Learning Material in Industrial Security Management

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.

Certificate 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.

What are 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

The original classification authority for assignment of TOP SECRET classification rests
exclusively with the head of the department. This power may however, be delegated to
authorized offices in instances when the necessity for such arises. Derivative classification
authority for TOP SECRET classification (authority for) may be granted those officers who are
required to give comments or responses to a communication that necessitates TOP-SECRETS
response.

Examples of Top Secret Documents

 Very important political documents regarding negotiation for major alliances.

 Major governmental projects such as proposal to adjust the nation’s economy.
 Military – Police defense class/plans
 Capabilities of major successes of Intel services.
 Compilations of data individually classified as secret or lower but which
collectively should be in a higher grade.
  Strategies plan documenting overall conduct of war.
 Intel documents revealing major Intel production effort permitting an evaluation
by recipients of the success and capabilities of Intel agencies.
 Major government project like drastic proposals.

What are 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.

A secret grading is justified if:

1. It materially influences a major aspect of military tactics;

2. It involves a novel principle applicable to existing important projects;
3. It is sufficiently revolutionary to result in a major advance in existing techniques or in
the performance of existing secret weapons;
4. It is liable to compromise some other projects so already graded.

Classification Authority – Same as TOP SECRET matter.

Examples of Secret Documents

 Those that jeopardize or endanger Intel relations of a nation.

 Those that compromise defense plans, scientific or technological development.
 Those that reveal important intelligence operations.
 War plans or complete plans for future war operations not included in top secret.
 Documents showing disposition of forces.
 New designs of aircraft projections, tanks, radar and other devices.
 Troop movement to operational areas.
 Hotel plans and estimates
 Order of battle info.

What are 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.

Confidential grading is justified if:

a. It is a more than a routine modification or logical improvement of existing materials
and is sufficiently advanced to result in substantial improvement in the performance
of existing CONFIDENTIAL weapons.
b. It is sufficiently important potentially to make it desirable to postpone knowledge of its
value reaching a foreign nation.
c. It is liable to compromise some other project already so graded.

Classification Authority – Any officer is authorized to assign confidential classification to any

matter in the performance of his duties.

Examples of Confidential Documents

 Plans of government projects such as roads, bridges, building, etc.

 Routine service reports like operations and exercise of foreign power.
 Routine intelligence reports.
 Certain Personnel records, Staff matters.

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:
a. Store all classified matter.
b. Maintain a registry of classified matter showing all classified matter received and to
whom transmitted.
c. Maintain current roster of persons authorized access to classified matter for each
classification in the office.
d. Insure physical security for classified matter.
e. Conduct an inventory of all TOP SECRET matter as specified in paragraph 7 (Memo
Cir Nr 78/196).
f. 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

Government personnel, when giving oral testimony before Congressional Committee

involving classified matter, shall advice the committee of the classification thereof. Government
personnel called upon to testify shall obtain necessary and prior instruction from his department
head concerning disclosure.

When Congressional members visit government offices, department heads are

authorized to release classified matter which is deemed and adequate response to an inquiry
provided that it is required in the performance of official functions.

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. Deter and impede potential spy

2. Assist in security investigations by keeping accurate records of the moments of
classified materials.
3. Enforce the use of “Need to Know” principle

Categories of Document for Security Purposes

1. Category A
a. Information which contains reportable time sensitive, order of battle and
significant information.
b. It should be given priority because it is critical information.
c. It must be forwarded without delay.
d. It is critical to friendly operations.
e. It requires immediate action.

2. Category B
a. Anything that contains communications, cryptographic documents, or systems
that should be classified as secret and requires special handling.
b. Higher authorities should declassify it.

3. Category C
a. Other information, which contains something that, could be an intelligence value.
b. Contains exploitable information regardless of its contents.
c. Unscreened materials/documents should be categorized as Category C.

4. Category D
a. No value, yet lower level will classify documents as category D.
b. No decision must be made at the lower echelon that document has no value. It is
the responsibility of the higher Headquarters.

Three (3) Security Concepts

1. Personnel are the weakest link in the security chain.

2. Training is important to make security personnel conscious and realize the value of
document.
3. Training is necessary for the practice of “Need to Know” principle.

Rules for Classification of Documents

1. Documents shall be classified according to their content.

2. The overall classification of a file or of a group of physically connected therein. Pages,
paragraphs, sections or components thereof may bear different classifications.
Documents separated from file or group shall be handled in accordance with their
individual classification.
3. Transmittal of documents or endorsements which do not contain classified information or
which contain information classified lower than that of the preceding element or
enclosure shall include a notation for automatic downgrading.
4. Correspondence, Indexes, receipts, reports of possession transfer or destruction,
catalogs, or accession list shall not be classify if any reference to classified matter does
not disclosed classified information.
5. Classified matter obtained from other department shall retain the same original
classification.
Protection of Sensitive Information

Proprietary information is information that in some special way relates to the status or
activities of the possessor and over which the possessor asserts ownership. In the business
community, proprietary information relates to the structure, products or business methods of the
organization. It is usually protected in some way against causal or general disclosure.

All proprietary information is confidential, but not all confidential information is

proprietary. For example, confidential personnel data in employee files is not considered as
proprietary although the company treats it as confidential.

Types of Proprietary Information

1. Trade Secrets- this consist of any formula, pattern, device or compilation of information
which is used in one’s business and which gives him an opportunity to gain an
advantage over competitors who do not know or us e it. It may be a formula for a
chemical compound a process of manufacturing, treating or preserving materials, a
pattern for machine or device, or a list of customers. It differs from other secret
information as to single or ephemeral events. A trade secret is a process or device for
continuous use in the protection of the business.

2. Patents- this is a grant made by the government to an inventor, conveying or securing to

him the exclusive right to make, use, or sell his invention for term of years.

Primary Distinctions Between Patents and Trade Secrets

1. Requirements for obtaining a patent are specific. To qualify for a patent the invention
must be more than novel and useful. It must represent a positive contribution beyond the
skill of the average person.
2. A much lower of novelty is required of a trade secret.
3. A trade secret remains secret as long as it continues to meet trade secret tests while the
exclusive right to patent protection expires after 17 years.

Proprietary Information Protection Program

Realizing that the most serious threat to trade secrets is the employee, a measure of
protection is often realized through the use of employee agreements which restrict the
employee’s ability to disclose information without specific authorization to the company. The
following countermeasures may be adopted:

1. Policy and procedure statements regarding All sensitive information.

2. Pre and post employment screening and review.
3. Non-disclosure agreements from employees, vendors, contractors and visitors.
4. Non-competitive agreements with selected employees.
5. Awareness programs
6. Physical security measures
7. Informed monitoring of routine activities.

COMMUNICATION SECURITY

Communication Security is the protection resulting from the application of various

measures which prevent or delay the enemy or unauthorized persons in gaining information
through our communications. It includes Transmission, Cryptographic and Physical security.

Rules- governing communications security do not in guarantee security, and they do not
attempt to meet every conceivable situation. Communication security rules are a means, not an
ends.

Department heads- are responsible for the maintenance of communication security and
for the promulgation of additional directives as may be necessary to insure proper
communication security control within their jurisdiction.

All communication personnel should have an appreciation of the basic principles of

communication security may result in compromise.
 Communication Security Officer - A properly trained and cleared Communication
Security Officer shall be appointed in every Department of the Government handling
cryptographic communication.

TRANSMISSION SECURITY:

Transmission Security is that component of communication security which results from

all measures designed to protect transmission from interception, traffic analysis and imitative
deception.

Communication personnel shall select the means most appropriate to accomplish the
delivery of message in accordance with the specified precedence and security requirements.

Radio Operators shall adhere to the use of correct procedures, circuit discipline and
authentication system as a security measures against traffic analysis, imitative deception and
radio direction finding.

CRYPTOGRAPHIC SECURITY

Cryptographic Security is that component of communication security which results

from the provisions of technically sound crypto-system and their proper use.

CODES AND CIPHERS

Code - a system which uses words as the smallest element like the one below.

Code word Plaintext

Angel we are ready
Fox send additional

Cipher - a system that manipulate one, two, or three characters at a time like:

Cipher Plaintext
B 1
C 2
J 3
D 4

Abbreviation

C: code or cipher
P: Plaintext
K: keyword/ key number

Note: Code and cipher may be used interchangeably to mean the same.

Categories of Cipher

Concealment – is the simplest, which means to hide/hidden. For instance:

I WILL DO IT. IF NOT TODAY, THEN TRUST ME. SIGNED SMITH.

message: ( copy out every third word )

Decipher: DO NOT TRUST SMITH

EFDH GORA NQBO PETE YTDS RTOU ZESV ITVE SOWM XNIM CTLK HJEA

Same: copy of the third letter

decipher: DO NOT TRUST SMITH

Example

ADDE DAQD NPCR OOLL TMAT RLOC RATS TKCL MNRA KETI SSTU ARTF
THEE OSET ULCO JEOU TAKE BLFZ IAHF SQUI TIFC ANLL TMZX AEXE
DLGY ZZTI FLOO VWKA TTIM IFTT HATH EEFC ANND FLHA
(Read this by copying out a progressive cipher. Progress 1, 2, 3….)

Decipher: DO NOT TRUST SMITH

Note: The plaintext are concealed by “nulls” - are meaningless symbol to fill in and separate
plaintext.

Transposition System – is another category of cipher. Below is an example.

C: NRUTE RAMOH ALKOL ECNAC

(Everything is written backward)

(Put into 5 letters)

Decipher: Return to base – this is the plaintext

P: CANCEL LOKLA HOMAR ETURN
P: CANCEL OKLAHOMA RETURN – which means
P: Return to base.

Example

RTRTBS
encipher by droppings every other letter
EUNOAE

C: RTRTBS EUNOAE

then put in four letter code group

C: RTRT BSEU NOAE

Decipher:

P: Return to base

Decipher:

P: Charlie will attack 2001

P: CHARLIE WILL ATTACK TWO ONE ZERO ONE
C: charliewillattacktwoonezero
C: char liew illa tack twoo nez roome

Substitution Method - original message elements, letters, numbers or other symbols are
replaced with alternate symbols.

Example 1 - symbols number of times

j 26
4 19
I 16
) 15
 * 13

Example 2 - c: x y z a b c d e
p: ABCD EFGH
p: stop icebox
c: VWRS LFHERA

Example 3 - Using a keyword/phrase

c: FOURSCOREANDSEVENYEARSAGO
p: abcde………………………xyz

RISK ANALYSIS AND SECURITY HAZARD

What is a Risk?
It is the potential damage or loss of an asset. The level of risk is a combination of two
factors: The value placed on that asset by its owner and the consequence, impact adverse
effect of the loss or damage to that asset and; the likelihood that a specific vulnerability will be
exploited by a particular threat.

What is Risk Management?

It is a process of selecting and implementing security countermeasures to achieve an
acceptable level of risk at an acceptable cost.

What is Risk Analysis?

It is the analysis of risk include examinations of the vulnerability, probability and criticality
of potential threats and include natural and man made risk

What is an Adversary?
An individual, group, organization, or government that conducts activities or has the
intention and capability to conduct activities detrimental to the individual, private or government
entity.

What is Asset?
Any information, facility, material, information, or activity which has a positive value to its
owner whether it is an individual, private or government entity.

What are Countermeasures?

An action taken or a physical entity used to reduce or eliminate one or more
vulnerabilities. The cost of possible countermeasures may be monetary, but may also include
non-monetary cost such as reduced operational efficiency, adverse publicity unfavorable
working conditions, and political consequences.

What is Probability?
It is the chance or likelihood that a loss will take place. Indicated by a mathematical
statement concerning the possibility of an event occurring

What is Criticality?
It is the impact of a loss as measured in financial terms. How important it is in terms of
the survival or existence of the organization.

Risk Management Alternatives and Strategies

1. Risk Avoidance- eliminating or removing the risk totally from the business, government,
or industrial environment for which the risk manager has responsibility
2. Risk Reduction- decreasing the risk by minimizing the probability of the potential loss.
The reduction of criminal opportunity is often accomplished by situational crime
[prevention strategies to discourage, deter, or deny criminal incidents.
3. Risk Spreading- spreading the risk through compartmentation or decentralization to
limit the impact (criticality) of the potential loss
4. Risk Transfer- moving the financial impact of the potential loss-over to an insurance
company.
5. Risk Self-assumption- planned assumption and acceptance of the potential risk by
making a deliberate managerial decision of doing nothing about the threat, or setting
aside resources for use in case of a specific loss incident.
SECURITY HAZARDS

Any act or condition which may result in the compromise of information, loss of life, loss
or destruction of property or disruption of the objective of the installation.

Types of Hazards

1. Natural Hazard- these are hazards which arise from natural phenomena. The following
are types of natural hazards or disasters:
a. Floods caused by typhoons
b. Earthquakes
c. Fire (not caused by human action)
d. Storms (typhoons, cyclones, tornado and hurricane)
e. Lighting storms
f. Extreme temperature and humidity

2. Human-Man made Hazards- These are hazards which are the result of a state of mind,
attitude, weaknesses or character traits of one or more persons. They can be acts of
commission or omission, both overt and covert, which can disrupt operation of a plant or
installation. The following are types of human or man made hazards:
a. Carelessness- accidents and dissatisfaction
b. Disloyalty-subversion and sabotage
c. Espionage, pilferage and theft
d. Vandalism, etc

Sabotage as a Security Hazard

Description of a Saboteur
1. He is the most dangerous foe whom security will have to deal with while planning and
implementing security measures and techniques.
2. He is an ordinary looking as the next guy but in his mind, he has the training in
deception, knowledgeable in incendiaries, explosives, chemistry, bacteriology,
mechanics and psychology.
3. He can work alone, in-groups, or simultaneously in several places.

Possible Targets of Saboteur

1. Armed Forces Installation
2. Natural resources- mines, forests, farms and farm products
3. Industries- buildings, power sources, machinery, fuel, etc.
4. Warehouses depots, communications, public utilities, etc.

Countermeasures Against Sabotage

1. Use of an efficient, alert and trained guard force.
2. Use of Physical security aids like barriers, personnel and vehicular control, intrusion
devices, communication systems, and electric aids.
3. Proper screening of personnel.
4. Identification and movement control system.
5. Searches on incoming vehicles.
6. Safeguarding of classified information.
7. Designation of restricted areas.
8. Investigation of breaches of security.
9. Security education and indoctrination.
10. Good housekeeping methods.
11. Effective and compatible emergency planning.
12. Regular audit.
13. Continuing background checks.

Espionage as a Security Hazard

Description of an Espionage Agent

1. He is very dangerous adversary and his skills in deception and his cunning should never
be under estimated.
2. He is usually a person of extensive training and will be highly effective in gaining the
confidence of people and of extracting information of value to be relayed to his employer
or handler.
3. Even how well-trained an espionage agent he might be, he is human like the saboteur
and he can be defeated in his own game if proper methods and techniques are
undertaken.
Countermeasures against Industrial Espionage
1. Careful and complete pre-employment measures designed to control threats of industrial
espionage.
2. Continuing personnel check on employees and particularly personnel on sensitive
positions even already employed.
3. Prevention of unauthorized entry to the plant or industrial installation.
4. Restricting of movement of personnel in the premises of the plant.
5. Controlled disposal of waste papers including carbons in classified work.
6. Only properly cleared personnel should handle classified document.

Subversive Activity as a Security Hazard

Threats of Subversive Activity

1. It can be local or national in nature and their mission is to undermine the authority
weaken the organization, and eventually take over. This can be in business or any
activity.
2. This can be in the form of rumor mongering, propaganda, undermining morale, and
injecting defeatist attitudes, and other emotional approaches.
3. It is an activity not easy to detect.

Countermeasures to Subversive Activity

1. The spreading of rumors, written materials, slogans or any other devices to confuse the
work population and discredit the government should be immediately reported.
2. Labor and other company unions can be infiltrated so that strikes and “slow downs” can
be called to disrupt the normal operation of a plant or installation.
3. Security force should be alerted for person trying to recruit others in organizing
movements for peace, anti-colonials, anti-trade and anti-imperialism.
4. Employees or outside personnel seeking memberships in “paper organizations” should
report this activity to security.
5. Other methods of subversion like united fronts, mob action, terrorism and sabotage will
be done to gain the subversive ends.

Pilferage as a Business Hazard

1. Pilferage is one of the most annoying and common human hazards which security has to
deal with. This activity if uncontrolled can become financial drain if not a menace to
smooth and orderly operation.
2. Failure to detect shortage and inaccurate inventories will cause inventory losses, which
may be labeled as pilferage.

Types of Pilferers

1. Casual Pilferer- one who steals due to his inability to resist the unexpected opportunity
and has little fear of detection is no plan or premeditation and he is usually a “loner” on
the job. The temptation to pick up the article is basically due to poor security measure.
The implication of causal pilfering is the big cumulative cost if it remains unchecked.

2. Systematic Pilferer- one who steals with preconceived plans and takes away any or all
types of items or supplies for economic gain. Pilferers of this kind can be employees or
outsiders of the establishment.

Factors considered in Pilferage

1. Location of items to be pilfered- the systematic pilferer surveys shopping and store
areas, or through contacts from the firms.
2. Access to the items- techniques can be from fake documents, bribing of guards,
outsmarting security, creating disturbance and other methods to divert attention while
pilferage goes on.
3. Removal of item- this can be done as wearing the stolen shoes or shorts, concealment
in body or vehicles, use of false documents, etc. Driver may conceal pilfered items in his
vehicle.
4. Disposal of items- there is a need for “fences” brokers” or “clearing houses” for these
“hot” items.

Countermeasures for Casual Pilferage

1. “Spot”: check on outgoing vehicles and persons.
2. An aggressive security education and indoctrination program with emphasis that “crime
does not pay”.
 3. Superiors should set example of integrity and desirable moral climate for employees in
the establishment.
4. All employees must be enjoined to report or any loss to security.
5. Inventory and control methods should be done especially to pilferable items.
6. Control of tools equipment and sets.

Countermeasures for Systematic Pilferage

1. Guards and electronic surveillance on all exits.
2. Package and material control system.
3. Parking area outside perimeter fence of establishment.
4. Careful screening and background checks on applicants to weed out potential thieves.
5. Investigation of all losses quickly and efficiently to determine “modus operandi” or obtain
clues.
6. Alert all patrols to check areas and buildings for possible concealment of stolen
properties.
7. Install mechanical, electrical, electronic detection and alarm devices where needed and
applicable.
8. Establish an effective lock and key control system.
9. Use of appropriate perimeter fencing and lighting for parking facilities and areas for
vehicles and persons.
10. Store bulk quantities of pilferable items in enclosed security areas and distribute them to
using section in limited quantities.
11. Establish accurate inventory and accounting methods for procurement, use and
disposal.
12. Establish close liaison with governmental law enforcement and intelligence agencies.

SECURITY SURVEY AND INSPECTION

What is Security System?

The information pertaining to one of the most important security services offered to a
head of office is the conduct of security surveys and security inspections. Every unit chief
desires a security system that will reduce to an absolute minimum the possibility of espionage,
sabotage and compromise of classified information on his office or unit. Since there are many
security countermeasures to be considered, heads of offices should utilized specially trained
personnel, if the efforts of espionage and sabotage agents and other criminal elements are to
be negated. Security is an extremely complex program an objective analysis of an office head’s
security program by security survey and inspection personnel can be of great assistance in
determining the efficiency of any established security program.

What is a Security Survey?

It is an estimate of the security standards of a unit, and is conducted to enable the

responsible officer to recognize and evaluate security hazards and determine protective
measures necessary to the prevention of sabotage, espionage, subversive activities and other
criminal acts inimical towards the interest and/or mission of the unit and/or command.

What is Security Inspection?

It is a check of how well existing security measures and regulations are being carried out
within a command. A security inspection may also include an investigation of alleged or
suspected security violations. Physical security is concerned with forces, entrances and exists,
guards, traffic control, lighting, fire control, and with such other physical measures, which, if
properly established and maintained, will deny access to, unauthorized persons.

Security Survey Distinguish with Security Inspection

The terms “Security Survey” and “Security Inspection” to accentuate the particular
differences between the two types of services, are defined as fallows:
 Security Survey is defined as a counterintelligence service to assist heads of office in
determining the security measures required to protect key installations from possible sabotage,
espionage, subversion, and unauthorized disclosures of, or access to, classified information or
material contained therein.

Role of Security Officer in Offices

With the exception of the office head, the security officer is more interested in the survey
that any other individual of the office. It is the security officer who is directly responsible to the
head of office for proper maintenance of security of the security program of the office.

A survey Specialist must be cognizant of established security procedures relative of the

office since much of the survey including the resulting recommendations will be affected by
these measures.

Authority in Conducting Security Survey

The Unit head may request a survey of his entire office or of specific function of a unit
within the office. When higher authorities directs a security survey to be conducted for one of its
subordinate office, an information copy of the correspondence may also be forwarded to the unit
to be surveyed. It must be remembered that a security survey is not conducted solely for the
purpose of establishing a security program of an office. The head of office is directly responsible
for establishing a security system for his office after which a survey may be conducted to
determine if the program is adequate in comparison with the importance of the office to the
overall national objective.

EXECUTIVE/VIP PROTECTION

Executive/VIP Security

Are those measures taken by Agents, Security Officers, Law Enforcement officers or an
Agency /officers to protect heads of state, foreign, national or local dignitaries, civilian or military
against any personal injury, assassination, sabotage, and espionage. These may include the
protection of any government or civilian officials and individual utilized as government
witnesses.

Basic Security Principles in VIP Security

Every phase of security must be carefully in advance, to include the importance of the
individual to be protected, political attitude of the population, obstacles involved, means of
transportation, and duration of the security mission.

Physical protection should consist of a series of protection cordons. These protective cordons
may be composed of a combination of personnel or physical security barriers.

Central direction and unity of effort

The officer in charge should be given full responsibility for all phases of the security
mission.

Close coordination must be established with all local military and civilian authorities.
Civilian authorities will include police and other interested city, municipal or other local officials.

The agencies responsible for each of the security plan must be clearly defined.
Arrangements should be made for local police to control local inhabitants. All available
intelligence channels should be used to obtain information of potential danger areas, persons,
or groups.
 Coordination must be accomplished by an advance party after the official itinerary is
received.

Protective measures must be through but inconspicuous and afford security without
impending the protectee/VIP’s performance of his functions.
The degree of protection is dependent upon the degree of contact with the general public
desired by the protectee.

A basic element of VIP/Executive protection is the identification and the elimination of

possible sources of danger against a VIP/Executive before the danger becomes real.

Plans for a perimeter of protection must be surprise proof and flexible enough to allow a
quick response to any emergency.

Defense-in-Depth Theory

There is no impenetrable barrier. If an unfriendly individual, organization or government

can devote time, money, personnel, material or imagination to passing a barrier, he can
succeed.

To achieve the ultimate results from a physical security system, it is necessary to add
barrier to barrier, delay time, until sufficient delay time has been accumulated to allow control of
any foreseeable penetration.

Therefore, rather than attempting to achieve exclusion through the use of a single
barrier, security must be built upon accumulated time or a system of “Defense-in-Depth.

Contingency Planning

Security planning should be flexible. Weather conditions, mechanical failures and failure
of lighting systems are three-ever-present potential hazards. The unexpected arrival of large
numbers visitors, audience is another situation frequently encountered. Last-minute changes in
the security plan or schedule of events occur routinely. The security plan therefore must be
sufficiently fluid to cover these and other eventualities, all of which present hazards.

Mission Orientation

An orientation/briefing must be conducted by the officer in charge or the protection plan,

during which he explains fully the contents of the plan. Some topics to be emphasized are:

Conduct of Security Personnel

Police/Security personnel assigned to these duties are selected to the basis of the
appearance, alertness, and intelligence, as well as their ability to act quickly and correctly in
unforeseen circumstances.
Restriction on the circulation of the individuals should be strictly enforced. Before any person
maybe allowed to get near the protectee or his effects, the person is checked carefully for
identification and the authority for his presence is established.

Use of weapons

There is always the danger of accidental discharge and injury of innocent persons when
weapons are carried. All protective personnel must be qualified to fire the weapons with which
they are armed.
Crowd Control

Protective personnel should understand the principles of crowd control. They should not
show not show prejudice or sympathy, or become involved in any grievances expressed by the
crowd.

Security Preparation in Local/Foreign Travel

Advance Preparations

Advance preparation refers to the activities of arranging timetable/ itinerary and

coordinating with those concerned with visit local or foreign law enforcement security men.
Conduct security survey and inspection of routes, quarters, conference, luncheon and or
inaugural site. Arrange for security measures for motorcade routes, quarters, conference site,
etc. Confer with local or foreign security men about potential danger to the Executive, such as
persons, organizations or obtain copies of photographs and place these persons under
surveillance.

Motorcades

Select and consider the best motorcade route, preferably the most direct route to
destination. Select a route which affords a chance to have alternate routes if something
happened on the motorcade route.

Review or dry run the route and take notes on the requirements for controlling the crowd
and traffic and deployment of foot patrolmen and motorcycle police at various positions along
the route. Arrange for police or buildings custodian to inspect buildings along the motorcade
routes.

Security in Inaugural/Conference/Luncheon sites

1. Control access to the building/sites

2. Closing off and policing areas around it,
3. Securing rooftops and adjoining buildings.
4. Ensure the presence of numerous police officers inside and around the building/site.

Security in VIP Office/Quarters/Residence.

1. “Defense-in-Depths” Barriers – Concentric Patterns (any attack will have to penetrate

layer after layer of defenders, the heaviest layer of defense, being closest, being closest
to the Executive/VIP.)
2. Outer ring- sidewalks, stationed in front of quarters/residence/office, covering all
entrances, front, center, side and rear
3. Middle ring- inside quarters, office/residence, covering all stairways and elevators.
4. Inner ring- immediately outside executive/VIP’S door, or close to Executive/VIP if outside

VIP Security Measures in all Areas

1. Establish screening points to allow only authorized persons access to the protected
area/person and to keep out those who have no valid reasons to enter same.
2. Duty stations or posts should be marked on a floor/ground plan or sketch/map.
3. If an unusually large crowd are expected along a parade route security men may call on
the armed forces to station troops along the line of march.
4. If the VIP travels by train, a pilot engine must run the trucks IN advance of the VIP train.
5. Every manhole and sewer along the route should be sealed.
6. Every single building and all its occupants along the route should be checked.
7. Bellboys, waiters, cooks should be cleared.
8. Food to be cooked must be examined and samples be sent to laboratory for analysis.
9. Inspect for time bombs, radio - active materials and fire hazards.
10. Inspect closets and under the tables.
11. Never allow the VIP to stop his car in a crowd if it can be avoided.
 12. Drivers for the VIP can be competent, reliable, well trained in protective driving and must
be alert for dangers and to take instant action.
13. While walking, it is necessary to increase the number of guards because the VIP
becomes an easy target.
14. In case the VIP is going to speak at hasty made stage, its strength and capacity should
be inspected to limit the persons going up to stage.
15. During afternoon sessions, lightning facilities must be checked or installed. It is
estimated that the program may reach up to nighttime.
16. An alternate generator fore emergency use is made available if source of electric power
is from a central source. Designate qualified electrician to watch main source or switch.
17. If traveling by air, close the door of VIP plane when parked and place constant guards
every time.
18. If traveling by watercraft, select boats of type and size capable of facing danger at the
ocean. Thorough inspection should be made on the ship and check the adequacy of
lifesavers and emergency facilities.
19. All non- uniformed men must wear signs or countersigns for identification.
20. Checklist of all security hazards noted in the course of security survey or inspection
should be given to the OIC for reference/planning.
21. Security plans and specific duties of men assigned or details must be stated.
22. All written instructions must be classified SECRET.

Other Guidelines for VIP Security

Security Formations assist in allowing the VIP to have the best possible protection and
defensible position even for the limited amount of manpower while protectee is mobile/in transit,
or static.

Threat evaluation is to ascertain at varying times and function which will give the best
formation sequence or set. Other considerations are threat levels and type and advance
planning for staff levels.

The Need for Close - in /Escort security officers, such as first aid requirements
(which differs from location to location) and special weapons (a real headache-the less you
need to rely on them, the better), and other logistical needs must be considered. One must have
the ability to use a lot of common sense and attention to detail, to give the possible protection,
without overbearing or on top of the protectee/principal. Fully aware with this information, the
Close-in/Security Escort team will be well equipped, with an understanding of their respective
position, alternatives and functions.

These could be varied hourly, in response to current threat level, and areas of coverage
or occasion in any of the following:

 Crowds, restaurants, home, office

 Public transport, bus, taxi
 Friends of protectee/principal, business
 Movie theatre
 Functions: private, public, business
 Huge crowds: a tight-packed area of swirling bodies
 Elevators: opening a door to the unknown, stopping at unknown floors.
 Escalators: progressing into the unknown, Turn side on, so that you can see the front
at one side and the area behind you. As you rise with the escalator, you will become
level with the floor behind before you, giving you something to watch.
 Stairs: give way, standing, doors on way
 Doors: can’t see through them, an unknown reality.
 Street lights: workmen, doorways, shops you are walking past, hotels or clubs and
doorways should always be covered the protectee/Principal walks past

Threat Analysis and Reaction

1. Concentrate - concentration do not get loss or be left behind, it takes only a second or
two {to get killed}
2. Anticipation - anticipate your fellow officer/Escort’s moves, you can keep the protective
formation together nice and well coordinated. Because of obstacles, obstructions, and
 areas of threats, the movement of Close-in security/Escorts will be spasmodic and
spontaneous.
3. Relaxation/Observation- observation should be done in a relaxed manner. Be very
attentive but looking relaxed.
4. Common sense- common sense comes from using your brain, foresight, experience,
and good training.
Participation within the Team- the team must train together and understand completely what
their job is and their responsibilities. There will be big gaps in the defenses if we do not have
participation within the team.