding behavior. Like security policies, security procedures also focus on guiding behavior. While security policies address the who, what, and why, security procedures inform individuals in your organization of the when (e.g. daily, monthly, upon a certain trigger), where, and how relating to security. To help focus the security procedures within your organization, standards and baselines should also be defined. Standards and baselines are directed at the technology implemented in an organization, whereas policies and procedures focus on guiding behaviors. As depicted below, think of the relationship between policies, standards, baselines, and procedures like a triangle with security policies as the base or foundation:

The following is an example of how security procedures build upon or enable security policy. Your organization has defined a policy (who, what, and why) regarding the creation of backups for critical information. The supporting security procedure should define when the backups are executed, to what location and medium the backups are written, and how the individual steps to execute the backup are performed. Whether dealing with specific technology or a security-relevant business process, write a procedure for all areas where repeatable and consistent application or enforcement of controls is needed. Remember, procedures are meant to guide an individual’s behavior to obtain a certain and desired end result.

• Security Procedures should contain sufficient detail to be executable. Security policies outline security needs in a general or high-level fashion. Security procedures, on the other hand, must provide sufficient detail that an individual who is not familiar (or mildly familiar) with the process or technology can successfully reach the desired outcome for the procedure. Many organizations have those one or two superstar tech geniuses who know how to do everything. While it is good to have such talent on your staff, it ultimately represents a risk to your organization if security procedures are not put in place. What would be the response if your superstar is out on vacation when his or her knowledge of how to do something is suddenly needed? Avoid such circumstances by developing security procedures to define the how, where and when things get accomplished. Beware to avoid developing procedures that rely on expert knowledge as a foundation to execute the procedure, doing so often results in gaps in the procedure. A good test for the level of detail for your procedure is to have some of your more junior staff execute the procedure. If they can do it cleanly, then there is likely sufficient detail to your procedure. If not, provide additional detail to your procedure. Also, make sure everyone who may execute the procedure has the proper access/permissions.

Why Is It Important To Keep Security Procedures Current?

Just as security policies should be reviewed and updated on a regular basis, security procedures need the same care and feeding. For those procedures that are executed on a regular basis (e.g. daily or monthly), the review should occur as part of the execution of the procedure. Just make sure any updates are made in a timely manner. For procedures that are executed on a less frequent basis (e.g. on a specific trigger like a disaster or incident) these procedures need to be reviewed and exercised at a minimum of once per year or as part of the “post-mortem” activities of an actual disaster or incident. Technological changes in your organization will drive the need to update your procedures, and new procedures should be created as part of the overall implementation plan for the new technology. Maintaining current security procedures will ensure safeguard your organization against inadvertent actions or other errors regarding the implementation of security controls, especially in stressful situations or time crunches.

Security policies and procedures are a critical component of an organization’s overall security program. With defined security policies, individuals will understand the who, what, and why regarding their organization’s security program, but without the accompanying security procedures, the actual implementation or consistent application of the security policies will suffer. Linford and Company has extensive experience writing security policies and procedures. If you would like to learn more about how Linford and Company can assist your organization in defining security policies and procedures or other services such as FedRAMP , HITRUST , SOC 1 or SOC 2 audits, please contact us.

Ray Dunham started his career as an Air Force Officer in 1996 in the field of Communications and Computer Systems. Following his time in the Air Force, Ray worked in the defense industry in areas of system architecture, system engineering, and primarily information security. Ray leads L&C’s FedRAMP practice but also supports SOC examinations. Ray enjoys working with clients to secure their environments and provide guidance on information security principles and practices.

Related Posts:

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• Security & Privacy: You Can’t Have Privacy Without Security
• Mobile Security Threats: What You Need To Know For SOC 2
• AI & Security: How Will It Affect Your Organization?
• What is the CMMC (2.0)? New DoD Guidance for Security Compliance
• What is a Security Operations Center (SOC) & Why Should You Invest in One?

IM5 - Assignment Instructions - rev1

Gateman Security / Out of Hours Security

Free IM5 - Assignment Instructions - rev1 Checklist

Go digital today, convert your paper checklists into digital forms.

Scan this QR code to use this paper checklist on your smartphone or tablet or visit https://safetyculture.com/

Information

Client / Site

Project Reference

Review Date

• Location Address

Prepared by

Category / Description / Revision

The following Assignment Instructions define ProActive Security Ltd roles and responsibilities for the service of security provided for the project. The Assignment Instructions will be amended by form of revision. Client required amendments/updates must be presented in writing for implementation to Operations Manager: [email protected] Operations Director: [email protected] PSS required amendments/updates will be presented to the client for review/approval prior to implementation.

Project/Site Location Image

Project/Site Access Information

Service Requirement

OUT OF HOURS SECURITY

PSS Standard Duties & Responsibilities... 1. Security Personnel (SP) prime responsibility is to protect the customer’s people, property and assets at all times, as far as reasonably practicable. 2. SP must wear full uniform at all times. This consists of black trousers, white shirt, and black tie, with Proactive high visibility jacket / vest and hard hat. SIA badge and ID badge must be displayed at all times. Additional PPE to be used (Personal Protective Equipment) will be identified in the site induction and risk assessment. 3. SP to be inducted by ProActive Security Ltd. In addition SP must read site related risk assessment and the Assignment Instructions before any duties are carried out. (Located in the site folder, which is kept with all the site equipment). SP to sign acknowledgement Read and Understood declaration. 4. SP must clock on at the start of shift by firstly scanning their ID card and then the clock on checkpoint (located within the site folder/security case) unless otherwise instructed. 5. SP must thoroughly check all onsite equipment to ensure full operational functionality and report immediately to ProActive Security Ltd any signs of malfunction, defect, damage, signs of tamper. Failure to carry out this process could result in the SP on duty being held responsible for any substandard onsite equipment. 6.. SP must review the onsite logbook for information on any messages, requirements or information relevant to his/her shift. 7. SP must initiate constant and continual site observation and crime prevention techniques in line with SIA guidelines/PoActive Security Ltd training and Project/Site specific instructions. 8. SP must document all incidents,occurrences, messages, relevant information in the onsite logbook in accordance with ProActice Security Ltd policies. 9. SP must report all incidents, occurrences, messages, relevant information in accordance with ProActice Security Ltd policies. 10. SP must complete all relevant onsite paperwork and documentation in line with ProActive Security Ltd policies and training. 11. SP must carry out at least a full baton handover if shifts are consecutive to assure all relevant information is passed to the proceeding SP. 12. SP must clock off at the end of shift by firstly scanning their ID card and then the clock on checkpoint (located within the site folder/security case) unless otherwise instructed.

GATEHOUSE SECURITY

PSS Standard Duties & Responsibilities... 1. Security Personnel (SP) prime responsibility is to protect the customer’s people, property and assets at all times, as far as reasonably practicable. 2. SP must wear full uniform at all times. This consists of black trousers, white shirt, and black tie, with Proactive high visibility jacket / vest and hard hat. SIA badge and ID badge must be displayed at all times. Additional PPE to be used (Personal Protective Equipment) will be identified in the site induction and risk assessment. 3. SP to be inducted by ProActive Security Ltd. In addition SP must read site related risk assessment and the Assignment Instructions before any duties are carried out. (Located in the site folder, which is kept with all the site equipment). SP to sign acknowledgement Read and Understood declaration. 4. SP must thoroughly check all onsite equipment to ensure full operational functionality and report immediately to ProActive Security Ltd any signs of malfunction, defect, damage, signs of tamper. Failure to carry out this process could result in the SP on duty being held responsible for any substandard onsite equipment. 5. SP must review the onsite logbook for information on any messages, requirements or information relevant to his/her shift. 6. SP to meet & greet - sign in/out all staff, visitors, sub-contractors, deliveries in accordance with PSS training and client specific requirements. 7. SP must document all incidents,occurrences, messages, relevant information in the onsite logbook in accordance with ProActice Security Ltd policies. 8. SP must report all incidents, occurrences, messages, relevant information in accordance with ProActice Security Ltd policies. 9. SP must complete all relevant onsite paperwork and documentation in line with ProActive Security Ltd policies and training and client specific requirements. 10. SP must carry out at least a full baton handover if shifts are consecutive to assure all relevant information is passed to the proceeding SP.

Project/Site Specific Tasks/Requirements

SP to be based/located

SP base/location image

Additional assignment specific uniform PPE, equipment required

Details of assignment specific uniform, PPE, equipment required

Site specific tasks & requirements

Shift Schedule

Monday Start

Monday Finish

Tuesday Start

Tuesday Finish

Wednesday Start

Wednesday Finish

Thursday Start

Thursday Finish

Friday Start

Friday Finish

Saturday Start

Saturday Finish

Sunday Start

Sunday Finish

Site Plans/Drawings

Patrol Plan

Evacuation Plan

Logistics Plan

• Traffic Management

Traffic Management Plan

Key Holding

SP to take position of keys

SP to keep possession of keys and handover to consecutive SP

SP to keep possession of keys to unlock/lock site daily

SP to collect keys from Site Management on arrival each day and return to Site Management at end of shift

No. of keys to be held by SP

Key description

Patrol Routes/Instructions

Site Patrols Required

Patrols not applicable onsite

Patrols to be conducted

1. Conduct patrols hourly ensuring al check points are scanned. 2. Check all accessible doors, windows, gates, access points to ensure locked/secure. 3. When carrying out a patrol ensure to lock the location you are based on exit. 4. Pay vigilance and become aware of your surroundings, identify any potential changes to your surroundings/environment that may indicate unlawful access to site or may arouse suspicions of abnormal process/procedure and respond/report according to ProActive policy. 5. Document any potential changes to your surrounding/environment that may indicate unlawful access to site or may arouse suspicions of abnormal process/procedure in the onsite log book and inform the following SP in your shift handover. 6. Safety glasses, and gloves must be worn on all patrols and you must carry a fully working torch/flashlight on all night patrols. 7. All standard and site specific PPE must be worn when carrying out a patrol. EXAMPLE: 21:00-22:00 patrol / duration = 20 minutes. Earliest start time: 21:00 Earliest finish time: 21:20 Latest start time: 21:25 Latest finish time: 21:45

1. Conduct x2 patrols per hour ensuring al check points are scanned. 2. Check all accessible doors, windows, gates, access points to ensure locked/secure. 3. When carrying out a patrol ensure to lock the location you are based on exit. 4. Pay vigilance and become aware of your surroundings, identify any potential changes to your surroundings/environment that may indicate unlawful access to site or may arouse suspicions of abnormal process/procedure and respond/report according to ProActive policy. 5. Document any potential changes to your surrounding/environment that may indicate unlawful access to site or may arouse suspicions of abnormal process/procedure in the onsite log book and inform the following SP in your shift handover. 6. Safety glasses, and gloves must be worn on all patrols and you must carry a fully working torch/flashlight on all night patrols. 7. All standard and site specific PPE must be worn when carrying out a patrol. EXAMPLE: 21:00-22:00 patrol / duration = 10 minutes. Patrol 1 - Earliest start time: 21:00 Patrol 1 - Earliest finish time: 21:10 Patrol 1 - Latest start time: 21:10 Patrol 1 - Latest finish time: 21:20 Patrol 2 - Earliest start time: 21:30 Patrol 2 - Earliest finish time: 21:40 Patrol 2 - Latest start time: 21:40 Patrol 2 - Latest finish time: 21:50

No of checkpoints onsite

CP reference/location description

CP images (take x2 images... x1 area of location. x1 close up of CP)

Onsite Equipment Itinerary

Onsite Equipment...

• Patrol Device
• Laptop (Notebook)
• Lone Working Phone
• Combination Lock
• Rapid Deployment Alarm

Patrol Device...

Contact no.

Laptop (Notebook)...

Desktop PC...

Lone Working Phone...

Combination Lock...

Combination

Rapid Deployment Alarm...

Onsite Documentation

PSS Incident/Logbook

F.08 - Individual Sub-Contractor Weekly Attendance Sheet

F.09 - Management Weekly Attendance Record Sheet

F.10 - Delivery Attendance Record Sheet

F.11 - Visitor Attendance Record Sheet

F.12 - Personal Daily Tracking Form

Risk Assessments

Emergency Procedures / Lines of Communication

NOTE: All incidents, occurrences, relative observations must be logged with the Communication Room / Office. For all urgent and non urgent logs these should also be recorded within the note book located within the security case. Please ensure that a detailed log is written in clear hand writing including the following:- • Date • Time • Your name • Description of events/ occurrence • Full names of third parties if applicable • If applicable vehicle registration, make, colour • Root cause • Action taken 07:00 to 19:00 ProActive Security Ltd Office​​​​​ / Communication Room 0844 826 2906 / 01536 799 811 ProActive Security Ltd Operations Manager 07739 759 359 ProActive Security Ltd Operation Director​​​ 07903 386 257 ProActive Security Ltd Quality Manager​​​ 07814 968 129 In the event of a fire on site the SP should first contact the emergency services immediately on 999, followed by ProActive Security Ltd Control room and the out of hours client contact in relevant order until one is reached. If the fire is manageable and can be safely extinguished using the appropriate fire extinguisher, then the SP should take the appropriate action to prevent the fire spreading or endangering members of the public or surrounding buildings. All SP will ensure their safety is not comprised at any time. Refer to Points of Interest for Muster point information.

Community Contact Details...

Local Police

Contact number

Local Hospital

Service Provider Details...

Generator provider

Company name

Water utility provider

Company Name

Gas utility provider

Electricity provider

Client Contact Details - WORKING HOURS

• Project Manager
• Site Manager
• Quantity Surveyor
• Commercial Manager
• Construction Manager
• Logistics Manager
• Site Engineer
• Operations Manager
• Business Development Manager
• Purchasing Manager

Client Contact Details - OUT of HOURS

Points of Relevence

Fire Extinguishers...

Location/Description

First Aid Point...

Muster Point...

Welfare - Toilets/W.C...

Welfare - Canteen ...

Confirmation of Approval

Client representative signature of approval

PSS representative signature of approval

Security Personnel Declaration

I hereby confirm that I have read and fully understand all Duties & Responsibilities, Tasks & Requirements documented within these Assignment Instructions.

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Professional security operative

Key information.

• Status: Approved for delivery
• Reference: ST1016
• Version: 1.0
• Minimum duration to gateway: 12 months
• Typical EPA period: 3 months
• Maximum funding: £6000
• Route: Protective services
• Date updated: 19/09/2023
• Approved for delivery: 27 July 2023
• Lars code: 716
• EQA provider: Ofqual
• Review: this apprenticeship will be reviewed in accordance with our change request policy .

This apprenticeship has options. This document is currently showing the following option:

Apprenticeship summary

Overview of the role.

To be an organisation’s first line of defence.

Occupation summary

This occupation is found in a range of public, private and not for profit sectors. These can include iconic or historic locations, commercial or residential buildings, transport and rail installations, healthcare and educational facilities, retail outlets, logistics and the transportation of high net-worth assets and currency. Employment can range from a small front-of-house security team to large-scale nation-wide organisations.

The broad purpose of the occupation is to be an organisation’s first line of defence against activities that threaten the security of the UK and continuity of its organisations' core businesses. Professional security operatives protect people, assets, property and premises via a layered security approach. This includes the need to enforce legal requirements, policies, procedures (including Standard Operating Procedures and Emergency Operating Procedures) and rules to provide a safe and secure environment. Professional security operatives monitor assigned areas to act as a deterrent, identify hostile reconnaissance, identify suspicious items, people, or vehicles and respond to alarms, incidents and emergencies. They will conduct regular and random searches and report and record information following organisational procedure. Through the performance of these duties, professional security operatives also play a key role in counter terrorism activity.

• Operational security operatives are responsible for ensuring the safety of others, including large groups or crowds. They identify potential security risks and act upon them to maintain safety. They are responsible for searching, scanning, screening, crowd management, conflict management, patrolling, access and egress, and emergency procedures on the ground.
• Cash and valuables in transit (CViT) operatives ensure the safe and secure transportation of cash and a wide variety of valuables, including jewellery, art and precious metals. They use specially adapted vehicles and equipment such as protective secured boxes, personal protective equipment such as CViT helmets, body armour, and communication systems to ensure the safety of the valuables they transport.
• Mobile security patrol operatives patrol, conduct property inspections, lock and unlock premises and respond to alarms. These duties are carried out across a large portfolio of clients and a wide range of locations within a geographical area using an adapted vehicle.
• Security control room operatives oversee and co-ordinate the operational response at the location they monitor, using control room equipment or through CCTV (also known as VSS or Video Surveillance Systems). They gather intelligence, disperse relevant information, monitor lone working, manage incidents and provide an interface to other protective services including the emergency services.

In their daily work, an employee in this occupation interacts with the public and a broad range of other stakeholders including the organisational hierarchy, peers, clients, contractors, sub-contractors, blue light services, and enforcement agencies.

An employee in this occupation will be responsible for identifying the risk of the security of people, places, property and assets to protect them from threats that intentionally or accidentally exploit vulnerabilities. They work at pace and undertake duties independently, reporting to a shift supervisor, team leader or security manager. They may work as part of a security team, and must undertake professional development to enhance their skills and understand the company security culture.

Professional security operatives are on the front line and will be ambassadors for the security profession and the business in which they work. Integrity and honesty are paramount for the industry and future career choices. They will adhere to the dress code and use personal protection equipment when required. They will be professional, courteous, calm and empathetic in all situations and treat information and details confidentially in-house and externally. They will be respectful of team members and end-users and provide a high standard of customer service.

Typical job titles include:

• Duty 1 Conduct workplace activities using equipment, resources and technology in line with the organisation’s assignment instructions and workplace values.
• Duty 2 Escalate security-related incidents (for example, potential breaches of sterile areas, restricted areas, terrorist attacks and prohibited articles) to an appropriate supervisor/manager.
• Duty 3 Respond appropriately to, and provide assistance for; accidents, incidents and emergencies and carry out procedures to protect people, assets, and property to limit loss or damage in publicly accessible locations and relay information to other colleagues / stakeholders.
• Duty 4 Deliver a professional service in the workplace and contribute to a contextualised security customer experience.
• Duty 5 Compose and maintain technical security reports and documentation to meet current regulatory and legislative requirements.
• Duty 6 Carry out asset audits or equipment checks using an agreed list such as keys, safety equipment, and any other equipment used in the workplace.
• Duty 7 Develop relationships with external agencies and local police to ensure a co-ordinated response to security related incidents.
• Duty 8 Develop and maintain a heightened awareness of current national and local risk levels, threats, and potential terrorist activity.
• Duty 9 Follow specific security measures in line with internal guidance and legislation to respond appropriately to alarm activation.
• Duty 10 Use appropriate measures and equipment to check suspicious activity and hostile reconnaissance and respond according to guidelines.
• Duty 11 Receive and communicate a brief or debrief at handover/shift change to ensure operational continuity.
• Duty 12 (Operational Security Operative ) Provide physical and technical security measures using dynamic risk assessment to maintain safety of self and others in publicly accessible locations.
• Duty 13 (Operational Security Operative ) Follow access control procedures for premises and events and prevent the admittance of unauthorised persons and objects, identifying the threat and/or risk. Record and report any irregularities which compromise security to an appropriate supervisor or manager.
• Duty 14 (Operational Security Operative ) Perform specific, random and general searches (for example: vehicles, persons, assets or property) using correct procedures and equipment to maintain security protocols.
• Duty 15 (Operational Security Operative ) Use appropriate measures to handle, confiscate, and report any prohibited articles identified during security checks to an appropriate supervisor or manager.
• Duty 16 (Operational Security Operative ) Use appropriate measures to control groups such as demonstrators, rioters, activists, persons of interest, members of the public.
• Duty 17 (Operational Security Operative ) Maintain a physical presence (for example patrolling, static guarding) to uphold the security of the area of jurisdiction.
• Duty 18 (Cash and Valuables in Transit Operative) Conduct daily safety checks on vehicles specially adapted for the transit of cash and/or valuables and the reporting of any security or mechanical issues to an appropriate supervisor or manager.
• Duty 19 (Cash and Valuables in Transit Operative) Adhere to safe driving standards for self and other road users during the transportation of cash or valuables.
• Duty 20 (Cash and Valuables in Transit Operative) Transport cash and valuables in specially adapted vehicles safely and with vigilance to and from all points of delivery and collection using pavement protection devices where required.
• Duty 21 (Cash and Valuables in Transit Operative) Plan and optimise transit routes to comply with times specified by customers for delivery and collection.
• Duty 22 (Cash and Valuables in Transit Operative) Balance and replenish automated teller machines (ATMs) by adhering to customer and company procedures.
• Duty 23 (Cash and Valuables in Transit Operative) Perform safe loading and unloading of the vehicle ensuring the load is evenly distributed to minimise risk.
• Duty 24 (Cash and Valuables in Transit Operative) Ensure adherence with across the pavement limits in line with company procedures.
• Duty 25 (Cash and Valuables in Transit Operative) Collecting and delivering cash and valuables in line with transport legislation.
• Duty 26 (Mobile Security Patrol Operative) Conduct vehicle safety checks and basic vehicle maintenance, reporting any malfunction in the vehicle and associated equipment to an appropriate supervisor or manager.
• Duty 27 (Mobile Security Patrol Operative) Drive mobile patrol vehicle following established safe driving standards and safe route planning methods.
• Duty 28 (Mobile Security Patrol Operative) Use appropriate physical and technical search methods at sites accessed during mobile security patrol activity to identify security breaches, suspicious items and activity, hostile reconnaissance, people and vehicles.
• Duty 29 (Mobile Security Patrol Operative) Plan and optimise transit routes to comply with client specified time windows.
• Duty 30 (Mobile Security Patrol Operative) Apply a risk and threat assessment for a variety of individual sites.
• Duty 31 (Mobile Security Patrol Operative) Comply with 'lone worker' protocols, ensuring communication with the Control Room is maintained as per procedures, to minimise risks to personal safety.
• Duty 32 (Security Control Room Operative) Conduct checks to verify that the system (control room equipment) is working to the required standards. Record and report any identified faults to an appropriate supervisor or manager.
• Duty 33 (Security Control Room Operative) Use the control room or CCTV surveillance equipment to support security measures, direct patrol staff and guide emergency services.
• Duty 34 (Security Control Room Operative) Gather, record and store evidence using the CCTV surveillance or control room equipment, reporting accordingly.
• Duty 35 (Security Control Room Operative) Monitor or track using control room equipment or CCTV equipment to identify criminal, terrorist or safety incidents and respond appropriately.
• Duty 36 (Security Control Room Operative) Complete all relevant documentation to ensure that the evidential audit trail is provided in line with procedures.
• Duty 37 (Security Control Room Operative) Use the control room or CCTV surveillance equipment to monitor the attendance, safety and welfare of security personnel including lone workers.
• Duty 38 (Security Control Room Operative) Implement the emergency procedures and use the emergency equipment to ensure continuity of business and maintain the integrity of the control room.

ST1016, professional security operative level 2

This is a summary of the key things that you – the apprentice and your employer need to know about your end-point assessment (EPA). You and your employer should read the EPA plan for the full details. It has information on assessment method requirements, roles and responsibilities, and re-sits and re-takes.

What is an end-point assessment and why it happens

An EPA is an assessment at the end of your apprenticeship. It will assess you against the knowledge, skills, and behaviours (KSBs) in the occupational standard. Your training will cover the KSBs. The EPA is your opportunity to show an independent assessor how well you can carry out the occupation you have been trained for.

Your employer will choose an end-point assessment organisation ( EPAO ) to deliver the EPA. Your employer and training provider should tell you what to expect and how to prepare for your EPA.

The length of the training for this apprenticeship is typically 12 months. The EPA period is typically 3 months.

The overall grades available for this apprenticeship are:

• distinction

EPA gateway

The EPA gateway is when the EPAO checks and confirms that you have met any requirements required before you start the EPA. You will only enter the gateway when your employer says you are ready.

The gateway requirements for your EPA are:

• achieved English and mathematics qualifications in line with the apprenticeship funding rules
• for the professional discussion, you must submit a portfolio of evidence
• passed any other qualifications listed in the occupational standard

For the professional security operative, the qualification required is:

Emergency First Aid at Work (regulated or unregulated and conforms to Health & Safety Executive guidelines)

Assessment methods.

Multiple-choice test

You will complete a multiple-choice test. It will be closed book, meaning you will not have access to any books or reference materials.

The test will have 40 multiple-choice questions. You will have 60 minutes to complete it.

Observation with questions

You will be observed by an independent assessor completing your work. It will last at least 2 hours. They will ask you at least 5 questions.

Professional discussion underpinned by a portfolio of evidence

You will have a professional discussion with an independent assessor. It will last 60 minutes. They will ask you at least 8 questions. The questions will be about certain aspects of your occupation. You need to compile a portfolio of evidence before the EPA gateway. You can use it to help answer the questions.

Who to contact for help or more information

You should speak to your employer if you have a query that relates to your job.

You should speak to your training provider if you have any questions about your training or EPA before it starts.

You should receive detailed information and support from the EPAO before the EPA starts. You should speak to them if you have any questions about your EPA once it has started.Reasonable adjustments

If you have a disability, a physical or mental health condition or other special considerations, you may be able to have a reasonable adjustment that takes this into account. You should speak to your employer, training provider and EPAO and ask them what support you can get. The EPAO will decide if an adjustment is appropriate.

Professional recognition

This apprenticeship aligns with International Foundation for Protection Officers for Member level, for those successfully completing the apprenticeship.

Please contact the professional body for more details.

This apprenticeship aligns with The Security Institute for two routes: an apprentice without prior experience in the sector can apply for membership at a Non-professional grade; and an apprentice with relevant work experience, along with industry related level 3 and above qualifications may meet the criteria for a Professional Membership grade.

Details of the occupational standard

Entry requirements.

This apprenticeship is open to ‘in-house’ security operatives (direct employees) who usually do not need a Security Industry Authority (SIA) licence to provide security services and for employees who work for sub-contractors, who are providing security services and do need an SIA licence.

Where an apprentice has an SIA licence, assessment of the apprentice’s current competence, through recognition of prior learning and experience, forms part of the initial assessment process, which ensures that the apprentice is on the right programme and includes eligibility checks. Entry requirements will be a matter for individual employers, typically an apprentice will go through security vetting requirements. The CViT Operative option and Mobile Patrol Security Operative option must possess a valid driving licence. Employers will assist the apprentice with entry requirements before on-boarding.

Core occupation duties

Option duties

Operational security operative duties.

Cash and Valuables in Transit Operative duties

Mobile Security Patrol Operative duties

Security Control Room Operative duties

K1 : Relevant industry and operative specific regulations, legislation, guidance, and procedures (for example assignment instructions, SOPs, EOPs). Back to Duty

K2 : The importance of following legislation, monitoring risk, compliance, control, and the completion of legal documentation. Back to Duty

K3 : Impact of reputational damage for the individual, organisation, and security industry. Back to Duty

K4 : The security systems, applications, technology, and equipment used, how to identify faults or errors and the remedial action to take. Back to Duty

K5 : Organisational structure, vision, values, and business needs. Back to Duty

K6 : Own role within the team, the team’s role within the organisation and how it contributes to achieving organisational objectives. Back to Duty

K7 : Methods for identifying weapons (for examples explosive and incendiary items, firearms, bladed weapon) and other prohibited items that can cause security risks. Back to Duty

K8 : Emergency procedures, incidents and disruptions that may occur in a security environment and the appropriate action or reporting process to take in the event of an incident. Back to Duty

K9 : The movements and behaviours of people. Back to Duty

K10 : Awareness of working environment and areas. Back to Duty

K11 : Security industry regulators and associations and the role they play. Back to Duty

K12 : The importance of communications and its impact on customer service, the organisation (including subversive activity) and its stakeholders. Back to Duty

K13 : The principles, processes, and technology for controlling access into an area. Back to Duty

K14 : Methods to identify the needs of others and communication strategies for different situations. Back to Duty

K15 : How to use communication methods and technology systems to enable appropriate work and statutory information to be recorded or transmitted (for example, technology and methods for handover). Back to Duty

K16 : Principles of equality, diversity, and inclusion and the impact on the organisation. Back to Duty

K17 : The channels to communicate ideas for improvement. Back to Duty

K18 : How to identify suspicious items and activities, and the principles of HOT and the 4C’s. Back to Duty

K19 : Why items are prohibited and how to identify them. Back to Duty

K20 : Check calls and welfare check procedures for lone workers. Back to Duty

K21 : The importance of operating body worn cameras in the appropriate setting and according to organisational requirements. Back to Duty

K22 : Prohibited articles relevant to assignment instructions and how to deal with them. Back to Duty

K23 : Working securely online (including password management) and recognising suspicious communication such as email, websites, social media, pop-ups. Back to Duty

K24 : Negative impact of allowing certain behaviours, items or objects into certain areas and the reputational damage they may cause. Back to Duty

K25 : The unique threats and risks across a wide range of sites or locations. Back to Duty

K26 : Dynamic Risk Assessments for visits to a site or location. Back to Duty

K27 : Methods to mitigate gaps in physical security measures using monitoring equipment. Back to Duty

K28 : Internal and external factors that can affect systems/equipment performance. Back to Duty

K29 : The purpose and requirements of searching people, premises, vehicles or items for operational security. Back to Duty

K30 : Importance of checking ID cards and access credentials for operational security. Back to Duty

K31 : Different search methodologies, techniques, and patterns and why a search methodology may change for operational security. Back to Duty

K32 : Different patrol patterns and fixed post position requirements and what to look for when deployed in those positions. Back to Duty

K33 : Methods to find alternative routes of work areas using a site map. Back to Duty

K34 : Methods for gathering and storing images (for example CCTV, mobile device recordings, drones) for evidential use in operational security. Back to Duty

K35 : Responsibility for reporting vehicle defects and understand their personal liability for CViT operatives. Back to Duty

K36 : The process and procedures to take if involved in a road traffic accident in a CViT vehicle. Back to Duty

K37 : Vehicle and bay loading insurance limits. Back to Duty

K38 : Tracking systems and cameras in a CViT vehicle. Back to Duty

K39 : CViT vehicle's maximum pay load weight. Back to Duty

K40 : Legal parking and speed limit rules for specially-adapted CViT vehicles. Back to Duty

K41 : Impact of reputational damage for the organisation and security industry caused by careless, unsympathetic, reckless, or unsafe driving techniques when operating a CViT vehicle. Back to Duty

K42 : Methods to find alternative routes of work areas for CViT using road maps. Back to Duty

K43 : Route planning around electric vehicle charging (EVC) points for CViT. Back to Duty

K44 : The purpose and requirements of searching people, premises, vehicles or items for mobile security. Back to Duty

K45 : Different search methodologies, techniques, and patterns and why a search methodology may change for mobile security. Back to Duty

K46 : Responsibility for reporting vehicle defects and understand their personal liability for mobile security. Back to Duty

K47 : The process and procedures to take if involved in a road traffic accident in a mobile patrol vehicle. Back to Duty

K48 : Tracking systems and cameras in a mobile patrol vehicle. Back to Duty

K49 : Mobile patrol vehicle's maximum pay load weight. Back to Duty

K50 : Legal parking and speed limit rules for specially adapted mobile patrol vehicles. Back to Duty

K51 : Impact of reputational damage for the organisation and security industry caused by careless, unsympathetic, reckless, or unsafe driving techniques when operating a mobile patrol vehicle. Back to Duty

K52 : Methods to find alternative routes of work areas for mobile security using road maps. Back to Duty

K53 : Route planning around electric vehicle charging (EVC) points for mobile security. Back to Duty

K54 : Importance of checking ID cards and access credentials for control room operatives. Back to Duty

K55 : Importance of calibrating control room equipment. Back to Duty

K56 : Methods for gathering and storing images (for example CCTV, mobile device recordings, drones) for evidential use for control room operatives. Back to Duty

K57 : The purpose and requirements of virtually searching premises for control room operatives. Back to Duty

K58 : Different search methodologies, techniques, and patterns and why a search methodology may change for control room operatives. Back to Duty

S1 : Follow assignment instructions relevant to operational duties. Back to Duty

S2 : Carry out work in compliance with all regulations, guidance, legislation and organisational policies and procedures. Back to Duty

S3 : Use security systems, applications and software, technology and equipment in line with organisational and operational requirements. Back to Duty

S4 : Take action in the event of an incident, disruption, alarm activation or emergency, liaising with relevant people, escalating when necessary and recording actions and outcomes to meet guidance or organisational requirements. Back to Duty

S5 : Complete and maintain accurate documentation or reports to meet current legislation, guidance, or organisational requirements. Back to Duty

S6 : Challenge suspicious activities on or around the site and apply SCaN principles (see, check, and notify). Back to Duty

S7 : Deliver customer service to all stakeholders, responding to the needs of individuals. Back to Duty

S8 : Navigate a site plan or map of their working environment and areas. Back to Duty

S9 : Carry out observation of designated areas, report and record any irregularities mitigating security and safety threats. Back to Duty

S10 : Use digital communication applications and information management systems to communicate, learn, share, and record information. Back to Duty

S11 : Use personal protection equipment (PPE) correctly. Back to Duty

S12 : Use verbal and non-verbal communication skills (for example the 'Power of Hello’) when interacting with individuals. Back to Duty

S13 : Use an appropriate tone of voice in all communications that reflect the organisations or client’s values. Back to Duty

S14 : Contribute to review and improve the daily operating processes and procedures. Back to Duty

S15 : Defuse potential conflict situations. Back to Duty

S16 : Identify the component parts of explosive and incendiary items, firearms, and other prohibited items. Back to Duty

S17 : Carry out dynamic risk assessments at sites or locations. Back to Duty

S18 : Carry out various searches (for example, of areas, people, vehicles or items) in a operational security capacity. Back to Duty

S19 : Apply operational security access control systems, procedures, and forms of authorisation in crowded space environments or publicly accessible locations. Back to Duty

S20 : Identify, handle or potentially confiscate sensitive material, dangerous or prohibited items. Back to Duty

S21 : Patrol assigned areas for operational security to control access, detect and respond to unwanted activities, communicate, and report findings. Back to Duty

S22 : Deploy the correct type of barrier in an operational security context safely. Back to Duty

S23 : Carry out vehicle safety checks and basic maintenance on CViT vehicles. Back to Duty

S24 : Operate specially adapted vehicles' security system including load and unload mode. Back to Duty

S25 : Calculate the shortest and safest route between vehicle and collection point. Back to Duty

S26 : Read maps to find locations for CViT and re-route in case of traffic or diversions (paper map and/or sat nav technology). Back to Duty

S27 : Use communications and mapping equipment when operating a CViT vehicle. Back to Duty

S28 : Carry out various searches (for example, of areas, people, vehicles or items) in a mobile security capacity. Back to Duty

S29 : Patrol assigned areas for mobile security to control access, detect and respond to unwanted activities, communicate, and report findings. Back to Duty

S30 : Deploy correct type of barrier in a mobile security context safely. Back to Duty

S31 : Carry out vehicle safety checks and basic maintenance on mobile security vehicles. Back to Duty

S32 : Read maps to find locations for mobile security response and re-route in case of traffic or diversions (paper map and/or sat nav technology). Back to Duty

S33 : Use communications and mapping equipment when operating a mobile security vehicle. Back to Duty

S34 : Carry out various searches (for example, of areas, vehicles, or items) from the control room. Back to Duty

S35 : Apply control room access control systems, procedures, and forms of authorisation in crowded space environments or publicly accessible locations. Back to Duty

S36 : Scan and track assigned areas for control room to control access, detect and respond to unwanted activities, communicate, and report findings. Back to Duty

S37 : Deploy correct type of barrier in a control room context safely. Back to Duty

S38 : Identify and use components of a control room system. Back to Duty

S39 : Gather and store CCTV footage for evidential use. Back to Duty

B1 : Be vigilant, always paying close attention to detail. Back to Duty

B2 : Be professional, calm and positive role model to others in attitude to work. Back to Duty

B3 : Solution-focused displaying problem solving attributes. Back to Duty

B4 : Respectful to colleagues and stakeholders always. Back to Duty

B5 : Act reliably and responsibly. Back to Duty

B6 : Committed to continued professional development (CPD) to maintain and enhance competence and share learning with others. Back to Duty

B7 : Follow employer’s or client’s code of conduct relating to behaviour, appearance and conduct. Back to Duty

B8 : Build appropriate working relationships and respect boundaries. Be co-operative and flexible. Back to Duty

B9 : Act honestly and with integrity. Back to Duty

English and Maths

English and maths qualifications form a mandatory part of all apprenticeships and must be completed before an apprentice can pass through gateway. The requirements are detailed in the current version of the apprenticeship funding rules .

Other mandatory qualifications

Ofqual regulated

Apprentices will need to achieve a one day Emergency First Aid at Work qualification that is regulated by Ofqual or conforms to Health & Safety Executive guidelines.

This standard aligns with the following professional recognition:

• International Foundation for Protection Officers for Member level, for those successfully completing the apprenticeship.
• The Security Institute for two routes: an apprentice without prior experience in the sector can apply for membership at a Non-professional grade; and an apprentice with relevant work experience, along with industry related level 3 and above qualifications may meet the criteria for a Professional Membership grade.

End-point assessment plan

Introduction and overview.

This document explains the requirements for end-point assessment (EPA) for the professional security operative apprenticeship. End-point assessment organisations (EPAOs) must follow this when designing and delivering the EPA.

Professional security operative apprentices, their employers and training providers should read this document.

This is a core and options apprenticeship. An apprentice must be trained and assessed against the core and one option. The options are:

Operational Security Operative

Cash and Valuables in Transit Operative

Mobile Security Patrol Operative

Security Control Room Operative

A full-time professional security operative apprentice typically spends 12 months on-programme. The apprentice must spend at least 12 months on-programme and complete the required amount of off-the-job training in line with the apprenticeship funding rules.

The apprentice must complete their training and meet the gateway requirements before starting their EPA. The EPA will assess occupational competence.

An approved EPAO must conduct the EPA for this apprenticeship. Employers must select an approved EPAO from the register of end-point assessment organisations (RoEPAO).

This EPA has 3 assessment methods.

The grades available for each assessment method are below.

Assessment method 1 - knowledge test:

Assessment method 2 - observation with questions:

Assessment method 3 - professional discussion:

The result from each assessment method is combined to decide the overall apprenticeship grade. The following grades are available for the apprenticeship:

EPA summary table

Duration of end-point assessment period

The EPA is taken in the EPA period. The EPA period starts when the EPAO confirms the gateway requirements have been met and is typically 3 months.

The EPAO should confirm the gateway requirements have been met and the EPA should start as quickly as possible.

The apprentice’s employer must be content that the apprentice has attained sufficient KSBs to complete the apprenticeship. The employer may take advice from the apprentice's training provider, but the employer must make the decision. The apprentice will then enter the gateway.

The apprentice must meet the gateway requirements before starting their EPA.

• confirm they are ready to take the EPA
• have achieved English and mathematics qualifications in line with the apprenticeship funding rules
• have passed Emergency First Aid at Work (regulated or unregulated and conforms to Health & Safety Executive guidelines)
• submit a Portfolio of evidence for the professional discussion

Portfolio of evidence requirements :

The apprentice must compile a portfolio of evidence during the on-programme period of the apprenticeship. It should only contain evidence related to the KSBs that will be assessed by this assessment method. It will typically contain 10 discrete pieces of evidence. Evidence must be mapped against the KSBs. Evidence may be used to demonstrate more than one KSB ; a qualitative as opposed to quantitative approach is suggested.

Evidence sources may include:

• workplace documentation and records
• workplace policies and procedures
• witness statements
• annotated photographs
• audio recordings
• video clips (maximum total duration 15 minutes); the apprentice must be in view and identifiable

This is not a definitive list; other evidence sources can be included. All evidence must be anonymised before it is submitted.

The portfolio of evidence should not include reflective accounts or any methods of self-assessment. Any employer contributions should focus on direct observation of performance (for example, witness statements) rather than opinions. The evidence provided should be valid and attributable to the apprentice; the portfolio of evidence should contain a statement from the employer and apprentice confirming this.

The EPAO should not assess the portfolio of evidence directly as it underpins the professional discussion . The independent assessor should review the portfolio of evidence to prepare questions for the professional discussion . They are not required to provide feedback after this review.

The apprentice must submit the gateway evidence to their EPAO , including any organisation specific policies and procedures requested by the EPAO .

Order of assessment methods

The assessment methods can be delivered in any order.

The result of one assessment method does not need to be known before starting the next.

Knowledge test

In the knowledge test, the apprentice answers questions in a controlled and invigilated environment. It gives the apprentice the opportunity to demonstrate the knowledge mapped to this assessment method.

This assessment method is being used because:

• it can assess knowledge
• it has potentially high reliability and validity
• it is easy to administer
• it can be conducted remotely and administered to multiple apprentices at the same time, potentially reducing cost
• allows the inclusion of a broad range of topics

The knowledge test must be structured to give the apprentice the opportunity to demonstrate the knowledge mapped to this assessment method to the highest available grade.

The test can be computer or paper based.

The test will consist of 40 multiple-choice questions.

Multiple-choice questions must have four options, including one correct answer.

The apprentice must be given at least 5 days’ notice of the date and time of the test.

Test administration

The apprentice must have 60 minutes to complete the test.

The test is closed book which means that the apprentice cannot refer to reference books or materials whilst taking the test.

The test must be taken in the presence of an invigilator who is the responsibility of the EPAO . The EPAO must have an invigilation policy setting out how the test must be conducted. It must state the ratio of apprentices to invigilators for the setting and allow the test to take place in a secure way.

The EPAO must verify the apprentice’s identity and ensure invigilation of the apprentice for example, with 360-degree cameras and screen sharing facilities.

The EPAO is responsible for the security of the test including the arrangements for on-line testing. The EPAO must ensure that their security arrangements maintain the validity and reliability of the test.

The test must be marked by an independent assessor or marker employed by the EPAO . They must follow a marking scheme produced by the EPAO . Marking by computer is allowed where question types support this.

A correct answer gets 1 mark.

Any incorrect or missing answers get zero marks.

The EPAO is responsible for overseeing the marking of the test.

Assessment location

The apprentice must take the test in a suitably controlled and invigilated environment that is a quiet room, free from distractions and influence. The EPAO must check the venue is suitable.

The test could take place remotely if the appropriate technology and systems are in place to prevent malpractice.

Question and resource development

The EPAO must develop a purpose-built assessment specification and question bank. It is recommended this is done in consultation with employers of this occupation. The EPAO

should maintain the security and confidentiality of EPA materials when consulting with employers. The assessment specification and question bank must be reviewed at least once a year to ensure they remain fit-for-purpose.    

The assessment specification must be relevant to the occupation and demonstrate how to assess the KSBs mapped to this assessment method. The EPAO must ensure that questions are refined and developed to a high standard. The questions must be unpredictable. A question bank of sufficient size will support this.  

The EPAO must ensure that the apprentice has a different set of questions in the case of re-sits or re-takes.

The EPAO must produce the following materials to support the test:

• training materials
• administration materials
• moderation and standardisation materials
• guidance materials
• grading guidance
• test specification
• sample test and mark schemes
• live tests and mark schemes
• question bank
• EPA guidance for the apprentice and the employer

The EPAO must ensure that the EPA materials are subject to quality assurance procedures including standardisation and moderation.

In the observation with questions, an independent assessor observes the apprentice in their workplace and asks questi ons . The apprentice completes their day-to-day duties under normal working conditions. Simulation is not allowed. It gives the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method.

• this is a practical role, best demonstrated through completing tasks in a real world setting
• observation makes use of employer resources and equipment and therefore allows the apprentice to demonstrate competence in a familiar setting
• the tasks completed in the observation should contribute to workplace productivity and are valid
• it is a holistic assessment method

The observation with questions must be structured to give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method to the highest available grade.

An independent assessor must conduct and assess the observation with questions.

The independent assessor must only observe one apprentice at a time to ensure quality and rigour. They must be as unobtrusive as possible.

The EPAO must give the apprentice 2 weeks' notice of the observation with questions.

The observation must take 2 hours.

The independent assessor can increase the time of the observation with questions by up to 10%. This time is to allow the apprentice to complete a task or respond to a question if necessary.

The observation may be split into discrete sections held on the same working day.

The EPAO must manage invigilation of the apprentice during the assessment, to maintain security of the EPA, in line with their malpractice policy. This includes breaks and moving between locations.

The independent assessor must explain to the apprentice the format and timescales of the observation with questions before it starts. This does not count towards the assessment time.

The independent assessor should observe the following during the observation:

The observation should enable the apprentice to evidence their skills and behavioural competencies across all KSBs assigned to this assessment method. The areas covered by the observation are:

• communication and customer service
• security operations
• security technology and equipment
• security patrol, access, and searching
• cash and valuables in transit (CViT) operations
• legislation, regulation, and procedures
• communicating with stakeholders
• using various equipment whilst carrying out their duties
• following instructions for security operations
• following procedures in the event of an incident
• completing appropriate documentation
• conducting searches
• access control
• vehicles checks and preparation
• route planning
• return to depot and post shift procedures
• due to security considerations, it may not be possible for the independent assessor to observe the workings of the specially adapted CViT vehicles. Assessment of S24 will therefore be completed from a secure distance.
• vehicles checks and operation
• dynamic risk assessment

Security Control Room Operative .

• operating control room equipment

The independent assessor will need to follow the employers security policies and procedures while conducting the observation.

These activities provide the apprentice with the opportunity to demonstrate the KSBs mapped to this assessment method.

The independent assessor must ask questions.

The purpose of the questions is to:

• clarify and understand observed practices, to allow the apprentice to add context and detail to support the independent assessors findings

Questions must be asked after the observation. The total duration of the observation assessment method is 2 hours and the time for questioning is included in the overall assessment time. The total time for the observation element is 90 minutes. The time allocated for questioning is 30 minutes. The independent assessor must ask at least 5 questions. Follow-up questions are allowed where clarification is required. The independent assessor must use the questions from the EPAO ’s question bank or create their own questions in line with the EPAO ’s training. Follow-up questions are allowed where clarification is required.

The independent assessor must ask questions about KSBs that were not observed to gather assessment evidence. These questions are in addition to the set number of questions for the observation with questions and should be kept to a minimum.

The independent assessor must make the grading decision. The independent assessor must assess the observation and responses to questions holistically when deciding the grade.

The independent assessor must keep accurate records of the assessment. The y must record:

• the KSBs observed
• the apprentice’s answers to questions
• the KSBs demonstrated in answers to questions
• the grade achieved

The observation with questions must take place in the apprentice’s normal place of work for example, their employer’s premises or a customer’s premises. Equipment and resources needed for the observation must be provided by the employer and be in good and safe working condition.

Additional venue requirements that must be in place include:

• the observation may be carried out either at the workplace or the client’s premises with permission from the client. Permission must be sought before the observation is carried out
• the correct PPE and equipment must be available to the candidate to enable them to carry out the task or activity in line with health and safety requirements
• a venue induction and risk assessment may need to be conducted by the EPAO to confirm the suitability and safety of the environment for a smooth assessment

The EPAO must develop a purpose-built assessment specification and question bank. It is recommended this is done in consultation with employers of this occupation. The EPAO must maintain the security and confidentiality of EPA materials when consulting with employers. The assessment specification and question bank must be reviewed at least once a year to ensure they remain fit-for-purpose.  

The assessment specification must be relevant to the occupation and demonstrate how to assess the KSBs mapped to this assessment method. The EPAO must ensure that questions are refined and developed to a high standard. The questions must be unpredictable. A question bank of sufficient size will support this.

The EPAO must produce the following materials to support the observation with questions:

Professional discussion

In the professional discussion, an independent assessor and apprentice have a formal two-way conversation. It gives the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method.

The apprentice can refer to and illustrate their answers with evidence from their portfolio of evidence.

• it allows for assessment of KSBs that do not occur on a predictable or regular basis
• it allows for testing of responses where there are a range of potential answers that cannot be tested through the multiple-choice test
• it can be conducted remotely, potentially reducing cost

The professional discussion must be structured to give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method to the highest available grade.

An independent assessor must conduct and assess the professional discussion.

The purpose of the independent assessor's questions will be to assess the KSBs against the following themes:

• security incident response
• security incidence response

The EPAO must give an apprentice 2 weeks' notice of the professional discussion.

The independent assessor must have at least 2 weeks to review the supporting documentation.

The apprentice must have access to their portfolio of evidence during the professional discussion.

The apprentice can refer to and illustrate their answers with evidence from their portfolio of evidence however, the portfolio of evidence is not directly assessed.

The professional discussion must last for 60 minutes. The independent assessor can increase the time of the professional discussion by up to 10%. This time is to allow the apprentice to respond to a question if necessary.

The independent assessor must ask at least 8 questions. The independent assessor must use the questions from the EPAO ’s question bank or create their own questions in line with the EPAO ’s training. Follow-up questions are allowed where clarification is required.

The independent assessor must make the grading decision.

The independent assessor must keep accurate records of the assessment. They must record:

• the grade achieved 

The professional discussion must take place in a suitable venue selected by the EPAO for example, the EPAO ’s or employer’s premises.

The professional discussion can be conducted by video conferencing. The EPAO must have processes in place to verify the identity of the apprentice and ensure the apprentice is not being aided.

The professional discussion should take place in a quiet room, free from distractions and influence.

The EPAO must develop a purpose-built assessment specification and question bank. It is recommended this is done in consultation with employers of this occupation. The EPAO must maintain the security and confidentiality of EPA materials when consulting with employers. The assessment specification and question bank must be reviewed at least once a year to ensure they remain fit-for-purpose.

The EPAO must produce the following materials to support the professional discussion :

Overall EPA grading

Performance in the EPA determines the overall grade of:

An independent assessor must individually grade the observation with questions and professional discussion in line with this EPA plan .

The EPAO must combine the individual assessment method grades to determine the overall EPA grade.

If the apprentice fails one assessment method or more, they will be awarded an overall fail.

To achieve an overall pass, the apprentice must achieve at least a pass in all the assessment methods. To achieve an overall distinction, the apprentice must achieve a distinction in all the assessment methods.

Grades from individual assessment methods must be combined in the following way to determine the grade of the EPA overall.

Re-sits and re-takes

If the apprentice fails one assessment method or more, they can take a re-sit or a re-take at their employer’s discretion. The apprentice’s employer needs to agree that a re-sit or re-take is appropriate. A re-sit does not need further learning, whereas a re-take does. The apprentice should have a supportive action plan to prepare for a re-sit or a re-take.

The employer and the EPAO should agree the timescale for a re-sit or re-take. A re-sit is typically taken within 3 months of the EPA outcome notification. The timescale for a re-take is dependent on how much re-training is required and is typically taken within 4 months of the EPA outcome notification.

Failed assessment methods must be re-sat or re-taken within a 6-month period from the EPA outcome notification, otherwise the entire EPA will need to be re-sat or re-taken in full.

Re-sits and re-takes are not offered to an apprentice wishing to move from pass to a higher grade.

The apprentice will get a maximum EPA grade of pass for a re-sit or re-take, unless the EPAO determines there are exceptional circumstances.

Roles and responsibilities

Reasonable adjustments

The EPAO must have reasonable adjustments arrangements for the EPA.

This should include:

• how an apprentice qualifies for reasonable adjustment
• what reasonable adjustments may be made

Adjustments must maintain the validity, reliability and integrity of the EPA as outlined in this EPA plan .

Internal quality assurance

Internal quality assurance refers to the strategies, policies and procedures that an EPAO must have in place to ensure valid , consistent and reliable EPA decisions.

EPAOs for this EPA must adhere to the requirements within the roles and responsibilities table.

They must also appoint independent assessors who:

• have recent relevant experience of the occupation or sector to at least occupational level 3 gained in the last 3 years or significant experience of the occupation or sector
• hold or be working towards an assessor qualification.
• the independent assessor must have completed a dbs check.

Value for money

Affordability of the EPA will be aided by using at least some of the following:

• utilising digital remote platforms to conduct applicable assessment methods
• assessing multiple apprentices simultaneously where the assessment method permits this
• using the employer’s premises
• conducting assessment methods on the same day

This apprenticeship aligns with:

KSB mapping table

Mapping of KSBs to grade themes

End-point assessment (EPA plan)

Rigorous robust and independent assessment undertaken by an apprentice at the end of training to test that the apprentice can perform in the occupation they have been trained in and can demonstrate the duties, and knowledge, skills and behaviours (KSBs) set out in the occupational standard

End-point assessment organisation (EPAO)

An organisation approved to deliver end-point assessment for a particular apprenticeship standard. EPAOs must be on the register of end-point assessment organisations

Holistic or synoptic

Assessment of an apprentice’s knowledge, skills and behaviours in an integrated way i.e. assessing several KSBs at the same time

Knowledge, skills and behaviours (KSB)

What is needed to competently undertake the duties required for an occupational standard

Referred to in relation to assessment methods; fit for purpose

Change request policy

Most changes to an apprenticeship are made as a result of a holistic review of it. We prioritise the need for such reviews based on a range of factors. These include:

• the time since the apprenticeship was developed or last reviewed (taking account of its typical duration)
• the existence of any known problems with it (e.g. lower than expected starts, low achievement rate, high withdrawal rate, any issues with the availability of training or end-point assessment provision)
• whether the apprenticeship is currently subject to a dispensation
• the relative significance of the apprenticeship based on how many users it has

The availability of an employer group to support a review and its potential impact on any related technical education product also inform the timing of a review.

Details of apprenticeships that are currently being revised or adjusted are available in our r evisions and adjustments status report.

Find apprenticeship training providers that deliver this standard

Find an end-point assessment organisation

Are you considering applying to assess against this standard?

If you are interested in becoming an apprentice -

you can find out more at www.gov.uk becoming an apprentice.

You can also search for an apprenticeship.

For all other queries please contact us.

If you are a potential employer -

you can find out more about hiring apprentices at www.gov.uk/employinganapprentice.

If you have a query about the apprenticeship standard content or Trailblazer membership

the trailblazer contact for this standard is [email protected]

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Security Assignments – Not Always What They Say They Are?

Contributor.

The nature of security created under a security document does not always match its description in the document. Charlotte Drake explains how this recharacterisation risk can apply to security assignments. 

Is an "absolute" security assignment legal or equitable?

Legal assignments – key requirements.

Lenders commonly take security over "choses in action" (such as debts or rights under contracts) by way of assignment. An assignment involves the transfer of either legal ownership (legal assignment) or equitable ownership (equitable assignment).

Section 136 of the Law of Property Act 1925 dictates the formalities for taking a legal assignment. It requires that a legal assignment must (among other things):

• be in writing;
• be executed by the assignor; 
• be "absolute";
• not be expressed to be "by way of charge" only; and
• be notified in writing to the person against whom the assignor could enforce the assigned rights (the third party).

Legal assignments by way of security

There has been much case law on what "absolute" means. An assignment will not be absolute if it is conditional, or of part of a debt. However, a security assignment can qualify (provided it is not "by way of charge"): the fact the assignor has an equity of redemption under a security assignment does not of itself prevent the assignment from being "absolute". Security assignments sometimes use the term "absolute" to make clear they are intended to be legal assignments. However, the terminology used is not decisive. An assignment will not be "absolute" unless the third party can then deal with the assignee alone in respect of the assigned rights. The assignee owes an obligation to the assignor to reassign the rights on discharge of the secured liability. But the third party can continue to deal with the assignee until it receives notice of that reassignment.

In practice, this usually presents a considerable stumbling block to taking security by way of a legal assignment. Security assignments often allow the assignor to continue to deal with the third party, which commercially suits assignor, assignee and third party alike. However, such an assignment will not be "absolute" and so will take effect in equity only, even if the security document claims to effect a legal assignment.

The recent case of Ardila Investments NV v. ENRC NV and another 1 highlighted this. The judge accepted that the assignment clause in the document used "the words of a legal assignment". However, he pointed to other clauses in the assignment document which suggested the parties had intended it to take effect in equity rather than law. One of these clauses obliged the assignor to "pursue its rights" under the assigned contracts, which is clearly inconsistent with an absolute assignment.

Legal or equitable – does it matter?

Often not. A notified equitable assignment has as strong a priority against other interests in the assigned rights as a legal assignment.

One advantage of a legal assignment is that a legal assignee can sue the third party without the assignor's involvement. Received wisdom used to be that an equitable assignee could not sue alone and the assignor (as owner of the legal interest) must be joined in as party to proceedings (either as co-plaintiff if willing, or as co-defendant if not).

In Ardila the judge held that the assignment took effect in equity and that both assignor and assignee should join in the proceedings as co-claimants. As it happened, when the hearing took place, the assignor had been joined as co-claimant anyway. In other cases, an equitable assignee has been able to sue the third party alone. As a purely practical matter, even if the assignor does need to be joined into proceedings this is unlikely to be more than an inconvenience.

Could a security assignment be "floating" security?

Could there be another, more unpalatable, result of control remaining with the assignor following a security assignment? In Re Spectrum Plus 2 , the House of Lords of course held that a charge over a debt will be floating, not fixed, if the security holder fails to exercise control over the debt proceeds. Is a security assignment of a debt or similar contractual right also at risk of being recharacterised in this way? This is far from a settled point, but these obiter comments from Lord Scott in Re Spectrum Plus (at paragraph 107) suggest so: 

" Suppose, for example, a case where an express assignment of a specific debt by way of security were accompanied by a provision that reserved to the assignor the right, terminable by written notice from the assignee, to collect the debt and to use the proceeds for its (the assignor's) business purposes, ie, a right, terminable on notice, for the assignor to withdraw the proceeds of the debt from the security. This security would, in my opinion, be a floating security notwithstanding the express assignment. " 

There is some logic in this approach. If it were possible to "solve" Re Spectrum Plus by renaming all charges over debts as security assignments, the case would not have taken on the significance that it has. The risk of this type of recharacterisation is most obvious in a UK insolvency, where there is a clear distinction between the application of fixed and floating recoveries. In this context, at least, the "fixed/floating" distinction is likely to be more of a concern to a lender than whether its security assignment is "legal" rather than "equitable".

1. [2015] EWHC 1667 (Comm) (11 June 2015)

2. [2005] UKHL 41.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

Finance and Banking

United kingdom.

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Security assignments - not always what they say they are?

The nature of security created under a security document does not always match its description in the document. Charlotte Drake explains how this recharacterisation risk can apply to security assignments. 

Is an "absolute" security assignment legal or equitable?

Legal assignments – key requirements

Lenders commonly take security over "choses in action" (such as debts or rights under contracts) by way of assignment. An assignment involves the transfer of either legal ownership (legal assignment) or equitable ownership (equitable assignment).

Section 136 of the Law of Property Act 1925 dictates the formalities for taking a legal assignment. It requires that a legal assignment must (among other things):

• be in writing;
• be executed by the assignor; 
• be "absolute";
• not be expressed to be "by way of charge" only; and
• be notified in writing to the person against whom the assignor could enforce the assigned rights (the third party).

Legal assignments by way of security

There has been much case law on what "absolute" means. An assignment will not be absolute if it is conditional, or of part of a debt. However, a security assignment can qualify (provided it is not "by way of charge"): the fact the assignor has an equity of redemption under a security assignment does not of itself prevent the assignment from being "absolute". Security assignments sometimes use the term "absolute" to make clear they are intended to be legal assignments. However, the terminology used is not decisive. An assignment will not be "absolute" unless the third party can then deal with the assignee alone in respect of the assigned rights. The assignee owes an obligation to the assignor to reassign the rights on discharge of the secured liability. But the third party can continue to deal with the assignee until it receives notice of that reassignment.

In practice, this usually presents a considerable stumbling block to taking security by way of a legal assignment. Security assignments often allow the assignor to continue to deal with the third party, which commercially suits assignor, assignee and third party alike. However, such an assignment will not be "absolute" and so will take effect in equity only, even if the security document claims to effect a legal assignment.

The recent case of  Ardila Investments NV v. ENRC NV  and another 1  highlighted this. The judge accepted that the assignment clause in the document used "the words of a legal assignment". However, he pointed to other clauses in the assignment document which suggested the parties had intended it to take effect in equity rather than law. One of these clauses obliged the assignor to "pursue its rights" under the assigned contracts, which is clearly inconsistent with an absolute assignment.

Legal or equitable – does it matter?

Often not. A notified equitable assignment has as strong a priority against other interests in the assigned rights as a legal assignment.

One advantage of a legal assignment is that a legal assignee can sue the third party without the assignor's involvement. Received wisdom used to be that an equitable assignee could not sue alone and the assignor (as owner of the legal interest) must be joined in as party to proceedings (either as co-plaintiff if willing, or as co-defendant if not).

In  Ardila  the judge held that the assignment took effect in equity and that both assignor and assignee should join in the proceedings as co-claimants. As it happened, when the hearing took place, the assignor had been joined as co-claimant anyway. In other cases, an equitable assignee has been able to sue the third party alone. As a purely practical matter, even if the assignor does need to be joined into proceedings this is unlikely to be more than an inconvenience.

Could a security assignment be "floating" security?

Could there be another, more unpalatable, result of control remaining with the assignor following a security assignment? In  Re Spectrum Plus 2  , the House of Lords of course held that a charge over a debt will be floating, not fixed, if the security holder fails to exercise control over the debt proceeds. Is a security assignment of a debt or similar contractual right also at risk of being recharacterised in this way? This is far from a settled point, but these obiter comments from Lord Scott in  Re Spectrum Plus  (at paragraph 107) suggest so: 

" Suppose, for example, a case where an express assignment of a specific debt by way of security were accompanied by a provision that reserved to the assignor the right, terminable by written notice from the assignee, to collect the debt and to use the proceeds for its (the assignor's) business purposes, ie, a right, terminable on notice, for the assignor to withdraw the proceeds of the debt from the security. This security would, in my opinion, be a floating security notwithstanding the express assignment. " 

There is some logic in this approach. If it were possible to "solve" Re Spectrum Plus by renaming all charges over debts as security assignments, the case would not have taken on the significance that it has. The risk of this type of recharacterisation is most obvious in a UK insolvency, where there is a clear distinction between the application of fixed and floating recoveries. In this context, at least, the "fixed/floating" distinction is likely to be more of a concern to a lender than whether its security assignment is "legal" rather than "equitable".

Across over 80 countries, Dentons helps you grow, protect, operate and finance your organization by providing uniquely global and deeply local legal solutions. Polycentric, purpose-driven and committed to inclusion, diversity, equity and sustainability, we focus on what matters most to you. To find out more about how we can help you, please visit  www.dentons.com   To view our latest thought leadership, please visit www.dentons.com/en/insights

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What is an assignment by way of security?

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