Personnel Security

Arturo A. Bringas, MBA, CSP, CSMS,CST

SCOPE OF THE LECTURE

 Introduction
 Purpose
 Scope
 Key Functions
 Elements of a Comprehensive Personnel
Security Program
SCOPE OF THE LECTURE

 Basic Considerations
 Applicant Screening
 Red Flags in a Screening Process
 Personnel Security Investigation
 Background Investigation
 Positive Vetting
 Profiling
SCOPE OF THE LECTURE

 Deception Detection Techniques

 Financial and Lifestyle Inquiry
 Undercover Investigations
 Exit Interview as a Loss Prevention
Technique
 Anti-Competitive Clause
 Security Education
Introduction

 Of the three key security processes,

personnel security is considered the
most important simply because security
involves people, both as assets to be
protected, and as sources of security
threats.
Purpose

 To insure that a firm hires those

employees best suited to assist the firm
in achieving its goals; and,
 Once hired, assist in providing the
necessary security to them.
Scope of Personnel
Security

 Personnel security investigation

 Security Education
Key Functions of
Personnel Security

 It serves as a screening device to assist

the organization in hiring suitable
employees.
 It conducts background investigation on
employees.
 It handles investigation of employees
suspected of wrongdoing.
Key Functions of
Personnel Security
 It develops security awareness among
employees.
 It attempts to ensure the protection of
employees from discriminatory hiring or
terminating procedures as well as
unfounded allegations of illegal or
unethical activities and conduct.
Elements of a Comprehensive
Personnel Security Program

 Adequate job specifications and

performance standards.
 Appropriate recruitment and selection
criteria.
 Background applicant screening
procedures and standards.
 Background investigative standards.
Elements of a Comprehensive
Personnel Security Program

 Truth verification standards.

 Criteria for employee conduct.
 Investigation of questionable employees
conduct.
 Disciplinary procedures.
 Termination procedures.
Basic Considerations

 It is the responsibility of the appointing authority to determine

the suitability and loyalty of the person he is appointing.
 No person is entitled solely by virtue of his grade or position to
knowledge or possession of classified matter.
Basic Considerations

 All personnel whose duties require access to

classified matter shall be subjected to a security
investigation to determine eligibility for the
required security clearance.
 All personnel shall undergo security education.
Basic Considerations

 Security Managers and other key officers

responsible for personnel clearance
investigations should keep abreast of
changes in the law.
 An employee has the right to review his
pre-employment investigation file and
reasonably challenge any findings.
Basic Considerations

 There are virtually no restrictions on what

can be asked of an applicant once an
offer of employment has been made.
Applicant Screening

The most effective tools in employee

selection are:
 the application form; and,
 the interview.
“Whole Man Rule”

 Act of weighing all elements of a person’s

background in determining his suitability.
 A system for evaluating the suitability of
an applicant.
 Governing standards;
 Needs of the company
 Fairness to the applicant.
Pointers in Screening
Process
 In screening an applicant for a position,
the most expensive techniques should be
used last. That is why, a background
investigation shall only be conducted
after the applicant has already
undergone interview.
“Red Flags” in a Screening
Process
 Application form not signed.
 Application date not filled up.
 Applicant’s name and possible aliases.
 Gaps in employment history or use of
term “self-employed”.
 Inability to remember names of former
colleagues or bosses.
“Red Flags” in a Screening
Process
 Gaps in residence
 Inadequate references
 Lack of job stability
 Signs of instability of personal relations
 Indications of over-qualifications
 Declining salary history
 Signature is stamped
“Red Flags” in a Screening
Process
 Criminal record left blank.
 Military service left blank.
“Red Flags” in a Screening
Process
Never accept a resume from an applicant
in lieu of the company’s application form,
as it does not contain the various legal
clauses nor is there a space for a signed
declaration.
Personnel Security
Investigation (PSI)

Definition - An inquiry into the character,

reputation, discretion, integrity, morals
and loyalty of an individual in order to
determine a person’s suitability for
appointment or access to classified
matter.
Personnel Security
Investigation (PSI)
The security manager should determine
the following:
 Is the information true or false?
 Is the applicant concealing information?
 Does the applicant have other reasons
for applying aside from employment?
Personnel Security
Investigation (PSI)
PSI has 3 General Techniques
 Background Investigation (BI)
 Positive Vetting
 Profiling
Background Investigation
(BI)
The BI serves to:
 verify information on the application form;
 ascertain past employment experiences;
and,
 obtain other information pertinent to the
decision to employ.
Background Investigation
(BI)
Factors to consider in a BI:
 Loyalty- quality of faithfulness to the
organization, superiors,
subordinates and peers.
 Integrity- uprightness of character,
soundness of moral principles
and truthfulness.
 Discretion- ability to act or decide with
prudence; habit of wise
judgment.
 Morals- distinctive identifying qualities
that serves as index to the
essential nature of a person.
 Character- sum pf traits impressed by
nature, education and habit
of a person
 Reputation- opinion which one is
generally held.

Reputation is what a person is

reported while character is what a
person is.
Motives That Cause People
to be Disloyal
 Revenge
 Material Gain
 Personal Prestige
 Friendship
 Ideological Beliefs
Weaknesses that Make
People Susceptible to
Pressure
 Close relatives in foreign lands
 Heavy investments in foreign lands
 Jealousy
 Gullibility
 Weakness of Character
Weaknesses that Make
People Susceptible to
Pressure

 Heavy indebtedness
 Addiction to narcotics and drugs
 Guilty Past
 Moral depravity
Types of Local Agency
Check

 Police Clearance
 City / Municipal clearance
 Mayor’s clearance
 Regional Trial Courts
National Agency Check

 National Bureau of Investigation

 Intelligence Service, AFP, ISAFP
 DI Clearance (PNP)
Components of a Complete
Background Investigation
 Applicant’s Name
 Date of Birth
 Present Residence Address
 LAC
 NAC
 Personal History
 Marital History
Components of a Complete
Background Investigation
 Residence History
 Citizenship history
 Physical data
 Educational History
 Organization membership
 Neighborhood investigation
 Character references
Components of a Complete
Background Investigation

 Employment history
 Military history
 Foreign travel & connection history
 Criminal record
 Credit records
 Applicant’s Signature
 Date of Application
Investigative Coverage

 Prior employment for at least 7 years

should be verified.
 Claimed education should be checked.
 Claimed residence should be verified.
 If the candidate indicates a criminal
record, then details should be checked.
Investigative Standards

 Information sought should be relevant to

the hiring decision.
 Information should be reliable.
 Unfavorable information should be
confirmed by at least two sources.
Investigative Review

All completed investigations should be

reviewed by a responsible supervisor so
that all applicants are measured
according to the same standards.
Positive Vetting

It is a personal interview conducted under

stress. Vetting is defined by Webster
Dictionary as the process of inspecting
or examining with careful thoroughness.
ESSENCE OF VETTING

1. A personal interview
2. Conducted under stress
3. The interview is based upon answers
previously give by the applicant
4. Other information is used during the
interview, which confirms or denies
that given by the applicant.
BASIC REASONS FOR AN
INTERVIEW DURING VETTING

1. Challenge the applicant on the basis

of any false statements.
2. To observe the applicants behavior
under stress.
3. To open areas for exploration which
have until now remain hidden.
4. To provide new investigative leads.
Profiling

The process whereby a subject’s reaction

in a future critical situation is predicted
by observing his behavior, by
interviewing him, or by analyzing his
response to a questionnaire.
REID REPORT

Is an example of an honesty test

Deception Detection
Techniques

 The Polygraph
 The Psychological Stress Evaluator
 The Voice Analyzer
Financial and Lifestyle
Inquiry
This type of investigation seeks to gather
information on income and mode of living.
This is done when the employee:
 is to be promoted;
 is to be assigned to more sensitive duties;
and,
 when it is already part of SOP for those
assigned to sensitive positions.
Undercover Investigations

The placement of an agent in a role where

his true identity is unknown, in order to
obtain information for criminal
prosecution or for recovery or limitation of
asset losses.
Exit Interview as a Loss
Prevention Technique
 It gives departing employees an opportunity to list
grievances.
 It offers security managers an opportunity to learn of
problems.
 Utilizing a checklist has resulted in reducing losses.
 Allows for debriefing of departing employees.
How to Conduct an
Adequate Security Exit
Interview
 The security manager must choose an issue to be investigated.
 The interview should be conducted face-to-face, impersonally and objectively.
 Questions should be specific.
 Interview should be conducted on the last day of employment.
 Must have adequate preparation by the questioner.
How to Conduct an
Adequate Security Exit
Interview
 It should be conducted regardless of rank of the departing employee.
 It should be periodically evaluated, at least once a year.
 Interview should be structured and standardized so that generally all employees are
asked the same question. Procedures should be established for the analysis,
interpretation and feedback of information in the appropriate manner.
Anti-Competitive Clause

 An effective method to prevent former

employees from competing against the
company.
SECURITY EDUCATION is
conducted…………

To develop security awareness

among employees of the
company.
To emphasize the importance and
role of security in achieving the
company’s goals among the top
brass.
Security Awareness results
in:
 Better understanding of the relationship
between security and successful
operations;
 Knowledge of one’s personal obligations
under the security program;
 Understanding between security
objectives and measures;
Security Awareness results
in:
 Familiarity with sources of help in
carrying out personal and departmental
responsibilities under the security
program; and,
 Compliance with statutory and regulatory
requirements and contractual obligations.
Security Education may be
Conducted During:

The Initial Interview:

 Overview of company security
policies
 employee accountability and
corresponding penalties
Security Education may be
Conducted During:

Training and Orientation:

 Detailed presentation of personnel
security policies
 If possible, give handouts.
Security Education may be
Conducted During:
Refresher Conference:
 Review Guidelines and policies.
 Explain/ Introduce new policies.
 Determine if employee has problems.
 Try to gather information of probable
violations of company policies.
 Ask for recommendations or comments
about existing policies.
Security Education may be
Conducted During:

Security Reminders:
 Indirect Approach
 Use of posters and fliers.
 Must be replaced periodically.
Security Education may be
Conducted During:

Security Promotion:
 Market security within company.
 Get support among employees.
 Promote importance of security,
especially among top brass.
Security Education may be
Conducted During:

Special Interviews:
 Used to augment regular refresher
conferences.
 Used as an investigative tool.
Security Education may be
Conducted During:
Debriefing
- is required whenever a person who has
access to classified information leaves
the company or is assigned to other
duties.
How To Conduct
Debriefing
 Debriefing should be established as a
formally conducted procedure.
 Procedures must be established for the
analysis, interpretation and feedback of
information.
 Obtain a signed statement indicating that
he is aware of his continuing security
responsibility.
 THANK YOU……………

End of Presentation
REVIEW QUESTIONS
The National Agency
Check includes…
a. National Bureau of Investigation

b. C-2 PNP Clearance

c. Intelligence Service AFP

d. All of the above

Reminding an individual of his
responsibility to protect classified
information is done during…

a. Debriefing

b. Exit Interview

c. Background Investigation

d. Personnel Security Investigation

Its give an employee an
opportunity to list
grievances.
a. Debriefing

b. Exit Interview

c. Background Investigation

d. Personnel Security Investigation

Management learns of problems not
previously known during this
process…
 Debriefing

 Exit Interview

 Background Investigation

 Personnel Security Investigation

Security exit interview
should be conducted…
a. In private

b. On the last day of employment

c. With adequate interview preparation by the

questioner

d. All of the above

Which of the following could not be
considered a weakness that makes
people susceptible to pressure

a. Heavy indebtedness

b. Ideological beliefs

c. Moral depravity

d. None of the above