MODULE 3
Only the individual has knowledge of this written information can pass it to an
LESSON 1. PERSONNEL, DOCUMENT AND INFORMATION SECURITY
LESSON 2. RISK ANALYSIS AND SECURITY HAZARDS
LESSON 3. SECURITY SURVEY, SECURITY INSPECTION AND SECURITY
INVESTIGATION
PERSONNEL, DOCUMENT AND INFORMATION SECURITY
The various systems employed in securing company Securing Company Personnel,
documents, and information will be highlighted in this Module. It will also include the
different systems of classifying Documents and information. To facilitate easy
comprehension, the module is logically Divided and arranged into the following:
PERSONNEL SECURITY
1. Definition: 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.
2. Scope and Purpose: Personnel security generally embraces such security measures
as personnel security investigation, security orientation and indoctrination and security
education as will ensure the prevention of unsuitable individuals or persons of doubtful
loyalty to the government, from gaining access to classified matter or being appointed,
employed or retained as employees.
3. Principle: Just any other control technique, security must start from a given foundation
or basis and this basis shall be referred to as the principles of security. Security principles
are normally disseminated by regulations or directives to insure uniformity of purpose,
logical and similar methods of operation and appropriate and continuous placement of
responsibility.
4. The Security "Chain": Personnel Security is the "weakest link" in the security "chain".
This weakness can best be minimized or eliminated by making the 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.
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.
unauthorized personnel if he unguardedly talks about information. It is the individual
responsibility to insure that he knows Security procedures and safeguards, and it is the
commander’s Responsibility to motivate each individual to insure that he complied with
this procedures and safeguards. Instructions on Security procedures, principles and
concepts are valueless unless one impresses upon each individual having access to
classified Information the necessity of practicing the “need-to-know Concept
“No person is entitled to knowledge or possession of classified information solely by his
rank, office, or position. Such Matter is entrusted only to individuals whose official duties
require knowledge or possession.” Responsibility for determining whether a person’s
official duties require access to item to classified information rests upon each individual
who has Knowledge, possession, or command control of the information Involved and not
upon the prospective recipient
OBJECTIVES OF PERSONNEL SECURITY
1. To provide the standards and procedures necessary to insure the appointment,
employment of retention of suitable and loyal individuals.
2. To develop the necessary and proper security discipline among the applicants and
employee as well as protect and Preserve the security interest of the organization.
3. Inculcate the desirable security attitudes and habits among the applicants and
employees.
BASIC POLICIES IN PERSONNEL SECURITY
1. No person is entitled solely by virtue of his grade or Position to knowledge or
possession of classified matter. Classified matter shall be entrusted only to those
individuals whose official duties require such knowledge or possession, and who
have been granted the proper clearance.
2. All personnel whose duties require access to classified Matter shall be subject to
a security investigation to Determine eligibility for the required security clearance.
3. All personnel shall undergo security orientation, indoctrination and security
education.
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.
1. Two (2) Types of Personnel identification
a. Personal recognition familiarity of the person’s Characteristics.
b. Artificial recognition- identification cards, passes, Passwords, etc.
2. Use of Pass System
a. Single pass system- the badge or pass coded for Authorization to enter
specific areas is issued to an Employee who keeps it in his possession until
his Authorization is terminates.
b. Pass exchange system- an exchange takes place at the entrance of each
controlled area. Upon leaving the personnel surrenders his badge or passes
and retrieve back his basic identification.
C. Multiple pass system this provides an extra Measure of security by requiring
that an exchange take Place at the entrance of each restricted area.
3. Badge and Pass Control
a. The system should have a complete record of all Badges and identification
cards issued, return, mutilated or lost by serial number and cross-indexed
alphabetically.
b. The supervisor from time to time for its accuracy and authenticity should
check the lists.
C. Passes and badges reported lost should be validated and security at
entrance be informed through conspicuous Posting.
VISITORS MOVEMENT CONTROL
Security should establish proper methods of establishing the authority for
admission of visitors as well as the limitation. This security measure would depend on the
sensibility of the installation, but could include the following:
1. Visitor's logbook all visitors to any facility should be required to identify themselves and
should be given a visitor's ID by the security. Visitor's logbook should be filled up with the
named of visitors, nature and duration of visit.
2. Photograph-taking of photographs should also be considered. Extreme caution must
be exercised in areas where classified information is displayed to preclude unauthorized
taking of pictures of the installation. If a visitor has camera and it is prohibited to take
picture, said camera should be left in the care of security with corresponding receipt
3. Escort- If possible visitors should be escorted by the Security to monitor their activity
within the establishment and Guide them where to go.
4. Visitor entrances -separate access for visitors and employees of the establishment
should be provided.
5. Time-traveled If there is a long delay or time lapse between the departure and arrival,
the visitors may be required to show cause for the delay.
6. Access List-record of pre-determined visitors
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. No packages shall be authorized to be brought inside the industrial installation,
offices and work area without Proper authority. This basic precept help reduce if
not Eliminate pilferage, industrial espionage or sabotage.
2. Outgoing packages carried by personnel should be closely inspected and those in
vehicles should also be checked as many pilfered items are hidden in the surface
of the vehicles leaving the compound.
3. Any personnel/visitor entering the installation with Package should deposit the
same to the security and in Return receives a numbered tag, which he/she will use
Claiming his/her package upon departing.
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. Privately owned vehicle of personnel/visitor should be registered and are subject to the
identification and admittance procedure.
2. Vehicles should be subjected for search at the entrance and exit of the installation.
3. All visitors with vehicle should provide the security as to the complete details of their
duration of stay, person to be visited, and other information.
4. All vehicles of visitors should be given a sign/sticker to be placed on the windshield.
5. Traffic warning signs should be installed in all entrances in order to guide the visitors
in their destination as well to provide them with the necessary safety precautions while
they are inside the installation.
6. Security personnel must constantly supervise parking areas and make frequent spots
searches of vehicles found there.
BUILDING ACCESS CONTROL
At any physical barrier, a security system must possess the Ability to distinguish among a. Complete Background Investigation Consist of the investigation of the background of
authorized persons, unauthorized Visitors, and other unauthorized persons. This is to a person, particularly all the circumstances of his personal life.
assist the Security personnel protects sensitive are and information within the installation.
b. Partial Background Investigation Consist of the investigation of the background of an
Appropriate warning signs should be posted at the building perimeter. Special restricted
individual but limited only to some of the circumstances of his personal life which are
entry facilities to public Access should be provided. This will be dependent on the degree
deemed pertinent to the investigation. Normally, the request for the investigation will
of security needed for the protection of property, activity and other processes within the
indicate the specific personal circumstances to be covered. This type of BI is also used
building. A clear-cut policy on the Access control should be disseminated to all personnel
to further develop questionable information contained in another investigation report.
of the Installation.
2. Factors considered in Background Investigation.
PERSONNEL SECURITY INVESTIGATION
a. Loyalty faithful allegiance to the country, Government and its duly constituted authority.
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. b. Integrity uprightness in character, soundness of moral principles, freedom from moral
delinquencies, ore more simply stated-honesty.
1. Types of Personnel Security Investigation (PSI)
c. Discretion the ability of tendency to act or decide with prudence; the habit of wise
a. National Agency Check (NAC).-This is an investigation of an individual made upon the
judgment or simply stated-good judgment
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 d. Moral distinctive identifying qualities which serve as an index to the essential or intrinsic
national agencies. The national agencies checked under this type of investigation are the nature of a person; his outward manifestation, personal traits or moral habits.
following:
e .Character- the sum of the traits that serves as an index of the essential intrinsic nature
of a person. It is the aggregate of distinctive mental and moral qualities that have been
impressed by nature, education and habit upon the individual.
1) National Intelligence Coordinating Agency (NICA)
f. Reputation opinion or estimation in which one is generally held. It is what one reported
2) National Bureau of Investigation (NBI)
to be, whereas character is what a person is.
3) ISAAFP or J2 Division, GHQ AFP
4) CIDG PNP Camp Crame., etc.
DOCUMENT AND INFORMATION SECURITY
b. 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 RATIONALE
normally check besides the past employment, schools and references are the following:
Document and information in whatever form plays a significant role in the daily operations
1) Place of the locality where the individual is a resident. and activities of an installation. Once the contents of a company's document and
information are divulged and reached the hands of an adversary, the business operational
2) Mayor, Police, Fiscal, Judge of the locality where the individual is a resident.
stability is at stake. It may cause huge losses on the Company's assets that could lead to
BACKGROUND INVESTIGATION its total closure. In this particular lesson, document and information security are discussed
in the light of security management for private industrial establishments. In this particular
This is more comprehensive investigation than the NAC and LAC. A thorough and
lesson, document and information Security are discussed in the light of security
complete investigation of all or some of the circumstances or aspects of a person’s life is
management for Private industrial establishments.
conducted.
BASIS OF DOCUMENT AND INFORMATION SECURITY
1. Types of BI – It may either be a complete (CB) or a Partial Background Investigation
(PBI). On the part of the government, “Security of documents and information is based
on the premise that the government has the right and duty to protect official paper from
Unwarranted and indiscriminate disclosure. On the other hand, private individuals and SECURITY CLEARANCE
private business establishments stand on the constitutional provisions on the "right of
Security Clearance is the certification by a responsible Authority that the person
privacy" where it is stated that "the right of a person to be free from unwarranted publicity,
described is cleared for access to Classified matter the appropriate level, or Security
or disclosure and the as the right to live without unwarranted interference by the public in
Clearance Refers to the administrative determination that an Individual is eligible for
matters with which the public is not necessarily Concerned.
access to classified matter. Need-to-know is the principle whereby access to classified
In addition, business enterprises have the right over their intellectual rights of their matter May only be only given to those persons to whom it is necessary for the fulfillment
company properties including operations and production operations. 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
1 Deter and impede potential spy or prevent espionage
limited strictly to Persons whose official duty requires knowledge or possession thereof.
2. Assist in security investigations by keeping accurate records of the moments of
CERTIFICATE OF DESTRUCTION
classified materials; and
This is the Certification by a witnessing officer that the classified Matters describe
3. Enforce the use of "Need to Know principle.
therein has been disposed of in his Presence in an approved destruction methods.
DOCUMENT SECURITY SYSTEMS
OTHER TERMINOLOGIES
This is the aspect of security which involves the application of security measures
The following are other Terminologies relative to document and information
for the proper protection and safeguarding of classified information. In Document and
Security:
Information Security, a matter includes everything, regardless of its physical character, or
in which Information is recorded or embodied. Documents, equipment, Projects, books, 1. Classified refers to assign information by one of the four classification categories.
reports, articles, notes, letters, drawings, Drawings, sketches, plans, photographs, 2. Compromise means loss of security, Which Results from an authorized persons
recordings, machinery, Models, apparatus, devices, and all other products or substances obtaining Knowledge of classified matter.
Fall within the general term “matter”. Information, which is transmitted orally, is considered 3. Compartmentation is the grant of access Classified matter only to properly
“matter” for purposes of Security. cleaved persons in the performance of their official duties.
4. Declassify is the removal of Classification from classified matter.
TYPES OF BUSINESS RECORDS
5. Reclassify /Re-grading is the act of changing the Assigned classification of
In some business establishments, documents and records are classified to determine the matter.
degree of security needed. The classifications are:
6. Upgrading is the act of assigning to a matter of higher classification to a classified
1. Class I (Vital Records) - These include records that are liable records of which
7. Dissemination Dissemination of classified matter shall be restricted to properly
reproduction does not have the same value as the original, records needed to recover
cleared persons whose official duties required knowledge or possession thereof.
cash to replace buildings, equipment, raw materials, finished products and records
Responsibility determination of "need-to-know" rests upon both each individual, who has
needed to avoid delay in restoration of production, sales and services.
possession, knowledge or command control of the information involve, and the recipient.
2. Class II (Useful Records) these include records which Loss might cause inconvenience
8. Purging is the process of destroying a document which is no longer significant in
but could be readily replace and which would not in the meantime present an
the organization.
insurmountable obstacle to the prompt restoration of the business.
3. Class III (Important Records) - These include records of the reproduction of which will
involve considerable expense and labor, or considerable delay. Operating and statistical
records belong to this class as well as those to maintain check on efficiencies, operating
costs, etc. Also included are contracts, customer's credit files, sales records, designs in
process development, records of experiments in progress, etc.
4. Class IV (Non-Essential Records)- These are the daily files, routine in nature so that
even if lost or destroyed, will not affect operation or administration.