The Lead Teller (LT) and authorized associates are issued a key and/or combination to the main vault door and other vault-related access points (for example: day gate, cash room, cash lockers, or teller drawers). An authorized associate is an associate who is listed on the Combination and Key Control Record for access to the dual control area. Authorized associates are responsible for maintaining dual control at all times when accessing the vault or other vault-related access points.
Dual Control Key and Combination Issuance
A vault door or other vault-related access point with a key and combination lock requires:
- One authorized associate must have only the key
- A second authorized associate must only have the combination
A vault door or other vault-related access point with a combination lock only requires:
- Splitting the combination into 2 parts so that no 1 authorized associate has the complete combination.
A vault door or other vault-related access point has key locks only requires:
- One authorized associate must have only one key
- A second authorized associate must only have one key
Main Vault Door Opening and Closing
Opening
The Main Vault door must be opened under dual control.
DO NOT open the Main Vault prior to 7:00 am.
To open the main vault door, do the following:
- Disarm the vault alarm.
- Record the following on the Vault Entrance Log.
- Date
- Time
- Mark the Open Vault column
- Both authorized associates opening the Main Vault door MUST sign legibly (first initial/full last name) the log in the Associate 1 and Associate 2 columns.
Closing
The Main Vault door MUST be closed and locked under dual control.
If the Main Vault door has a time lock, the lock MUST be set with adequate hours each day to ensure the door cannot be opened prior to 7:00 am.
The vault timer MUST be set under dual control by 2 authorized associates to ensure the accuracy of the time set. The vault timer is not to be pre-set prior to closing the door.
To set the vault timer and close the main vault door, do the following:
- Set vault timer.
- Close the main vault door.
- Spin the main vault door locking mechanism.
- Record the following on the Vault Entrance Log.
- Date
- Time
- Mark the Close Vault column
- In the Number of Hours Set until Opening column, record the number of hours the vault time has been set for opening on the next business day.
- Both associates closing the vault door must sign legibly (first initial/full last name) the log in the Associate 1 and Associate 2 columns.
- Arm the vault alarm after the door has been closed, during regular closing procedures.
Day Gate
The vault day-gate MUST remain closed and locked once the main vault door is opened.
A community key is permissible and must be secured in a selected location where no one other than an authorized associate has access.
It is permissible to issue day-gate keys to authorized associates requiring regular access to the vault (for example: Lead Teller, Personal Banker and Client Experience Manager).