LEA 3 INDUSTRIAL SECURITY MANAGAMENT11 -AC.docx

STATE UNIVERSITY OF NORTHERN NEGROS College of Criminal Justice Education **LEA 3 Introduction to Industrial Security Concepts** **CHAPTER 1**  **A. Introduction to Industrial Security Concepts** Security today covers different fields, business or industry; it may include...

STATE UNIVERSITY OF NORTHERN NEGROS College of Criminal Justice Education **LEA 3 Introduction to Industrial Security Concepts** **CHAPTER 1**  **A. Introduction to Industrial Security Concepts** Security today covers different fields, business or industry; it may include the World security, Nation security and Human security. Security as topic and subject is global, national, and local in nature and scope. This is because the principle of security management is universal in the application. The incredible growth of the security industry in the Philippines now a day is evident. Most companies are using guard forces, protective barriers, communication and electronic protection. However, every installation cannot escape the emerging complicated security problems like the deterioration peace and tranquility, the threat of terrorism and social condition of the community. **What is Security** - - - **Philosophy of security** **Security Motto** **B. Historical Background of Security** **C. The Concepts and Legal Basis Of Security Management** **Factors That Bring About Unsecured Conditions Or Situations** 1. **Threat** is activity that could lead to a loss. 2. **Hazard** is a condition that could lead to a loss. 3. **Risk** is potential loss/damage to an assent. 4. **Vulnerability** is a weakness that can be gained to an access to an asset. **Hazards** - **Hazards** refer to **conditions** that may cause, damage to property, injury, or loss of life. It is also defined as **"exposure"** to the chance of loss or injury. Hazards are caused either by **nature or by man himself** (comprehensive discussion on this topic will be done in a separate later lesson). - The role of security is to **prevent or stop these hazards in causing unintentional or intentional damage to property, injury of loss of life**. Various measures are designed to counter-attack natural and man-made hazards. **The Security Function Cycle** ** ** ** ** **3. Investigative Functions** -- these functions are performed with the following objectives: a. To reconstruct the circumstances of a risk occurrence to possibly recover the loss. b. To identify the person responsible and liable for the event and subsequent loss and justify sanctions against the said person c. To find way to prevent the recurrence of the loss. **Component of Security Management** 2\. **Counter measures -** are program implemented to avoid repetition of the same event. **Types of Control** ** ** **Major Activities of Security** **The area to be patrolled is basically called the Area of Responsibility (AOR)** a. **Critical Point (CP) --** is a resource whose lose or damage is detrimental to the organization. It is also a condition which can provide opportunity for risks to occur. b. **Area Control Point (ACP**) is a point in the AOR where the guard can have a maximum sensory coverage and reasonable physical control of the situation. c. **Fixed Area Control Point (FACP)** is a Set point on a particular location in the area of responsibility, from where the guard shall record his location at a particular time. d. **Transient Area Control Point (TACP**) -- is the actual location of the guard while on patrol. e. Control Area (CA) -- it is the area surrounding the TACP. Experiments conducted show that a guard can be physical effective within a radius of 50 meters without obstruction. This area is also called area of liability because it is the area where a guard can control a subject within his capability. **The Legal Basis and Concepts of Security Management** 1. **Natural Authority** Remarks on Natural Law Theory and Natural Rights Example Locke's Second Treatise on Government 1689 - Source: human reason as capable of interpreting divine will/reason (not arbitrary) - Grounding criticism of slavery! Natural Rights to liberty, equality, property Remarks on Natural Law Theory and Natural Rights - Why should one obey natural law? An interpretation of Locke Natural law grounds duty to preserve oneself and have others to commit to A\) Grounds the duty to preserve others (by reciprocity) B\) Ground my right not to be violated my natural rights (life, security, liberty) 2. **Constitutional Authority** **Article III** **Bill Of Rights** **Section 1. No** 3. **Statutory Authority** a. **The Revised Penal Code. (Act. No. 3815, as amended)** b. The application provisions of the Code on Crime against Person, Personal Liberty and Security and property have bearing on the security and protection of one's life, liberty and property. c. **Private Security Agency Law ( R.A. No. 5487 as amended)** d. This law governs the operation, administration of security agency, and activities, qualification, duties and licensing of security guards, watchman and private detectives. In short, it is the intention of this law to professionalize the security services in order to upgrade the level of security protection. **The Legal Bases and Concepts of Security Management** 1. **Presidential Decree No. 11 (Amending RA No. 5487)** 2. **Presidential Decree No. 100 (Amending RA No. 5487 and PD 100)** 3. **Presidential Decree No. 1919 ( Amending RA No. 5487, PD 100 and 100** 4. **Republic Act No. 6975 (DILG LAW) --** this is the law authorizing the PNP the control and supervision of security agency in the Philippines. 5. **R.A. 5487 -- Private Security Agency Law** **6. REPUBLIC ACT NO. 11917** **REPUBLIC ACT NO. 11917, July 30, 2022** **This Act shall be known as \"The Private Security Services Industry Act.\"** An act strengthening the regulation of the private security services industry, repealing for the purpose, republic act no. 5487, entitled "an act to regulate the organization and operation of private detective, watchmen or security guard agencies", as amended on July 26, 2021. CHAPTER IV PENAL PROVISIONS SECTION 16. Penalties. --- Any violation of the provisions of this Act shall, after due notice and hearing, be subject to the corresponding penalties herein provided: \(a) A license to operate of a PSA may be cancelled, revoked or suspended by the Chief PNP when: \(1) It takes part in an armed conflict against the government; \(2) It uses force or the threat of force or those it represents in a national or local electoral contest; \(3) It uses its authority to be involved in human rights violations; \(4) It is used as a privately owned and operated para-military organization operating outside of the regulatory framework established by this law and the implementing rules and regulations adopted by the PNP; \(5) It intentionally and maliciously makes use of electronic security devices or remote video surveillance in a manner that violates the privacy of civilians; \(6) It acted with gross negligence in dealing with violations, or mistakes of its members, or incompetency in its ranks; \(7) Its named operator or licensee is convicted by final judgement of any crime or felony; \(8) It violates any provision of Presidential Decree No. 442, otherwise known as the \"Labor Code of the Philippines,\" as amended, including its implementing rules and regulations; and \(9) It acted in a manner which renders the PSA a detriment to the maintenance of peace and order. \(b) Any PSA or any entity which operates without a valid LTO shall suffer the penalty of a fine of not less than One million pesos (P1,000,000.00) and not more than Five million pesos (P5,000,000.00) at the discretion of the Chief PNP; \(c) Any PSA or any entity which operates with an expired LTO shall suffer the penalty of a fine of not less than Fifty thousand pesos (P50,000.00) and not more than One hundred thousand pesos (P100,000.00) at the discretion of the Chief PNP; \(d) Any person practicing private security profession without a valid license or with only an expired license shall suffer the penalty of a fine of not less than Fifty thousand pesos (P50,000.00) and not more than One hundred thousand pesos (P100,000.00) at the discretion of the Chief PNP. The same penalty shall be imposed upon a PSA who shall deploy any person practicing private security profession without a valid license or with only an expired license; \(e) Any person who offers to render or renders services to persons or places conducting illegal activities shall suffer the penalty of imprisonment of not less than twelve (12) years and one (1) day to twenty (20) years, and a fine of One million pesos (P1,000,000.00), at the discretion of the court, without prejudice to criminal prosecution under other laws; and \(f) Any person who violates any of the provisions of this Act not mentioned in the preceding subsections shall suffer the penalty of imprisonment of not less than six (6) months and one (1) day to six (6) years, or a fine of One million pesos (P1,000,000.00), or both, at the discretion of the court, and cancellation or suspension of its license with forfeiture of the bond without prejudice to criminal prosecution under other laws. If the offender is a juridical entity, the penalty shall be imposed upon the officer or officers of the juridical entity who participated in the decision that led to the violation of any provision of this Act, without prejudice to the cancellation of their license issued by the PNP. MISCELLANEOUS PROVISIONS SECTION 17. Implementing Rules and Regulations (IRR). --- The PNP, in consultation with stakeholders and other national private security associations, representatives of private security cooperatives and other stakeholders of the security industry, and subject to the provisions of existing laws, shall promulgate the rules and regulations necessary to implement the provisions of this Act within ninety (90) days from its effectivity. Furthermore, the Chief PNP shall consult with the said stakeholders prior to the issuance of all regulations and issuances related to and affecting the private security services industry. The PNP is mandated to review the IRR every three (3) years.} **Basic Facts and Terminology** 1. **Person** -- shall include not only natural but also juridical **persons such as single proprietorships, partnerships, corporations, companies or associations, duly organized and registered** with the Securities and Exchange Commission and/or the Department of Trade and Industry. 2. **Private Security Services refer to the act of providing or rendering security services for compensation pursuant to mutually agreed terms of reference and contract and shall include the act of providing or rendering services to watch an establishment, whether public or private, building. compound/area or property, to conduct access control/denial in any form whether physically, manually or scientifically by electronic monitoring systems, for the pmpose of securing such area/property and at the same time ensuring safety and protection of persons within such areas, to mamtain peace and order within such areas, to conduct private security training, and/or to conduct investigation. It shall also include the act of contracting, recruiting, training, furnishing or posting any security guard, to do its functions or solicit individuals, businesses, firms, or private, public or GOCCs to engage its service or those of its security guards, for hire, commission or compensation through subscription or as a consultant/ trainer to any private or public corporation** 3. **Private Security Training Agency (PSTA) refers to any person, natural or juridical, who engages in the business of providing training and academic programs and courses duly approved and prescribed by the PNP and adopted by the Technical Education and Skills Development Authority (TESDA). It includes the training for pre-hcensing requirements of individual security guards and other security professionals, the periodic and non-periodic in-services skill refreshers for such security personnel, and other specialized, individual or group, private security personnel skills development.** 4. **Private Detective Services** -- shall include among others the act of **providing personal security protection, inquiry and information gathering, pre-employment verification and individual background profiling, providing assistance in civil liability and personal injury cases, insurance claims and fraud, child custody and protection cases,** for the purpose of assisting in gathering information leading to determination and/or prevention of criminal acts and/or resolution of legal, financial and personal problems. 5. **Private Security Industry** --**refers to the industry that is engaged in providing security consultancy, management, administration, operation, and provision of private or company watchman, guarding, investigative work, security training, K9 security, armored vehicle security services, alarm system monitoring services, closed-circuit television (CCTV) supphers and other providers of security hardware, security hardware operation, personal protection services, or security consultant;** 6. **Private Security Guard (SG)** -- sometimes called **private security guard or watchman** shall include any person who offers or renders personal service to watch or secure either a residence, business. 7. **Private Detective (PD)** -- shall mean **any person who does detective work for hire, reward or commission,** other than members of the Armed Forces of the Philippines, guards of the Bureau of Jail Management and Penology, municipal or city jail guards, and members of the Philippine National Police or of any other law enforcement agency of the government. 8. Private Security Professional (PSP) refers to a person who is issued a vahd LESP of any classification or category, issued by the designated government agency after satisfying all the qualifications and requirements set forth by this law and its implementing rules and regulations. It includes security watchmen, security guards, security officers, personal security escorts, private investigators, training officers and directors, K9 handlers, K9 administrators, K9 evaluators, K9 trainers, kennel masters and other certified or licensed security service providers rendering or performing security, investigation, security escorting services, security hardware planners and systems designers, security hardware operators, security managers, security consultants whether employed by private security agencies, private corporations, government agencies or independently practicing or providing professional security services; 9. **Government Security Personnel** -- shall be natural **persons which include government security guards, detectives, security consultants, security officers and others that may be classified later**, except those of the Armed Forces of the Philippines, Philippine National Police, Bureau of Jail Management and Penology, Municipal or City Jail guards rendering/performing security and/or detective services as employed by government entities. 10. **Private Security Agency (PSA)** --refers to any person, natural or juridical, who contracts, recruits, furnishes or posts any security guard, to perform its functions or solicit individuals, businesses, firms, or private, pubhc or governmentowned or -controlled corporations (GOCCs) to engage its service or those of its security guards, for hire, commission or compensation through subscription or as a consultant/trainer to any private or public corporation whose business or transactions involve national security or interest like the operation and/or management of domestic or ocean vessels, airplanes, helicopters, seaports, airports, heliports, landing strips among others or as consultant on any security related matter, or to provide highly speciahzed security, private escort, detective and investigation services like gangway security, catering security, passenger profiling, baggage examination, providing security on board vessels or aircraft, or other security needs that the PNP may approve; 11. **Private Detective Agency (PDA)** -- shall mean **any person association, partnership, firm or private corporation, who contracts, recruits, trains, furnishes or posts any private detective, to perform its functions or solicit individuals, businesses, firms, or private, public or government-owned or controlled corporations to engage his/its service or those of his/its detectives, for hire, commission or compensation t**hru subscription or as a consultant/trainer to any private or public corporation or as consultant on any detective related matter, or to provide highly specialized detective and investigation services, or other detective needs that SAGSD-CSG may approve. 12. **License to Exercise Security Profession (LESP) refers to a permit issued by the Chief of the Philippine National Pohce (PNP) or the duly authorized representative, recognizing a natural person to be qualified to perform the duties as security professional or training personnel;** 13. **License to Operate (LTO)** -- refers to a permit issued by the Chief PNP or the duly authorized representative, certifying and authorizing a person to engage in employing and deploying security guards, K9 teams, protection agents, private detectives and other hcensed specialized security personnel; or a juridical person to establish, engage, direct, manage or operate a private detective agency or private security agency or company guard force after payment of the prescribed dues or fair and reasonable fees and after complying with all the requirements as provided by the rules and regulations implementing this Act; 14. Pre-Licensing Training Programs refer to licensing pre-requisite and pre-licensing training programs that include all training and academic programs and courses with the objective to indoctrinate the individual with the basic skills and educational backgrounds necessary in the effective exercise and performance of the security and detective profession. These include, but are not limited to, the Basic Security Guard Course and the Security Officers Training Course; 15. Security Consultant refers to a security professional authorized by law to provide security services such as design and formulation of a security plan, threat and vulnerability assessment, resiliency planning, security surveying, security auditing, risk management, travel security training, event security planning and management, emergency and incident planning and management, crisis management, business continuity and other services related to the formulation of security-related solutions other than providing guards and watchmen; 16. Security Hardware refers to any mechanical or electrical device, which is designed and used for the detection of an unauthorized entry into a facility, for alerting others of the commission of an unlawful or unauthorized act within a building, structure or facility, identification and screening, control, repel and prevent entry of persons and vehicles of person and materials, recording and documentation of activities and events, repel and prevent aggression to a person or a facility; and 17. Security Hardware and Systems Designers and Planners refer to the security professionals who specialize in the design of security systems using a combination of security software and hardware to address security requirements of a facihty and the training for their operation and maintenance. 18. **Company Guard Force (CGF)** -- a **security force maintained and operated by any private company/corporation** utilizing any of its employees to watch, secure or guard its business establishment premises, compound or properties. 19. **Government Guard Unit (GGU**) -- a **security unit maintained and operated by any government entity other than military or police, which is established and maintained** for the purpose of securing the office or compound and/or extension of such government entity. 20. **PNP** as used herein shall mean the **Philippine National Police, which was organized pursuant to** the provision of **RA 6975** otherwise known as the 21. **SAGSD** has used herein shall refer to the current PNP Civil Security Group **( Security Agency and Guard Supervision Division)** or any other PNP Office that may be designated later as the primary office for supervision of the implementation of these rules and regulations. 22. **PADPAO** refers to the **Philippines Association of Detective and Protective Agency Operators, Inc.,** which is an association of all licensed security agencies and company security forces. 23. **Duty Detail Order** is a **written order/schedule issued by a superior officer** usually the private security agency/branch manager or operations officer assigning the performance of private security/detective services duties. 24. **Area of Responsibility --** the place where the guards-on-duty are stationed. 25. **Bodily Search-** is a type of personnel control where the guard-on-duty requires a prospective subject to manual search using hands or electronic equipment. 26. **Citizen's Arrest --** taking of person into custody in order for him/her to be bound to answer for the commission of an offense. 27. **Company Premises** -- refers to a specific place of duty as specified or stated in the Duty Detail Order (DDO). 28. **Guard Detailed --** a written report consisting of names of guards mobilized to different post assignments in a particular shift. 29. **Initial Report --** it refers to preliminary phase of investigation report either written or oral and in accordance with the company policies. 30. **Inspection Stick --** a non-conductor stick used for inspection of bags and personal luggage. 31. **Metal Detector --** a security equipment being used by the guards to detect firearms, bladed weapons or any metal objects. 32. **Night Stick --** equipment being used by the guard to restrain a person without using the firearm. 33. **Pedestrian Area --** refers to a confined area where customers, employees or visitors can pass for security check. 34. **Physical Barriers --** a system placed between the potential intruder and the matter to be protected. These barriers are of different types so that entry may be controlled in the company. 35. **Roving Inspection --** it refers to an exhaustive physical inspection of all operational activities in the company either internal or external. 36. **Rules of Evidence --** refers to the Rules of Court (Rule 128-131) to be followed by the guard for the preservation of evidence. 37. **Security Service Contract --** is a contract of service which include among others the money consideration to be paid by the client to the agency; the number of hours of security services per guard per day which the guard himself shall render to the client and the salary each individual security guard shall receive from the agency. 33. **Subject --** refers to a person or things which are the object for security reasons. 34. **Territorial Jurisdiction --** refers to area of responsibility, strictly covers and defined by the security service contract. 35. **Uniform --** a set of uniform including its paraphernalia and covered by RA 5487 **Acronyms in RA 5487** 1\. ADC - Assistant Detachment Commander 2\. AFP - Armed Forces of the Philippines 3\. AOR - Area of Responsibility 4\. AWOL - Absence without Official Leave 5\. AMMOS -Ammunition 6\. BSGC - Basic Security Guard Course 7\. CDC - Civil Disturbance Control 8\. CIR - Crime Inspection Report 9\. COMD -Command 10\. CSO - Chief Security Officer 11\. CSG - Civil Security Group 12\. DC - Detachment Commander 13\. DDO - Duty Detail Order 14\. DTR - Daily Time Record 15\. FAGSD -Firearms and Explosives Division 16\. FED - Fire Explosives Division 17\. INFO - Information 18\. IR - Investigation Report 19\. L/G - Lady Guard 20\. MR - Memo Receipt 21\. OIC - Officer-In-Charge 22\. OPNS - Operations 24\. PARSTS -Philippine Association of Recognized Security 25\. PDR - Post Duties and Responsibility 26\. PIC - Post-In-Charge 27\. PNP - Philippine National Police 28\. POI - Program Of Instruction 29\. RTC - Re-Training Course 30\. SAGSD -Security Agencies and Guards Supervision Division 31\. SCA - Specific Control Area 32\. SED - Security Executive Director 33\. SD - Security Director 34\. S/G - Security Guard 35\. SIC - Shift In Charge 36\. SOs - Security Officers 37\. SOP - Standard Operating Procedure 38\. SOTC - Security Officer Training Course 39\. TESDA -Technical Education and Skills Development Authority 40\. TL - Team Leader 41\. 11 GOs -Eleven General Orders 42\. 5Ws & 1H -What, Where, When, Who, Why, How **Basic Guidelines in Security Organization** A. **Who may organize and maintain a Private Security Agency and Private Detective Agency. --** B. **Basic requirement of an operator or manager of agency** 1.The operator or manager of an agency including, managers of branch offices, must be: a. **Filipino citizen;** a. **Not be less than twenty five (25) years of age;** b. **College graduate and/or a commissioned officer in the inactive service or retired from the Armed Forces of the Philippines or the Philippine National police;** c. **Has taken a course/seminar on industrial Security Management and/or must have adequate training or experience in security business; and,** d. **Good moral character** C. **New applicants for license to operate** D. **Prohibition on "KABIT SYSTEM" operators.** 1. No licensed security agency shall operate, promote and enter into an **agreement of "merger" (kabit system) with any person or a group of persons for the purpose of organizing a branch unit or subsidiary under separate control and ownership.** Merger of security and detective agencies shall not be recognized without prior approval from the Securities and Exchange Commission with respect to their Articles of Incorporation and the Department of Trade and Industry, with regards their business name. 2. Any of the following circumstances or a combination thereof shall be **considered prima-facie evidence of the existence of "Kabit System".** E. **Membership** F. **Application for License to Operate (LTO).** G. **Renewal of License** H. **Possession of Firearms** I. **Restriction to possess high-powered firearms. --** J. **Stocking of ammunition**. K. Private Security Agency (PSA). --- Any Fihpino citizen or juridical entity wholly owned and controlled by Filipino citizens may organize a private security agency and provide security services: Provided, That they shall not employ more than two thousand (2,000) private security professionals as defined in this Act. L. License to Operate. - A license to operate issued by the Chief PNP is required to operate and manage a PSA and PSTA; Provided, That an LTO for PSTA shall be granted only to a training school, institute, academy, or educational institution which offers courses prescribed and approved by the PNP or training programs accredited by TESDA. M. Period of Validity of LTO. --- The LTO issued to PSA and PSTA shall be vahd for a maximum period of five (5) years, subject to renewal; Provided, That the Chief PNP may set a shorter vahdity period for LTO with apphcable fair and reasonable fees adjusted accordingly. N. Fees and Bond to be Paid. - Every application for LTO shall be accompanied by a bond issued by competent or reputable surety, fidelity or insurance company duly accredited by the Insurance Commission. The bond shall be used to answer to any valid and legal claim against the agency by its chents or employees. The amount of bond to be determined by the Chief PNP must be reasonable and should depend on the number of PSPs employed. O. Administrative Fee of PSAs. --- The minimum administrative fee that may be charged by PSAs to its clients shall not be less than twenty percent (20%) of the total contract cost, subject to adjustment by the Department of Labor and Employment: Provided, That additional fees shall be charged for the acquisition and maintenance of extraneous tools and equipment used for security operation by the agency or required by the clients and for the continuous deployment of PSPs in hazardous conditions. Q. Issuance of Firearms. - A PSA shah, be entitled to possess firearms after having successfully passed the requirements prescribed by the Chief PNP and in accordance with Repubhc Act No. 10591 or the "Comprehensive Firearms and Ammunition Regulation Act": Provided, That a PSA shall only be allowed to possess small arms, not exceeding one (1) firearm for each PSP, to include single-post, in its employ: Provided, further. That possession of firearms by PSPs shall only be allowed during their tour of duty, in proper uniform, within the compound of the estabhshment, except when they escort and secure large amounts of cash or valuables, which firearms must be determined by the PNP: Provided, finally, That inventory of firearms of PSAs shall be subject to periodic inspection by the PNP. R. Uniform. - The uniform of PSPs shall be different from the uniform worn and prescribed for members of the Armed Forces of the Philippines (AFP), the PNP and other law enforcement authorities. The PNP, through the authorized representative, shall prescribe the uniform, ornaments, equipment and paraphernalia to be worn by the PSPs while on duty. S. License to Exercise Security Profession (LESP). - No applicant shall be granted license to exercise private security profession unless the apphcant possesses the following qualifications: (a) Must be of legal age; (b) Must be a Filipino citizen; (c) Must be physically and mentally fit; (d) Must be of good moral character; and (e) Must not have been convicted of any crime or offense involving moral turpitude. For purposes of securing an LESP, a letter of authority to conduct training must be issued by the Supervisory Office for Security and Investigation Agency (SOSIA). Such training includes the pre-hcensing requirements of the individual PSPs, periodic and non-periodic in-service skill refreshers for such security personnel, and other speciahzed, individual or group, PSP skills development: Provided, That the Chief PNP shall provide for additional qualifications for security consultant and security officers based on the industry requirements and practice. T. Period of Validity of LESP. --- The LESP of duly qualified PSPs shall be valid for a period of five (5) years from the date of its issuance. U. Pre-Licensing Training. - No person shall be granted an LESP without undergoing the Pre-Licensing Training Program as defined in this Act: Provided, That the PNP shall encourage opening of local and regional security training centers to provide pre-hcensing trainings to apphcants. W. Ladderized Training and Education. - The PNP, in partnership with private security training institutions or public institutions duly accredited by the government to provide such training education to private security professionals, shall develop ladderized training and education which include basic security guard courses, speciahzed security guard courses, security officers training courses, detective training courses, and candidate protection agent courses. It shall also include enhancement trainings, such as but not limited to, supervisory trainings, personal upliftment and other speciahzed trainings to place the security professional a level up from his current position. Chapter IV Penal Provisions X. Penalties. - Any violation of the provisions of this Act shall, after due notice and hearing, be subject to the corresponding penalties herein provided: \(a) A license to operate of a PSA may be cancelled, revoked or suspended by the Chief PNP when: \(b) Any PSA or any entity which operates without a vahd LTO shall suffer the penalty of a fine of not less than One million pesos (PI,000,000.00) and not more than Five million pesos (P5,000,000.00) at the discretion of the Chief PNP; \(c) Any PSA or any entity which operates with an expired LTO shall suffer the penalty of a fine of not less than Fifty thousand pesos (P50,000.00) and not more than One hundred thousand pesos (P100,000.00) at the discretion of the Chief PNP; \(d) Any person practicing private security profession without a valid license or with only an expired license shall suffer the penalty of a fine of not less than Fifty thousand pesos (P50,000.00) and not more than One hundred thousand pesos (P100,000.00) at the discretion of the Chief PNP. The same penalty shall be imposed upon a PSA who shall deploy any person practicing private security profession without a valid license or with only an expired license; \(e) Any person who offers to render or renders services to persons or places conducting illegal activities shall suffer the penalty of imprisonment of not less than twelve (12) years and one (1) day to twenty (20) years, and a fine of One million pesos (PI,000,000.00), at the discretion of the court, without prejudice to criminal prosecution under other laws; and \(f) Any person who violates any of the provisions of this Act not mentioned in the preceding subsections shall suffer the penalty of imprisonment of not less than six (6) months and one (1) day to six (6) years, or a fine of One million pesos (PI,000,000.00), or both, at the discretion of the court, and cancellation or suspension of its license with forfeiture of the bond without prejudice to criminal prosecution under other laws. If the offender is a juridical entity, the penalty shall be imposed upon the officer or officers of the juridical entity who participated in the decision that led to the violation of any provision of this Act, without prejudice to the cancellation of their license issued by the PNP. **The Guard Force and Guard System** **Types of Security Guard Forces** 1. Private *Security Agency* - any person, association, partnership, firm or private corporation, who contracts, recruits, trains, furnishes or post any security guard, to do its functions or solicit individual s, business firms, or private, public or government-owned or controlled corporations to engage his/its service or those of his/its security guards, for hire commission or compensation. 2. *Company Security Force* - A security force maintained and operated any private company/ corporation for its own security requirements only. 3. *Government Security Unit* - a security unit maintained and operated by any government entity other than military and/a police, which is established and maintained for the purpose of securing the office or compound and/or extension such government entity. **Typical Structure of a Security Organization** The security positions may be classified into the following: 1. - The office of the General Manager/Security Director is vested the authority and responsibility of running the security force by authority of the President of the Company/Corporation. - The General Manager/Security Director is directly responsible to the President of the Company/Corporation in the operations and administration of the security force/ - He is the principal adviser to the president on matters involving security operations, administration of the security force. - He is the overall head of both various staff departments and field units where he may delegate corresponding authority commensurate to their assigned responsibility. - He implements policies promulgated by the policy making body and executed by the President. - He directs controls and supervises all offices and field units of the force in their respective assigned tasks. - He performs other functions as directed by the President of the Company/Corporation. 2. - He is the principal administrative assistant to the General Manager/Security Director. - He prepares communications initiated by the General Manager/Security Director. - He maintains records of scheduled conferences, appointments and other engagements and advises the GM/SD of such activities. - He records and checks outgoing communications signed by the GM/SD as to its completeness (attachments to be considered) as well as to ensure the timely dispatch to the addressee through the administrative section. - To perform other duties as directed by the General Manager/Security Director. 3. - The Security Executive Director is the Assistant Manger of the Security Force and takes the Operational and Administrative Management of the security force in the absence of the GM/SD - He is directly responsible to the GM/SD - He performs other duties as directed by GM/SD 4. - Personnel Strengths - Replacement - Discipline, Law and Order - Morale and Personnel Services - Personnel Procedures - Interior Management - Personnel Adviser 5. - This office is the principal staff on Operations, training, intelligence and investigation. 6. - Accounting - Credit and collection - Bookkeeping - Billing - Payroll - Disbursing 7. - Coordinates plan and supervise the implementation of directive and guidance determines divisional responsibility and evaluates in logistical planning and related planning programs. - Develops, administers, and coordinates research and development on logistical matters. - Collects and computes statistical data on logistical matters. - Recommends logistics budget policy including budget planning. - Prepares estimates and/or requirements to ensure that logistical plans support for corporate plans. - Performs necessary program and fiscal administration. - Supervise all matters pertaining to supply. - Determine the organization, allocation of service personnel - Plans for maintenance and repair of supplies and equipment. 8. - This office assists the General Manger in inquiring into, and reports upon matters pertaining to the performance of the different staff, units, towards the attainment of corporate objectives. It also inquires on the state of discipline, efficiency and economy of the company. - The Inspectorate Staff conducts inspections, investigations and submits reports to the General Manager. In the performance of its duties and functions, the General Manger is provided relevant information pertaining to meritorious conduct and performance of a unit or individual. - This office is also tasked to conduct overt and covert inspections and investigations and other related services. 9. - The Communications Officer who is a licensed radio operator is the principal adviser of the General Manager on communication on matters pertaining to radio communication. 10. - He prepares and executes the security plan of his Detachment in relation to the security requirements of the establishment being guarded. - He is responsible for the enforcement and implementation of Rules and Regulations/Policies. - He receives instructions from the Security Manager and implements the same as required - He has full operational and administrative control of all his units to include his assistant and shift-in-charge/supervisor. - He conducts inspection of his units and institutes corrective measures on the spot on those problems he may detect or brought to his attention. If not possible, he brings the problem to the Security Manager of the establishment. 11. - - 12. - The Shift-in-Charge shall be responsible to the Detachment Commander as far as his shift is concerned. - He forms his men at least 30 minute before posting time seeing that all are in proper uniform and presentable. - He disseminates instructions coming form his Detachment Commander/OIC or those relayed to him by his counter-part, the outgoing SIC. - He inspects the posts as often as he can to ensure that his men are on the alert and performing their duties effectively. - He performs other duties as may be directed by the Detachment Commander or by the ADC. 13. - The Security Guard (SG) on Duty/Post must always carry his license to practice his profession, Xerox copy of the firearm's license assigned to him, and his duty detail order, authorizing him to carry his issued firearm within his area of jurisdiction. - If the Security Guard is manning a fixed post especially entrance or exit points, he must maintain a guard's logbook and enters in the same logbook all events/passages of VIP's vehicles and inspections or visits of Security Manager/Director of the Client/Firm. - Guards must observe and apply religiously the provisions of the Code of Ethics, Code of Conduct, and the General Orders of the Security Guard when on post. - He may perform special task as may be directed by his shift supervisor, DC and or ADC like control of visitors, inspections of bags of persons coming in and going out of the establishment, vehicle cargoes, or prevents the intrusion of unauthorized person in a particular area, etc. **Security Guard's Professional Conduct and Ethics** Security Guard's Creed: As a Security Guard, my fundamental duty is to protect lives and properties and maintained order within the vicinity or place of duty, protect the interest of my employer and our clients and the security and stability of our government and country without compromise and prejudice, honest in my action, words and thought, and do my best to uphold the principle: MAKADIOS, MAKABAYAN AT MAKATAO. **Ethical Standard**: As security guard/detective, his fundamental duty is to serve the interest or mission of his agency in compliance with the contract entered into with the clients or customers of the agency he is to serve thus, 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. **Code of Conduct: The watchman should abide by the following code of conduct:** 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 1. To take charge of this post and all companies property in view and protect/preserve the same with utmost diligence. 2. To walk during tour of duty in military manner, keeping always in the alert and observing everything that takes place within sight or hearing. 3. To report all violations of orders I am instructed to enforce. 4. To repeat all calls from post more distant from the guardhouse where I am station. 5. To quit my post only when properly relieved. 6. T o receive, obey and pass out to the relieving guard all order from company officers or officials, supervisors post in charge or shift leaders. 7. To talk to no one except in the line of duty 8. To sound or call the alarm in case of fire or disorder 9. To call the superior officer in any case not covered by instructions. 10. To salute all company officials, superiors in the agency, ranking public officials and commission officer of the AFP and officers of the PNP. 11. To be especially watchful at night and during the time of challenging to challenge all persons on or near my post and to allow no one to pass or loiter without proper authority. **Selection of Guards** Republic Act Number 5487 and its implementing rules and regulations prescribed the minimum requirements for guards to be able to secure a license to exercise profession as a security guard, private detective, security officer and security consultant. **General Requisites in the Security Profession** a. b. c. d. e. **General Disqualification** a. b. c. d. e. **Basic Qualifications of an Agency Operator/Manager** In addition to the general qualifications, an operator should be: 1. 2. **Basic Qualification of a Security Consultant** In addition to the general qualifications, a consultant should be: 1. 2. **Basic Qualifications of a Security Officer:** In addition to the general qualifications, a security officer, should be: 1. 2. 3. **Basic Qualifications of a Private Detective** In addition to the general qualification, a detective should possess any of the following: 1. 2. 3. 4. 5. **Basic Qualification of a Security Guard** In addition to the general qualifications, a security guard should- 1. 2. 3. 4. 5. **Desirable Qualities of Security Guards** 1. 2. 3. 4. 5. 6. 7. **Firearms and Weapons Authorized for Used of the Security Guard While on Duty** 1. 2. 3. **Guard's Uniforms, Equipment and Paraphernalia** 1. - - Headgear- perching cap for men and 2 ply cap for women - Service Bush Jacket- intended for Directorial and Staff officers - Service shirt - Service trouser - Service belt - Footwear 2. 3. - Private Security Agency- navy blue (upper and lower) - Company Security Forces- light blue/light gray for upper and navy blue for lower - Government Security Forces- white for upper and navy blue for lower 4. - - National badge - Cap device - Regulation buckle - Collar device - Name cloth - Agency/unit name cloth 5. - - Leather pistol belt with regulation buckle - Holster, black leather for pistol - Night stick with horizontal handle - Whistle with lanyard - Handheld radio - Pocket notebook and ball pens **CHAPTER II** **A. Divisions Of Security** Since security in general is very hard to co mprehend, it can be divided into three major areas: 1. 2. 3. **Physical security, personnel security, and document security cannot exist independently-** they are **mutually supporting.** They are in many respects overlapping. Physical security correlated to the other two parts, interwoven and one is essential to the other. **Protective Security Systems** ***Protective Security -*** can be defined as those **measures taken by an installation or unit to protect itself against sabotage, espionage or subversion** and at the same time provide freedom of action in order to provide the installation of the unit with the necessary flexibility to accomplish its mission. The aspects of protective security can be seen with the application of the following: 1. 2. 3. 4. 5. 6. 7. **B. Physical Security** Physical security measures are being used to define, protect, and monitor property rights and assets. These measures consist of barriers and devices that would detect, impede, and prevent unauthorized access to equipment, facilities, material and document and to safeguard them against espionage, sabotage, damage and theft. Physical security may be also defined as the safeguarding by physical means, such as guard, fire protection measures, of plans, policies, programs, personnel, property, utilities, information, facilities and installation against compromise, trespass, sabotage, pilferage, embezzlement, fraud, or other dishonest criminal act. **Barrier** A barrier can be defined as any structure or physical device capable of restricting, deterring, delaying, illegal access to an installation. Generally, a barrier is use for the following purposes: 1. 2. 3. 4. 5. **Types of Barriers** 1. 2. 3. 4. 5. **Three Line of Physical Defense** 1. 2. 3. Principles of Physical Security 1. 2. 3. 4. 5. *What is a Restricted Area?* A restricted area is any area in which personnel or vehicles are controlled for reasons of security. Restricted area is established to provide security for installation or facilities and to promote efficiency of security operations and economy in the use of security personnel. **Types of Restricted Areas** Two types of restricted areas may be established to permit different degrees of security within the same installation or facility, and to provide efficient bases for the application of different degrees of access, circulation and protection. These restricted areas are termed *Exclusion areas* and *Limited areas*. a. *Exclusion Area*- an exclusion area is a restricted area which contains a security interest to TOP SECRET importance, and which requires the highest degree of protection. b. *Limited Area Control*- a limited area is a restricted area in which a lesser degree of control is required than in an exclusion area but which the security interest would be compromised by uncontrolled movement. **Limited Area Control includes the following:** a. b. c. d. **Perimeter Security** It is the protection of the installation's inner and the immediate vicinity. The main purpose of perimeter barrier is to deny or impede access or exit of unauthorized person. Basically, it is the first line of defense of an installation. This is maybe in the form of fences, building walls or even bodies of water. The function and location of the facility itself usually determine the perimeter of the installation. If the facility is located in a city whereby the facility is located in a city whereby the building or enterprise occupies all the area where it is located, the perimeter may be the walls of the building itself. Most of the Industrial companies, however, are required to have a wide space for warehousing, manufacturing etc. **Types of Perimeter Barrier** Perimeter barriers includes *fences, walls, bodies of water* 1. *Solid fence* -constructed in such a way that visual access through the fence is denied. Its advantage is that it denies the opportunity for the intruder to become familiar with the personnel, activities and the time scheduled of the movements of the guards in the installation. On the other hand, it prevents the guards from observing the area around the installation and it creates shadow that may be used by the intruder for cover and concealment. 1. *Full-view fence* - it is constructed in such a way that visual access is permitted through the fence. Its advantages are that it allows the roving patrols and stationary guard to keep the surrounding area of the installation under observation. On the other hand, it allows the intruder to become familiar with the movements and time schedule of the guard patrols thereby allowing him to pick the time that is advantageous on his part. **Types of Full-View Fence** 1. - It must be constructed of 7 feet material excluding top guard. - It must be of 9 gauges or heavier. - The mesh openings are not to be larger than 2 inches per side. - It should be twisted and barbed selvage at top and bottom - It must be securely fastened to rigid metal or reinforced concrete. - It must reach within 2 inches of hard ground or paving. - On soft ground, it must reach below surface deep enough to compensate for shifting soil or sand. 2. - Standard barbed wire is twisted, double-strand, 12-gauge wire with 4 point barbs spaces in an equal distance apart. - Barbed wire fencing should not be less than 7 feet high excluding top guard. - Barbed wire fencing must be firmly affixed to posts not more than 6 feet apart. 3. - Standard concertina barbed wire is commercially manufactured wire coil of high strength steel barbed wire clipped together at intervals to form a cylinder. - Opened concertina wire is 50 feet long and 3 feet in diameter. **Perimeter Barrier Opening** 1. *Gates and Doors* - when not in use and controlled by guards, gates and doors in the perimeter should be locked and frequently inspected by guards. Locks should be changed from time to time and should be covered under protective locks and key control. 2. *Side-walk-elevators* - these provide access to areas within the perimeter barrier and should be locked and guarded. 3. *Utilities Opening* - sewers, air intakes, exhaust tunnels and other utility openings which penetrate the barrier and which have cross sectional areas of 96 square inches or more should be protected by bars, grills, water filled traps or other structural means providing equivalent protection to that portion of the perimeter barrier. 4. *Clear Zones* - an obstructed area or a "clear zone" should be maintained on both sides of the perimeter barrier. A clear zone of 20 feet or more is desirable between the barriers and exterior structures and natural covers that may provide concealment for assistance to a person seeking unauthorized entry. **Additional Protective Measures** 1. *Top Guard* - additional overhang of barbed wire placed on vertical perimeter fences upward and outward with a 45 degree angle with 3 to 4 strands of barbed wires spaced 6 inches apart. This increases the protective height and prevents easy access. 2. *Guard Control stations* - this is normally provided at main perimeter entrances to secure areas located out-of-doors, and manned by guards on full-time basis. Sentry station should be near a perimeter for surveillance at the entrance. 3. *Tower Guard* - this is a house-like structure above the perimeter barriers. The higher the tower, the more visibility it provides. It gives a psychological unswerving effect to violators. By and large guard towers, whether permanent or temporary, must have a corresponding support force in the event of need. Towers as well as guard control stations should have telephones, intercoms, and if possible two-way radios connected to security headquarters or office to call for reserves in the event of need. 4. *Barrier Maintenance* - fencing barriers and protective walls should always be regularly inspected by security. Any sign or attempts to break in should be reported for investigation. Destruction of fence or sections thereof should be repaired immediately and guard vigilance should be increased. 5. *Protection in Depth* - in large open areas or ground where fencing or walling is impractical and expensive, warning signs should be conspicuously placed. The depth itself is protection reduction of access roads, and sufficient notices to warn intruders should be done. Use of animals, as guards and intrusion device, can also be good as barriers. 6. *Signs and notices* - "Control signs" should be erected where necessary in the management of unauthorized ingress to preclude accidental entry. Signs should be plainly visible and legible from any approach and in an understood language or dialect. **Protective Lighting** The idea that lighting can provide improve protection for people and facilities is as old as civilization. Protective lighting is the single most cost-effective deterrent to crime because it creates a psychological deterrent to the intruders. **Types of Protective Lighting** 1. - *Glare projection type*- it is being used in prisons and correctional institutions to illuminate walls and outside barriers. - *Controlled lighting*- it is generally employed where, due to surrounding property owners, nearby highways or other limitations, it is necessary for the light to be more precisely focused. 2. 3. 4. **General Types of Lighting Sources** Listed below are the general lighting sources that are mostly used in providing indoor or outdoor lighting. 1. 2. 3. 4. 5. **Types of Lighting Equipment** Three types of lighting equipment are generally used or associated with security lighting. These are: 1. 2. 3. 4. **Protective Alarms** Protective alarm is one of the important barriers in security. It assists the security in detecting, impeding or deterring potential security threat in the installation. Basically, its function is to alert the security personnel for any attempt of intrusion into a protected area, building or compound. Once an intruder tampers the circuitry, the beam or radiated waves of the alarm system, it will activate an alarm signal. On the other hand, the use of communication equipment in the installation helps security in upgrading its operational efficiency and effectiveness. **Three Basic Parts of Alarm System** 1. 2. 3. **Types of Protective Alarm System** 1. 2. 3. 4. **Kinds of Alarms** 1. 2. 3. 4. 5. **Protective Lock and Key Control** Lock is one of the most widely used physical security devices in the asset protection program of an installation. It complements other physical safeguards of the installation against any possible surreptitious entry. However, the owner of the installation or his security officer needs to understand the weaknesses and strength of each type of lock including the door, window or walls to be used to achieve maximum benefit from its application. This is because highly skilled burglars more often concentrate on the lock and its surrounding mechanism in order to make a forcible entry. It is for this obvious reasons that locks are considered as delaying devices which can not really stop a determine intruder from destroying the lock just to launch an attack. Hence, knowledge of the basic principles of locking systems will enable the installation owner or the security officer to evaluate any lock and determine its quality and effectiveness in a particular application. **LOCK** A lock is defined as a mechanical, electrical, hydraulic or electronic device designed to prevent entry into a building, room, container or hiding place. **Type of Locks** 1. - Disc or wafer tumbler mechanism - Pin tumbler mechanism - Lever tumbler mechanism 2. 3. 4. 5. 6. **Type of keys** 1. 2. 3. 4. **Key Control** Once an effective key control has been installed, positive control of all keys must be gained and maintained. This can be accomplished only if it is established in conjunction with the installation of new locking devices. The following methods can be used to maintain effective key control; 1. 2. 3. 4. 5. **Security Cabinet** The final line of defense at any facility is in the high security storage where papers, records, plans or cashable instrument, precious metals or other especially valuable assets are protected. These security containers will be of a size and quantity, which the nature of the business dictates. In protecting \[property, it is essential to recognize that protective containers are designed to secure against burglary or fire. Each type of equipment has a specialized function and it will depend on the owner of the facility which type ha is going to use. **Three (3) Types of Security Cabinet** 1. - - 2. - The vault door should be made of steel at least 6 inches in thickness. - The vault walls, ceiling, floor reinforce concrete at least 12 inches in thickness. - The vault must be resistive up to 6 hours. 3. - The file room should at most be 12 feet high. - It must have a watertight door and at least fire proof for one hour. **Control of Personnel in the Physical Facility** In every installation, the use of protective barriers, security lighting, communication and electronic hardware provides physical safeguards but these are insufficient to maximize the effort of the guard force. A control point must be established for positive personnel identification and check system. This is to insure that only those persons who have the right and authority will be given the necessary access to the area. The most practical and generally accepted system of personnel identification is the use of identification cards badges or passes. Generally speaking, this system designates when and where and how identification cards should be displayed, and to whom. This helps security personnel eliminate the risk of allowing the access of unauthorized personnel within the establishments. **Types of Personnel Identification** 1. 2. **Use of Pass System** 1. 2. 3. **Visitors Movement Control** Security should establish proper methods of establishing the authority for admission of visitors as well as the limitation thereat. This security measure would depend on the sensibility of the installation, but could include the following: 1. 2. 3. 4. 5. **Package Movement Control** Every facility must establish a system for the control of package entering or leaving the premises. However, desirable it might seem it is simply unrealistic to suppose that a blanket rule forbidding packages either in or out would be workable. Such a rule would be damaging to the employee morale and, in many cases, would actually work against the efficient operation in the facility. Therefore, since the transporting of packages through the portals is a fact of life, they must be dealt with in order to prevent theft and misappropriation of company properties. Thus; 1. 2. 3. **Control of Vehicle in the Installation** Vehicular traffic within the boundaries of any facility must be carefully controlled for safety as well as to control the transporting of pilfered goods from the premises. Thus 1. 2. 3. 4. 5. 6. **Building Access Control** At any physical barrier, a security system must possess the ability to distinguish among authorized persons, unauthorized visitors, and other unauthorized persons. This is to assist the security personnel protects sensitive are and information within the installation. Appropriate warning signs should be posted at the building perimeter. Special restricted entry facilities to public access should be provided. This will be dependent on the degree of security needed for the protection of property, activity and other processes within the building. A clear-cut policy on the access control should be disseminated to all personnel of the installation. **Control of Personnel** *Access to "restricted Areas"*can be partially controlled by fences, gates and other physical means, but the individual working in the area is the key to the bringing out of classified matter to unauthorized personnel. Written information does not have the power of speech. Only the individual has knowledge of this written information can pass it to an unauthorized personnel if he unguardedly talks about information. **C. Personnel Security** Personnel Security includes all the security measures designed to prevent unsuitable individuals or persons of doubtful loyalty to the government, from gaining access to classified matter or to any security facility, and to prevent appointment, or retention as employees of such individuals, *The Security "Chain":* Personnel Security is the *"weakest link"* in the security "chain". This weakness can best be minimized or eliminated by making init personnel security conscious through good training program. Security depends upon the action of the individuals. The superior must instruct his subordinates so that they will know exactly what security measures to take in every instance, a safe will not lock itself. An individual must be properly instructed and must do the locking. Of the three key security processes, personnel security is considered the most critical simply because security involves people, both as assets to be protected, and as sources of security threats. **Purpose** 1. To insure that a firm hires those employees best suited to assist the firm in achieving its goals; and, 2. Once hired, to assist in providing the necessary security to them. **Scope of Personnel Security** 1. Personnel Security Investigation (PSI) 2. Security Education **Key Functions of Personnel Security** 1. **It serves as a screening device to assist the organization in hiring suitable employees.** 2. **It conducts background investigation on employees.** 3. **It handles investigation of employees suspected of wrongdoing.** 4. **It develops security awareness among employees.** 5. **To ensure the protection of employees from discriminatory hiring or terminating procedures for unfounded allegations of unethical conduct.** **Personnel Security Investigation** It is an inquiry into the character, reputation, discretion and loyalty of individual in order to determine a person's suitability to be given security clearance. The security manager should determine the following: 1. Is the information true or false? 2. Is the applicant concealing information? 3. Does the applicant have other reasons for applying aside from employment? **Types of Personnel Security Investigation (PSI)** 1. National Agency Check (NAC).-- This is an investigation of an individual made upon the basis of written information supplied by him in response to official inquiry, and by reference to appropriate national agencies. It is simply a check of the files and record of national agencies. The national agencies checked under this type of investigation are the following: a. National Intelligence Coordinating Agency (NICA) b. National Bureau of Investigation (NBI) c. Intelligence Service ISAAFP or J2 Division, GHQ AFP d. DI Clearance, C2 (PNP) 2. Local Agency Check (LAC) -- This type of investigation consist of the first type plus written inquiries sent to appropriate local government agencies, former employees, references and schools listed by the person under investigation. The local agencies normally check besides the past employment, schools and references are the following: 1. 2. **Personnel Security Investigation Has General Technique** 1. *Background Investigation (BI)* This is more comprehensive investigation than the NAC or the NAC and LAC. A through and complete investigation of all or some of the circumstances or aspects of a person's life is conducted. Background Investigation (BI) a. verify information on the application form; b. ascertain past employment experiences; and, c. obtain other information pertinent to the decision to employ. A. *Complete Background Investigation* -- Consist of the investigation of the background of a person, particularly all the circumstances of his personal life. **Applicant Screening** The most effective tools in employee selection are: 1. the application form (information tool) 2. the interview (heart of personnel selection) **"Whole Man Rule"** 1. Act of weighing all elements of a person's background in determining his suitability. 2. A system for evaluating the suitability of an applicant. 3. **A process of judging a person's suitability for employment based on an applicant's performance and honesty over the whole period of both his/her employment and social history** **Pointers in Screening Process** **"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. - Gaps in residence - Educational background - Inadequate references - Lack of job stability - Signs of instability of personal relations - Indications of over-qualifications - Declining salary history - Signature is stamped - Criminal record left blank. - Military service left blank. - 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. - 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. - Information sought should be relevant to the hiring decision. - Information should be reliable. - Unfavorable information should be confirmed by at least two sources. - All completed investigations should be reviewed by a responsible supervisor so that all applicants are measured according to the same standards. B. *Partial Background Investigation* -- Consist of the investigation of the background of an individual but limited only to some of the circumstances of his personal life which are deemed pertinent to the investigation. Normally, the request for the investigation will indicate the specific personal circumstances to be covered. This type of BI is also used to further develop questionable information contained in another investigation report. 2. *Positive vetting --* is the process of inspecting or examining with careful thoroughness. The essence of vetting is a personal interview conducted under stress. Information issued during the interview, such as those discover in the BI, which confirms or denies which given by the applicant. **Essence of Vetting** a. **A personal interview** b. **Conducted under stress** c. **The interview is based upon answers previously given by the applicant** d. **Other information used during the interview, which confirms or denies that given by the applicant.** **Basic Reasons for an Interview During Vetting** a. Challenge the applicant on the basis of any false statements. b. To observe the applicants behavior under stress. c. To open areas for exploration which have until now remain hidden. d. To provide new investigative leads. 3. *Profiling --* is the process whereby a subject's reaction in a future critical situation predicted by observing his behavior, or by interviewing him, or analyzing his responses to a questionnaire, such as an honesty test. -is an example of an honesty test 4. *Deception Detection Technique* -- this process of using devices in detecting interview stage, this includes the use of a polygraph, The Psychological Stress Evaluator and The Voice Analyzer. 5. *Financial and Lifestyle Check* - investigation seeks to gather information on income and mode of living. (Earning -- to -- debt ratio) a. is to be promoted; b. is to be assigned to more sensitive duties; and, c. when it is already part of SOP for those assigned to sensitive positions. (Position of Trust) 6. *Undercover Investigation* -- 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. 7. *Exit Interview* -- this is a valuable tool because 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 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 that generally all employees are asked the same question. - An effective method to prevent former employees from competing against the company. (Ex. NCA,NDA) **Factors considered in Background Investigation** 1. 2. 3. 4. 5. 6. **Motives that cause people to be disloyal** 1. *Revenge*- a real or fancied wrong can create a hatred which will stop at nothing to obtain revenge of the offender. Hatred wraps the sense of moral values until the hater will go to any lengths, even betrayal of his country, to avenge himself on the person or class of people hated. 2. *Material Gain*- some people are so avid for material gain that they will stop at nothing to achieve this end. 3. *Personal Prestige*- this motivation applies to those whose main desire is for power-power over others-to prove to the world what leaders they are. However, their desire for power makes them especially vulnerable to subversion. 4. *Friendship* --through close attachment to another person, many people, otherwise of high integrity, will do things inimical to their country's interest. 5. *Ideological Beliefs*- If a person holds inimical to their country, they are of course vulnerable to approach by subversive groups of agents. **Weaknesses that Make People Susceptible to Pressure** 1. Jealousy 2. Weakness of Character 3. Heavy indebtedness 4. Addiction to narcotics and drugs 5. Guilty Past 6. Moral depravity **Security Education and Awareness** **The concept or state of mind and attitude through which the individual is conscious/aware of the existence of a security program and is persuaded that the program is relevant in one or more ways to his own behavior.** **The basic principle of Personnel Security is that the attitude and honesty of rank and file employees is the key to minimizing losses through internal theft.** ***SECURITY EDUCATION*** is conducted: 1. To develop security awareness among employees of the company. 2. To emphasize the importance and role of security in achieving the company's goals among the top management. **Objectives of Security Education** 1. Guidance for all supervisory and executive levels of the organization 2. A mandatory indoctrination on security for all new personnel before their assignment to their respective jobs 3. Development of a high degree of security consciousness among the selected supervisors and other key personnel in a program that should be continuing and supported by top management. 4. A down-the-line security program aimed at instilling consciousness and dedication through demonstration, lectures, motivations and suggestions. 5. To let all employees force informed that they all belong to the organization and that non-awareness to the security program is tantamount to disloyalty. 6. That the program is also to develop discipline, loyalty and belongingness. **Security Education may be conducted during:** **1. *Initial interview* --** it is the **first contact of the prospective employee** wherein the interviewer determines the suitability of the applicant for employment through his give answers being conducted. It is in this stage where, the interview may start providing the necessary information as to the overview of company security policies and at the same time on the employee accountability and corresponding penalties that could result from violation therefrom ***Overview of company security policies employee accountability and corresponding penalties*** *Special Interviews:* - **Used to augment regular refresher conferences.** - **Used as an investigative tool.** 2\. ***Security reminders* --** a phase which employs an **indirect approach of education** the employees such as posting security posters and distributing fliers. - **Use of posters and fliers.** - **Must be replaced periodically.** **3. *Orientation and Training* --** it is in this stage where **new employees receive detailed presentation of personnel security policy**. Usually hand-outs or employees manual are being distributed for reference. New employees also requested to sign acknowledgement that they have been aware of the exiting company policies and will abide the same. - **Detailed presentation of personnel security policies** - **If possible, give handouts.** **4.*Refresher conference* --** it is **design to remind employees** of the company about their responsibilities, review guidelines and policies, introduction of new policies and regulations and a moment of getting employees feedback about the company policies that is being implemented. - **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 comments about existing policies.** **5. *Security Promotion* --** it is the **act of emphasizing the importance and role** of security achieving the company goals and objectives. It involves securing employee cooperation and support. - **Market security within company.** - **Get support among employees.** - **Promote importance of security especially among the top brass.** **Elements of a Comprehensive Personnel Security Program** - - - - - - - - - **Basic Considerations** 1. **It is the responsibility of the appointing authority to determine the suitability of the person he is appointing.** 2. **No person is entitled solely by virtue of his grade or position to knowledge or possession of classified matter.** 3. **All personnel whose duties require access to classified matter shall be subjected to a security investigation to determine eligibility for the required security clearance.** 4. **All personnel shall undergo security education.** 5. **Security Managers responsible for personnel clearance investigations should keep abreast of changes in the law.** 6. **An employee has the right to review his pre-employment investigation file and reasonably challenge any findings.** 7. **There are virtually no restrictions on what can be asked of an applicant once an offer of employment has been made.** **Security Awareness results in:** 1. Better understanding of the relationship between security and successful operations; 2. Knowledge of one's personal obligations under the program; 3. Understanding between security objectives and measures; 4. Familiarity with sources of help in carrying out personal and departmental responsibilities under the security program; and 5. Compliance with statutory and regulatory requirements and contractual obligations. **Other Guidelines in Personnel Security** **As to trustworthiness** **1. Physical Qualifications** Operators should pass a physical examination administered by a licensed physician. The examination should be designed to measure the individual's physical ability to perform assigned job duties, as identified in the organization's job qualification program. **2. Mental Qualifications** Individuals whose job duties are directly associated with the effective implementation of the organization's process controls should demonstrate mental alertness and the capability to exercise good judgement, execute instructions, and assimilate assigned tasks. These individuals should possess acuity of senses and ability of expression sufficient to permit accurate communication by written, spoken, audible, visible, or other signals required by assigned job duties. Individuals should have no established medical history or medical diagnosis of epilepsy or diabetes or, where such a condition exists, the individual should provide medical evidence that the condition can be controlled with proper medication so that the individual will not lapse into a coma or unconscious state while performing assigned job duties. **3. Psychological Qualifications** The entity should be required to evaluate the possible impact of any noted psychological characteristics that may have a bearing on trustworthiness. Control system operators should have no emotional instability or affiliations with organizations that pose a threat to security that would interfere with the effective performance of assigned job duties. This determination should be made by a licensed psychologist, psychiatrist, physician, or any other person professionally trained to identify emotional instability. 4\. **Behavioral Observation** The entity should be required to evaluate the possible impact of any noted psychological characteristics that may have a bearing on trustworthiness. Control system operators should have no emotional instability or affiliations with organizations that pose a threat to security that would interfere with the effective performance of assigned job duties. This determination should be made by a licensed psychologist, psychiatrist, physician, or any other person professionally trained to identify emotional instability. **5. Voluntary Assessment** The entity should give an individual an opportunity to report any information concerning authorization and security to perform assigned job duties. **6. Continuing assessment** The entity should arrange for continued observation of individuals and for appropriate corrective measures by responsible supervisors for indications of emotional instability of individuals in the course of performing assigned security job duties. Identification of emotional instability reported by responsible supervisors should be subject to verification by a licensed, trained person. ***As to Capability*** **1. Education and Experience** Individuals should be required to possess a high schools diploma or pass an equivalent performance examination designed to measure basic job-related mathematical, language, and reasoning skills, as well as the ability and knowledge required by assigned job duties. Individuals should be required to have the defined minimum amount of on-the-job experience for each appropriate level of operator certification required by their assigned job duties as define by the employer. **2. Training** Each individual who requires training to perform assigned job tasks or job duties as identified by the organization's operating or contingency plans should, prior to assignment, be trained to perform those tasks and duties in accordance with the organization's documented training and qualification plan. Individuals should be required to have the defined amount of training for each appropriate level of operator certification. **3. Security Awareness** Each individual should receive on-going employee awareness sessions and training. The individual's role in providing protection for the organization should include training in the following subjects: - Adversary group operations - Motivation and objectives of adversary groups - Tactics and force that might be used by adversary groups to achieve their objectives - Recognition of sabotage-related devices and equipment that might be used against the organization's facility or shipment vehicle. - Facility security organization and operation - Types of physical and cyber security barriers - Weapons that might be used by adversary groups tp achieve their objectives - Lock and key control system barriers - Potential vulnerability and consequences of sabotage of a facility - Types of alarm systems used - Protection of control system information - Access control system operation - Contingency response to confirmed intrusion or attempted intrusion - Control system operation after component failure - Social engineering, unauthorized inquiries to elicit secure information such as passwords, network design, process descriptions, or schematics. **4. Updates on Current Trends** The entity should be required to remain current with changes in technology to understand new advances. Organizations should require an individual to certify if the individual fails to renew or qualify for renewal after the date that the certification has expired. The organization should establish training requirements for certification renewal and expiration based on the level of certification held by the operator. Organizations should have a process for recertification of individuals whose certification of individuals has expired. The process should include review of the individual's experience and training and re-examination. **5. Certification Exams** Individuals should be certified before being allowed to operate controls system. Certification should require that the individual attain a passing score on an examination that tests the individuals' knowledge of the following topics: - Calibration - Loop Checking - Troubleshooting - Maintenance/ Repair - Project Organization - Proprietary Systems Examinations consisting of multiple-choice questions and written problems that test the candidate's ability to apply the knowledge and skills required for each subject are recommended. ***As to Securing Environment*** **1. Vulnerability and Risk assessment** The entity should require a Security Vulnerability Assessment (SVA) process to assess risks and make decisions about operating risks, and to make progress towards the goal of reducing the risks associated with control system operations. 2\. **Internal Audits** The entity should collect information and periodically evaluate the success of their security assessment techniques and other mitigation risk control activities. The organization should also evaluate the effectiveness of its management systems and processes in supporting sound security management decisions. Examples of items to review include the following: - Current security and environmental regulations - Examine items for relevancy and validity - Compliance and infraction statistics - Enforcement and management follow-up - Budget and staffing for the personnel security program - Training relevancy and currency - Training requirements versus examination performance - Data management system - SVA results, accuracy, action items **3. External Audits** The entity should require personnel security programs that will include ongoing outside involvement in the revision and operations of the personnel security program. A stakeholder board or advisory committee is strongly recommended. Examples of stakeholders are operators, Environmental/public health groups, police/security groups, general public, primary vendors and subcontractors, Process control technical assistance providers, organization managers, and trainers.   **4. Enforcement** The entity should have the ability to suspend operator certifications or take other appropriate enforcement action for operator misconduct. Examples of an individual's misconduct include fraud, falsification of application, gross negligence in operation, incompetence, etc. **5. Emergency Plan** Organizations' emergency plans should require training of key participants to ensure they have the skills and knowledge to effectively carry out those plans. A training and orientation program for key responders should be developed and periodically reviewed. Periodic exercises should include scenarios that include first responders from law enforcement, fire, and state authorities when appropriate. At the conclusion of all exercises, a comprehensive "lessons learned" critique should be conducted, and results should be incorporated into the emergency plans. Additionally, the exercise "lessons-learned" should be used as a basis for future training and orientation sessions. Each organization should develop a means to advise and communicate to operator personnel and others as warranted by the security condition. Organizations should consider a means of establishing emergency communications and contact information with appropriate agencies. Consider redundant emergency communications in both the hardware and the means for contacting agencies. 6\. **Control System Access** Control system areas should have personnel gates and/or turnstiles with electronic or biometric access control systems that record ingress and egress to physically secure control system areas such as motor control centers, server rooms, telecommunications rooms, and control system rooms. The entity should also control access to system areas using physical controls such as: - Sign in logs - Photo ID badges - Key cards and/or number pads - A close-circuit television system Organizations should also consider cyber security measures such as: - Firewalls with effective configurations - Virus protection with current updates - Intrusion detection systems - Encryption modules **Document and Information Security** In every installation, document and information are **indispensable for their daily operations and activities, be it in the form of a paper, film and magnetic media or in the computer system.** Once there is a leakage in the contents of a company's document and information, the **business operational stability is at stake**. It may be a start of bankruptcy that would lead to its total disclosure. The leakage of document and information cost government, business and industry alike, billions of pesos. A rival company or an enemy agent might use an illegally obtain document and information for their own advantage. For this reason, a comprehensive and information security program is very essential to the installation in order to focus freely on the attainment of its goals and objectives. **D. Document Security** It is the protection of records from its **entire document life cycle.** It also connotes in this context the safeguarding classified matters. **Three (3) Security Concepts** 1. 2. 3. **Basis of Document, Information, and Communication Security** Security of documents and information is based on the premise that the government has the right and duty to protect official papers from unwarranted and indiscriminate disclosure. In answer to this problem, Malacanang, Manila dated August 14, 1964 entitled *"Promulgating rules governing security of classified matters in Government Officers"* was promulgated in order to safeguard our secrets as secrets. There are various laws likewise effecting security of officials papers of the government, namely, appropriate articles of the Revised Penal Code as amended and commonwealth Act 616 as amended. Any violations of the provisions of Memorandum Circular No. 78 shall be dealt administrative proceedings without prejudice to offense under provisions soft the cited penal statutes. The unauthorized publication of any classified information shall be deemed a violation of Memorandum Circular No. 78 by the parties responsible thereof. **Standard Rules** The authority and responsibility for the preparation and classification of classified matter rest exclusively with the originating office. *Classified matter* should be classified according to their content and not to the file in which they are held or of another document to which they refer, except radiograms or telegrams referring to previously classified radiograms or telegram. *Classification* should be made as soon as possible by placing the appropriate marks of the matter to be classified. Each individual whose duties allow access to classified matter, or each individual who possesses knowledge of classified matter while it is in his possession and shall insure that dissemination of such classified matter is on the "need-to-know" basis and to property cleared persons only. **Document Security Systems** *Documents Security* is that aspect of security which involves the application of security measures for the proper protection and safeguarding of classified information. *Classification Categories* - Official matter which requires protection in the interest of national security shall be limited to four categories of classification which in descending order of importance shall carry one of the following designations: TOP SECRET -- SECRET-CONFIDENTIAL - RESTRICTED In Document and Information Security, a *matter* includes everything, regardless of its physical character, or in which information is recorded or embodied. Documents, equipment, projects, books, reports, articles, notes, letters, drawings, drawings, sketches, plans, photographs, recordings, machinery, models, apparatus, devices, and all other products or substances fall within the general term "matter". Information, which is transmitted orally, is considered "matter" for purposes of security. *Security Clearance* is the certification by a responsible authority that the person described is cleared for access to classified matter the appropriate level. *Need-to-know* is the principle whereby access to classified matter may only be only given to those persons to whom it is necessary for the fulfillment of their duties. Persons are not entitled to have access to classified matter solely by virtue of their status or office. It is a requirement that the dissemination of classified matters be limited strictly to persons whose official duty requires knowledge or possession thereof. *Certificated of Destruction* is the certification by a witnessing officer that the classified matters describe therein has been disposed of in his presence, approved destruction methods. *Classified* refers to assign information by one of the four classification categories. *Security Clearance* refers to the administrative determination that an individual is eligible for access to classified matter. *Compromise* means lose of security, which results from an authorized persons obtaining knowledge of classified matter. *Compartmentation* is the grant of access to classified matter only to properly cleaved persons in the performance of their official duties. *Declassify* is the removal of security classification from classified matter. *Reclassify / Re grading* is the act of changing the assigned classification of matter. *Up- grading* is the act of assigning to a matter of higher classification to a classified document. **Four Classification of Documents** **Top Secret Matters** These are information and material (matter), the unauthorized disclosure of which would cause exceptionally grave damage to the nation, politically, economically or from a security aspect. This category is reserve for the nation's closest secrets and is to be used with great reserve. *Classification Authority* 1. 2. 3. 4. 5. 6. 7. 8. **Secret Matters** These Information and material (matter), the unauthorized disclosure of which would endanger national security, cause serious injury to the interest or prestige of the nation or of any governmental activity or would be of great advantage to a foreign nation. 1. 2. 3. 4. 1. 2. 3. 4. 5. 6. 7. 8. 9. **Confidential Matters** These are information and material (matter) the unauthorized disclosure of which, while not endangering the national security, would be prejudicial to the interest or prestige of the nation or any governmental activity, or would cause administrative embarrassment or unwarranted injury to an individual or would be of advantage to a foreign nation. 1. 2. 3. 1. 2. 3. 4. *What are Restricted Matters?* These are information and material (matter), which requires special protection other than that determined to be TOP SECRET, SECRET, or CONFIDENTIAL. Authority to classify shall be the same as for CONFIDENTIAL matter. Reproduction is authorized. Transmission shall be through the normal dissemination system. Control of Classified Matters Custody and accounting of classified matter -- Heads of departments handling classified matter shall issue orders designating their respective custodians of classified matter. Custodian shall: 1. Store all classified matter. 2. Maintain a registry of classified matter showing all classified matter received and to whom transmitted. 3. Maintain current roster of persons authorized access to classified matter for each classification in the office. 4. Insure physical security for classified matter. 5. Conduct an inventory of all TOP SECRET matter as specified in paragraph 7 (Memo Cir Nr 78/196). 6. Upon his relief, account for all TOP SECRET and SECRET matter by inventory and transmit the same to his successor. Unauthorized keeping of private records -- All government personnel are prohibited from keeping private records, diaries, or papers containing statement of facts or opinions, either official or personal, concerning matters which are related to or which affects national interest or security. Also prohibited are the collecting of souvenirs or obtaining for personal use whatsoever any matter classified in the interest of national security. Dissemination -- Dissemination of classified matter shall be restricted to properly cleared persons whose official duties required knowledge or possession thereof. Responsibility for the determination of "need-to-know" rests upon both each individual, who has possession, knowledge or command control of the information involve, and the recipient. **Disclosures to other departments of classified information originating from another department** Classified matter originating from another department shall not be disseminated to other departments without the consent of the originating department. **Release of classified matter outside a department** General Policy. -- No person in the government shall convey orally, visually or by written communication any classified matter outside his own department unless such disclosures has been processed and cleared by the department head or his authorized representative. **Release of classified matter to Congress** **Disclosure to Foreign Government or Nationals** 1. Its use shall be solely for the purpose for which the classified matter is requested. 2. It shall be treated or handled in accordance with the classified categories of the originating office. 3. Handling shall be made by security-cleared personnel. 4. Reproduction and dissemination shall not be made without the consent of the department head. **Disclosure of classified matter for publication** Classified matter shall be released for public consumption only upon the consent of the department head or his authorized representative. However, in instances where there is a demand or need for releasing classified information, extreme caution must be exercised to analyze in detail contents of the classified matter before release. Normally all information are released through Public Information Officers. Public Information Officers should be assisted in the analysis of classified information by the Security Officer. **Purpose of Protecting Classified Materials** 1. 2. 3. **Categories of Document for Security Purposes** 1. - Information which contains reportable time sensitive, order of battle and significant information. - It should be given priority because it is critical information. - It must be forwarded without delay. - It is critical to friendly operations. - It requires immediate action. 2. - Anything that contains communications, cryptographic documents, or systems that should be classified as secret and requires special handling. - Higher authorities should declassify it. 3. - Other information, which contains something that, could be an intelligence value. - Contains exploitable information regardless of its contents.