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MR. WILLIAM C. UBAGAN CSP,LSO

Marketing Officer, CLM-CBIS Philippines

 

 

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.

KEY FUNCTIONS

  • It serves as a screening device to assist the organization in hiring suitable employees.
  • It conducts background investigation on
  • It handles investigation of employees suspected of wrongdoing.
  • 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 COMPREHENSIVE  PERSONNEL SECURITY PROGRAM

  • Adequate job specifications and performance standards.
  • Appropriate recruitment and selection criteria.
  • Background applicant screening procedures and standards.
  • Background investigative standards.
  • 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.
  • 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.
  • 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.
  • 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 ROLE

  • 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 ON 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 PROC ESS

  • 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.
  • 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
  • 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

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.

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?

PSI has 3 General Techniques

  • Background Investigation (BI)
  • Positive Vetting
  • Profiling

BACKGROUND INVESTIGATIONS [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.

Factors to consider in a BI:

  • Loyalty
  • Integrity
  • Discretion
  • Morals
  • Character
  • Reputation

MOTIVES THAT CAUSE PEOPLE TO BE DISLOYAL

  • Revenge
  • Material Gain
  • Personal Prestige
  • Friendship
  • Ideological Beliefs

WEAKNESSES THAT MAKES PEOPLE SUSCEPTIBLE TO PRESSURE

  • Close relatives in foreign lands
  • Heavy investments in foreign lands
  • Jealousy
  • Gullibility
  • Weakness of Character
  • Heavy indebtedness
  • Addiction to narcotics and drugs
  • Guilty Past
  • Moral depravity

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 COMPLETE BACKGROUND INVESTIGATIONS

  • Applicant’s Name
  • Date of Birth
  • Present Residence Address
  • LAC
  • NAC
  • Personal History
  • Marital History

 

Residence History

  • Citizenship history
  • Physical data
  • Educational History
  • Organization membership
  • Neighborhood investigation
  • Character references
  • 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.

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 the example of honesty test.

DECEPTION DETECTION TECHNIQUES

  • The Polygraph
  • The Psychological Stress Evaluator
  • The Voice Analyzer

FINANCIAL AND LIFE STYLE 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 TECHNIQUES

  • 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.
  • 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;
  • 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 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.

The  Initial Interview:

  • Overview of company security policies
  • employee accountability and corresponding penalties

Training and Orientation:

  • Detailed presentation of personnel security policies
  • If possible, give handouts.

Security Reminders:

  • Indirect Approach
  • Use of posters and fliers.
  • Must be replaced periodically.

Special Interviews:

  • Used to augment regular refresher conferences.
  • Used as an investigative tool.
  • 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.
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