VdS Guidelines for the Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518

VdS Guidelines for the Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02)

Clause on non-binding character The present procedure guidelines VdS 3137 are binding only if its use in single cases has been agreed between VdS and client. The consideration of these guidelines is not binding otherwise; the agreement on use of the guidelines VdS 3137 is optional. Third parties may in single cases accept other security requirements or quality proofs or service providers on base of conditions that were determined at their own discretion and that do not correspond with these procedure guidelines.

VdS 3137en : 2013-09 (02) Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS Guidelines for the Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 Content 1 General...4 2 Definitions and abbreviations...4 3 Normative references...4 4 Certification procedure...5 4.1 Placing of order...5 4.2 Initial expert assessment...5 4.3 Issuing of the certificate...6 4.4 Annual expert inspection...6 4.5 Prolongation, modification, resumption...6 5 Revocation...7 6 Advertising...7 7 Complaints procedures...8 8 Warranty and liability...8 8.1 Warranty...8 8.2 Damages...8 8.3 Claims by third party...8 9 Fees...9 10 Miscellaneous...9 10.1 Offers...9 10.2 Preparation for the performance of expert assessments and inspections...9 10.3 Obligations of the client...9 10.4 Confidentiality...9 10.5 Data protection...9 10.6 EDP-processing/publishing...10 10.7 Auxiliary agreements...10 10.8 Severability clause...10 10.9 Choice of law /Venue...10 Annex A Application form...12 3

Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02) 1 General The certification body of VdS Schadenverhütung (in the following VdS certification body) performs on request of carriers of monitoring and alarm receiving centres an independent, impartial certification procedure for monitoring and alarm receiving centres (in the following called alarm receiving centres) according to the standard DIN EN 50518. As guarantee for the independence and impartiality the accreditation of the VdS certification body issued by the Deutsche Akkreditierungsstelle (DAkkS) for the certification of alarm receiving centres may be seen. Base of this accreditation are the requirements of DIN EN 45011 as well as the respective requirements of the DAkkS for the certification of products and services. The scope of accreditation may be taken from the DAkkSaccreditation certificate under www.vds.de. These guidelines describe the procedure (procedure guidelines) for the accredited certification of alarm receiving centres. The certification includes the initial determination and regular surveillance of the conformity with the requirements of an alarm receiving centre according to the series DIN EN 50518 at the operating company. These guidelines are valid for all orders handed in from 01.12.2011. Note: Orders for certification are dealt with in the sequence of receipt. There is no individual preference to clients. The certification is valid for 3 years and is documented by a certificate. Furthermore, certified alarm receiving centres are listed in VdS 3139 VdS-certified alarm receiving centres according to DIN EN 50518. The certification procedure consists essentially of the following steps: Initial order for certification. Check of documentation. Expert initial assessment on site for determination of conformity with the standards. Certification and issue of certificate. First expert inspection on site after one year to audit the compliance with standard conformity to determine the eligibility for further certification. Second expert inspection on site after two years to audit the compliance with standard conformity to determine the eligibility for further certification. Expert assessment on site in the third year after issue of certificate for renewed determination of the compliance with standard conformity to achieve the continuation of certification for another period of 3 years. Precondition here is the order for prolongation of the certification (prolongation order). The certification may be pursued by a prolongation order (see annex A). After successful finalised expert assessment a certificate valid for further three years is issued and the certification procedure is continued after one year with the initial expert assessment on site. Notes: The certification of an alarm receiving centre according to DIN EN 50518 is an independent certification procedure which is based on European standards. The certification body of VdS Schadenverhütung offers further independent procedures for the certification and approval, which are not subject or part of the certification according to the present procedures: Approval as emergency- and service-call centre (according to procedure guidelines VdS 3138), Approval as Guarding and security company for operating an intervention centre (according to procedure guidelines VdS 2172) Certification of security services according to the standard DIN 77200 (according to procedure guidelines VdS 3427) 2 Definitions and abbreviations alarm receiving centre (ARC) Continuously manned centre to which information concerning the status of one or more alarm systems is reported. 3 Normative references These guidelines contain determinations from other standards by dated and undated references. These are especially DIN EN 50518 Monitoring and alarm receiving centre (ARC) Part 1 part 3 DIN EN 45011 General requirements for bodies operating product certification systems 4

VdS 3137en : 2013-09 (02) Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 For undated references the last version of the referred standard shall be binding. Note: All VdS publications may be ordered at: VdS Schadenverhütung, Verlag, Postfach 10 37 53, 50477 Köln, Fax-Nr.: 02 21 / 77 66 1 09, Internet: www.vds.de. DIN standards may be ordered at: Beuth Verlag GmbH, Burggrafenstr. 6, 10787 Berlin, Fax-No.: 030 / 2601 12 60, Internet: www.beuth.de. 4 Certification procedure 4.1 Placing of order The certification according to DIN EN 50518 shall be ordered in writing by using the annexed form (annex A) at VdS certification body. The order shall be received by mail or fax at VdS Schadenverhütung. The documentation of the client which is to be written in German or English language should be handed in already in connection with the order if possible in digital form. In exceptional cases the documentation may be handed in at a later stage. Only duly completed application forms may be handled. In single cases the VdS certification body may request further documentation or explanations on the application. The handling of correspondence and the expert assessment on site will be done in German or English language. If not all required documentation is available at VdS certification body within 6 months after placing the order, the handling of the application will be stopped. The handling of the order will also be interrupted if it is not possible to finalize the procedure with a positive result (certificate) within 18 months. The documentation handed in up to this date is resent to the applicant. All expenses which VdS certification body suffered until that date will be charged to the client. The certification procedure then may only be revived on base of an initial order of certification. 4.2 Initial expert assessment 4.2.1 Preparation of the initial expert assessment With the order confirmation by the VdS certification body all necessary documentation for the preparation of the initial expert assessment is requested, if not yet received with the order. The documentation the client has to hand in shall contain the following records: Risk assessment according to clause 4.1, DIN EN 50518, part 1 including the risk analysis and the risk evaluation for the site selection and at least all risks that are described in the standard series DIN EN 50518, part 1 to part 3. Plan of site of the premises including the building of the ARC. Layout plan of the building resp. of the part of the building in which the ARC is located. Layout plan of the ARC Layout plan of the technical premises which probably are located remote from the ARC in which the feeding centre of the mains power supply of the ARC, the standby power supply of the ARC as well as the main access point for the communication are located. Note: Should it not be admitted due to security requirements to hand in the risk analysis, the check of the documentation may be performed on site of the applicant. The above listed documentation is checked on conformity with the requirements of the DIN EN 50518 series. If this check reveals that the information is not sufficient, further documents are requested from the applicant. For preparation of the initial expert assessment a preliminary conversation may be offered on request of the applicant at VdS certification body. Base for this conversation is the provided documentation. The result of the documentation check is notified to the applicant in written form. 4.2.2 Performing of the initial expert assessment The initial expert assessment on site is performed only if the check of the documentation was closed with positive result. The documentation shall be available in current version at date of the expert assessment and shall be made available to VdS certification body at least 6 weeks before the date of the assessment. The initial expert assessment is performed by at least one auditor. During the initial expert assessment all normative requirements of the DIN EN 50518 are assessed and evaluated in a written test report. 5

Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02) After completion of the initial expert assessment the applicant receives a copy of the filled test report. 4.2.3 Non-conformity with the standards In case of non-fulfilment of standardised requirements the auditor will elaborate a further report (non-conformity report) in which the non-conformities with the standards are recorded. Generally the non-conformity shall be verifiably remedied by the applicant within three months. In agreement with the auditor it is determined if the verification of conformity may be made in writing or if an inspection on site is to be performed. If the conformity with the standards is not proven within the determined deadline by the applicant, a renewed expert assessment resp. an expert inspection on site normally is requested. The deadlines according to clauses 4.1, 4.5.1, 4.5.3 and 5 are to be kept. 4.3 Issuing of the certificate After positive finalization of the initial expert assessment on site and if appropriate the conclusion of non-conformity with the standards, the test results are submitted to an employee of the VdS certification body who has not participated in the initial expert assessment for independent evaluation of the certification eligibility. In case of a positive evaluation and after a second formal check by the head of the certification body, a certificate is issued and sent to the applicant. The validity of the certificate is three years. The certificate is issued in German and/or English language, on request with a logo of the company. The requirements on the logo format are presented with the order confirmation to the applicant already. 4.4 Annual expert inspection An expert inspection at the alarm receiving centre will be performed on site once a year. In agreement with the carrier of the alarm receiving centre the auditor will stipulate a date for this assessment in time. For preparation of the expert inspection the auditor will request information of constructional, technical, organizational and personal changes as well as the changes of the handed-in documentation thus caused, that arose since the last assessment resp. inspection. Depending on the kind of changes, the auditor will check the consequences on the extent of the expert inspection regarding time and content. The carrier of the alarm receiving centre will then be informed by the auditor on the stipulated duration and extent of the expert inspection. If non-conformities with the standards is revealed during the expert inspection on site, the procedure as described in clause 4.2.3 is applied. After positive finalization of the expert inspection on site and if appropriate the conclusion of nonconformities with the standards, the test results are presented to an employee of the VdS certification body who has not participated in the expert inspection for an independent evaluation of the certification eligibility. In case of a positive result the applicant receives a written confirmation that the preconditions for maintaining his certification are fulfilled. 4.5 Prolongation, modification, resumption 4.5.1 Prolongation of the validity of certificates The validity of the certification may be prolonged in the 3rd year of the certification procedure by application. The application on prolongation (see annex A) shall be available at VdS certification body at least 6 months before expiry of the existing certificate. Precondition for the prolongation of the certification is a successful closing of a renewed expert assessment on site. It shall be performed after placing the order, but before expiry of the validity of the certificate. The expert assessment presents a compressed initial expert assessment (see clause 4.2.2), in which all requirements of the DIN EN 50518 series are checked. Revealed non-conformities with the standards is treated as described in clause 4.2.3. The issue of a new certificate is made according to clause 4.3. Here, if possible, a certificate is issued the validity of which is tied in with the validity of the former certificate. To that point the certified alarm receiving centre shall fulfill all requirements that are valid at the time of expiry of the certificate (positive expert assessment, no revealed and not rectified non-conformities with the standards). If the applicant does not fulfill the conditions for a prolongation after 6 months after expiry of the former certificate, the procedure on prolongation of certification will be interrupted by a revocation according to clause 5. 4.5.2 Modification of certificates Changes (e. g. constructional changes, move, change of company`s entity) during the validity of the certificate are to be ordered in writing (see annex A). Normally, an expert assessment on site 6

VdS 3137en : 2013-09 (02) Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 shall give proof that the requirements of the series DIN EN 50518 are fulfilled regarding the changes. Slight modifications and amendments (e.g. change of company`s name, change of trade name) may also be performed without expert assessment on site. Details hereto are to be agreed with the VdS certification body. If the documentation which has been handed in with the application form at VdS certification body, has been changed during the validity of the certificate, the parts of the documentation that became invalid resp. the complete documentation is disposed under secure circumstances, if the applicant does not expressively request to receive them back. 4.5.3 Resumption of invalid certifications A certification that became invalid either due to a revocation (see clause 5) or reaching the end of validity without following certification, may in exceptional cases be re-issued by a reopening procedure. The application here is made by using application form according to annex A. The following proofs shall accomplish the application: Proof that no official complaints are pending against the applicant Proof that the originating certificate at the time of placing the order has not expired for longer than 6 months Justification why a prolongation in time was not possible For a reopening of the certification an expert assessment on site shall be performed. The successful completion of the expert assessment determines the beginning of the certification validity. In case of revocation the validity of the certificate and thus the certification begins with the reinstatement of the certificate (shortened validity period). In case of an untimely follow-up certification the validity of the certificate is prolonged starting from the expiry date of the origin certificate. The origin certificate number is kept in both cases. A reopening of the certification shall be successfully completed 6 months after expiry of the revoked resp. origin certificate. Otherwise a complete initial certification (see clause 4.1 4.3) shall be repeated. 5 Revocation Certificates may be revoked and such become invalid. Revocation is pronounced if The guidelines or standards which have been base for the application have changed and these changes are not converted by the applicant within a given deadline, non-conformities with the standards have been revealed at the initial expert assessment resp. inspection on site and these have not been remedied within 6 months by the applicant, Certificates or the VdS-Logo (see clause 6) are not used in correct manner (e. g. by misuse or incorrect advertising); The applicant does not fulfil his obligations according to these guidelines or his financial liabilities against VdS Schadenverhütung, Expert assessments or inspections are not performed within the periods as determined for the procedure. The applicant is informed in writing about the revocation of the certification. He may file a complaint within 2 months (see clause 7). After revocation of the certificate the applicant obliges to immediately stop any advertising that refers in any way to the certification and to give back all certification documentation as requested by the certification body. 6 Advertising Certified companies may advertise with the VdS certification. However, it is not admitted to include the mark VdS or modifications of it resp. the certification as such in the company`s name. The advertising with the VdS certification shall correctly reflect the content of the issued certificate. The advertising shall not give the impression that products or services of the applicant are VdS-approved or VdS-certified or that a VdS-approval as installer resp. as guarding and security company, emergency and service call centre or certified security services has been pronounced unless such approvals or certifications exist. The respective specifications on the certificate are to be kept. The applicant may point out to his VdS certification with the following logo: 7

Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02) The client shall be informed about the results of the complaints procedure in writing. 8 Warranty and liability As an alternative so-called combined logos may be offered by VdS Schadenverhütung on request of applicants that are certified and/or approved by VdS Schadenverhütung according to other procedures. The logo may be enlarged or reduced in size maintaining the aspect ratio. The square frame of the VdS mark shall not fall below a minimum height of 13 mm. For colour printing HKS 44 (or a similar colour) is to be used. The logo may be used on letter heads, advertising material or publishing items of the applicant. The logo shall not be referenced in the context of the client`s services which are not covered by the scope of the certificate. The accreditation mark of the German Accreditation Body (DAkkS) may be used by the client only by a complete unchanged reproduction of the certificate. If the client wishes to point to the accreditation of VdS Certification body, the following phrasing shall be used: VdS Schadenverhütung GmbH is accredited as a certification body for alarm receiving centres by the Deutsche Akkreditierungsstelle (DAkkS). Upon request of VdS certification body the client shall remove this note. In case of doubt, any advertising and the use of the logo shall be agreed with VdS certification body. 7 Complaints procedures Any complaints and objections regarding the certification procedure shall be addressed to the head of VdS certification body in writing. In case of justified complaints the certification procedure will be repeated completely or in parts, free of charge to the client. If the head of VdS certification body confirms the decision of the certification body, a complaints committee implemented by the VdS certification advisory board may be consulted. 8.1 Warranty By assessment and certification of the client VdS Schadenverhütung GmbH assume neither guarantee for the freedom of faults of the alarm receiving centre nor for the freedom of faults of other services and products which the client supplies or renders to third parties. 8.2 Damages For damages which have not occurred to the subject matter of the contract, VdS Schadenverhütung will be liable only for any reasons whatsoever in the case of 1. Wrongful intent, 2. Gross negligence on part of management, principal or executives, 3. Culpable infringement of life, body or health, 4. Defects, which have been fraudulently concealed or whose absence had been guaranteed. In the case of culpable infringement of essential contractual obligations VdS Schadenverhütung will be liable also for gross negligence of nonexecutive staff and for slight negligence, in the last case limited to contract-characteristic, reasonably predictable damage. The above mentioned regulations shall be valid accordingly for the application of unavailing effort. Any other claims, in particular claims for damages of the client, for any cause in law, shall be excluded. The above mentioned limitation of liability shall be valid also in favor of staff members or representatives of VdS Schadenverhütung. 8.3 Claims by third party If VdS Schadenverhütung GmbH is subjected to damage claims by third parties without actually being liable as per clause 8.1 or 8.2, the client shall be committed to indemnify VdS Schadenverhütung GmbH promptly upon demand. 8

VdS 3137en : 2013-09 (02) Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 9 Fees The certification procedure as well as testing and audit activities of VdS certification body will be subject to fees. Those fees are specified in the table of fees available at VdS certification body. The table of fees is published in the internet under www.vds.de. In general a new table of fees is published each first month of a new year. Furthermore the table of fees may be sent to the client on demand and free of charge. For the invoicing of services the table of fees will be referred to which is valid at the time of service delivery. If an agreed audit date is cancelled or postponed for reasons caused by the client, the following fees shall be charged: For a cancellation/postponement shorter than four weeks before the agreed audit date 20 % of the estimated audit costs shall be charged. For a cancellation/postponement shorter than two weeks before the agreed audit date 40 % of the estimated audit costs shall be charged. For a cancellation/postponement shorter than one week before the agreed audit date 60 % of the estimated audit costs shall be charged. The audit costs are calculated according to the current table of fees. Travelling expenses shall be charged only if cancellation costs have resulted. 10 Miscellaneous 10.1 Offers On request VdS certification body will issue an offer on the certification procedure. The issue of these offers is free of charge for the client and is based on the indication of the client and experiences of VdS certification body. The offer therefore may only be an estimation of the costs to be anticipated and shall not be binding for VdS certification body. VdS certification body as far as this is necessary for giving proof of the compliance with standards according to the series DIN EN 50518 as well as according to the present guidelines. This includes also the query of persons in the alarm receiving centre and persons that are working on behalf of the alarm receiving centre which is necessary for the expert assessment resp. inspection. Furthermore the client allows auditors of the accreditation body to attend expert assessments or inspections performed by VdS upon request (socalled witness audits). 10.3 Obligations of the client The client shall record all complaints, especially those of his customers (see here also DIN EN 50518-3, clause 7) and their corrective action in detail and present this documentation to the auditor upon request. The client is obliged to inform VdS certification body of all changes to his company. This includes changes as move to other premises, change of company`s entity or change of staff in the management especially contact persons that are nominated to VdS certification body in the application form according to annex A. 10.4 Confidentiality All documentation and information that was made available to VdS certification body in connection with the certification procedure, are treated strictly confidential. Without prior written agreement of the client the documents are neither made accessible to third persons nor copied. The obligation of VdS certification body, to grant insight into documents of individual procedures to superordinate bodies (e. g. representatives of accreditation body) remains unaffected by this. 10.2 Preparation for the performance of expert assessments and inspections The client declares by application to grant unrestricted access to his operating facilities and premises of the alarm receiving centre as well as the associated technical supply rooms and the associated administration rooms necessary for the fulfilment of the task VdS certification body`s auditors. He also obliges, to grant unrestricted view in documents and records for the auditors of 10.5 Data protection While performing the subject matter of the contract VdS Schadenverhütung shall take care that the regulations of 5 BDSG (Federal Data Protection Act) are respected. In order to perform the subject matter of the contract, data of the client will be collected, stored and, as the case may be, passed on to third parties. Data will be passed on only as far as neces- 9

Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02) sary in order to perform the subject matter. The client agrees to this. 10.6 EDP-processing/publishing The client agrees that based on this data a controlled list of VdS-certified alarm receiving centres according to DIN EN 50518 (VdS 3139) is established, regularly updated and made available to interested parties in digital and in printed form. 10.7 Auxiliary agreements Any auxiliary agreements shall be made in writing to be effective. 10.8 Severability clause If any of the provisions of these guidelines become ineffective, the remaining provisions shall remain unaffected. 10.9 Choice of law /Venue The substantive law of the Federal Republic of Germany applies, excluding the conflicts of laws. The validity of the uniform sales law as well as the convention on contracts for the international sale of goods CISG in its particular version shall be as far as permissible excluded. This shall be the case with regard to relevant international conventions as well as to relevant national laws of transformation. Information on the application form Before filling in the application form, please read these guidelines for the Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 - VdS 3137 and the following information carefully. [1] The client is normally the company to be certified, represented by the legal entity or the authorized representative. [2] Company name of the client resp. the alarm receiving centre to be certified as recorded in the commercial register. [3] The sales tax identification number shall be indicated only for initial applications or if the number has changed. [4] The contact person to VdS certification body normally is the responsible head of the alarm receiving centre. [5] The client`s e-mail address is required as in the future information/documentation will be sent via this medium only. [6] The website of VdS Schadenverhütung (www. vds.de) publishes any changes of the certification procedure and other important news. [7] The records on risk assessment (see clause 4.2.1) are to be handed in together with the application as pdf-file. [8] The plan of site (see clause 4.2.1) is to be handed in only for initial applications or in case changes have been performed, in digital form in a custom data form (pdf). [9] The layout plan (see clause 4.2.1) is to be handed in only for initial applications or in case changes have been performed, in digital form in a common data form (pdf). [10] Legally binding signature of the legal entity of the client or of an authorized representative. If external bodies (e. g. consultants) have been charged with the application, a copy of the client`s authorization shall be handed in by the external body. [11] First name and name are to be written in block letters. [12] The company`s stamp is necessary only for Germany. 10

VdS 3137en : 2013-09 (02) Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 11

Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02) Annex A Application form Order for certification of an alarm receiving centre (ARC) according to the standards of DIN EN 50518 by the certification body of VdS Schadenverhütung, Amsterdamer Straße 174, 50735 Köln Order type: Initial order for certification Prolongation order for certification certification-no. AES Modification order for certification certification-no. AES Resumption order for certification certification-no. AES 1. Client [1] Company name [2] authorized representative (for capital companies/partnerships) Sales tax ID No. [3] Street/House-No. Country/ZIP Code/City Phone-No./Fax.-No. Contact person [4] E-Mail-Address of the contact person [5] Access to the Internet [6] yes no URL to the website of the company 2. Invoice address (only, if differing from no 1) Company name [2] Street/House No. Country/ZIP Code/City Phone-No./Fax.-No. Sales tax ID No. Special feature in the frame of invoicing: 3. Address of the alarm receiving centre to be certified (only if differing from no 1) Company name [2] Street/House-No. Country/ZIP Code/City TPhone-No./Fax.-No. Contact person [4] E-Mail address of the contact person [5] Access to the Internet [6] yes no URL to the website of the company 12

VdS 3137en : 2013-09 (02) Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 4. Current risk evaluation [7] annexed will be handed in until the check of the risk analysis is to be made on site in week/year / 5. Plan of site and layout Plan Plan of site [8] no changes since last order annexed will be handed in until Layout plan [9] no changes since last order annexed will be handed in until 6. Format of certificate Certificate in German language with company`s logo Certificate in English language with company`s logo Certificate in German and English language with company`s logo 7. Desired audit date for assessment on site The initial expert assessment/inspection on site shall take place on week/year: / 8. Obligations [10] I/We acknowledge the guidelines for the certification of alarm receiving centres according to DIN EN 50518, VdS 3137 especially clause 10.5 Data protection and 10.6 EDP-processing and the associated table of fees of the VdS certification body as fix part of this contract. First name, name [11] Date Signature Company`s stamp [12] 13

Certification of Monitoring and Alarm Receiving Centres according to DIN EN 50518 VdS 3137en : 2013-09 (02) 14

Publishing house: VdS Schadenverhütung GmbH Amsterdamer Str. 172-174 D-50735 Köln, Germany Phone: +49 221 77 66 0 Fax: +49 221 77 66 341 Copyright by VdS Schadenverhütung GmbH. All rights reserved.