THE

PROFESSIONAL
PROTECTION
OFFICER
PRACTICAL SECURITY
STRATEGIES AND EMERGING
TRENDS

INTERNATIONAL FOUNDATION FOR

PROTECTION OFFICERS

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10 11 12 13 14 10 9 8 7 6 5 4 3 2 1
 Contents

Foreword xiii Fire Protection 20

Contributors List xv Commerce 21
Economic and Marketing Trends and
Introduction xix Asset Protection 22
Code of Ethics xxv Demographics 23
Class Struggles and Terrorism 24
Labor Relations 27
Law 29
I History of Security Services 31
FOUNDATIONS The Path to Professionalism 33
Contemporary Careers in Asset Protection 34
References 38
1. Concepts and Theories of Resources 38
Asset Protection
JIM ELLIS AND CHRISTOPHER A. HERTIG
3. Role of the Professional
Protection Officer
Introduction 3 M.A. KEVIN PALACIOS AND
Asset Definition 3 CHRISTOPHER A. HERTIG
Asset Valuation 4
Risks 4 Introduction 41
Mitigation 4 Definition of a Protection Officer 41
Asset Protection 5 Levels of Protection Staff 42
Physical Security 6 Major Roles of Protection Officers 43
Crime Prevention Through Environmental Design 6 What It Means to be a Professional 45
Safety 7 Preventative Functions 48
Risk Management and Insurance 7 Mitigation Functions 48
Summary 10 Response Functions 48
References 10 Basic Protection Officer 48
Intermediate Protection Officer 48
Advanced Protection Officer 49
2. The Evolution of Asset Protection Summary 49
and Security References 51
CHRISTOPHER A. HERTIG AND Resources 51
JOHN CHRISTMAN
4. The Protection Officer
Introduction 13 as a Leader
The Cycle of History 14 FRANKLIN R. TIMMONS AND
Key Terms 15 SCOTT A. WATSON
The Wartime Growth of Security 16
History of Policing 17 Introduction 55
“Private Security” or “Public Police?” 18 Do You Really Want to be a Leader? 56

iii
iv CONTENTS

Team Member Skills: The Foundation of Leadership 57 7. Security Awareness

Expectations of Leaders 57 JAMES E. SELLERS
Three Critical Leadership Skills 57
Ten Steps to Becoming an Effective Leader 60 Introduction 83
The Leader as an Agent of Change 61 What is Security Awareness? 83
Pitfalls of Leadership 61 Expanding the Team Through Partnerships 84
Conclusion 62 Techniques for Reinforcing Policy and
References 62 Procedures to Increase Security
Resources 62 Awareness 84
Double Loop Learning 85
Tools 86
5. Career Planning for Protection Lessons Learned 87
Professionals Resources 87
CHRISTOPHER A. HERTIG AND References 88
CHRIS RICHARDSON

Importance of Career Planning 65 8. Central Alarm Stations and

Education 66 Dispatch Operations
Training 66
SEAN SMITH, JIM ELLIS, AND
Experience 67 RICH ABRAMS
Licensing/Certification 68
Networking 68 Introduction 89
Job Search 69 History of Central Alarm and Dispatch
Career Advancement 69 Centers 90
References 71 Types of Monitoring Systems 91
Resources 71 Types of Sensors 95
Transmission Media 98
Visitor Management Systems 99
Communications 100
II Conclusion 101
References 102
COMMUNICATIONS

6. Effective Communications
CHARLES T. THIBODEAU III
Effective Communications Defined 75 PROTECTION OFFICER
Due Diligence Based on Effective FUNCTIONS
Communications 75
Channels of Communications 76
The Six Essentials of Effective 9. Automation in Protection Operations
Communications 76 KEVIN E. PETERSON
Consider the Audience 76
Verifying Communications with Feedback 77 Historical Perspective 107
Myths and Misconceptions in Contemporary Security Environment 108
Communications 77 The Role of the Professional Protection Officer 112
Proper Use of Communications Devices 77 Summary 113
Summary 80 References 114
 CONTENTS v

10. Patrol Principles Alcohol Serving Considerations 146

CHRISTOPHER A. VAIL
Reference 147
Resources 147
History of Patrol 117
Purpose of Patrol 119
Types of Patrol 121
Preparation for Patrol 122 IV
Techniques of Patrol 124
Factors that Influence Patrol Effectiveness 126
CRIME PREVENTION AND
Unethical/Unprofessional Practices 127 PHYSICAL SECURITY
Fixed Posts 127
Conclusion 128
References 129
13. Environmental Crime Control
GLEN KITTERINGHAM

11. Traffic Control Introduction 151

ARTHUR A. HOLM Environmental Crime Prevention Versus Social
Crime Prevention 152
Signs and Automatic Signals 131 Theories 152
Roadway Positions 132 Routine Activity Theory 156
Hand Signals 132 Crime Pattern Theory 156
The Whistle 133 Crime Prevention Through Environmental
Traffic Control 133 Design (CPTED) 156
Gate Duty 135 Second-Generation CPTED 157
Equipment 135 Defensible Space: Crime Prevention Through
General Rules for Traffic Direction 135 Urban Design 158
Practical Applications 158
Summary 158
12. Crowd Management and References 159
Special Event Planning Resources 159
PATRICK C. BISHOP,
TERENCE M. GIBBS, AND
JENNIFER LANTZ 14. Physical Security Concepts
and Applications
Introduction 137 KEVIN T. DOSS AND
Definitions 138 DENIS A. O’SULLIVAN
Formation of Crowds 138
Causes of Crowd Formations 138 Physical Security Planning 161
Psychological Factors 139 Security Lighting 166
Types of Crowds 140 Application Considerations 167
Crowd Actions and Suggested Countermeasures 140 Glazing 167
When Verbalization Doesn’t Work 142 Intrusion Detection 168
Security and Demonstrations 142 System Monitoring 170
Formation of a Mob 143 Card Access 170
Responsibility and Behavior of Protective Groups 143 Locking Hardware 171
Planning Considerations 143 Closed Circuit Television 173
Personal Behavior 144 Safes and Vaults 175
Riot Control Force Deployment Procedures 144 Underwriters Laboratories 177
Crowd Management Assessment 145 Fencing 177
vi CONTENTS

Convergence 179
Continuing Education 180
V
Physical Security Certification 180 SAFETY AND FIRE
References 181
Resources 181
PROTECTION

18. Fire Prevention, Detection,

15. Alarm System Fundamentals and Response
DOUG DURANT AND KEVIN POUND MICHAEL STROBERGER

Alarm Monitoring 184 Fire Basics 209

Operator Interface 185 Detection Methods 211
Alarm Sensors 186 Fire Types 211
Duress Alarms 187 Extinguishers 212
Nuisance Alarms 187 Permanent Extinguishing Hardware 213
Alarm Response 188 Containment 213
Fire Plans 214
Arson 214
16. Access Control Conclusion 215
COLIN BEST

Introduction 191 19. Occupational Safety and Health

Emergency Access Control 192 and the Protection
Examples of Access Control 192
Audit and Record Keeping 193
Officer
Access Authorization 193 KEVIN PALACIOS
Applying Physical Security in Access Control 194
Locks and Key Control 194 Introduction 217
Electronic Access Control Systems 195 Work and Health 218
Access System Database Management 196 Basic Elements of an Occupational Safety and
Biometric Technologies 196 Health (OSH) Program 218
Access Control in the Information Age 197 Occupational Risks 221
The role of the Protection Officer in
OSH Programs 222
17. Detection Technology Key Facts in Accidents 223
KEVIN T. DOSS‚
CHRISTOPHER A. HERTIG, AND
BETHANY J. REDMOND
20. An All Hazards Approach
Which Detection Equipment is the Best? 199 to Hazardous Materials
Metal Detection 200 ROBERT D. JAFFIN
X-Ray 200
Explosive Detection 201 Role of the Protection Officer 230
Canine Detection 202 Hazardous Material Incidents 231
Electronic Article Surveillance 202 Tools and Resources 232
Responding to Alarms 203 Response Models and Templates 233
Summary 204 The Initial Response 234
References 204 Resources 237
 CONTENTS vii

VI Drugs of Abuse, Paraphernalia, and Definitions 277

Indicators and Common Signs of Abuse 278
INFORMATION PROTECTION Signs and Symptoms: Controlled Substances 278
Inhalants: Glue, Gasoline, Erasing Fluid 282
Protecting People and Assets 282
21. Information Security and References 285
Counterintelligence
KEVIN E. PETERSON 24. Workplace Violence
TIMOTHY A. PRITCHARD AND
Key Terminology 241 ROGER MASLEN
Threats to Information and Intangible Assets 243
How Technology is Changing the Threat 245 References 292
A Suite of Protective Measures 246
The Role of the Professional Protection Officer 249
Summary 250
25. Crisis Intervention
References 251 MICHAEL A. HANNIGAN AND
CHRISTOPHER A. HERTIG

Introduction 295
VII Causes of Disruptive Behavior 296
Stages of Management of Disruptive
DEVIANCE CRIME AND Behavior 296
VIOLENCE Crisis Development Behavior Modules 297
Protection Officer Guidelines 298
Verbal and Physical Disruptive Behavior 298
22. Workplace Crime and Deviance Empathic Listening 299
NORMAN R. BOTTOM AND Nonverbal Communications 299
WHITNEY D. GUNTER Controlling Disruptive or Violent Behavior 299
Team Intervention 300
Theories of Workplace Crime 255 Positive Factors Resulting from Team
Theft Prevention 258 Approach 300
Response to Theft 262 Leadership in the Team Approach 301
Summary 264 Safety Considerations in Crisis
References 266 Intervention 301
Resources 266 Conclusion 301
Resources 302
23. Substance Abuse
FRANCIS J. ELLIOTT, 26. Strikes, Lockouts, and
GLEN KITTERINGHAM, AND
TERENCE M. GIBBS Labor Relations
DAVID J. DELONG
Impact on Business and Industry 270
Substance Abuse: What is the Motivation? 271 Strikes 305
How Problematic Behavior and Dependence Searches 308
Develop? 272 Employee Misconduct and Dishonesty 309
How is Substance Abuse Perpetuated? 273 Employee Discipline 309
Conditions Adversely Affecting the Types of Discipline 309
Workplace 274 Arbitration 310
How Must Industry Respond? 274 Summary 310
viii CONTENTS

VIII What They Look Like: From Individuals to

Organizations 354
RISK AND THREAT Target Selection and Attacks 356
Security Preparations and Defensive Measures 357
MANAGEMENT References 359

27. Security Risk Management 30. Antiterrorism and VIP Protection

KEVIN E. PETERSON
CHRISTOPHER A. HERTIG AND
TED WADE
The Historical Basis for Risk Management 315
What is Security Risk Management? 316 Terrorist Actions and Activities 363
Two Key Elements: Assessment and Mitigation 316 Antiterrorist Strategy 365
Taking a Strategic Risk Management Approach 317 Terrorism Defensive Strategies 366
The Risk Management Process 317 Antiterrorist Techniques by Organizations/
Likelihood Versus Consequence Scatter Charting 321 Facilities 366
The Foundation of a Mitigation Strategy 322 Specific Techniques for Antiterrorist Security 367
The Five Avenues to Address Risk 323 Professional Development for Personal Protection
“The Four D’s” 325 Specialists 370
Layered Security (Defense in Depth) 325 Personal Protection Specialists (PPS) 371
Mitigation Measures 326 Protecting the Principal 372
Tailoring the Program to the Setting and Hostage Situations 373
Environment 326 Hostage Threat Receipt 373
The Role of the Professional Protection Officer 326 If Taken Hostage 374
Summary 328 Managing the Hostage Incident 374
References 329 Negotiation 375
The Stockholm Syndrome 375
Suicide Attacks 375
28. Emergency Planning
References 377
ERNEST G. VENDRELL AND SCOTT A. WATSON
Resources 377

Introduction 331
Types of Potential Emergencies 332
Scope of the Problem 335 IX
Emergency Planning Considerations 336
Vulnerability Analysis 338 INVESTIGATIONS
Developing the Emergency Response Plan 342
Reviewing and Integrating The Emergency
31. Investigation: Concepts and Practices
Response Plan 343
Conclusion 346 for Security Professionals
References 346 CHRISTOPHER A. HERTIG
Resource 347
Investigative Logic 383
History of Investigation 384
29. Terrorism Preliminary Investigation 385
ROBERT METSCHER Follow-up Investigation 385
Intelligence 386
What is Terrorism: A Definition Dilemma 349 Liaison 387
Why Violence? Why They Do What They Do 352 Notes and Reports 388
The Reason for the Action 353 Auditing 389
 CONTENTS ix
Interviews 390 Overt Personal Surveillance 422
Investigative or Focused Interviews 391 Covert Electronic Surveillance 422
Informants 393 Overt Electronic Surveillance 423
Undercover Investigations 394 Equipment Requirements 423
Shopping Services 395 Privacy Issues 423
Surveillance 395 Recording and Retention 424
Behavior/Condition Analysis 396
Testifying in Legal and Quasi-Legal Proceedings 397
Managing Investigations 398
35. Report Writing and Field Notes
Conclusion 399 RAV-ZURIDAN YISRAEL
References 401
Resources 401 Introduction 427
Importance of Report Writing 427
Field Notes 428
32. Crime and Incident Scene Reports Should be Written 428
Procedures What Should be Reported 429
DENNIS SHEPP Qualities of Good Reports 429
References 431
What is an Incident? 403
The Scene 404
Hazards to an Incident Scene 404
Determining Boundaries 405 X
Protect and Preserve the Scene 405
Evidence 406
LEGAL ASPECTS OF
Making Detailed and Accurate Notes 408 SECURITY
Working with Law Enforcement and
Investigators 409
Conclusion 410
36. Legal Aspects of Security
References 410 DAVID L. RAY

Introduction 435
33. Interviewing and Statements The Development of Our Laws 436
DENNIS SHEPP Types of Laws—Criminal and Civil 437
Conclusion 446
Introduction 413
What is Interviewing? 413
The Power of Communication 414
The Interview Process 416 XI
Deception 417
Concluding the Interview 418 OFFICER SAFETY AND
Conclusion 418 USE OF FORCE
References 419
Resources 419
37. Use of Force
CHARLES T. THIBODEAU AND
34. Foundations for Surveillance CHRISTOPHER A. HERTIG
MICHAEL STROBERGER
Use of Force 449
General Types 421 Use of Force in General 450
Covert Personal Surveillance 422 Justifying the Use of Force 451
x CONTENTS

Retreat 452 Self-Protection 491

Force Alternatives Defined 452 References 494
Excessive Force Liability 453
Injuries to Officers are Avoidable 453 40. Apprehension and Detention
Arrest and Detention Search and Seizure 453
Procedures
A Formula for Self-Control 454
RICHARD P. FIEMS
Conflict Resolution Formats 455
Response to Aggressive Behavior 455
Officer Safety Issues 460 Developing a Working Model 498
Optimal Distance 460 What Constitutes an Arrest? 499
Defanging the Snake 461 The Importance of Reasonableness 499
Elements of Aggression 462 What Gets Security Officers in
Dealing with Aggression 462 Trouble? 500
Verbal Deescalation 463 Detention and Apprehension Methodology 501
Applying Verbal De-escalation to Aggressive The Use of Force 503
Situations 463 Dealing with the Aftermath 503
Lethal and Less-than-Lethal Weapons Conclusion 504
Management 464
Report Writing in Use-of-Force Cases 466
References 468 XII
Resources 468
RELATIONS WITH OTHERS
38. Defensive Tactics and Officer Safety
INGE SEBYAN BLACK
41. Human Relations in a Global
The Professional Security Officer’s Role 471 Environment
Avoiding Potential Situations 472 CHRISTOPHER A. HERTIG AND
Know Your Limitations 472 DARRIEN DAVENPORT
Focus on Prevention 473
Threat Assessments 473 Human Relations 509
Defensive Tactics and Weapons 474 Advice from the Master 510
Post Orders 475 Diversity 510
Special Circumstances 475 Globalization 513
Use of Force 475 Women in Protection 514
All Force Beyond this Point Requires Training Beyond Sexual Harassment 514
the Introductory Officer Level 478 Effective Communication 515
Training for Success 479 Ethical Behavior 515
Focus on Prevention 480 Customer Service Leadership 516
Conclusion 480 Summary 517
References 518
Resources 518
39. Industrial Hazards, Safety, and the
Security Patrol Officer 42. Public Relations
BRIAN D. BAKER
CHARLES T. THIBODEAU,
CHRISTOPHER A. HERTIG, AND
Definition of Industrial Hazards 484 GEORGE A. BARNETT
Industrial Hazards, Accidents, Injury, and Illness 485
Risk Assessment 488 Public Relations Defined 521
Self-Assessment 488 Public Relations Planning 522
 CONTENTS xi
Promoting Effective Customer Relations Within the Third Scenario: Special Event 560
Security Force 524 Fourth Scenario: Seaport Operations 561
Handling Customer Complaints 526 Fifth Scenario: Installing a Central
Service That Can Make the Difference 527 Station 563
Training 527 Professional Organizations and
The Media: Good Dream/Bad Dream 528 Training 563
Access Control at the Scene of a Critical Incident 529 Industry Regulation by Government 564
Disruption of Business 529 Conclusion 566
Plant Emergency Organization Control 529 References 566
Contract Security Contingent Access Control 529
Conclusion 530
References 531 45. Ethics and Professionalism
CHRISTOPHER A. HERTIG
43. Community Relations: Making
the Strategy Come Alive Key Terms and Concepts 570
Ethical Decision Making 572
MARK E. PUETZ AND K. C. POULIN
Ethical Issues in Protection 572
Why Unethical Behavior Occurs 573
Introduction 535
Conclusion 574
Security and the Experience Economy 536
Resources 575
Cost of Quality 541
From Strategy to Brand to Officer 544
Building a Community of Substance 547
Index 577
The Transformation 554
References 555

44. Networking and the Liaison

Function
BRION P. GILBRIDE

First Scenario: Fire 558

Second Scenario: Vehicle Break-in 559
 Foreword

The security world is constantly changing, constant attention; as one famous terrorist agency
both in the context in which it has to operate, once remarked, “We only have to succeed once.”
and in terms of what it can offer as a response Being on our guard, benefiting from research
to a wide range of threats. This is true across the findings, and following good practice are cru-
world. Indeed, globalization and the impact of cial. Books like this one are designed to help.
technology are just two trends that have seen The coverage of this book is broad, covering
to that. As a consequence, security has become domains such as communication, protection
more complicated; or, at least, the breadth of officer functions, crime prevention, safety, infor-
knowledge that a good security operative, at any mation security, workplace violence, risk man-
level, needs to draw upon has been stretched. agement, investigations, private security law,
One of the positive signs of the march of and the use of force. The book provides proven
security professionalism is that there is now knowledge to protection officers to enable them
more research being gathered on security- to take on the arduous tasks of asset protection
related issues. Scholars in universities, research and loss prevention.
institutes, companies, and professional bod- This book strives to provide a foundation for
ies have helped to develop a global knowledge improving the skill level and efficiency of pro-
base. The good thing about security is that tection officers. As a basic text for achieving the
knowledge from around the world has rele- Certified Protection Officer certification, this
vance to a broad range of circumstances. After book will be studied over and over by opera-
all, threats are often the same. Terrorist attacks tives across continents. It will also serve as a
take place globally, and the sorts of responses research resource for those looking to develop
needed are often similar, if not the same. The insight into an array of security topics. The edi-
principles of security apply across the board, tors are to be commended for ensuring that this
though the contexts differ, and how the prin- edition builds positively on previous ones.
ciples are applied needs to be adapted to meet
Professor Martin Gill
local needs. This is where skill comes in. Skills
Director
are needed from those who assess risks and
Perpetuity Research & Consultancy
those who manage them, from senior executives
International (PRCI) Ltd
to street-level protection officers.
148 Upper New Walk
It is a sad fact that offenders often move faster
Leicester LE1 7QA, UK
than response agencies. We know that many of
those who commit crime adapt quickly; they share Dr. Ona Ekhomu, CFE, CPP
knowledge and experiences; doing so often gives Chairman
them an edge. Just as people move themselves and School of Management and Security
their assets around the world with ease, offenders 10 Turton St.
have tried to do so as well. Stopping them requires Lafiaji, Lagos, Nigeria

xiii
 Contributors List

Sandi J. Davies began her career in contract a chapter relating to crime prevention in Canada
security in 1980 with a primary focus on person- in the Handbook of Loss Prevention and Crime
nel administration. She became deeply involved Prevention (Butterworth-Heinemann). In 1995,
in training and was instrumental in developing again in a cooperative effort, Ms. Davies and Mr.
security officer training programs for a major Minion had published a book entitled The Security
national security guard company. Her interest Supervisor Training Manual with Butterworth-
in security training grew, and in 1988 she joined Heinemann. In 2008, the third edition of this text,
the newly formed International Foundation for coedited by Chris Hertig, was released entitled
Protection Officers (IFPO) as a program admin- Security Supervision and Management: Theory
istrative assistant. In 1991, she was elected exec- and Practices of Asset Protection, again published
utive director of IFPO and has been a driving by the leader in Security Trade Publications,
force in the Foundation’s program development Butterworth-Heinemann. Sandi was the editor of
and administration. Sandi became a member of Protection Officer News published by IFPO for 13
ASIS International in 1985 and served in execu- years until it went into an electronic format.
tive positions at the chapter level. Chris Hertig, CCP, CPOI, is a member of the
In addition, Sandi was also a member of the Behavioral Sciences Department at York College
Advisory Board for the Northwest Territories of Pennsylvania where he teaches courses in secu-
Security Officer Certification Committee. In 1994, rity planning and supervision, crime prevention
Sandi was the chairperson for the Asset Protection and physical security, legal standards of security
Advisory Board for Mount Royal College in and asset protection, ethical issues in criminal
Calgary, Alberta, Canada. In 1999, Sandi agreed to justice and criminal investigation. In addition to
serve on the Advisory Board of the International his regular teaching assignment, he has taught
Foundation for Cultural Property Protection. Ms. self-defense and martial arts for the education
Davies is also a member of the Technical Advisory department. Prof. Hertig has also given noncredit
Board for the Canadian General Standards Board courses in report writing, crowd management,
on Security Officer Training Standards. Most officer survival, and public relations.
recently, Sandi was chairperson for the Private Prior to York College, Mr. Hertig spent three
Security Services Council of ASIS International. years as a nuclear security training administrator,
Ms. Davies has had numerous articles pub- developing and teaching a wide range of instruc-
lished in security publications, such as Security tional topics for security personnel in accordance
Management and SECURITY magazine, relating with U.S. Nuclear Regulatory Commission
to certification and training of security personnel. requirements. A Certified Protection Officer
In the early 1990s, Ms. Davies, in a cooperative Instructor (CPOI) through the International
effort with the IFPO Founding Director Ronald Foundation for Protection Officers (IFPO),
R. Minion, coedited the Protection Officer Training Prof. Hertig has given presentations to numerous
Manual (Butterworth-Heinemann). That text is professional and civic organizations. He has also
now in its eighth edition. In 1994, she contributed consulted with instructional program providers.

xv
xvi CONTRIBUTORS LIST

Prof. Hertig has published several hundred arti- Prof. Hertig began his career while in col-
cles, reviews, and chapters on various topics. He lege as a student aide to the Campus Security
has been a featured columnist in several security Department. He was a member of the U.S.
industry publications and assisted in establishing Army ROTC and served an internship with
IFPO’s Article Archives, an online collection of the Columbia County Juvenile Probation
research papers for students and practitioners. Department. After graduation, he worked for
Chris served as coeditor of Security Supervision and several security services firms as a security offi-
Management: Theory and Practice of Asset Protection cer, investigator, and supervisor. He also spent
(Butterworth-Heinemann) with Sandi J. Davies, a summer as a member of the Park Police in
the Foundation’s executive director. Mechanicsburg, PA.
Chris has been a longtime member of Prof. Hertig holds a master ’s in arts
ASIS International, serving on the Academic (Criminology) from Indiana University of
Programs Council as well as the Academic– Pennsylvania, a bachelor ’s (Sociology) from
Practitioner Symposium Group. He is a charter Bloomsburg University of Pennsylvania, and an
member and past president of the Pennsylvania associate (Commercial Security) from Harrisburg
Association of Criminal Justice Educators Area Community College. He has also com-
and an active member of the International pleted graduate courses in adult education from
Association of Law Enforcement Educators Penn State University, has been board certified
and Trainers. He was also a member of the in security management by ASIS International,
International Association of Campus Law and holds the designation of Certified Protection
Enforcement Administrators for many years. Professional (CPP).

Rich Abrams, CEM Whitney D. Gunter, PhD., CPO

Brian D. Baker, MA, CPP, CPO, CPOI Michael A. Hannigan, CPO
George A. Barnett, CPO Chris Hertig, CPP, CPOI
Colin Best, CSSM Arthur A. Holm, CPO
Patrick C. Bishop, CPP, CFE, CPO Robert D. Jaffin, MBS, MTS
Inge Sebyan Black, CPP, CFE, CPO Glen Kitteringham, M.Sc., CPP, F.Syl,
Norman R. Bottom, PhD, CPP, CFE, CPO, CST CSSM, CPOI, CPO
John Christman, CPP Jenifer Lantz
Darrien Davenport, MS Roger Maslen, CPP, CFE
Sandi J. Davies Robert Metscher, CPP, CISSP, CFE, CPO,
David J. DeLong, CPP CSSM, BS, MBA
Kevin T. Doss, M.Sc., CPP, PSP Denis A. O’Sullivan, CPP, CPO
Doug Durant, BA, CPP, CPO Kevin Palacios, M.Sc., CPP, PSP, CPOI
Dr. Ona Ekhomu, CPP, CFE Kevin E. Peterson, CPP, CPO, CPOI
Francis J. Elliott, CPP K.C. Poulin, CPOI, CPS, CHS-III
Jim Ellis, MA, CPP, PSP, CSSM, CPO Kevin Pound
Richard P. Fiems, MA, CPO, CSSM, CPOI Timothy A. Pritchard, CPP, CPOI
Terence M. Gibbs, MS, CPP, WSO-CSSD Mark E. Puetz, MBA
Brion P. Gilbride, MSI, CSSM, CPO David L. Ray, BA, JD, CFE
Professor Martin Gill Bethany J. Redmond
 CONTRIBUTORS LIST xvii
Chris Richardson, CPP Franklin R. Timmons, CPP, CPOI
James E. Sellers, CPP, MSA Christopher A. Vail, MS
Dennis Shepp, MBA, CPP, CFE, PCI, CPOI Ernest G. Vendrell, PhD., CPP, CEM, CPO
Sean Smith, CPO Ted Wade
Michael Stroberger, CPO, CLSO, CSSM, Scott A. Watson, MCJ, M.Ed., CFE
CPOI, CLSD, CPP Rav-Zuridan Yisrael, MA, CPP, CPO,
Charles T. Thibodeau, M.Ed, CPP, CSSM, CPOI, CHS-III
CPO, CPOI
 Introduction

A. PURPOSE Today, IFPO is the recognized catalyst in the

development of professionalism throughout the
The purpose of The Professional Protection private security industry. Thousands of security
Officer: Practical Security Strategies and Emerging officers who have earned the CPO accreditation
Trends is to provide “need-to-know” information have gained knowledge and professional career
for protection officers and students through- enhancement; they have unselfishly provided
out the security industry. This resource serves encouragement and information to their col-
as the course text for the Certified Protection leagues and employers. Hence, a new dimen-
Officer (CPO) program. Many security profes- sion of opportunities has spread throughout the
sionals also find the contents of this textbook security industry.
helpful as a reference in their day-to-day secu- The first edition was simple, short, and lim-
rity management responsibilities. ited in scope, but included enough information to
help the security officer better understand his or
her roles, duties, and responsibilities. However,
B. HISTORY OF THE TEXTBOOK since that simple beginning, each subsequent edi-
tion has brought new and enlightening informa-
The first edition of the Protection Officer tion to the security professional. The Professional
Training Manual (POTM) originated with Protection Officer is the leading text for protection
the birth of the International Foundation for officers and students. It is also widely used by
Protection Officers (IFPO) in 1988. Twelve dedi- those teaching in Protective Services, Criminal
cated security professionals from the United Justice, Homeland Security or Emergency
States and Canada had a vision: to create an Management courses of study.
organization that would provide meaningful Feedback has been the most significant fac-
career opportunities for line security officers tor. It has led to a standard of excellence for
throughout North America. this new text. We have received countless let-
The newly formed IFPO Board of Directors ters of appreciation for the depth and quality of
realized that a certification program was the seventh edition, but these same enthusiasts
needed, along with a professional training have been liberal with their recommendations
textbook, to make that vision a reality. Hence, for changes and improvements, and we have
the first edition of POTM was created to serve listened. Ongoing dialogue with security man-
as the course text for the Certified Protection agers, supervisors, consultants, educators, and,
Officer (CPO) program. IFPO, the CPO pro- of course, protection officers, has enabled us to
gram, and POTM all proved to be vital compo- develop and maintain a training text that will
nents in achieving the foundation’s objectives. serve future learning.

xix
xx INTRODUCTION

C. THE EIGHTH EDITION more than crime. Loss to an organization came

DEDICATIONS from waste, accident, error, crime, and unethi-
cal/unprofessional practices. This was a new
Norman Bottom and important concept. Security was not just
about the bad things that people do; it was
I first met Dr. Norman R. Bottom when I was much more than that. The WAECUP model is
a graduate student at Indiana University of part of this text. It is part of what I teach. It is
Pennsylvania. He taught a course on executive part of what we do as protectors.
protection on Saturday mornings that was held In 1988, the International Foundation for
on the campus of Allegheny County Community Protection Officers was formed. Leading advo-
College in Monroeville, Pennsylvania. Two other cates of professional development helped with
classes were held there on Saturdays so that peo- this organization under the direction of Ron
ple pursuing a Master’s degree could take nine Minion. Norman Bottom was on the Board of
credits by going to class one day a week. Directors, at one point serving as Chairman.
The class was a unique arrangement; in those He was way out in front. He was always way
days we didn’t have online learning. Creative out in front.
scheduling like Dr. Bottom had engineered was Now it’s up to us.
not the norm. The class offerings and schedule
concept were a fantastic way of meeting the Christopher A. Hertig, CPP, CPOI
needs of the learner, the security industry, and Assistant Professor
the university. York College of Pennsylvania
It was way out in front. October 15, 2009
The Journal of Security Administration was
started by Norman Bottom. It was the first
scholarly refereed academic journal in the secu- Fallen Officers
rity field. The journal was a major contribution This edition of the textbook is dedicated to
to the fledgling discipline of asset protection. the brave officers who lost their lives on 9/11,
Norman edited it for many years, assisted by as well as all of the other officers who have died
his wife, Mari, who took care of book, seminar, in the line of duty. We remember and honor
and video reviews. Dr. Bottom was also instru- your sacrifice, and we salute your dedication.
mental in founding the Academy of Security Our hearts and sympathies go out to your fami-
Educators and Trainers (ASET). This associa- lies, friends, and coworkers.
tion included many leading trainers, practitio-
ners, and academicians in the security industry.
Some of the networking initiated through the
Ron Minion, CPP and IFPO Founder
academy is manifested in the pages of this text. Ron Minion (1938–2008) lost his battle with
Some of us met each other through ASET. Lou Gehrig’s Disease in 2008. He was the man
In 1982, I applied to become a Certified behind this book, one of the founders of the
Protection Professional (CPP). As Dr. Bottom IFPO, a dedicated champion of the security
was a CPP, he endorsed my application. industry, and a tireless advocate for protection
In 1983, Norman and Professor John officers. His determination, and vision of pro-
Kostanoski wrote a book entitled Security and fessionalism through training for the industry,
Loss Prevention. This was an excellent text that has resulted in a brighter future for scores of
presented the WAECUP model of loss control. security professionals, and will continue to do
This model stated that loss was attributable to so in the future.
 INTRODUCTION xxi
Ron was the first examined Certified Protec- her tenure with the IFPO as a part-time employee
tion Professional in Canada. He was a found- in 2002, and quickly worked her way into a very
ing member of the Calgary Chapter of the ASIS valuable full-time Program Coordinator position.
International, where he was a chapter chair Her friendly, caring nature assisted literally
and regional vice president. As regional vice thousands of candidates through their desired
president, he earned the president’s “award of certifications. She took pride and joy in attend-
merit” for establishing ASIS chapters through- ing to the IFPO students’ and clients’ needs.
out Canada. In 2006, Security Magazine named Her strengths were many, and her radiant smile
Ron one of the 25 Most Influential Executives. and personality will be forever missed within
Ron’s legacy includes the thousands of line our offices. She leaves behind her precious
security officers he employed and mentored daughter, Haylee.
over the years. He knew the industry from the
ground floor up, and never lost his vision of
providing affordable training for security offi- D. EIGHTH EDITION CONTENTS
cers to help them turn their mere jobs into via-
ble careers with brighter futures. The eighth edition has 12 units and 45 chapters.
Ron, our friend, mentor, industry advocate, The contributors to the eighth edition are among
and trusted colleague, will be greatly missed. the best writers, academics, and practitioners in
the security community. This talented group of
Lee Minion, CPO professionals has generously provided readers of
this superior textbook with unique opportunities
Lee Minion, son of Sandi Davies and Ron to acquire current asset protection and life safety
Minion, served his country in Iraq and is now information. These writers are outstanding indi-
embarking on a career in law enforcement. viduals who deserve recognition and appreciation
He is indeed a chip off the old block. At the for their service to the security community.
Foundation, we are so very proud of him. The contents of this textbook are sometimes
quite basic. However, every security supervi-
IFPO Team sor and manager should fully understand all
The International Foundation for Protection of the information contained herein to provide
Officers is supported by a team of security better leadership and interpretation of officer
professionals throughout the world who, year responsibilities.
after year, work diligently on behalf of the The material contained in each unit is
Foundation and what it stands for. Because of arranged to provide the reader with a smooth
these men and women who are committed to flow of related security information.
excellence and remain steadfast in their obliga- At the conclusion of each chapter, there are
tion to high standards of service, IFPO contin- 10 multiple choice and true/false questions. It
ues to be successful. We thank you. is important to be able to answer each question
correctly before proceeding to the next chapter.
Louise Gringas
A victim of a tragic accident, our coworker, E. GLOBAL CHALLENGES, NEW
team member, and friend, Louise Gingras, ROLES, AND RESPONSIBILITIES
brought sunshine to the IFPO Corporate
Headquarters for seven years. She was taken In the late sixth century, when the Greek phi-
from us far too soon, in June 2009. Louise started losopher Heraclitus first commented that the
xxii INTRODUCTION

universe is in constant flux, and the only con- aware of the danger of data loss, and numerous
stant is change; little could he have imagined laws govern what must be done if data is com-
the pace of that change in the 21st century. promised. Cyberterrorism not only puts data
Advances in medicine, science, and tech- at risk, it can put essential services and infra-
nology are happening at a dizzying pace, and structure at risk. Guarding against this type of
news travels the globe in the blink of an eye. threat requires continuing education about the
Information of all sorts is available with just a ever-evolving risks, deterrents, prevention, and
few keystrokes, and people can stay in constant laws. Unlike the night watchman, who only
touch via electronic media. Journeys that once worried about physical security with its fences,
took weeks, months, or even years now take gates, and access points, today’s protection
mere hours. It is a small world these days, and officer must also guard against an enemy that
economic problems and social unrest in one moves at the speed of light. The protection offi-
nation can be felt in many others. cer must not only protect the physical premises
Where once the term “security” might have and equipment, but must also guard against an
referred to the lone night watchman whose great- enemy that moves silently to disrupt services,
est adversary was a burglar hoping to pick a lock, incapacitate infrastructure, and steal data.
those days are long gone. The night watchman’s The National Fire Protection Association’s
role was viewed as merely a job that did not gar- (NFPA) “Guide for Premises Security” and
ner much respect in the community. “Standard for the Installation of Electronic
Today’s private security professionals are Premises Security Systems” have both caused
finding their roles greatly expanded in numer- changes that may not make news headlines, but
ous arenas worldwide, due, in part, to a much will certainly impact the industry. The former
greater global threat and a reduction in public will not affect the general public, but fire protec-
law enforcement protection. The current eco- tion, security consultants, facility managers, and
nomic situation has caused an increase in some insurance companies will be forced to deal with
types of crimes. At the same time, those eco- it. ASIS has already begun setting standards
nomic realties have also forced local municipal- that have impacted the industry. The latter more
ities to reduce public law enforcement efforts or less cements the impact of the former.
through layoffs or hiring freezes, even though While the quest for mutual respect and seam-
the need for more protection is growing. less cooperation between public and private
The threat of terrorism was spotlighted for security has improved over the years, it must
the United States and the world on 9/11, and it remain an ongoing goal for both the private and
is still an ever-present threat worldwide. It has public sectors. Mutual respect and cooperation
and will continue to impact the industry, partic- between public law enforcement and private
ularly in the areas of research and risk manage- security is essential to ensuring that security
ment methodologies. needs are met effectively.
In recent years, cyberterrorism, which Increasingly, security functions have been
threatens infrastructure and services by attack- contracted out to private security firms to fill
ing computer networks via the Internet, has the gap between what government can do and
become a very serious threat. It can and has what is needed. Private security firms are even
resulted in the loss of billions of dollars of pro- stepping in to fill the roles that military person-
prietary information, and compromised data at nel once filled on military installations and even
a broad range of institutions, from government war zones. A new type of protection officer is
agencies to banks, credit card companies, and increasingly stepping forward to fill the need,
business firms. Company executives are acutely ready to deal with new situations and challenges
 INTRODUCTION xxiii
as they come along, thanks to ongoing educa- ● Successfully complete a midterm
tion and training. examination.
Currently, corporations that once relied on ● Successfully complete a supervised final
that night watchman to patrol a fence as suffi- examination. (A proctor may be located
cient protection are increasingly instituting their within the candidate’s organization or
own in-house security departments. An inte- community.)
gral part of this overall protection process is the
professional security manager and supervisor, (Both examinations are based on the contents
complemented with a security staff capable of of this textbook.)
attending to ongoing protection needs. Generally,
corporations require their security managers
and supervisors to be well educated, trained, G. CERTIFIED PROTECTION
and experienced. Private security firms are also OFFICER (CPO) FINAL
demanding educated, trained professionals. CHALLENGE PROGRAM
The night watchman might have been able
to do his job with limited education, but in This textbook, The Professional Protection Officer:
today’s ever-changing, challenging security Practical Security Strategies and Emerging Trends, is
climate, professionals must be educated and also the text for the CPO Final Challenge Program,
well trained to fulfill their new, evolving, and which is the fast-track method of obtaining
demanding roles. This new breed of security the CPO certification. The Final Challenge
professional is winning respect by proving it option eliminates the course of study and goes
is skilled and very capable of carrying out the directly to the final exam, which is the same one
most sophisticated, demanding roles. They are that is part of the CPO program. Questions on
dedicated professionals with the credentials the final exam come from the material in the
needed to keep themselves, their employers, textbook.
and their employers’ assets from harm. Contact the International Foundation for
Protection Officers (IFPO) for more information
regarding the Certified Protection Officer and/
F. CERTIFIED PROTECTION or other programs.
OFFICER (CPO) PROGRAM

Professional Protection Officer: Practical Security

Strategies and Emerging Trends is the course text for H. CONCLUSION
the Certified Protection Officer (CPO) program,
an internationally recognized certification for pro- The term protection officer frequently appears
tection officers. in this textbook. What is a protection officer?
The CPO designation is a professional accre- Protection officers have many titles: secu-
ditation that can be earned by completing a self- rity guard, security officer, campus police, loss
paced course based on this textbook. prevention officer, crime prevention officer,
In addition to having security experience or retail loss prevention agent, military police, and
the equivalent, a candidate must complete the several others. They can work part time or full
following stages of progression to earn the CPO time. They can be assigned to protect a person, a
designation: group of people, an office building, a network, a
store or factory, and many other assets in many
● Submit application for enrollment. locations. Some are armed; some are unarmed.
xxiv INTRODUCTION

They can be employed as independent con- that teach; but the primary beneficiary is the
sultants, by a security services agency, by the student or working protection officer.
military, by a state government, by the federal The editors of the Professional Protection
government, and by other organizations. The Officer: Practical Security Strategies and
term “protection officer” is not easy to define. Emerging Trends are honored to work with so many
Titles vary, specific tasks vary, locations vary, academicians, researchers, and outstanding security
employers vary, but the one thing that all pro- professionals since the planning of the first edition.
tection officers have in common is that they are These talented and dedicated security profession-
willing to take risks and put into place preven- als have worked tirelessly in supporting, promoting,
tive measures to protect tangible assets, such as and contributing to the International Foundation
buildings, intangible assets, such as data, and for Protection Officers and all of its worthwhile pro-
of course, the public. They assume the risks so grams. “We could not have done it without you!”
that others can go about their business and not A special thanks goes to Alice Grime, Charles
have to worry about potential harm. Thibodeau, and Jamie Ingram for their techni-
This textbook is written as a useful reference cal support and assistance in the production and
for security supervisors, managers, and those development of this textbook.
 Protection Officer
Code of Ethics

The Protection Officer Shall

I Respond to employer’s professional needs
II Exhibit exemplary conduct
III Protect confidential information
IV Maintain a safe & secure workplace
V Dress to create professionalism
VI Enforce all lawful rules & regulations
VII Encourage liaison with public officers
VIII Develop good rapport within the profession
IX Strive to attain professional competence
X Encourage high standards of officer ethics
PROTECTION OFFICER CODE OF Loyalty
ETHICS To the employer, the client, and the public.
Today business and the public expect a great The officer must have a complete and thorough
deal from the uniformed security officer. In the understanding of all of the regulations and pro-
past there has been far too little attention paid cedures that are necessary to protect people and
to the ethical aspects of the profession. There assets on or in relation to the facility assigned to
have to be solid guidelines that each officer protect.
knows and understands. More importantly, it
is essential that each manager and supervisor
performs his or her duties in a manner that will
reflect honesty, integrity, and professionalism.
Exemplary Conduct
Every training program should address the The officer is under constant scrutiny by
need for professional conduct on and off duty. everyone in work and public places. Hence, it is
Line officers must exhibit a willingness to gain essential that he or she exhibit exemplary con-
professional competency and adhere to a strict duct at all times. Maturity and professionalism
code of ethics that must include the following. are the key words to guide all officers.

xxv
xxvi PROTECTION OFFICER CODE OF ETHICS

Confidentiality can enhance the image of the industry, their

employer, and themselves. Recognize and
Each officer is charged with the responsibility respect peers and security leaders throughout
of working in the interests of his or her employer. the industry.
Providing protection means that the officer will
encounter confidential information that must be
carefully guarded and never compromised. Honesty
By virtue of the duties and responsibilities
Safety and Security of all officers, honest behavior is absolutely
The foremost responsibility of all officers is essential at all times. Each officer occupies
to ensure that the facility that must be protected a position of trust that must not be violated.
is safe and secure for all persons with lawful Dishonesty can never be tolerated by the secu-
access. The officer must fully understand all nec- rity profession.
essary procedures to eliminate or control secu-
rity and safety risks. Prejudice
The job of protecting means that the offi-
Deportment
cer must impose restrictions upon people that
Each officer must dress in an immaculate frequent the security workplace. All human
manner. Crisp, sharp, clean, and polished are beings must be treated equally, with dignity
the indicators that point to a professional officer and respect, regardless of color, race, religion,
who will execute his or her protection obliga- or political beliefs.
tions in a proficient manner and will be a credit
to the profession.
Self-Discipline
Law Enforcement Liaison With the position of trust comes the respon-
sibility to diligently protect life and property.
It is the responsibility of each officer to make These duties can only be discharged effectively
every effort to encourage and enhance positive when the officer understands the gravity of his
relations with members of public law enforce- or her position. Self-discipline means trying
ment. Seek assistance when a genuine need harder and caring more.
exists and offer assistance whenever possible.

Conclusion
Strive to Learn
The job of protecting life and property
To become professionally competent, each offi- focuses much attention on the individual secu-
cer must constantly strive to be knowledgeable rity officer. Hence, it is essential to be aware of
about all aspects of his or her chosen career. How the need for professional conduct at all times.
to protect people, assets, and information must By strictly adhering to each section in this code
always be a learning priority for every officer. of ethics, it may be expected that we as indivi-
duals and the industry as a whole will enjoy
a good reputation and gain even more accep-
Develop Rapport
tance from the public as well as private and
It is necessary to be constantly aware of the government corporations. You as the individual
image that our profession projects. All officers officer must be a principal in this process.
 U N I T I

FOUNDATIONS

Concepts and Theories of Asset Protection

1
2 The Evolution of Asset Protection and Security
3 Role of the Professional Protection Officer
4 The Protection Officer as a Leader
5 Career Planning for Protection Professionals
 C H A P T E R

1
Concepts and Theories
of Asset Protection
Jim Ellis and Christopher A. Hertig

placing valuables into a modern safe. The most

CHAPTER OBJECTIVES visible and easily recognizable form of asset
● Define and explain valuation of an asset protection was the medieval castle. The castle
● Provide an overall introduction to the was built to protect an asset, be it the king or
concept of asset protection ruler, a precious metal such as gold, or as a point
from which to help protect the empire. Castles
● Discuss risks and risk management and initially were quite basic, but as the risks esca-
insurance lated, they came to employ additional layers of
● Explore strategies to mitigate risk protection such as a moat, drawbridge, or defen-
● Explore physical security measures sive positions.
related to asset protection
● Explain the system of Crime Prevention
through Environmental Design (CPTED) ASSET DEFINITION

Asset protection begins with defining what the

asset is. There may be one asset or many assets. An
INTRODUCTION asset can be a person or people; a physical entity
such as a building or plant; an object such as a
Asset protection is the basis for everything painting or a gold bar; or a concept such as a for-
that a protection officer does. It is the core mula or design. The ASIS International General
function of the protection officer’s job. Asset Security Risk Assessment Guideline defines an
protection can have different meanings and asset as “Any real or personal property, tangible
functions depending on the approach to pro- or intangible, that a company or individual owns
tecting the asset, its location, and even the type that can be given or assigned a monetary value.
of asset. Asset protection has been practiced for Intangible property includes things such as good-
millennia, whether it was protecting the Roman will, proprietary information, and related prop-
city with night sentries patrolling the streets, to erty. People are included as assets.”

3
4 1. CONCEPTS AND THEORIES OF ASSET PROTECTION

ASSET VALUATION contents, materials, suppliers, and contractors,

especially anything that by use or omission
The asset must have some type of value. The would damage, harm, or cause loss to the com-
value of the asset could be a real value, such as pany or its personnel.
a gold bar being worth a set amount of money
based on the weight of the bar and the cur- Frequency
rent price of gold. The value of the asset could
The frequency of losses must then be deter-
be based on what it would cost the company to
mined through an examination of the types of
replace it. This is sometimes difficult to calculate
crimes and incidents in and around the facility,
when discussing specialty items such as the for-
with special emphasis on the dates on which
mula or recipe for a soft drink, or the patented
they occurred. A ranking of the events should be
design for a product, the loss of which could
made using a consistent scale (annually, monthly,
mean the end of a company. The most intan-
daily, or hourly) for all such loss events.
gible valuation of an asset would be in what is
referred to as “reputational damage”—the loss of
the image of a company or consumer confidence Probability
in a company. Reputational damage can occur Through an analysis of this information, trends
through major theft of customer information, a may emerge which point to an escalation in activi-
senior executive being injured or killed, or the ties that may precede a more serious crime against
brand name of a company being tainted through the company. This will help to establish the prob-
inferior “knock-off” products. The loss of reputa- ability of such an event occurring in the future,
tion is difficult to calculate because things such assuming all other processes and operations at the
as unrealized sales are nearly impossible to facility remain the same. Once there is a change in
determine. While it is not necessary to have the the assets, the probability of loss will also change.
actual value of an asset on hand at any one time,
the value of the asset must be known prior to the Impact
implementation of any protection program and
reevaluated periodically thereafter. Finally, a ranking of the impact of any loss
on the company must be made. Impact is an
accounting of the tangible (real) and intangible
RISKS (unrealized) costs associated with such events. All
such tangible losses should be considered, from
the mundane, such as the loss of power or water
Criticality
service, up to and including the loss of the facility
Once the asset and its value are defined, it is including its contents and a substantial portion of
necessary to determine what risks there are to the employees. Intangible losses such as the loss
the asset. According to the ASIS International of current or future sales or customers should also
General Security Risk Assessment Guideline, be accounted for, to the extent that this is possible.
“risks or threats are those incidents likely to occur
at a site, either due to a history of such events or
circumstances in the local environment” (2003, MITIGATION
p. 6). It is therefore important to have data on
crime and incidents occurring in and around the Only after all of the factors of risk or loss have
site. A vulnerability assessment will include a been compiled and examined can the protection
thorough examination of the facility, personnel, officer assist with developing strategies to help

I. FOUNDATIONS
 ASSET PROTECTION 5
mitigate the risk. All of the mitigation efforts and defense/response. Each piece of the layered
must be designed so as not to “substantially protection concept can work on its own. However,
interfere with the operation of profitability of the the most complete protection is afforded through
enterprise” (ASIS, 2003, p. 6). Mitigation efforts combining all of the layers.
that do substantially impact operations are much Deterrence is the practice of discouraging
less likely to see executive support regardless of an individual or group from even attempting
the level of risk, as they also substantially impact to attack the asset. This can be accomplished
the profitability of the company. through a number of means such as signage,
fencing, lighting, cameras, or people. Signage
at the perimeter of the enterprise property
Cost/Benefit would warn trespassers of the property line
A cost/benefit analysis must also be con- and the penalty for proceeding further. Further
ducted to help assist in evaluating the mitigation enhancements to the signage could include the
measures against the costs incurred. According addition of fencing, lights, and cameras. In a
to the ASIS International General Security Risk personal protection role, the deterrence would
Assessment Guideline, the cost benefit process appear to be provided by the ring of protection
“involves three steps: officers, or specialists around a high-profile
individual. In some rare circumstances, the illu-
● Identification of all direct and indirect
sion of additional layers of protection can be a
consequences of the expenditure.
better and more cost-effective deterrent.
● Assignment of a monetary value to all costs
Detection is the identification of a threat,
and benefits resulting from the expenditure.
preferably at the earliest possible opportunity.
● Discounting expected future costs and
Alarm sensors, cameras, and even protection
revenues accruing from the expenditure to
officers, are all means of detecting and identi-
express those costs and revenues in current
fying threats to the enterprise. A threat identi-
monetary values” (ASIS, p. 4).
fied earlier in the asset protection process gives
If the cost/benefit evaluation determines that the remaining layers of protection more time to
the cost of mitigating the risk is greater than the contribute to the overall protection of the asset.
cost of the asset, then other measures must be Delaying the attacker also gives the other
employed. layers of defense a chance to work together.
Sufficient layers of delay must be incorporated
so that the detection and defense/response
ASSET PROTECTION pieces of the asset protection continuum can
perform their roles. Delay can be accomplished
through an expansive perimeter that takes
Layered Protection
a while for the attacker to cross, fences that
Asset protection through risk mitigation take time to climb, strong doors that must be
typically involves a concept of layered protec- breached, and interior levels of protection such
tion, also known as defense in depth. In this as additional doors into rooms or a safe that
concept, the asset is considered to be in the takes even more time to enter.
center, surrounded by concentric layers of pro- A sufficiently delayed attacker allows for a
tection. Each layer contributes individually, defense to be mounted from within the site to
and as part of the whole, to the overall protec- repel the attacker, or for a sufficient response to
tion of the asset. The principles behind layered be put together and proceed to the site. However,
protection consist of deterrence, detection, delay, the layers of protection must delay the attacker

I. FOUNDATIONS
6 1. CONCEPTS AND THEORIES OF ASSET PROTECTION

long enough so as to be able to stop him on the traditionally used by military forces to scout out
way to the asset, or on his way out with the asset, the location and disposition of an opponent. They
but before he leaves the property with the asset. are used today by police and security forces.
While still endeavoring to locate hostile indi-
viduals (felons), modern police patrols are used
PHYSICAL SECURITY to assess community environments. In a con-
temporary asset protection scheme, patrols are
Physical security planning was originally not only concerned with criminal acts but also
based upon response to a military threat. A tra- with unauthorized activities, safety and fire pro-
ditional reference for physical security is FM tection issues, and the performance of auxiliary
19-30 Physical Security, published by the U.S. services. These can include delivering the com-
Army, while a modern reference is the Facilities pany mail, checking gauges, conducting light-
Physical Security Measures Guideline published ing surveys, assessing behavior, enforcing lease
by ASIS International. agreements, and assisting customers. Note that
The process used to plan physical security community policing or problem-oriented policing
measures is as follows: strategies that public police have adopted are
1. Identify assets. These generally include very similar to what security practitioners have
personnel, property, information, and image. been doing for decades.
2. Loss events are exposed. Risks are identified.
This involves research rather than “seat of the CRIME PREVENTION THROUGH
pants” reasoning! ENVIRONMENTAL DESIGN
3. Probability of the loss events occurring is
calculated. Crime Prevention Through Environmental
4. Impact of occurrence is assessed for each loss Design (CPTED) is a system whereby territo-
event. This means, the effect the loss event riality reinforcement is established via barri-
will have in terms of direct, indirect, and extra- ers, access control, and surveillance. Its genesis
expense costs. may have been in the construction of castles
5. Countermeasures are selected. There can and forts. The contemporary beginnings of it
be a vast array of interventions; generally were through the writings of Oscar Newman
physical security utilizes target hardening (Defensible Space) and C. Ray Jeffrey (Crime
techniques, such as patrols, access control, Prevention through Environmental Design). CPTED
lighting, intrusion detection, surveillance, theory consists of these various components:
weapons detection, and so on.
6. Countermeasures are implemented. Territoriality: Boundaries and property
7. Countermeasures are evaluated as to their lines are marked. This can be the placement
effectiveness. Traditionally, this step has been of barriers, shrubbery, and the use of
avoided by practitioners in physical security different colors of walkways to mark areas.
and crime prevention. Psychological deterrents to trespass are
erected to establish territoriality.
Note: See www.securitysolutions.com and Surveillance: Observing areas makes detection
www.securitymagazine.com for products and and deterrence of criminal behavior more
applications. likely. There are several types of deterrence:
Patrols are a key part of a physical security Natural—keeping areas open to
system. They serve as catalysts for the system, observation, such as by clearing bushes
bringing all parts together. Patrols have been near access points, having windows facing

I. FOUNDATIONS
 RISK MANAGEMENT AND INSURANCE 7
out into a common courtyard, or placing E — Error in planning or execution, which
a picnic area near a basketball court. All of results in lost funds;
these make for easier observation of the area C — Crime that causes loss and/or injury;
to be protected. They facilitate detection of UP — Unethical/unprofessional practices,
criminal or unauthorized activity. such as misrepresentation, discrimination,
Electronic—technological aids are used, conflict of interest, and so on.
such as closed circuit television (CCTV)
Accidents cost extensive amounts of direct loss
and volumetric intrusion detection systems,
(cost of replacement and repair) as well as indi-
such as passive infrared (PIR) sensors.
rect loss (downtime, investigative costs, lowered
Organized—patrols by security personnel,
morale, legal fees, etc.) and extra-expense loss
police, or citizen crime watches.
(advertising, rental of new rooms or equipment).
Access control: Maintaining boundaries
Note that there are also extensive administrative
by restricting access to an area. Access is
law requirements under OSHA (Occupational
controlled via the use of locks, biometric
Safety and Health Administration) and state
systems, access cards, and other methods.
agencies (CALOSHA and Pennsylvania
Access control is a physical deterrent to trespass.
Department of Labor and Industry) with which
Positive activity support: In a significant
organizations must comply. Safety is a major
departure from physical security, CPTED
concern to organizations for all of these reasons.
uses activities that divert people in the
Many persons in charge of security are also in
environment from involvement in crime.
charge of safety. A Director of Safety and Security
This may take the form of recreation,
has become a common title in health care, on col-
entertainment, or volunteer efforts that help
lege campuses, and in hotel environments.
society (volunteer fire companies for youth).
Maintenance: The repair of “broken
windows.” An environment that is not
kept up properly may degenerate further.
RISK MANAGEMENT AND
People see broken windows and believe it is
INSURANCE
acceptable to break other windows.
“Risk management” is a term closely associ-
A “snowballing” or “rolling ball” effect
ated with the insurance industry. It is similar con-
occurs. Prompt repair and cleaning of damage
ceptually to the physical security planning process
or graffiti are essential parts of CPTED.
in its implementation, but it deals with risks other
than “security” threats caused by humans. It is
SAFETY not limited to “target hardening” (risk reduction)
approaches, such as the use of locks, barriers,
Safety ushers in the more contemporary intrusion alarms, and so on. Strategies for manag-
emphasis on asset protection and incorporates ing risk include the following:
the WAECUP Theory of Loss Control developed
Risk avoidance—such as completely avoiding
by Bottom and Kostanoski in Security and Loss
the risk of an earthquake by avoiding
Control (first published by Macmillan in 1983).
geographic areas where there are active fault
W — Waste of time, resources, man-hours, lines, staying out of countries that are known
space; to kidnap people for ransom, or not making
A — Accident that causes injury, downtime, dangerous products, such as explosives.
increased workers’ compensation costs, and Risk transfer—means transferring
so on; the financial impact of loss to another

I. FOUNDATIONS
8 1. CONCEPTS AND THEORIES OF ASSET PROTECTION

organization or entity. Insurance coverage is assets across some distance so that no one
the usual means of risk transfer. The insurance vulnerability can affect the entire enterprise
company takes on the cost of repairing or is another example.
replacing the asset at risk instead of the Risk reduction or risk mitigation—means
enterprise. Of course, this comes at some reducing the probability of a loss-causing
cost and some delay in repairing or replacing event through the adoption of preventive
an asset as the insurance company must measures. That is, taking methodical,
investigate and process the claim. Outsourcing appropriate steps to lessen the risk to the
hazardous operations to other organizations is organization or the frequency, probability,
another example of risk transfer. and impact of such risks and losses. Physical
Risk assumption, risk retention, or risk security and crime deterrence would be
acceptance—refers to accepting the risk, as it considered risk reduction. So, too, would the
has a very low probability of occurring; the use of safety equipment.
risk is extremely difficult to protect against;
or the cost of changing the risk to the assets is As you can see, risks can be reduced in a num-
so great or so low that any effort to change it ber of ways, but they are never truly eliminated.
would either be too expensive or the losses so Insurance can be thought of as the “last line
low as to be inconsequential. For instance, it is of defense” in a physical security system. It
extremely unlikely that an asteroid will strike; provides the policyholder with financial com-
it is also impractical to defend against it. It pensation from the insurance company after a
would likewise be impractical to purchase loss has occurred. According to Purpura (1991),
insurance for a machine that has exceeded its loss prevention originated within the insurance
useful shelf life and has no intrinsic value. industry. Note that while the term “loss preven-
Risk spreading—implies using redundant tion” is utilized primarily within the retail sec-
systems of communication, power, or tor, it is gradually being replaced with the more
information storage. The separation of representative term “asset protection.”

PRACTICAL EXERCISE
Pick some assets, such as vital information, terrorism, theft, and so on. In the column on the
that an organization needs to operate: peo- right, list a risk management approach, such
ple, works, art, and so on. Place these assets in as transfer, avoidance, or acceptance, which
the boxes to the left. Next, place the primary would be most appropriate for dealing with the
threats that may face those assets such as fire, threat.

Asset Threat Risk strategy

I. FOUNDATIONS
 RISK MANAGEMENT AND INSURANCE 9
Insurance policies provided by an insurance Liability insurance—to cover legal costs
company are driven by the probability of loss and compensatory damage awards (punitive
events occurring based on actuarial tables. The damages are not generally covered).
premiums and deductibles are adjusted accord- Attorney’s fees and associated costs can
ing to the loss event probability; so, too, is the become quite high during civil litigation
availability of insurance if insurance carriers regardless of whether the case is settled or
deem a risk to be too high and refuse to write goes before a court.
a policy. In these cases, organizations must self- Fire insurance—one of the first types of
insure or join an insurance pool of other organi- insurance developed; some policies mandate
zations that pool their funds in a liquid account that the insured conduct periodic patrols
that is set aside in the event of a loss. There are of various areas on the property—the use
also government insurance programs for crime of watch tour systems had developed as a
and floods on the federal level, and workers’ result of this.
compensation on the state level. Burglary insurance—for losses associated
Various types of insurance coverage have with unlawful intrusion. Burglary insurance
evolved, such as the following: policies generally require evidence of forced
entry.
Business Interruption—for losses incurred Robbery insurance—coverage for forcible
after a disaster, accident, or fire while a thefts committed in the presence of another.
business is not operating. Business interruption Theft insurance—policies cover losses from
insurance helps to control indirect losses theft; may include burglary and robbery losses.
stemming from lost productivity. Bonds—fidelity bonds require investigation
Kidnap and Ransom (K & R)—for firms that of the covered employee by the bonding
have had executives abducted by criminals company (the insurer); these bonds indemnify
or terrorists. This coverage became popular the holder against dishonest acts committed
in the early 1980s in response to left-wing by the employee. The holder of the bonds is
terrorist kidnappings in Latin America. The exempt from financial responsibility for the
film Proof of Life with Russell Crowe portrays dishonest acts of the employee.
K & R coverage. Employment Practices Liability (EPL)—
Worker ’s Compensation—required by state insures against legal costs due to unlawful
laws to compensate workers injured on the employment practices such as sexual
job from the results of work-related accidents harassment, discrimination, and so on.
and occupational diseases (Purpura, 1991, Contemporary liability exposure for ongoing
p. 265). Rates paid for premiums by employers illegal employment practices is substantial,
are based on job hazard, and in part on an with awards and settlements running into
employer’s record of accidents. the multimillions.

EMERGING TRENDS
An emerging new paradigm of asset protec- homicide/suicide bomber is an especially trou-
tion is the consideration that must be made for bling trend and is difficult to provide sufficient
an attacker who will enter a protected area with levels of protection against. The amount of time to
the goal of destroying an asset in place. The detect, delay, and defend is essentially reduced by

I. FOUNDATIONS
10 1. CONCEPTS AND THEORIES OF ASSET PROTECTION

half as the attacker does not have to add in time Specialization in the industry is the continu-
to flee. Depending on the asset to be protected ation of a long-standing trend that is gaining
and the preexisting environment in which the greater acceptance outside of the business. Both
protection officer must operate, strengthening the large and small security businesses are finding
ability to detect and delay the adversary must be specialties in which to focus and thrive. Some
given especially careful consideration. This may security officer companies are established as, or
include the addition of intelligence assets that can are establishing, separate divisions devoted to
overtly or covertly uncover the adversary’s plans. retail security in malls and protection of chemical
Cooperative information sharing with other enti- plants or nuclear power stations. Electronic secu-
ties such as law enforcement or in some areas, the rity companies may find specialization in surveil-
military, may be the best option for strengthening lance systems for casinos or integrating various
the detection aspect of asset protection. security, fire alarm, and building control sys-
Like the homicide/suicide bomber, improvised tems into a cohesive platform using the client’s
explosive devices (IEDs) are also an especially trou- computer network.
bling trend. Not limited to areas of conflict, domes- Professionalism is also the continuation of a
tic extremist organizations have used these devices long-standing trend that is finding favor by the
to intimidate, maim, and destroy. Special attention companies and clients that security profession-
and alternative plans must be carefully developed als work for and with. College degrees at the
for organizations that conduct work that may Bachelor’s and Master’s levels are an almost uni-
attract the attention of such groups, including spe- versal requirement for security managers at all
cialized protection plans for executives. In areas of levels, and for some security officers in special-
conflict where the threat of IEDs is real, options for ized sectors. Certification by industry organiza-
reducing the risk include, but are not limited to, tions such as the International Foundation for
traveling covertly, using decoy vehicles, or using Protection Officers and ASIS International is also
telephones, videos, and Internet conferencing. becoming a requisite for some companies.

SUMMARY Calder, J. D. (1985). Industrial guards in the nineteenth and

twentieth centuries: The mean years. Journal of Security
Administration, 8(2).
Being involved in the practice of asset pro-
Coleman, J. W. (1969). The Molly Maguire riots: Industrial con-
tection is the first step toward advancement in flict in the Pennsylvania coal region. New York, NY: Arno &
your field and acceptance in your enterprise. The New York Times.
The protection officer must be ready to volun- Constable, G. (Ed.). (1990). The old west. New York, NY:
teer and assist in learning this craft. Time-Life Books.
Cote, A., & Bugbee, P. (1988). Principles of fire pro-
tection. Quincy, MA: National Fire Protection
References Association.
Fennelly, L. J. (1989). Handbook of loss prevention and crime
General Security Risk Assessment Guideline. (2003). prevention (2nd ed.). Boston, MA: Butterworths.
Alexandria, VA: ASIS International. Fennelly, L. J. (1996). Handbook of loss prevention and crime
Biery, K. D., Jr., & Schaub, J. L. (1994). The ultimate security prevention (3rd ed.). Boston, MA: Butterworth-Heinemann.
survey. Boston, MA: Butterworth-Heinemann. Fiems, R., & Hertig, C. (2001). Protection officer guidebook.
Broder, J. F. (1984). Risk analysis and the security survey. Naples, FL: International Foundation for Protection
Boston, MA: Butterworth-Heinemann. Officers.

I. FOUNDATIONS
 SECURITY QUIZ 11
Fossum, J. (1982). Labor relations: Development, structure, pro- Johnson, T. (2002). Retail loss prevention management models
cess. Dallas, TX: Business Publications, Inc. Unpublished paper. York College of Pennsylvania.
Garcia, M. L. (2001). The design and evaluation of physical pro- Kuykendall, J. (1986). The municipal police detective: An
tection systems. Boston, MA: Butterworth-Heinemann. historical analysis. Criminology, 24(1).
Girard, C. M. (1989). Planning, management and evalua- Mackay, J. (1996). Allan Pinkerton: The first private eye.
tion, Chapter 31. In L. J. Fennelly (Ed.), Handbook of loss New York, NY: John Wiley & Sons.
prevention and crime prevention (2nd ed.). Boston, MA: Matthews, L. J. (1990). Pioneers and trailblazers: Adventures of
Butterworths. the old west. New York, NY: Derrydale.
Gilbride, B. P. (1999). Sexual harassment. In S. J. Davies & Nalla, M., & Newman, G. (1990). A primer in private security.
R. R. Minion (Eds.), Security supervision: Theory and Albany, NY: Harrow & Heston.
practice of asset protection. Woburn, MA: Butterworth- National Advisory Committee on Criminal Justice
Heinemann. Standards and Goals. (1976). Report of the task force on
Green, G., revised by Fischer, R. J. (1987). Introduction to private security. Washington, DC.
security (4th ed.). Boston, MA: Butterworths. Peak, K. J. (1997). Policing in America: Methods, issues, chal-
Hertig, C. A. (2002). Investigative concepts. Unpublished lenges. Upper Saddle River, NJ: Prentice-Hall.
paper. York College of Pennsylvania. Purpura, P. P. (1991). Security and loss prevention: An intro-
Hertig, C. A., Fennelly, L. J., & Tyska, L. A. (1998). Civil duction. Stoneham, MA: Butterworth-Heinemann.
liability for security personnel. Naples, FL: International Sennewald, C. A. (1985). Effective security management (2nd
Foundation for Protection Officers. ed.). Boston, MA: Butterworths.

S EC U RI T Y QU IZ 6. Deterrence is the practice of discouraging an

1. The ASIS International General Security Risk individual or group from even attempting to
Assessment Guideline defines an asset as attack the asset.
“Any real or personal property, tangible or a. True
intangible, that a company or individual owns, b. False
that can be given or assigned a monetary value. 7. All risks can be reduced completely.
a. True a. True
b. False b. False
2. CPTED stands for Crime Prevention through 8. There is a theory of loss control developed by
Environmental Dedication. Bottom and Kostanoski in security and loss
a. True control. It is known as:
b. False a. WASTE
3. Physical security planning was originally b. WASTMGMT
based upon response to a military threat. c. WAECUP
a. True d. WHATSUP
b. False 9. The most intangible valuation of an asset
4. Risk Management is a term closely associated would be in what is referred to as:
with the insurance industry. a. Liquid asset
a. True b. Respectful damage
b. False c. Punitive damage
5. A vulnerability assessment will include a d. Reputational damage
thorough examination of the following: 10. Intangible property include things such
a. Facility and personnel as goodwill, proprietary information, and
b. Contents and material related property.
c. Suppliers and contractors a. True
d. All the above b. False

I. FOUNDATIONS
 C H A P T E R

2
The Evolution of Asset Protection
and Security
Christopher A. Hertig and John Christman

CHAPTER OBJECTIVES INTRODUCTION

● Discuss the importance of looking at the History is illustrative for many reasons; there
cycle of history are trends and themes that run throughout the
● List and define key terms march of time and that repeat themselves—to a
● Explore the growth of the security degree. P. T. Barnum said, “All history is bunk,”
industry through wartime and policing and he was right—to a degree. History is a per-
units spective. In many cases, that perspective gets
distorted, or lost, over time.
● Compare and contrast private security Studying history is important as it gives us
and public police perspective on where things were, where they
● Explain how the fire protection industry are now, and where they may be in the future.
developed Historical analysis can provide insight into how
● Look at how commerce and economic certain issues were dealt with. This may give
and marketing trends are related to asset guidance in contemporary or future problem
protection solving.
● Explore how demographics, historical Finally, history provides a laboratory for the
class struggles, and labor relations testing of theory. Solutions that were developed
have all contributed to the protection in response to certain problems had positive
profession or negative effects in addressing those prob-
lems. An example is the Prohibition Era in the
● Provide avenues toward the PATH to United States, beginning in 1919. Alcoholic bev-
Professionalism erage manufacture or distribution was against
● Offer suggestions for pursuing the law. As a result, huge criminal enterprises
contemporary careers in asset protection sprang up in response to consumer demand. A
black market economy was formed with gang-
sters seeking to profit. Some people feel that the

13
14 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

current legal prohibition against drugs is analo- demands different protective strategies and
gous to Prohibition. This is an arguable point: tactics. These change with technological
drugs are not as socially accepted as the drink- developments. Politics and economics are
ing of alcohol was in 1920s American society. also factors. In 2008 and 2009, piracy on
Nonetheless, the emergence of black markets the high seas became a major issue due to
due to extensive consumer demand for illegal large numbers of unemployed mariners.
goods or services is something that all students 4. Demographics—population size, density,
of asset protection should appreciate. age distribution—plays a key role in crime
control and safety. Large numbers of
recent immigrants who do not understand
THE CYCLE OF HISTORY
the language or customs of their newly
adopted country create safety and security
The security industry has a rich and varied
challenges. College students living in
background. “Security” implies protection: safety
dormitories create another set of challenges.
from attack, espionage, or sabotage. It means
High-rise office buildings with business
being able to live, work, or play free from harm,
tenants have different protection needs from
in a stable environment. Organizations must take
two-story apartment complexes for low-
measures to minimize disruption. These mea-
income families. Security measures must be
sures are dependent on a variety of factors, such
relevant to the environment in which they
as threat probability, criticality, culture of the
are implemented and every environment is
organization, financial resources available, and so
different.
on. The measures taken have changed over time.
5. Military forces and concepts are intimately
The historical development of “asset protec-
involved in protection. Foreign invaders,
tion” (the broader, more contemporary term
riots that have to be contained by soldiers,
encompassing safety and fire protection) and
and international terrorists are all addressed
“security” (the older term; more oriented to
by military forces. Contemporary pro-
crime/espionage/terrorism issues) reveals sev-
tective forces often operate on a military
eral trends. These trends appear to be cyclical
organizational structure. Police, security,
in nature.
and firefighting organizations have a
1. Private initiatives generally precede public. paramilitary chain-of-command with
In many cases, private protective measures sergeants, lieutenants, and captains. The
are started to fill a void in services offered military has clearly exerted an influence over
by governments. Private corporations are police, security, and fire departments.
more nimble and flexible than governments. 6. Security efforts generally are a step behind the
This enables them to start new programs, latest methods of criminal attack. The saying
protection or control forces, etc. “As one hole in the net is mended, the fish swim
2. Control forces may be involved in class toward another” seems particularly relevant.
struggles. Control forces—military, police, 7. Protective efforts are usually initiated
security—work to keep certain groups of after serious problems have occurred. The
citizens in line. September 11, 2001, attacks on the Pentagon
3. There is a strong relationship between and World Trade Center initiated substantial
commerce and protective needs. The amount reforms in the federal government, such as
and type of commerce (ships, trains, Internet, the Transportation Security Administration.
and so on) determines the threats or risks Wars and major natural disasters also create
posed to the commerce system. Each risk new protective organizations, laws, and so on.

I. FOUNDATIONS
 KEY TERMS 15
8. Protective efforts often are spawned by Asset protection takes a broader view. It is
the need for mutual protection. Homeland also concerned with waste, errors and accidents,
Security is a current example: governmental natural disasters, labor shortages, equipment
units at all levels coming together in breakdowns, fires, and so on. Asset protection
partnership with private organizations to covers any loss an organization suffers that is
protect against terrorism. Another example is not related to marketing.
fire societies that were established in Boston Crime Prevention through Environmental
in 1718, where society members helped each Design, (CPTED), is a theory of crime deter-
other to salvage goods after a fire (Cote & rence based on environmental design. Facilities
Bugbee, 1988). are constructed—or arranged—in such a way
that criminals feel uncomfortable and refrain
from committing crimes.
KEY TERMS Physical security is a plan or design devel-
oped for the purpose of attempting to eliminate
“Assets” are tangibles or intangibles that or minimize the threats posed by potential loss
have value. If assets are stolen, lost, destroyed, event occurrences. It incorporates locks, bar-
or damaged, the entity (organization or individ- riers, access control systems, lighting, alarms,
ual) owning them suffers a loss. There are four and security officers. Physical security is a vast
basic classifications of assets: field of study. It can be said that it is the “heart”
of security. It encompasses CPTED as well as
1. People—employees, visitors, clients,
procedural controls.
patients, students, and so on.
Personnel security is designed to screen out
2. Property—real estate, buildings, raw
undesirable employees. It is done to protect
materials, equipment, merchandise, and
both the employer and other employees. The
so on.
screening, or vetting, of employees to prevent
3. Information—vital information that is
probes by foreign intelligence agents originated
necessary for an organization’s survival,
within the military-industrial complex of the
such as employee and vendor lists,
1950s to 1980s. The old term “industrial secu-
organizational plans, and other items
rity” (as in “American Society for Industrial
without which the organization could not
Security”) referred to Department of Defense
operate; confidential information such
(DOD) contractor firms. These companies made
as patient records, personnel or student
munitions, tanks, airplanes, and so on for mili-
records; proprietary information such as
tary usage. While espionage—in particular
trade secrets, customer lists, and marketing
economic espionage—is a major issue, contem-
plans; classified information that is essential
porary personnel security also deals with work-
to national defense.
place violence, internal theft, and terrorism. The
4. Image—the image cultivated through years
current emphasis on terrorism could be seen as
of public relations and advertising that an
a historical cycle repeating itself—the Cold War
organization or individual (celebrity) has
measures concerning spies bearing some simi-
established. Customer goodwill is an asset.
larity to the issues of terrorism. Each era was
So, too, is a positive image that will not attract
focused on persons infiltrating facilities and
the ire of extremist groups or individuals.
information sources and causing problems.
Security is concerned with those threats that Asset protection encompasses those threats
are posed by humans. Espionage, sabotage, posed by nature, accident, market, and economic
theft, and assault are examples. factors as well as those posed strictly by humans.

I. FOUNDATIONS
16 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

Asset protection incorporates fire protection, hired soldiers from the northern Viking regions.
HAZMAT, and safety within the discipline. The Varangian Guards operated for hundreds of
It seeks to identify and manage all risks posed years, serving as bodyguards, suppressing riots
to an organization and incorporates many con- and occasionally functioning as combat troops.
cepts of risk management. Asset protection is the In the American Revolution, Britain employed
approach used in addressing problems by many German mercenaries from the province of Hessia
organizations. It is perhaps similar to the “all (Hessians). It was not until the rise of Napoleon
hazards approach” used in emergency manage- that the use of standard full-time armies on
ment. In some cases, the term “loss prevention” active duty was typical. Privately hired soldiers
is used. This has been particularly common in and security personnel were the norm for most
the retail security sector. of history (Maggio, 2009). Today there are pri-
As threats change over time and involve dif- vate military companies who provide security,
ferent environments, asset protection is a truly intelligence, and logistical services to nations.
dynamic undertaking. The history of security/ Iraq and Afghanistan have seen expanding
asset protection is formulated in a variety of markets for these firms. Modern armies are too
areas. Security is influenced by commerce, war, small to do all that is asked of them. As a result,
natural disaster, economic and cultural changes. private companies have stepped in to handle
security and other functions that don’t abso-
lutely require soldiers.
THE WARTIME GROWTH OF A review of some events in history that cre-
SECURITY ated security problems is outlined here.

Military defense is often discussed in the July 1916—an explosion at Black Tom
literature on the history of security. Ortmeier Island, a munitions storage facility in New
(1999) reveals that in prehistoric times, cave Jersey, was set off by a German saboteur.
dwellers stacked rocks around perimeters in This increased War Department security
front of their caves to both mark this space and measures. German agents also set fires, filled
warn off intruders. The Praetorian Guard in fire extinguishers with gasoline, sold heroin
ancient Rome were military personnel. Military to soldiers to make them addicted, and even
threats employ military approaches. Such contaminated the milk supply at the Ft.
approaches often utilize military personnel and Leavenworth Cadet School with nitrogenous
incorporate military culture. germs. German agents also fomented
“Defense-in-depth” is a military concept strikes in key war industries to slow down
wherein assets are protected by successive lines production of war materials (Velke, 2004).
of defense. This includes clear zones, outer The potential for problems caused by
perimeters, inner perimeters, and soldiers or saboteurs, foreign intelligence agents (spies),
protection officers. This is a key element of and terrorists who are state-sponsored
physical security plans. Contemporary facility creates a need for increased security
models of defense-in-depth incorporate layers measures during all military conflicts. Note
of protection. Safes and vaults, alarm systems, that in most discussions of terrorism, foreign
and insurance coverage all comprise the layers agents are not included, although they can
of the protection plan. be a major problem.
Military threats and organizations have been World War II—U.S. Department of War
employed throughout history. The Byzantine established internal security division and
empire, which replaced the Roman empire, swore in 200,000 security officers as military

I. FOUNDATIONS
 HISTORY OF POLICING 17
police auxiliary. State National Guard units system required every male over the age of 12
were also activated. In some cases, states to form into a group of 10 with his neighbors
had Home Guard organizations that enabled called a “tithing.” The tithing was sworn to
the National Guard to engage in combat or help protect fellow citizens and apprehend
combat support activities while the Home and deliver persons who committed crimes.
Guard maintained a domestic security posture. Ten tithings were grouped into hundreds who
Korean War—The “Cold War” era began with were directed by a constable. The constable was
heightened tensions between the United States appointed by a nobleman and was, in effect, the
and Russia. The Industrial Security Manual first police officer (Peak, 1997).
was published in 1952. This was considered Note that early Roman and English—and
the “Bible” of Department of Defense (DOD) later American—policing functions were depen-
contractor security procedures. It established dent on citizen involvement. This is still true
information protection, personnel security, today. Homeland Security requires citizens to
and physical security measures for DOD be vigilant for indications of terrorism. Major
contractors. Since the United States was in a disasters require government, corporate, and
wartime economy until about 1975, there was nonprofit volunteer organizations (Red Cross)
heavy activity in this sector. Many security to work together. The lesson is that the need for
personnel worked in “industrial security.” mutual assistance spawns protective efforts.
In the early nineteenth century, London con-
tinued to have a large population with crime
HISTORY OF POLICING and disorder problems. As few organiza-
tional models were available at this time, the
Police in Ancient Rome consisted of the military model was adopted for the London
Praetorian Guards, which was a military unit. Metropolitan Police (Ortmeier, 1999). What
There were also cohorts who kept peace. The Robert Peel established in 1829 in London
vigiles were civilian freemen who controlled served as an organizational model for police
fires and assisted in controlling crime and disor- and security departments. In America, cities
der. It is interesting to note that urban mob vio- began to develop uniformed police forces in the
lence was one reason why municipal police were mid-1800s. These forces were similar to what
formed in both England and the United States. we have today. Peel set forth a series of princi-
With the Norman Conquest of England in ples upon which a police force could be estab-
1066, there were several significant governmen- lished and administered. While his specific
tal developments: frame of reference was public law enforcement,
the principles are also adaptable to uniformed
1. The introduction of feudalism, a contractual
private protection forces:
relationship between lords of the manor,
and their tenants or vassals. Feudalism was
1. The police must be stable, efficient, and
a system in which the landholder provided
organized along military lines.
for the security of the tenant peasants in
2. The police must be under government control.
exchange for a portion of the harvest.
3. The absence of crime will best prove the
2. The centralization of government.
efficiency of police.
3. The reorganization of the church.
4. The distribution of crime news is absolutely
One protection development that was estab- essential.
lished was a community-based system of polic- 5. The deployment of police strength both by
ing called the frankpledge. The frankpledge time and by area is essential.

I. FOUNDATIONS
18 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

6. No quality is more indispensable to a police police forces are older in most cases. Private polic-
officer than a perfect command of temper; ing preceded public policing with merchant,
a quiet, determined manner has more effect parish, and dock police forces in England. Public
than violent action. and private were difficult to distinguish from
7. Good appearance commands respect. each other. Railroad Police were, and still are,
8. The securing and training of proper persons a privately employed police force with full law
are at the root of efficiency. enforcement authority. Many states in America
9. Public security demands that every police enacted legislation to establish railroad police
officer be given a number. forces. In many rural areas these were the only
10. Police headquarters should be centrally law enforcement agencies in existence. By 1914
located. there were 12,000 railroad police in America.
11. Police officers should be hired on a During World War I they were deputized by the
probationary basis. federal government (Purpura, 2002). The Coal and
12. Police records are necessary to the correct Iron Police in Pennsylvania were also privately
distribution of police strength. employed and had law enforcement powers.
Current policing in the United States was
In the mid-nineteenth century, major American
greatly influenced by the Omnibus Crime Control
cities began to develop police departments.
and Safe Streets Act of 1968. This created the Law
These forces evolved out of earlier night watch
Enforcement Assistance Administration (LEAA),
systems that utilized volunteers or civilians.
which funded training and education for police.
Some of these forces only operated at night, and
Police by the thousands began to acquire col-
they were no longer effective at controlling crime
lege educations. Criminal justice programs were
in burgeoning urban environments. Organized,
started at colleges across the country. While there
paid, full-time police operating under the prin-
were only five or so institutions offering degrees
ciples established by Robert Peel began to take
in criminal justice prior to 1968, today there are
shape.
thousands. The LEAA also provided grant mon-
State police forces also developed. The
ies for equipment and crime analysis by police
Pennsylvania State Police is generally regarded
departments. The LEAA also spent massive sums
as the first modern state police department.
on developing criminal justice.
While Texas and Massachusetts had state police
Fees were used to pay for early police ser-
forces, these were vastly different from the orga-
vices. The Parliamentary Reward System in
nizations we think of today as “state police.”
England paid a fee of 40 English pounds to
The Pennsylvania State Police have full law
private persons who captured felons. Both
enforcement authority. They also are respon-
Jonathan Wild and the Bow Street Runners were
sible for traffic control on state highways such
early private detectives who worked under the
as the Pennsylvania Turnpike. In some states,
Parliamentary Reward System. In the nineteenth
there are separate highway patrol forces that
century, there were private detectives who
specialize in traffic law enforcement (California
received rewards for recovering stolen prop-
Highway Patrol, Ohio Highway Patrol).
erty. Over time these private detectives were
replaced by public police, due to criticism of
“PRIVATE SECURITY” OR “PUBLIC their methods as well as the entry of insurance
POLICE”? companies. Once there were insurance policies
to compensate policyholders for their losses, the
Policing is both public and private. Public incentive to recover stolen property subsided
policing as we know it is relatively recent. Private (Kuykendall, 1986). This change was gradual;

I. FOUNDATIONS
 “PRIVATE SECURITY” OR “PUBLIC POLICE”? 19
U.S. police often worked for rewards. One of the 4. Federal agencies such as the Secret Service
notable contributions of Allan Pinkerton was and U.S. Marshals are really more concerned
that he established a code of ethics and forbade with security than law enforcement
the acceptance of rewards by his men. functions. There is also the Federal Protective
There are still some examples of fee systems Service, National Security Agency, and
in use today, but these are rare. Constables in Customs and Border Protection. While the
Pennsylvania are private citizens with arrest officers who work for these organizations
powers who serve warrants and perform vari- have law enforcement authority, they are
ous court functions on a fee basis. The consta- first and foremost protection organizations.
ble system was imported from England and is 5. Government agencies often have either
an elected office in Pennsylvania. Note that an proprietary or contract security departments.
advantage of the fee system is that the govern- Housing bureaus, school systems, parks
ment is only paying for services rendered. There departments, reservoirs, and so on are
is no benefit package such as health insurance protected by security personnel. Some cities
and retirement. and counties have their own proprietary
Some other examples of “private secu- security departments.
rity” or “public law enforcement” include the 6. Military and federal installations have
following: security forces. These may be either
proprietary government employees or
1. Police in major cities may serve as private contract officers. The U.S. federal
“ambassadors” of the city. These officers government is a large user of contract
may be stationed in transportation centers or security services.
public facilities where people visiting the city 7. Shopping centers are private properties open
are likely to meet them. This is the same role to the public for business. They usually have
played by private protection officers in hotels, proprietary security forces. Some have police
resorts, casinos, and shopping centers. The substations within so that close cooperation
concept is the same: aid and assist visitors and between mall management, the security
preserve the quality of life for those visitors. department, and the police department is
2. Contract security personnel patrol apartment facilitated.
complexes, housing developments, and 8. Commissioned security officers are used
shopping centers in a form of “community- in some environments. These are privately
oriented policing.” Some firms specialize employed protection officers who have
in “weeding” out the criminal element via police commissions. This enables them to
surveillance and apprehension of drug make arrests under certain circumstances,
dealers and other criminals. This helps create for certain types of offenses and/or within
a safe environment for the contract officers to a specified area. Large hospitals and resorts
assume their “community-oriented” policing located in remote locations, and quite a few
role. They help neighborhood children, private colleges, use this model.
organize community activities, and so on.
3. College campuses often have campus The blending of police and security was great
police who conduct more asset protection in the nineteenth century and, it is probably
and security work than law enforcement safe to say, within the past 30 years or so. It
functions. Some colleges have both police will probably continue as our society becomes
and security divisions. Almost all have some increasingly complex and we more frequently
type of student patrols. utilize resources on a contractual/outsourcing

I. FOUNDATIONS
20 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

or task force basis. Computer crimes will neces- amounts of heat and oxygen, virtually anything can
sitate contracting out for investigative exper- become fuel for a fire.
tise by government agencies. So, too, will cost The threat of fire varies with the environment.
considerations as police are extremely expen- The perception of that threat also changes. Before
sive employees to maintain. Police require the Civil War, fire insurance executives gener-
extensive preemployment screening, training, ally viewed fire as good for business (Purpura,
equipment, and health and pension benefits. 1991). Fires were similar to airplane crashes in
As a result they will have to be used more judi- that they were relatively improbable events that
ciously. Functions that do not absolutely require created hysteria and spurred the purchase of
a sworn law enforcement officer can be per- insurance policies. Insurance companies made
formed by a civilian. This can be a municipal money on these policies until excessive fires—
proprietary or contract employee. in heavily populated areas where buildings
Additional factors in this blending are retire- were constructed of wood—caused enormous
ment plans and an aging population. Retired amounts of claims to be paid.
police do not make enough money to cease Here is a brief overview of some major
working. Employing them as security officers or events in the development of fire protection
investigators may utilize their skills in a mutually beginning in the 1600s:
beneficial manner to both employer and officer.
An area of concern is police “moonlighting” 1631: A disastrous fire in Boston resulted in
in security. This can create numerous problems, the first fire ordinance in the United States.
such as determining whether the off-duty police This ordinance prohibited wooden chimneys
officer is a police officer or security officer when and thatched roofs (Ortmeier, 1999). Wooden
making apprehensions, and so on. There may chimneys were banned in London in 1647
be a temptation to use official databases for (Cote & Bugbee, 1988). Wooden chimneys
the benefit of a private employer. Preferential were often used in American soldiers’ winter
treatment of the employer (store, mall, the- quarters and the cabins of slaves.
ater, restaurant, hotel, etc.) by the police may 1666: The Great Fire of London spread due
occur. Off-duty work may also begin to take to closely situated wooden buildings, wind,
precedence over the full-time job. The officer and dry weather. The fire initiated some
may spend too many hours working off-duty interest in fire prevention by insurance
and become tired. Officer survival concerns companies. A complete code of building
are greatly expanded with off-duty police. regulations was adopted but not made
Employers of off-duty police may also have a effective, since commissioners to enforce the
hard time controlling them. Terminating their regulations were not appointed until 1774
employment can create intense hostility from (Cote & Bugbee, 1988).
local police departments. 1667: Phoenix Fire Office—a private
firefighting service that suppressed fires
on subscribers’ property. Subscribers’ had
FIRE PROTECTION a crest on their buildings to mark them.
Other private fire companies also formed.
Fire protection is a major issue in asset pro- Today, some industrial complexes and other
tection. Fire can destroy almost anything. It is a facilities have their own proprietary or
chemical process whereby heat, fuel, and oxy- in-house fire brigades. Some of these are
gen combine in a chemical chain reaction to well equipped and can suppress small fires.
turn a solid or liquid into a gas. With adequate In most cases, fire departments are paid

I. FOUNDATIONS
 COMMERCE 21
public professionals. Volunteer firemen Association. This resulted in the
are also used and play an important development of the National Building Code
role in providing firefighting services to for municipalities (Purpura, 1991).
many areas. Some fire departments are
a hybrid of paid and volunteer
firefighters. COMMERCE
1871: Peshtigo Fire—a logging community
in Wisconsin; Peshtigo had very dry weather Commerce has a tremendous relationship
and this aided the spread of a forest fire to asset protection. Professional security per-
that burned vast acres of land. A massive sonnel must understand the marketing of their
firestorm formed where the fire consumed employer’s goods and services in order to be
oxygen at such a rate that it created effective. A retail loss prevention agent must
significant draft. Firestorms occur where a understand that selling merchandise is the
fire is large enough to essentially create its reason for the existence of the store, not the
own mini-weather system. The Peshtigo apprehension of shoplifters. Marketing must
Fire was probably the worst fire in U.S. be balanced with security. They are “both different
history. It is relatively unknown because the sides of the same coin.” It can be said, in both a
Chicago Fire, which occurred a few days theoretical and practical sense, that “marketing
later, received more attention from the news is the ‘flip side’ of security.”
media. From the beginning of the nineteenth cen-
1871: Chicago Fire. As in the Great Fire of tury until the development of the railroads,
London, closely situated wooden buildings massive canal networks were constructed in
caught fire in dry weather. The wind the eastern United States. During their heyday,
whipped the fire through Chicago, and the canals had asset protection concerns with acci-
city was destroyed. We commemorate the dents and labor shortages. Workers were some-
Chicago Fire with Fire Prevention Week. times injured and barges and canals damaged.
Fire Prevention Week is held each year in Railroad expansion during the nineteenth
October. century was dramatic. Railroads were neces-
1894: Underwriter’s Laboratories (UL) sary to ship goods and raw materials in large
was formed. UL is an independent testing quantities. Railroads had, and still have, a vari-
laboratory. It subjects products to extensive ety of security and safety issues. Nineteenth-
tests to see if they work as they are supposed century American railroads faced attacks and
to and if they are safe. sabotage of tracks and telegraph lines by Native
1896: The National Fire Protection Americans, buffalo stampedes, wrecks, and
Administration development of standards labor difficulties. The labor problems included
for fire protection. These standards are used both shortages of workers and strikes. While
throughout the industry and are the basis for the railroads had their own police forces and
many municipal fire codes. contracted with the Pinkerton Agency, they also
1948: The National Burglar and Fire Alarm relied on an external control force—the Union
Association (NBFAA) was formed. NBFAA Army. The Army had nearly 5,000 soldiers
offers membership, publications, seminars, patrolling along and around the tracks in 1868
and professional certification programs for (Matthews, 1990). Human resource manage-
alarm installers. ment problems (recruitment of quality person-
1965: National Board of Fire Underwriters nel), safety issues, and external threats faced
was merged with the American Insurance by the railroads, parallel the challenges facing

I. FOUNDATIONS
22 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

contemporary asset protection managers. Today’s protection due to their vast wealth, as do cur-
manager is concerned with personnel recruitment rent celebrities such as rock stars, film stars, and
(hiring) and retention (keeping workers), OSHA corporate executives.
compliance, and external threats such as terrorist With the availability of retail store out-
attacks. lets and self-service shopping, shoplifting has
Air transport is vulnerable to theft, safety become a major issue. It is a low-tech crime
problems, terrorists, and “air rage” by emotion- that can be carried out by juveniles, drug
ally disturbed passengers. In 1969, numerous addicts, and so on. With the high value of some
airplane hijackings occurred, and in 1974, the store merchandise, sophisticated professional
Anti-Hijacking and Air Transportation Security thieves, and even terrorist groups engage in
Act was passed, establishing security programs retail theft. Organized Retail Theft (ORT) incor-
at airports. “Air rage” and the September 11 porates theft, repackaging, and distribution of
hijackings as well as the shoe bomb possessed the stolen product. It is a sophisticated opera-
by Richard Reid are more current issues. tion involving various entities and warehouses
Shipping on the high seas has historically to store the merchandise.
presented problems with piracy and labor/ Contemporary loss problems include the
human resource management (HRM) issues. counterfeiting of name brand items. Cigarettes
Contemporary cruise ships face issues such as are also a prime black market item because of
drunken, assaultive passengers and lawsuits their cost due to tax increases. Criminal enter-
due to cases of sexual harassment and rapes. prises that respond to these black markets are
The threat of terrorism is also very real, be it becoming more sophisticated. The theft of infor-
through the commandeering of a cruise ship, mation concerning the development of new
the smuggling of weapons of mass destruc- toys and drugs are major issues. “Competitive
tion aboard freighters, or attacks on ports such intelligence” and counterintelligence are key
as detonating an explosive-laden ship within asset protection functions today. Internet crimes
a harbor. Piracy—the robbery or hijacking of ranging from harassing e-mails to viruses,
ships—continues to be a problem in some areas. diversion of funds, denial of service attacks,
Telephone communication and Internet com- and espionage are also problems. The theft of
merce are the new fronts for security issues phone service and credit (identity theft or credit
relating to commerce. Disinformation (the delib- card theft) is also a major problem. Identity
erate dissemination of false information such as theft/fraud creates large amounts of indirect
“urban legends”), theft of communications ser- loss to the victim as investigating and clean-
vices, and so on are major concerns. ing up the problem takes enormous amounts
of time. Employers of identity theft victims are
also affected by a loss of productivity as the vic-
ECONOMIC AND MARKETING tim must take time to straighten out the finan-
TRENDS AND ASSET PROTECTION cial mess.
Criminal targets change as rapidly as eco-
The desirability of an asset has an effect on nomics and markets dictate. Understanding
the probability of its being stolen. A funda- markets is crucial to comprehending and
mental component of protection is to assign a subsequently planning protective measures.
monetary value to something. Historically, the Marketing is the “flip side” of security in more
“robber barons” of the late nineteenth century ways than one.
needed protection of their railroads, coal mines, Generally speaking, criminals outpace the
and steel mills. They also needed personal efforts of police and security professionals.

I. FOUNDATIONS
 DEMOGRAPHICS 23
Historically, they have been able to create loss The Molly Maguires were an underground
by being one step ahead of protective measures. organization predominantly comprised of Irish
miners, who perpetrated assaults and homi-
cides against those they didn’t like. They also
DEMOGRAPHICS engaged in acts of sabotage against the rail-
roads. They were thugs in the eyes of Allan
Demographics play a major role in asset pro- Pinkerton, labor union activists according to
tection. Demographic theories of crime causation revisionist historians in the 1970s, and, per-
focus on the changing composition of the popu- haps, to a degree, terrorists. The “Mollies”
lation. Urbanization theories of crime causation were investigated by a Pinkerton operative in
focus on the changing of a society from rural to a three-year undercover operation. Many of the
urban, and cultural-difference theories focus on Molly Maguires were hanged in the mid-1870s.
cultural conflict within a society (Ortmeier, 1999). The Molly Maguires took their name from Irish
Population shifts in London during the activists/criminals who dressed as women and
Industrial Revolution brought in large numbers fought the landlords in Ireland (a class strug-
of shop workers who had previously worked in gle). See The Molly Maguires with Sean Connery
farming. There were cultural conflicts, drunken- and Richard Harris for a 1969—and perhaps
ness, overpopulation, and rampant crime. Riots “revisionist”—perspective on this.
were common and police action needed to be The Molly Maguires case was important
concerted and organized (along military lines). as it was probably the first use of a task force
American cities, such as New York during the (Pinkerton men teamed with Coal and Iron
1850s, experienced similar crime and social Police) as well as the first major undercover
problems. investigation.
Immigration has caused increases in crime Invariably there are criminals among immi-
due to cultural conflicts—for example, the rapid grant groups who exploit their fellow country-
expansion of Irish immigration in America dur- men. In most cases, organized crime activity
ing the period 1845 to 1852 in response to the dissipates after the immigrant group becomes
Potato Famine of 1847. Coleman (1969) cites assimilated into the dominant culture. Common
census statistics from 1870 as stating that there examples of this are slave trading, prostitution,
were 8,641 Irish immigrants to the United States gambling, narcotics, and smuggling. Extortion
in 1845, 29,540 in 1847, and 157,548 in 1852. As via protection rackets as well as criminal group
the coal mines provided, on their face, lucrative infiltration of organized labor also occurs. See
offers of employment, numerous Irish immi- the movies Goodfellas and Once Upon a Time in
grants became employed as coal miners. Irish America for some perspective on organized
miners who felt exploited struck back at the crime infiltration.
mine bosses and railroad owners through orga- Current immigrant criminal enterprises are
nized criminal activities. from Russian organized crime groups, South

PRACTICAL EXERCISE
List an ethnic group that is largely employed in a certain industry. Do their employers exploit that
group? How? What types of actions could they take to exact revenge on their employers?

I. FOUNDATIONS
24 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

Korean groups, and so on. With the breakup numerous other types. Note that not all terror-
of the Soviet Union, many of these immigrant ist activity is politically inspired. In the United
groups have turned to criminal enterprises. States many are the acts of mentally ill individ-
A new wrinkle is that some organized crime uals. Whatever the motivation behind it, each
today is transnational and crosses international terrorist threat requires both a proactive and a
borders. The more traditional organized crime reactive response to it.
groups have stayed within their own ethnic Terrorism can perhaps be understood by
group and preyed upon the members. looking at a few significant events.
Population density, culture, age, gender, 1848—Communist Manifesto was written
and other factors also play heavily in terms of by Karl Marx and Friedrich Engels. This
safety issues. Elder care requires certain aspects established the political theory of Marxism—
of asset protection. Government requirements often called “Communism.” The bourgeoisie
for long-term care facilities and patients suffer- (ruling class of capitalists) exploit the
ing from Alzheimer’s create daily challenges. proletariat (laborers). The proletariat should
Emergency planning for a population that is not rise up and overthrow the bourgeoisie and
ambulatory and has failing hearing and sight is establish a utopian society, a “dictatorship
also an issue. In school security, managers must of the proletariat” where everyone shares
focus on drug dealing, evacuation plans, active equally. Propaganda was used to educate the
shooters, parking, and crowd management at masses and inspire them to revolt. Marxism
special events. Hotel security must be concerned was born in 1848 and left-wing terrorist
with a transitory population. Issues include dis- groups throughout the world followed it.
orderly guests, dishonest employees, sexual 1886—The Haymarket Riot in Chicago
assault, and fire and guest services. Each popu- was instigated by anarchists during a rally
lation has unique safety and security needs. against McCormick Harvester. A bomb was
thrown and seven policemen were killed,
with another 60 injured. Six workers were
CLASS STRUGGLES AND also killed as police and workers exchanged
TERRORISM gunfire. Anarchists believed in the abolition
of governments. This movement utilized
A recurrent theme concerning the history of terror tactics such as assassination (William
security and that of policing is the presence of McKinley and six other heads of state) and
class struggles. Class struggles were apparent bombings. They were very active in France,
during the French Revolution and later with Russia, Italy, Spain, Germany, and the United
the development of terrorism as a significant States during the later nineteenth and early
security/law enforcement problem. It also twentieth centuries. There are still anarchists
relates, to some degree, to the problems encoun- in contemporary American society, but their
tered with the organized labor movement in violent activities have subsided greatly since
America. The following discussion on terrorism the 1880s to the 1920s. After the Haymarket
relates to left-wing and right-wing terrorism Affair, local industrialists donated land to
that is politically and economically inspired. the federal government so that troops could
Left-wing terrorists are usually anti-government be stationed nearby. Fort Sheridan was built
and have socialist leanings. Right-wing ter- for this purpose.
rorists are anti-government and highly con- 1969—There were numerous hijackings of
servative. These are two basic classifications airliners to Cuba by dissident individuals.
of political extremism. There are, however, There were also bombings of federal

I. FOUNDATIONS
 CLASS STRUGGLES AND TERRORISM 25
buildings. In the Munich Massacre, Israeli government that raised their taxes and took
athletes at the Olympics were killed by away their gun ownership rights. Minority
Palestinian terrorists. The Munich Massacre groups were seen as taking their jobs. In
showed the world that terrorism was indeed urban areas, the Skinheads formed. American
a problem. It brought terrorism to the living Skinheads are based on a working-class move-
rooms of the world via television. ment in the United Kingdom during the early
1972—Patty Hearst and the Symbionese 1970s. The British Skinheads wore Doc Martens
Liberation Army (SLA)—a left-wing boots and close-cropped hair, and they targeted
antigovernment group. The granddaughter minority group members and immigrants for
of newspaper magnate William Randolph taking their jobs. The right-wing groups gain
Hearst was kidnapped by the SLA and later followers during economically depressed times.
joined them. She was “underground” for They are also inspired by government control
20 months, traveling across the country. over gun ownership and increased taxes.
The Patty Hearst case showed that fugitives In the 1990s and into the early twenty-first
could remain underground for extensive century, terrorism perpetrated by right-wing
periods of time in the United States. See the extremists was largely overshadowed by the
film The Patty Hearst Story for an excellent activities of radical Islamic fundamentalists.
treatment of how left-wing radicals operated A series of terrorist events within the late
in the United States during the early 1970s. 1990s and early twenty-first century include the
1973—Nyack Incident—several left-wing following:
terrorist groups thought to be long dormant
collaborated on a “fundraiser” (armored car
● The 1993 World Trade Center bombing by
robbery) in Nyack, New York. This showed Islamic fundamentalists who planted an
that groups thought to be long dormant were explosives-laden vehicle in the parking
still active. Note that the Vietnam War created garage and detonated it.
intense antigovernment feelings in the United
● The 1995 Oklahoma City Bombing by right-
States. After the U.S. involvement in Vietnam wing terrorists who used a massive truck
ended in 1973, much of the left-wing sentiment bomb to demolish the Alfred P. Murrah
faded. The Nyack Incident showed that there Federal Building.
were still some virulent left-wing terrorist
● The September 11, 2001, World Trade
groups operating. That is an important Center and Pentagon attacks by Islamic
lesson: that groups no longer “on the radar” fundamentalists associated with al-Qaeda.
can reemerge. Note that occasionally 1970s The attackers hijacked four airliners and
terrorists are still being caught. The Nyack crashed two of them into the World Trade
Incident also showed that left-wing groups Center and one into the Pentagon. One
were working in concert with one another. airliner was crashed in a field near Somerset,
This is a major concern with terrorism as “the Pennsylvania, after passengers overpowered
enemy of my enemy is my friend.” Alliances the hijackers. This alerted the United States
can easily and quickly form between groups. that it had a serious problem with some of the
more radical followers of Islam.
In the 1980s and 1990s, right-wing terror-
ism became more of an issue than left-wing, In Madrid on March 11, 2004, 192 peo-
Marxist-inspired terrorist activity. Economically ple were killed and 1,841 wounded when 10
disenfranchised males in rural America often bombs exploded on four commuter trains. The
believed that they were being subjugated eco- bombs exploded within minutes of each other.
nomically by Jewish bankers and a federal Seven of the key suspects, including the alleged

I. FOUNDATIONS
26 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

master mind, died in the explosion. A police- The 9/11 attacks in America, the 3/11 attacks
man was also killed. Twenty-one people were in Madrid, and the attack in Mumbai all illus-
arrested in connection with the attacks, most of trate the workings of organized, dedicated ter-
them Moroccan (http://news.bbc.co.uk/2/shared/ rorists. To better understand the forces driving
spl/hi/guides/457000/457031/html/. Retrieved radical Islamic fundamentalists, consider the
October 11, 2009). The choice of multiple targets following:
in a simultaneous coordinated attack is a key
feature of an operation by al-Qaeda. The attack Old vs. New—there is a “clash of cultures”
appears to have been designed to inflict the maxi- between traditional ideals and new, Western
mum number of civilian casualties. This is also values. There is also a power shift away from
consistent with previous al-Qaeda operations religious leaders who formerly had much
(http://news.bbc.co.uk/2/hi/europe/3582501 more control over their followers.
.stm. Retrieved October 11, 2009). Class struggles—large numbers of
In Mumbai, India, on November 28, 2008, 151 unemployed or underemployed persons
people were killed by terrorists using automatic living in poverty.
weapons and hand grenades. The 60 terrorists Demographics—undereducated or
were in nine different groups with some attacking miseducated Middle Eastern or Muslim
train stations and others taking hostages in a hotel young men who have been taught that the
(http://www.boston.com/bigpicture/2008/11/ United States is “The Great Satan.” These
mumbai_under_attack.html. Retrieved October impressionable young men can become an
11, 2009). Islamic fundamentalists based in army of destruction if the right conditions
Pakistan were behind the attack. are met.

PRACTICAL EXERCISE
Develop a list of specific threat actions posed by terrorists, such as bombings, assassinations, cyber
attacks, kidnapping, and so on. Next, list a proactive countermeasure to be used before the attack is
launched. Finally, list a reactive countermeasure to be employed as the attack is taking place or after
the attack has occurred.

Terrorist Threat Action Proactive Reactive

I. FOUNDATIONS
 LABOR RELATIONS 27
Culture of warfare—some areas of the of earlier labor issues. One must understand
world have experienced warfare for an the historical context of “labor relations” in
extended period of time. This warfare may American society to fully appreciate the devel-
be low, medium, or high intensity. In most opment of both labor unions and control forces.
cases it is low-intensity guerrilla warfare or “Labor relations” during “the mean years”
insurgency. In some cases, entire generations of 1866–1937 (Calder, 1985) consisted of some
of people have been immersed in wars. tactics employed by management that would
Afghanistan, Palestine, and Bosnia are be unacceptable by contemporary society.
examples of this. These included the intimidation of labor lead-
Religion—a perversion of Islam that ers, spies, and “agent provocateurs” (persons
emphasizes traditional values and who instigate illegal activity and then work to
demonizes the West has occurred. Religion have the participants arrested for violating the
is a powerful influence on people. law) in unions; assaults with machine guns;
People who are living in poverty or feel the importation of strike breakers (workers who
discriminated against may turn to religion replace those who are on strike); the subversion
as an answer to their problems. Religion of attempts by workers to organize by the pro-
also gives legitimacy to the exhortations motion of interethnic conflict; and the use of
of leaders. If a leader advocates deviant thugs to intimidate workers.
behavior—violence—it may be acceptable to Note: See Matewan with James Earl Jones,
his impressionable followers. Chris Cooper, and Mary MacDonald for an
Charismatic leaders—all dynamic groups excellent treatment of this topic based on the
have charismatic leaders. Extremist groups 1920 Matewan Massacre. The Matewan Massacre
thrive on them. A charismatic leader can was a gun battle waged between striking min-
exploit—as did Adolf Hitler—cultural, ers and the Baldwin-Felts Detective Agency in
social, and economic forces in a negative Matewan, West Virginia.
way. Charismatic leaders can create large These are some of the key events in the
numbers of youthful terrorists. struggle of organized labor within the United
States.

LABOR RELATIONS 1866—National Labor Union was formed

in Baltimore—a national union was now in
Labor relations have played a very large role place rather than the previous groups.
in the history of both policing and security in These were local or trade-specific small
America. It is also important for understand- groups with little power. A national union
ing the development of society as a whole. could mobilize large numbers of workers.
Organized labor brought together people of dif- These workers could organize massive
ferent ethnic groups. It established numerous strikes and shut down factories, mines, and
changes in the workplace, such as benefit plans railroads.
for employees and the establishment of disci- 1892—Homestead Strike—a labor dispute
plinary procedures based on the concept of due between the Carnegie Steel Company and
process. the Amalgamated Association of Iron and
While union membership is declining at Steel workers resulted in a lockout. Henry
present, many of the contemporary approaches Clay Frick, Carnegie’s general manager,
to labor relations, physical security, contingency tried to get the workers to accept a wage
planning, and personnel security are a result cut. He then locked the workers out of

I. FOUNDATIONS
28 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

the plant so that they could not work. The Philadelphia City Cavalry after the Great
workers assumed that Frick would do this Anthracite Strike in 1903–1904.
and reopen the plant using strikebreakers 1933—National Industrial Recovery Act
(employees who replace striking workers). insured collective bargaining rights. Wagner
Three hundred Pinkerton detectives came Act (National Labor Relations Act) created
by barge up the Monongahela River and the National Labor Relations Board in 1935,
tried to secure the plant. A battle ensued giving a real enforcement function to the
which lasted all day. The workers used a National Industrial Recovery Act.
small cannon to try and sink the barges 1937—Battle of the Overpass. During a strike
and set them on fire by pouring oil into the against the Ford Motor Company, labor
river and lighting it. The Pinkertons were leader Walter Reuther and a companion were
defeated and had to surrender (Fossum, severely beaten by Ford Service security
1982). Nine strikers and seven Pinkertons officers while not doing anything illegal. This
were killed (Gage, 2009). The militia were beating was not unusual except that it was
called in by the governor. Interestingly photographed by newspaper reporters. The
enough, Frick was later shot by an anarchist American public was not sympathetic toward
who attacked him in his home. unions as they were regarded as “communist”
1894—Pullman Strike—the Pullman or “anarchist.” With the Battle of the
Palace Car Company laid off half of their Overpass, however, the public was outraged
employees and forced the rest to take a at the actions of Dearborn, Michigan, police
40% wage cut. Workers were required to and Bennett’s Ford Service men—the end of
live in company housing. After the wage “the mean years” of labor relations.
reductions, there was no reduction in the 1947—In 1946, there were a large number of
rent for the housing. The local strike became strikes; organized labor reached its zenith in
a sympathy strike as American Railway this period. Congress passed the Taft-Hartley
Union (ARU) members refused to handle Act. One of the provisions of the Act is that
trains with Pullman cars. Trains were the U.S. president, through the attorney
stopped and Pullman cars were uncoupled. general, can obtain an injunction against
The rail owners assembled trains so that a strike or lockout if a substantial area is
if Pullman cars were uncoupled, mail cars affected or national security is
would also be cut off. Interfering with the threatened.
mail was a federal offense. Eugene Debs, the
ARU leader was sent to jail for conspiring Today, there are specialized contract secu-
to obstruct the mail. President Grover rity firms that have strike security forces. These
Cleveland called out the Army so that the firms supply consulting and guard service to
mail could be delivered and the strike was companies having labor difficulties. They gen-
broken (Fossum, 1982). erally employ persons with a military back-
1900—Latimer Massacre—large numbers ground and provide their personnel with
of Serbian miners were killed by sheriffs’ training in labor law, crowd management, and
deputies during a strike in Latimer, so on. These specialized firms are able to man-
Pennsylvania. The United States offered an age volatile labor disputes with minimal harm
official apology to the government of Serbia to persons or property. Additionally, the collec-
after this incident. tive bargaining rights of workers are upheld.
1905—Pennsylvania State Police—first Strikes are handled in a much more professional
modern state police force. Formed from the manner than in the past.

I. FOUNDATIONS
 LAW 29

PRACTICAL EXERCISE
It is 1920. The Great War is over and you are a military veteran with service in World War I. You
are out of work and have several children to feed. The best employment prospect is with a private
security firm that is doing strike security work. How do you feel about this?

LAW heavily to asset protection. Protection profes-

sionals must be well versed in legal concepts.
The first codification of law in Western civi- In many cases, security managers, safety direc-
lization is generally attributed to Hammurabi tors, and consultants develop policies and pro-
who served as king of Babylon from 1792 B.C. cedures based on legal obligations. Protection
to 1750 B.C. The Code of Hammurabi specified managers are also occasionally asked to give
offenses and punishments for each. While the upper management advice on general legal
popular view is that the Code consisted of “an issues (specific legal concerns should only be
eye for an eye,” this may not be completely true. addressed by an attorney after careful research
There were differing punishments based on the of similar cases). Protection officers and inves-
social class standing of the victim and offender. tigators must also make legal determinations
More important, much of the Code deals with during the course of their duties. Protection
what we would refer to today as “civil law.” officers must be “legal consultants” well versed
There is discussion of the granting of receipts, in legal standards relating to privacy, property
husbandry, town planning, commerce, divorce, rights, and governmental mandates.
regulations for certain occupations, and slavery Laws are authored in response to social
(Bottero, 1973). changes, which apply political pressure. Areas
Another major legal development occurred of the law relating to asset protection/security
in 1215 with the Magna Carta (“Great Charter”) include the following:
in England. The document specified the respon-
sibilities of the state were to its subjects regard- 1. Criminal law with offenses such as
ing individual rights, privileges, and security. trespassing, various types of thefts (retail
The Magna Carta established the concept of theft, theft of trade secrets, and so on),
due process. This means that everyone should vandalism, assault, burglary, robbery,
be treated fairly and according to uniform rape, and so on. Criminal offenses that an
procedures. It is the basis for most law and environment is most likely to encounter
disciplinary procedures. Due process was incor- vary with that environment. Schools have
porated into the Fifth Amendment of the U.S. different legal challenges than shopping
Constitution: “no person shall be deprived of centers; manufacturing facilities face their
life, liberty or property without due process of own unique legal issues, as do hotels.
law.” Perhaps most important, the Magna Carta Protection officers should become familiar
implied that the king was not above the law. with the criminal laws that are most
Law can be divided into statutory law— commonly violated in the environment
established by legislative statute, case law— they are assigned to protect. Note: See www
established by a court decision, and common .looseleaflaw.com or www.gouldlaw.com for
law—passed down through tradition. All relate state criminal codes in the United States.

I. FOUNDATIONS
30 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

2. Civil law relates to legal standards, which evidence and can’t be sold). The processes
govern the conduct between individuals. for forfeiture and civil recovery are not
Civil law relates to contracts that include the encumbered by constitutional protections
following. to the accused (as in criminal law) and the
a) Contract security service burden of proof is a preponderance (majority
b) Private investigative service such as 55%) of the evidence. In a criminal
c) Armored car service case, proof beyond a reasonable doubt (99%
d) Personal protection/executive protection certainty) is required. Civil laws are being
service used increasingly to combat criminal activity.
e) Alarm monitoring Civil law also covers torts or private
f) Alarm response wrongs committed against another, such
g) Employment contracts for management as defamation, invasion of privacy, assault,
and labor battery, and so on. Torts may be thought of
h) Nondisclosure pacts—agreements not to as the civil equivalent of crimes. It must be
disclose proprietary information, such as borne in mind, however, that the definitions
trade secrets are different.
i) Noncompetitive agreements or pacts— Negligence is a failure to exercise reasonable
agreements not to seek employment and due care (such as not following a
with competing firms within a specific recognized standard) by doing something
time frame and/or geographic area after dangerous or not doing something, which
termination of employment is necessary for safety. In order to prove
j) Leases between landlords and tenants— negligence, the plaintiff (party bringing
these can be individuals who rent the action or suit) may have to show the
apartments or businesses, such as in following:
shopping centers ● The existence of a duty
Civil law also involves asset forfeiture and ● A failure to perform that duty
civil demand or civil recovery. The former ● Injury or harm occurring to a party to whom
is a civil process used by law enforcement
the duty was owed
officials to obtain property used to commit ● The harm was reasonably foreseeable
crimes. Once a drug dealer or fence has ● The harm was caused by the failure of the
been arrested, their home, car, and any
defendant to perform the duty (Hertig,
other asset they have that has been used
Fennelly, & Tyska, 1998)
in the commission of the offense is taken.
This is a civil process before any criminal 3. Administrative or regulatory law is
conviction has occurred. Civil recovery is established to regulate technical aspects
used by merchants to obtain monetary fees of society. Administrative or regulatory
from shoplifters. Shoplifters are sent a civil agencies are created by the federal or
demand letter stating that if they do not pay state legislature. These agencies have the
a certain fee they will be sued. As a civil suit authority to create rules and regulations.
will ruin someone’s credit, many people They investigate and enforce compliance
simply pay the money, which is collected by with those regulations. They also adjudicate
a third party. This is much more effective for violations and mete out punishments. These
merchants, as they do not have to proceed agencies are very powerful. Complying with
with criminal prosecution, tying up time their regulations is extremely important; so,
and merchandise (this must be kept as too, is complying with them and remaining

I. FOUNDATIONS
 HISTORY OF SECURITY SERVICES 31
in business. Federal administrative agencies National Labor Relations Board, and so
in the United States include the following: on) that regulate the employer-employee
a) Occupational Safety and Health relationship. Labor law also consists of
Administration contracts between employees and employers
b) National Labor Relations Board and privacy issues.
c) Environmental Protection Agency
d) Federal Aviation Administration
e) Nuclear Regulatory Commission HISTORY OF SECURITY SERVICES
f) Federal Communications Commission
g) Equal Employment Opportunity Security services or contract security agen-
Commission cies have played a large role in both public and
Agencies also exist on the state level, private protection. Outsourcing or contracting
such as CALOSHA or the Pennsylvania for security makes economic sense. Flat hourly
Department of Labor and Industry, Human rates are charged and clients do not have to
Relations Commission, Alcoholic Beverage worry about benefit costs and associated human
Commissions, Private Detective and Protective resource management issues. The client can
Agent Licensing Board, and so on. There hire as many personnel as desired for as long as
are also city or municipal boards of health, desired. This provides for flexibility in protection.
building inspection, zoning, and so on. These Additionally, contract service firms may have
regulate food handling in public kitchens, specialized expertise that the client does not.
fire escapes and fire detection equipment, the There are career opportunities here for
number of parking spaces required, setback those who are adept at sales, client relations,
rules from property lines, building permits, and HRM. Security services are growing and
and so on. For information on state security will continue to do so. In addition to standard
licensing, see the International Association of “guard service” there are alarm response, alarm
Security and Investigative Regulators (http:// monitoring, armored car, personal protection
www.iasir.org). specialists (PPS), and private investigation.
The 1990 Campus Security and Student There will always be a need to understand the
Right to Know Act passed in the United dynamics of the outsourcing process for both
States requires colleges to report all crimes contractors and clients.
committed on their campuses. They While contract security firms usually offer
must also publish crime statistics. The private investigative services, most firms spe-
Act is enforced by the U.S. Department cialize in one or the other. Early security service
of Education, which can levy monetary firms began by offering investigative services
penalties for noncompliance. Another and later transitioned into contract security. This
important regulatory law is the Bank happened because there were greater markets—
Protection Act of 1968. This law established and profits—in providing security service. In
security standards to be used in banks that some cases, this continues to occur, although
are insured by the Federal Deposit Insurance the growth in demand for private investigation
Corporation (FDIC). Portions of the Act are is robust enough to allow companies to be prof-
enforced by different federal agencies. itable while keeping investigation as their sole
4. Labor or employment law consists of service. Pinkerton, a Scottish immigrant, became
statutory laws, court decisions, and involved in investigation by accident. While
administrative agency regulations (Equal searching for wood to make barrels, the young
Employment Opportunity Commission, cooper discovered a gang of counterfeiters.

I. FOUNDATIONS
32 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

Pinkerton established the largest protective and monitors home alarm systems and has
investigative agency in the world with branch become a household name in the United
offices in many countries. By the mid-1990s, States.
Pinkerton had 250 offices worldwide with over 1909—William J. Burns—Burns was
50,000 employees (Mackay, 1996). Pinkerton had the original head of the “Bureau of
extensive centralized records and a code of eth- Investigation,” which later became the
ics, used undercover investigation, employed Federal Bureau of Investigation under
the first female detective (Kate Warne—60 years J. Edgar Hoover in 1932. William J. Burns
before the first female police officer), and used founded the William J. Burns Detective
wanted posters. Pinkerton is credited with Agency in 1909. He was virulently
being the first to start a security service; in actu- antianarchist and anticommunist, believing
ality there were other services started before that unions were being controlled by
him, but none has become as well known as subversives and that unions were fronts
his was. for anarchists and communists. Burns
was known for his ability to use evidence
1858—Edwin Holmes started the first collection at the scene of a crime to capture
“central office” (central station) for alarm suspects. In 1910, he apprehended the
monitoring and response. Today we use McNamara brothers, who were president
the term “central alarm station” or “central and secretary of the United Iron Worker’s
station.” Many central stations are contract, Union, for a bombing of the Los Angeles
off-premises facilities that monitor intrusion, Times building. He traced them from parts
fire and process (temperature or pressure of the unexploded bomb. The McNamaras
gauges), or duress (emergency medical or were supposedly avowed anarchists. In the
robbery) alarms. Customers pay for the 1970s and 1980s, Burns International Security
monitoring services. Holmes Protection Services, Inc. became one of the largest
provides monitoring and alarm response contract security firms in the world. It has
services. since been acquired by Securitas.
1874—American District Telegraph (ADT) 1954—George Wackenhut founded the
was founded. ADT became the largest alarm Wackenhut Corporation (wackenhut
company in the world. Their main product .com—see the job info on the Custom
was magnetic contact switches Protection Officer program). The firm
(the little gray boxes above doors and provided security services in over 55
windows in restaurants and stores). Today different countries backed by a staff of 70,000
they provide a wide variety of electronic employees. It also provided staffing for
security equipment. They also provide prisons on a contract basis. Wackenhut was
CCTV, access control systems, and fire acquired by the Danish firm Group4falck
protection systems. ADT bought Holmes in 2002. The parent firm is now known as
Protection in the late 1990s. ADT is now “G4S” and Wackenhut is “G4S Wackenhut.”
a unit of Tyco Fire and Security Services G4S Wackenhut provides access control
(Purpura, 2002). and perimeter security to the U.S. army in
1891—Brinks Armored became the largest various overseas locations (http://www.g4s
armored car company in the world. Founded .com/uk/uk-working_for_g4s/uk-join_us/
by Washington Perry Brinks, the firm trans- uk-vacancy-kosovo.htmTail. Retrieved
ports cash and other valuables. Brinks also October 10, 2009).

I. FOUNDATIONS
 THE PATH TO PROFESSIONALISM 33

THE PATH TO PROFESSIONALISM setting up mandated training and licensing

requirements.
There have been some significant develop- 1977—Certified Protection Professional
ments along the path toward professionalism (CPP) Program established by ASIS. First
for the Security Industry: envisioned during the 1950s, the CPP
program acknowledged that managers must
1955—The American Society for Industrial be competent in a variety of generic subjects
Security (ASIS) was formed in Washington, such as physical security, personnel security,
DC. ASIS consisted of security directors for legal aspects, management, investigations,
Department of Defense contractor firms. and so on. There have been thousands of
Over the passage of time, ASIS International persons designated as Certified Protection
has grown to over 37,000 members in over Professionals around the world. The CPP
200 chapters worldwide (http://www program has become an important credential
.asisonline.org/about/history/index.xml. for management level personnel. The
Retrieved October 11, 2009). Members have process takes approximately 10 years to
a diverse range of positions within private complete. Recertification is required through
industry, law enforcement, government and continuing education and contributions to
security service, and supply firms. ASIS has the industry every 3 years.
numerous councils on such topics as health 1985—The Private Security and Police in
care, retail, campus, banking, economic America: The Hallcrest Report was published.
crime, commercial real estate, gaming and This report was written by Hallcrest Systems
wagering protection, and so on. under funding from the Department of
1971—the Rand Report on Private Police in Justice. The report studied the contributions
America—this was a private research study of police and security to control crime as
by the Rand Corporation. It was important well as the relationship between the public
as the security industry had not been and private sector. The report also found that
studied. The Rand Report found that the the average security officer was younger and
security industry was large, growing, and better educated than the “aging white male”
unregulated. The average security officer in the Rand Report of 1971.
was an aging white male with a limited 1988—International Foundation for Protection
education who was usually untrained and Officers (IFPO)—formed to upgrade the
who worked many hours to make ends meet. professional status of public and private
The Rand Report was useful as a reference protection officers. The IFPO has membership,
point for the Report of the Task Force on Private publications, an Article Archives on their Web
Security in 1975. site, and several professional certification
1975—The Report of the Task Force on programs. Over 35,000 people worldwide
Private Security conducted by the National have become Certified Protection Officers.
Advisory Committee on Criminal Justice There is also a Certified Security Supervision
Standards and Goals was published in 1976. and Management (CSSM) designation. Over
The committee found a lack of training, 3,500 people have attained this designation.
regulation, and job descriptions within the In 2001, the Foundation launched the
security industry. The report advocated Certified Protection Officer Instructor
minimum training standards; these have (CPOI) designation for those individuals
been used as guides by some states in who may instruct the CPO Program in a

I. FOUNDATIONS
34 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

traditional classroom environment. Certified in asset protection. Every organization employs

Protection Officer Instructors must be CPOs some types of protective measures. Many—if
with instructional qualifications. They must not most—have security personnel. A sampling
also have security industry and teaching of positions available and functions that per-
experience. In addition, they must have sons holding those positions perform is out-
professional memberships in organizations lined here. Note that information on careers in
such as IFPO, ASIS, the American Society for law, public safety, and security can be obtained
Training & Development, or the International by visiting http://www.careerclusters.org.
Association of Law Enforcement Educators Fixed posts: Many protection officers work at
and Trainers. fixed posts. These may include baggage screen-
1988—The Association of Certified Fraud ing at airports, vehicle gates at manufacturing
Examiners (ACFE) was started. Today, the facilities, emergency rooms in hospitals, access
ACFE has a membership in excess of 45,000 control points at concerts, in museums, or in
members, representing more than the lobbies of high-rise buildings. Generally,
50 countries (http://www.pacfe.org/home fixed post duties are more rudimentary and
.asp. Retrieved October 11, 2009). Certified are assigned to new officers. Once the officers
Fraud Examiners are employed by a host of master the post assignment, they may be given
public and private entities including District duties at other posts. Often, fixed post functions
Attorney’s offices, federal investigative are contracted out to security service firms, as
agencies, state police, corporate security it is cheaper to do so. Additionally, the contract
departments, private investigative firms, agencies can supply the required number of
and accounting firms. Fraud is a concern in personnel when manpower requirements fluc-
virtually all environments. CFEs must have tuate, such as at special events, emergencies,
experience in fraud investigation and pass an or when facilities close for the evening. College
exam on Criminology and Ethics, Fraudulent students, retirees, homemakers, or active duty
Financial Transactions, Fraud Investigation, military personnel may begin their careers per-
and Legal Elements of Fraud. Note that there forming fixed post duties. A key point in career
are also student memberships available in development is to master the fixed post duties.
the ACFE. Persons who have not done that will probably
not get additional duties assigned to them.
The 2008 Compensation Guide for Anti-Fraud
There are generally extensive opportunities for
Professionals found that CFEs earn nearly 22%
promotion available to those who are willing to
more than their noncertified colleagues (http://
work hard, grow, and develop professionally.
www.acfe.com/about/cfe-designation.asp .
Patrol officer: A patrol officer must be able
Retrieved on October 11, 2009). This is similar
to observe and report discrepancies in the pro-
to other professional certification programs.
tected environment. They must collect intel-
Studies continually find higher earnings for cer-
ligence on changes, unusual situations, or
tified individuals.
suspicious persons (intelligence agent role).
Patrol officers must be adept at interacting with
the public in the environment be that visitors,
CONTEMPORARY CAREERS IN employees, students, patients, or guests (man-
ASSET PROTECTION agement representative role). Patrol officers
must effectively maintain compliance with orga-
There are numerous career fields open to peo- nizational policies (enforcement agent role). In
ple seeking a challenging and rewarding career doing so, they must know the rules of the facility

I. FOUNDATIONS
 CONTEMPORARY CAREERS IN ASSET PROTECTION 35
as well as legal issues relating to privacy, search protection, such as those that detect vibration
and seizure, property rights, and the rights of on a chain link fence or beam-type systems,
employees (legal consultant role). Patrol officers such as microwave placed along a perimeter
must also be able to respond to problems that line), or area protection (volumetric intrusion
may occur, such as slippery walkways, blocked detection for an area such as passive infrared
emergency exits, hazardous materials spills, or PIR or ultrasonic).
fires, fights, or crimes in progress. Obviously, 2. Fire alarms that may be ionization detectors
patrol officers need a variety of skill sets. They (responding to the products of combustion
must be competent in many things. in the earliest phase of a fire).
Retail loss prevention agent: Positions that 3. Emergency, panic, or duress alarms, which
are available with many large firms. These jobs are activated by someone in distress.
offer persons the ability to learn valuable investi- 4. Process alarms that monitor equipment or
gative skills, such as surveillance and interroga- utilities (temperature, water pressure, air
tion. They are readily available and often accept pressure, power).
part-time employees. There are extensive oppor-
tunities for advancement within retail security! What began as a security office is now a cen-
Central alarm station operator/dispatcher: tral alarm station/dispatch center. Obviously,
Security officers in many environments will act facility managers must plan for the eventual
as dispatchers or central alarm station opera- expansion of their security offices. Serious
tors. They will monitor alarm panels, CCTV thought must be given to alarm response. If
screens, and electronic access control systems. alarms notify property managers of problems,
As technology expands, so does the job of the there must be a rapid, effective response to
central alarm station operator. These central resolving those problems. This is a key issue
alarm stations may be either proprietary or con- in protection that has traditionally been over-
tract. In a proprietary “in-house” setting, central looked. Contract alarm response or patrol car
alarm stations evolve over time. Many facilities service is one option: what Edwin Holmes
develop central alarm stations in an incremen- started in 1858 needs to be integrated into a
tal manner. They often start with a security contemporary asset protection system. Persons
office that has a desk, a telephone, and a radio. beginning careers in asset protection should
After a while, the organization will add addi- seek to understand the central alarm/dispatch
tional monitoring systems. First, there is a cam- operation. It is “the brain” of the security
era observing the lobby. Next, there is a camera operation, serving as a command, control, and
on the parking area. Then there may be intru- communications center.
sion detection systems in sensitive areas which Auditor/investigator: Auditors check on
annunciate (terminate) at the central office. Fire things such as financial records (financial
alarm panels may also be located there. Finally, audits) or procedures (procedural or opera-
an electronic access control system is added tional audits) to see if conditions are what they
which has a monitor in the central office. are supposed to be. Audits seek to uncover
There are access control systems and alarm deviations from procedure, errors, or criminal
systems. The reader must bear in mind today behavior (Purpura, 2002). A deviation from a
we have various types of alarms. procedure might be documenting something
that the writer did not verify occurred—taking
1. Intrusion alarms, which are point protection a “shortcut.” Audits may also uncover errors
(on a specific point, such as door or such as mistakes made in pricing merchandise
window), perimeter protection (fence or forgetting to record required information.

I. FOUNDATIONS
36 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

Criminal behavior may include falsifying graduate students. Winning papers are eligible
employee attendance records or removing raw for cash prizes.
materials from the workplace. Audits may start The International Foundation for Protection
investigations or investigations may launch Officers also features links to colleges on their
audits to see the scope of the problem. Audits Web site (http://www.ifpo.org). The foundation
may detect loss stemming from waste, error, has also provided scholarships to faculty who
crime or unethical/unprofessional practices. In teach security courses.
that sense they support the WAECUP Model of Networking is crucial to career success in
Loss Control. security or investigation, as not all good jobs
Private investigators: They work for com- are advertised publicly. Almost all are obtained
panies, individuals, or governments on a fee through personal contacts. There is an old
basis. They contract out to perform various saying:
types of investigative activity. Criminal inves- “If you don’t know nobody, nobody knows you.”
tigation done by private investigators includes This saying makes up for in accuracy what
undercover investigation of workplace theft, it lacks in English. Professional contacts can
sabotage, or drug abuse. Surveillance of sus- be gained through organizational member-
pected employees may also be conducted. Some ship, such as ASIS International, IFPO, or the
private investigators are forensic accountants, International Foundation for Cultural Property
trained to investigate fraudulent accounting Protection (http://www.ifcpp.org). Professional
and present a case in court. Fraud examination organizations usually have job placement ser-
is a large and growing concern of all types of vices and membership directories. They provide
organizations, not just insurance carriers. Visit members with the opportunity to meet oth-
the Association of Certified Fraud Examiners at ers in their field and discuss matters of mutual
http://www.acfe.com for more information on concern. Attendance at seminars sponsored
fraud examination. by professional organizations is another way
Specialized security functions such as K-9 to network. Management-level personnel can
handlers, crowd management specialists who participate in the International Association of
work concerts in arenas, strike security person- Healthcare Security & Safety (http://www.iahss
nel, and information technology (IT) specialists .org) or the International Association of Campus
also exist. These persons are specialists with Law Enforcement Administrators (http://www
unique skill sets. They have prior experience, .iaclea.org).
training, and education that qualify them for Professional development can be obtained
their positions. They have “paid their dues” through a variety of sources. Professional orga-
and evolved in their careers. nizations offer seminars and online programs.
Educational opportunities are available both Some offer certification programs such as the
online and in traditional college programs. International Foundation for Cultural Property
Persons wishing to move up the ranks of man- (http://www.ifcpp.org) that offers both the
agement will need higher education. The Web Certified Institutional Protection Specialist
site asisonline.org has information on careers (CIPS) and Certified Institutional Protection
and academic programs. There is an extensive Manager (CIPM) designations.
listing of colleges that offer academic course-
work in security. In addition, ASIS offers full- “Learning never ceases.”
time college students membership at greatly This chapter discussed the past and present.
reduced rates. There is also a Student Paper The future belongs to those who reach out
Competition for both undergraduate and and grasp it.

I. FOUNDATIONS
 EMERGING TRENDS 37

EMERGING TRENDS
Security service firms are moving into new Threats to commerce/supply chain security
markets. Providing security at special events are necessitating more attention. Guarding drug
is one example. While contract security at con- shipments against hijacking or covert diversion
certs or sporting events has been going on for is an example. As fears of pandemics grow, as
a long time, now companies are hiring special- does the abuse of prescription drugs, pharma-
ized service firms for other types of events. The ceuticals have become targets for theft.
company Christmas party or picnic may be Piracy on the high seas is rampant. This is of
examples. Securing abandoned buildings is a concern, as approximately 90% of the world’s
new line of business where contract firms have cargo travels by sea. Consulting, kidnap and
partnered with exterminators to offer a complete ransom negotiation, and armed security officers
package of care for a vacant property. Recovering are services that can be offered to the shipping
assets in the wake of floods and other disasters is industry. Just as the Pinkerton National Detective
another new line. This goes with disaster recov- Agency provided protection for railroads in the
ery services where firms will take care of food, nineteenth century, so, too, will contract firms
clothing, lodging, and toilets after a disaster. offer services relating to goods in commerce.
Protection of government buildings and Supply chain security efforts are not only
transportation of inmates are other expanding contracted out; more and more organizations
lines of business for contract firms. The federal are taking steps to ensure the protection of their
government in the United States is probably the supply chains internally. And theft is only one
largest employer of contract security services. source of loss for an organization. Any disrup-
There are also more security services for tion of a supply chain, be it due to strikes, civil
governments and armed forces in hostile areas. unrest, terrorism, or natural disasters, costs an
These services include personal protection and organization money. An increasing number of
facility security. The clients may be govern- organizations will have personnel on board who
ment or military organizations. They may also will work on supply chain security. These indi-
be private companies. In war-torn areas of the viduals will perform risk assessments, monitor
world, such as Iraq and Afghanistan, contract various aspects of the supply chain, and investi-
security personnel provide personal protection gate problems as they occur.
for VIPs. They are also providing fixed site secu- Along with this is an increased emphasis
rity in unstable areas where there is exploration on international crime and loss problems. The
and development of natural resources. Oil, gas, International Foundation for Protection Officers
and minerals all require processing and they all has designated persons as Certified Protection
require protection. These resources are some- Officers in over 50 different countries. ASIS
times highly valuable (such as precious metals) International continues to expand with local
and can be stolen by criminal or terrorist gangs. chapters being formed in new areas of the
They may also be targets of insurgents and ter- world. There are more international security
rorists who wish to disrupt the flow of oil or gas. conferences with attendees from private compa-
As energy demands increase so, too, does the nies, nonprofit organizations, and governments
need to find new sources of fuel. Many of these attending.
sources are in remote areas where insurrection, Identity theft/fraud will continue to grow.
terrorism, or banditry can be a problem. New schemes and means of acquiring personal

I. FOUNDATIONS
38 2. THE EVOLUTION OF ASSET PROTECTION AND SECURITY

and financial data will evolve. As a result the require liaison between police and corporate
convergence of physical and IT security will security departments in banks and credit card
increase. A greater use of biometric access sys- companies as well as state and federal agen-
tems for entry into databases is occurring. So, cies. Identity theft/fraud is multijurisdictional.
too, are educational initiatives designed to pre- Perhaps a historical cycle is repeating itself; out-
vent the problems in the first place. Security laws in the American West committed crimes in
departments in all organizations will play a various jurisdictions, making it difficult to appre-
greater role in educating the workforce about hend them. Filling the void were the Pinkertons
various types of hazards. and other private investigative agencies. Later on,
Investigative efforts in the wake of identity governmental investigative agencies were formed
theft/fraud are also growing. These investigations to combat the problem.

References Peak, K. J. (1997). Policing in America: Methods, issues, chal-

lenges. Upper Saddle River, NJ: Prentice-Hall.
Bottero, J. (1973). The first law code. In S. G. F. Brandon Purpura, P. P. (2002). Security and loss prevention: An introduc-
(Ed.), Milestones of history: Ancient empires. New York, tion. Stoneham, MA: Butterworth-Heinemann.
NY: Newsweek Books. Velke, J. A. (2004). The true story of the Baldwin-Felts detective
Calder, J. D. (1985). Industrial guards in the nineteenth and agency. USA: John Velke.
twentieth centuries: The mean years. Journal of Security
Administration, 8(2).
Coleman, J. W. (1969). The Molly Maguire riots: Industrial con- Resources
flict in the Pennsylvania coal region. New York, NY: Arno
& The New York Times. The History Channel website has an array of information
Constable, G. (Ed.), (1990). The old west. New York, NY: regarding history. http://www.history.com/.
Time-Life Books. For career information. http://www.careerclusters.com/.
Cote, A., & Bugbee, P. (1988). Principles of fire protection. See the Career Cluster on Law, Public Safety, Corrections
Quincy, MA: National Fire Protection Association. and Security.
Fossum, J. (1982). Labor relations: Development, structure, pro- The International Foundation for Protection Officers also
cess. Dallas, TX: Business Publications, Inc. has career information on their Web site at http://www
Gage, B. (2009). The day Wall Street exploded: A story of .ifpo.org/. The Foundation offers a variety of instruc-
America in its first age of terror. New York, NY: Oxford tional courses, memberships, and other resources for
University Press. protective services professionals.
Hertig, C. A., Fennelly, L. J., & Tyska, L. A. (1998). Civil Additional career information for the retail sector can be
liability for security personnel. Naples, FL: International obtained by visiting http://www.lpjobs.com/.
Foundation for Protection Officers. For information on security service firms visit http://www
Kuykendall, J. (1986). The municipal police detective: An .g4s.com/ or http://www.securitas.com/en/. The National
historical analysis. Criminology, 24(1), 175–201. Association of Security Companies (http://www.nasco
Maggio, E. J. (2009). Private security in the 21st century: .org/) consists of a dozen or so of the largest contract
Concepts and applications. Sudbury, MA: Jones & Bartlett. security firms in the United States and Canada.
Mackay, J. (1996). Allan Pinkerton: The first private eye. New Training courses online can be obtained through AST
York, NY: John Wiley & Sons. Corporation (astcorp.com). Specialized topics can be
Matthews, L. J. (1990). Pioneers and trailblazers: Adventures of studied so that new assignments or jobs can be prepared
the old west. New York, NY: Derrydale. for. These courses can be used to target individual career
National Advisory Committee on Criminal Justice interests and earn recertification credits for Certified
Standards and Goals. (1976). Report of the task force on Protection Officer designates. Other courses are avail-
private security. Washington, DC. able through ASIS International (asisonline.org).
Ortmeier, P. J. (1999). Public safety and security administration. For more information on fire protection, visit the National
Woburn, Ma: Butterworth-Heinemann. Fire Protection Association at nfpa.org.

I. FOUNDATIONS
 SECURITY QUIZ 39

S EC U RI T Y QU IZ b. This allowed the first labor union to be

1. Which of these is a type of control force used formed
in Ancient Rome? c. The U.S. president, via the attorney
a. Roman chariots general, can obtain an injunction against
b. Praetorian guards a strike or lockout if a substantial area is
c. Varangian guards affected or national security is threatened
d. Nubian mercenaries d. This act forced labor unions to temporarily
2. In what year and country did the Peshtigo disband until clearer regulations for labor
Fire occur? unions could be put into place
a. 1655, England 6. Intrusion alarms are point protection only.
b. 1655, America a. True
c. 1871, England b. False
d. 1871, America 7. Which of these are lessons that have been
3. Railroad police were, and still are, a learned by studying the history of security?
privately employed police force with full law a. The need for a chain of command
enforcement authority. b. An increase in professionalism
a. True c. The need for professional training
b. False d. Both B and C
4. Which of these are reasons that are driving 8. Allan Pinkerton was known for which of the
radical Islamic fundamentalism? following unique innovations?
a. Undereducated or miseducated young a. Arming officers with handguns
men who have learned that the United b. Extensive centralized records
States is “The Great Satan” c. A training camp for his employees
b. A large number of unemployed or d. The idea of making prisoners post bail
underemployed people living in poverty 9. The central alarm/dispatch operation is “the
c. Charismatic leaders brain” of a security operation, serving as
d. All of the above the command, control, and communications
5. What is the importance of the Taft-Hartley center.
Act? a. True
a. This act ensured collective bargaining rights b. False

I. FOUNDATIONS
 C H A P T E R

3
Role of the Professional
Protection Officer
M. A. Kevin Palacios and Christopher A. Hertig

CHAPTER OBJECTIVES DEFINITION OF A PROTECTION

OFFICER
● Provide definition of a protection officer
● Explain levels of protection staff A professional protection officer is a person
● Look at the major roles of protection whose primary job function is the protection of
officers people and assets. The protection officer is dedi-
cated to protecting organizations, individuals, or
● Discuss the core functions of the various publics (customers, visitors, patients, the
protection officer general public, etc.). Protection officers work to
● Explore prevention, mitigation, and give everyone peace of mind. The officers focus
response functions on safety and security so that others may concen-
trate on their own primary concerns. Although
employees need to focus on their work, they
must also be concerned about safety hazards or
INTRODUCTION the actions of criminals. Students in a school are
there to learn. Visitors are to conduct whatever
Life is all about taking risks, and so is business. business they have in a facility (distribution cen-
If businesses were to decide not to take any risks, ter, library, park, etc.). Customers in a retail store
chances are that they would end up losing more are to have an enjoyable shopping experience. At
than what they wanted to protect in the first place. the same time each of these groups must have a
Speculative risks allow us to grow and—if in a healthy concern for their own safety and security.
profit-making organization—gain wealth. Inherent The professional career path of a protection
risks where there is no potential for gain (loss officer (PO) might take him through the opera-
events) must be managed. As we move forward in tional level (basic protection officer), supervisory
life (and business), the risks we have to take grow level (Certified Protection Officer), and strategic
bigger and bigger. Every organization needs peo- level (management). The change in level and job
ple to address those inevitable issues … risks. title represents the addition of responsibilities,

41
42 3. ROLE OF THE PROFESSIONAL PROTECTION OFFICER

but the core of the job description remains the few off-duty police. Sometimes persons in the
same. A person who chooses a career path in military are assigned to security work temporar-
safety or security will never stop being a pro- ily within the armed forces. In other cases they
tection officer. They will never cease to protect work for a civilian employer as a security officer
people, information, assets, reputation, and the or retail loss prevention agent.
environment surrounding an organization. The key is that the person’s major focus is on pro-
The protection officer may be acting as the tection of others, tangible assets such as property, or
agent or representative of the landlord. They intangible assets such as information or reputation.
may not have any arrest authority beyond that Legal authority or job title is not the determinant of
of a regular citizen. In other cases they may what a “protection officer” is.
have some type of police commission with spe-
cific arrest authority: they may arrest for certain
offenses and/or within a specific area. They may
LEVELS OF PROTECTION STAFF
be members of a law enforcement organization
A general framework for the design of security
whose job assignment is protecting a public fig-
functions within an organization is as follows:
ure, coordinating crime prevention activities,
or guarding government buildings. Protection 1. Nonprotection employees. They need basic
officers may be civilian or military, sworn or information about self-protection and some
unsworn. Job titles vary considerably; a protec- method to report hazards and threats.
tion officer may be referred to in different ways. 2. Basic Level Protection Officer. Includes
While the more common titles are “security offi- everyone from the protection team who must
cer,” “security guard,” or “retail loss prevention follow simple orders, look after activities
agent,” some protection officers may have the carried out by nonprotection employees, and
title of “police officer,” “campus police officer,” work in a low- to mid-threat environment.
“special officer,” “crime prevention coordina- Basic level officers don’t need any previous
tor,” “loss prevention officer,” “deputy sheriff,” experience and might (or might not) need
“military policeman,” and so on. (In many states operational—basic level—specialized skills.
these titles are controlled by state law. The state This person needs a basic training, enough to
statutes should be reviewed in each state to cover foreseeable situations he or she might
determine the words you may or may not use.) encounter. Completion of state or provincial
This protection officer could have full-time, training, Officer Basic Training, Basic
part-time, or occasional employment. Part-time Protection Officer programs through AST
security work is very common in some areas. Corporation, Basic Security Officer Training
Many security service firms are largely staffed Series through the Professional Security
by part-time personnel. Amusement parks that Officer Training Network, 360 Training
are open during the summer may employ a large programs, and so on.
seasonal staff during the busy season. The secu-
Examples include uniformed guards, door-
rity department may be managed by a small core
men, patrol guards, and so on.
of permanent persons. It is not unusual for police
officers to work occasional security details. This 3. Intermediate Level Protection Officer. The
may be while they are on official police duty or Intermediate Level officer is related to the
it may be while off-duty for a private employer. CPO; it includes everyone who must follow
Security service firms that provide protection more complex orders, look after processes
during special events may use a combination of carried out by protection and non-protection
regular staff, part-time probation officers, and a employees, works in a mid- to high-threat

I. FOUNDATION
 MAJOR ROLES OF PROTECTION OFFICERS 43
environment, and needs previous experience Management representative—the officer acts
and specialized skills. This person needs as an agent, a representative of management to
a complete understanding of the various employees, visitors, and others. This is where the
unexpected situations he might encounter. officer is concerned with representing the phi-
Therefore, training has to be very complete. losophies of management (employer or client). In
This is why they should complete both order to do this effectively, they must thoroughly
the Certified Protection Officer, (CPO) understand the mission statement of the organi-
certification and employer training. zation. They need to know what the policies are
Examples include group leaders, personal and the underlying philosophy behind them.
protection specialists, retail loss prevention The major emphasis in the management repre-
officers, radio operators, central alarm sentative role is on positive relations with the vari-
station monitors, contract security in high- ous publics with which security departments deal
threat zones, and so on. (employees, customers, visitors, patients, ven-
4. Advanced Level Supervisory and Managerial dors, local law enforcement officers, etc.). A solid
Protection Officers. This level correlates background in public and customer relations is a
with the educational and experience level necessity. So, too, is diplomacy when dealing with
of individuals who have been designated other departments, external agencies, and so on.
Certified in Security Supervision and Another aspect of this role is educational.
Management (CSSM). It includes everyone Security officers may be very active in educating
who must give orders and make decisions employees, visitors, students, guests, patients,
regarding personnel. This person must have and so on about safe practices. As the officers
an understanding of how the full entity grow professionally, they may become increas-
(organization) works, people management, ingly involved in educational efforts. As the
leadership, and motivation. This is a line security industry becomes more complex, requir-
supervision or entry-level management ing the protection of more intangible assets, this
position. This individual must have met all educational role will become more common.
CPO certification requirements in addition Intelligence agent—in this role the officer
to supervisory and management courses. collects information for management. The offi-
Completion of the Foundation’s Security cer must have an understanding of what infor-
Supervision and Management Program is mation is pertinent. They cannot pry into areas
recommended. that are not managerial concerns related to loss.
At the same time, they must be effective at gain-
Examples include shift leaders, security super-
ing critical loss-related information.
visors, asset protection team leaders, and so on.
While application of the Waste, Accident,
Error, Crime, and Unethical Practices (WAECUP)
model is useful, another point to remember is
MAJOR ROLES OF PROTECTION
that large problems start as small ones. Issues
OFFICERS
such as terrorism, crimes, safety hazards, envi-
ronmental hazards, data loss, major embarrass-
There are several major roles that protection
ments, and so on generally begin as unusual or
officers fulfill.
out-of-the-ordinary situations. From there, they
1. Management representative mushroom into serious problems.
2. Intelligence agent An old safety concept is that there is often “a
3. Compliance or enforcement agent leak before a break.” That is, a major problem
4. Legal consultant starts out as a small issue. A crack in a wall or

I. FOUNDATION
44 3. ROLE OF THE PROFESSIONAL PROTECTION OFFICER

floor may mean significant structural damage. or “mental rehearsal.” It is simply a process
It may also indicate extensive erosion of soil where officers construct scenarios and
underneath the building. It is a small crack, but review how they would be handled. These
it may indicate much larger problems. could be crime, terrorism, emergency or
When investigating crime or misconduct, the crisis management concerns, and so on.
principle of expansive significance is important Safety issues may include slip and falls,
to remember. “Minor is major.” Minor criminal structural collapse, persons tripping, or the
issues often turn out to be of major significance onset of medical problems (diabetic shock,
once they are fully investigated. Major crime heat stroke, seizures, heart attacks, etc.).
problems are resolved through combating
minor criminal behavior. The same is true of Playing the “What-If? Game” helps prepare
employee misconduct; it often turns out to be the officer for response to the event as if they have
more extensive than it initially appeared. seen it before. It also aids in uncovering unforeseen
loss events/scenarios. This is part of the ongoing
In short, professional protection officers must risk assessment that protection staff perform on
collect intelligence on changes in the environment,
unusual situations, or suspicious persons.
a daily basis. Note that significant issues should
be documented. Preferably this documentation is
Most, but by no means all, of the intelligence reinforced by personal communication with the
agent’s role is performed while the officer is on appropriate supervisory personnel.
patrol. Officers on patrol should always do the Obviously, proficiency in human and public
following: relations is important to fulfilling the role effec-
1. Look up—see if there are any pipes leaking tively. Most information comes from people.
or water coming from another floor. Check Officers who are approachable learn more about
for items improperly stacked. Look for what is going on in the environment they are pro-
problems with the ceiling or roof. tecting. Officers must be approachable but they
2. Look down—look for problems in footing. cannot use the workplace as their social network.
Look for spills on the floor from soft drinks, They must exhibit interest in people and processes
bottles of liquid detergent, liquid from pipes without getting personally, romantically, or finan-
or storage tanks. Look for ice or snow. Look cially involved. Professional protection officers
for carpet that is not properly fastened engage in short, productive interactions with peo-
down. Look for tripping hazards such as ple. They make every conversation an interview.
items left on the floor. Enforcement or compliance agent—this is
3. Look around—check for equipment and where the officer enforces the rules of the envi-
machinery that are not turned on or off when ronment. He or she gains compliance with the
they are supposed to be. Verify that all trash rules. The officer must know the rules to be
collection points are properly maintained. enforced. He or she must be thoroughly conver-
Trash can become a safety or fire hazard. It sant with them. The officer modifies and man-
may also indicate attempts at theft where an ages human behavior so that the rules established
employee discards something for later retrieval. by management are followed.
It may also indicate things being thrown out Sometimes the term “enforcement agent” is too
that should not be. Trash collection points may strong, too law enforcement-oriented to work in
relate to any or all parts of the WAECUP model. a security setting such as a hotel, resort, or office
4. Whether on patrol or on post, officers should complex. Protection officers must be acutely aware
always play the “What-If? Game.” This is of the cultural expectations of their work environ-
also known as “constructive daydreaming” ment. They must understand the “territory.”

I. FOUNDATION
 WHAT IT MEANS TO BE A PROFESSIONAL 45
In some cases they will have to be very direc- first step but understanding how to interpret it
tive; in most they will be more like “compliance and apply it to a specific environment is what is
ambassadors.” Most people simply need to be really needed. Personnel knowledgeable about
reminded about what the rules are. Diplomacy this are in demand. Those who wish to move up
and tact are the most frequently used tools of into leadership roles will jump at every opportu-
professional protection officers. nity to learn about the interpretation and appli-
There are two major aspects to enforcement: cation of regulations, standards, and guidelines.
1. Procedural—the “what” of enforcement.
The officer must know what to enforce.
This includes all rules and procedures. The WHAT IT MEANS TO BE A
officer must know what the rules are and PROFESSIONAL
review them regularly. Job knowledge in this
area is a prerequisite to success. Note that A professional protection officer distin-
in many instances the confidence displayed guishes him- or herself by dedication and com-
by a knowledgeable officer goes a long way mitment. They are not simply performing a
toward convincing people to listen to them. job in order to receive compensation. They are
2. Interpersonal—the “how” of enforcement. instead dedicated to serving their employers,
This entails interpersonal skills and clients, and the community as a whole. Because
communications. Using the proper words, of their commitment, they stand out from oth-
articulating clearly, and speaking at the ers who may share their same job title and pay
proper volume and tone are crucial to grade. They have achieved professional status,
effective communication. The remainder a few aspects of which are discussed below:
of human communication—about two- ● Follows a code of ethics. The International
thirds—is nonverbal. Posture, appearance,
Foundation for Protection Officer’s code
and gestures come into play here.
of ethics is presented in this book. Each
Legal consultant—In this role the officer item in the Code contains a key aspect of
knows the relevant legal standard and applies professionalism.
it. The officer makes legal assessments. These ● Shares a common history with his
assessments relate to a variety of issues: privacy, colleagues. A glimpse of the professional
search and seizure, property rights, and compli- history shared with other protection officers
ance with administrative laws, and so on. is displayed in various chapters throughout
A related compliance concern is making sure this text. A common history creates a bond
that all organizational rules are being enforced. between officers.
These rules often originate from professional ● Supports and works with colleagues. A
standards or guidelines. They may also be in professional protection officer respects and
place due to insurance company requirements. works with others. Officers analyze various
Contemporary protection officers are fac- problems and help each other address
ing increased demands in this area. The role of them. Effecting and maintaining productive
“legal consultant” is becoming more important. relationships with colleagues is very
It is also becoming increasingly complex. important.
Astute security professionals will learn all ● Owns a common body of knowledge. The
that they can about laws, standards, and guide- different chapters of this book cover the
lines. They will keep abreast of them and be varied aspects that a contemporary protection
able to apply them: knowing a regulation is the officer must master in order to succeed in an

I. FOUNDATION
46 3. ROLE OF THE PROFESSIONAL PROTECTION OFFICER

ever-changing world. Professional protection

officers have a foundation of professional
knowledge in topics such as physical security,
investigation, crisis management, safety, and KNOWLEDGE
so on.
● Makes his or her own decisions. Uses
discretionary judgment to solve problems.
Figures out how to address certain situations
and takes the appropriate action. While an SKILLS
entry-level police or security officer must ATTITUDE
abide by their employer or client’s directions,
they do act independently.
● Is loss conscious. Professional protection
officers look for hazards—constantly. Officers
continually ponder the consequences of loss
events (fires, accidents, terrorist attacks,
errors, etc.). They think in terms of the
impact of occurrence. This separates them
Protection Officer as an Agent
from practitioners in other disciplines. Protection officers are the employees or
the agents of property owners and managers.
A professional can’t just be appointed. A pro-
These can be the employer of the officer or the
fessional is a person who has accepted his respon-
client of the officer’s employer in the case of a
sibility and embraces it with pride. Professionals
security service firm. As agents, officers act in
have a positive outlook. Professionals know their
the interest of the owners and managers. They
limits, but are always looking to expand them.
also represent owners and managers of their
They learn and grow from experience, training,
organizations in several different ways. Every
and education. Growth is an ongoing process; it
decision a protection officer makes reflects
never stops.
on the organization he represents. A common
One does not “be” a professional protection officer. example is that patrol officers are often the
One must “become” a professional protection officer. only people on the premises during evenings
and weekends. Some people have referred
In order to accomplish his duties, the protec- to this as the security officer being the “after-
tion officer must also be competent; this means hours Chairman of the Board.”
that the officer must have the proper balance In a managerial position, the protection offi-
of knowledge, skills, and attitude. Continuous cer might have a specific role in part of a secu-
professional development through education, rity process, or a much broader loss control role.
training, and experience is necessary to become The concept of loss control goes way beyond
competent. Education gives one knowledge; physical and logical security. A future trend is
training provides a means of developing skills. to expand loss control functions to coordinate
Experience expands upon and refines those skills enterprise-wide risk management identified as
and helps to develop one’s abilities. Attitude ties the health, safety, security, environment, and
knowledge, skills, and abilities together. quality process (HSSEQ).
A professional protection officer must also The role of the protection officer is to prevent,
demand the authority and tools needed to mitigate, and respond to intentionally created loss
accomplish his responsibilities. event occurrences as well as accidental incidents.

I. FOUNDATION
 WHAT IT MEANS TO BE A PROFESSIONAL 47
Of course, while fulfilling ever broader Cycle (Brown & Blackmon, 2001); the protection
duties, the protection officer must always process is no exception:
prioritize his attention to the most critical ● PLAN—Preventative Functions. The cycle
resources to be protected. These are (in order
begins by planning protective measures
of priority):
BEFORE they are performed.
● PEOPLE. Employees, agents, third-party
● DO—Mitigation Functions. All protective
workers, customers, visitors measures performed DURING daily
● INFORMATION. Physical and digital operations.
records, proprietary info, other information
● CHECK—Loss Event. Verification of
to maintain confidentiality, integrity, and protective systems takes place during loss
availability events, but the effectiveness of a system
● ASSETS. Those that the organization could also be verified by a protection officer
owns, manages, maintains, controls, or is during audits and inspections.
responsible for (facilities, goods, assets of
● ACT—Response Functions. AFTER an
monetary value) emergency arises, the officer must respond
● REPUTATION. Hard-earned public image; accordingly, bring all operations back to
everything that contributes to the desired normal, and provide the cycle with the
positioning of the organization necessary feedback.
● ENVIRONMENT. Surrounding the
organization, natural, community,
stakeholders’ interests, social responsibility
P PREVENTATIVE
FUNCTIONS
MITIGATION
FUNCTIONS
D
Core Functions
The protection officer must become a valu-
able member of the organization; his partici-
pation in systems, processes, and activities
must always add value. The value added by a
protection officer ’s performance is measured in A RESPONSE
FUNCTIONS
EMERGENCY
C
the level of improvement that his work brings
into the organization’s protective process and
objectives:

● Vigilance of better practices and recommend Simply stated, in any given organization,
state-of-the-art standards (in addition the core function of the protection officer is to
to the organization’s regulator-specific ensure the continuity of the protective cycle;
requirements) to prevent all possible hazards from becoming
● Improving policies, procedures, job-specific threats, to mitigate threats in order to decrease
instructions (not just following them) the probability and potential consequences of
● Always reporting adequately and keeping its occurrence, but also to respond adequately
adequate records and timely to all types of loss events in order
to regain control of the situation while prevent-
It is widely accepted that every process of an ing future occurrences (beginning of a new-
organization must fulfill a Plan-Do-Check-Act improved cycle).

I. FOUNDATION
48 3. ROLE OF THE PROFESSIONAL PROTECTION OFFICER

PREVENTATIVE FUNCTIONS ● Reinitiate (Start operations with a view to

bringing them to the normal level)
Prevention includes (but is not limited to) all ● Recuperate (Wholly recuperate the operative
actions taken before active protection measures level and vaccinate from that risk)
are performed. These functions are easily remem- Examples of protection cycles performed by
bered with the four Is: the various levels of protection officers are out-
● Investigate (Preventative and reconstructive lined below.
investigations)
● Identify (Hazards and risk factors—assess
risks) BASIC PROTECTION OFFICER
● Induce (Communicate and train)
● Integrate (Countermeasures to treat risk) ● A patrol officer in a shopping center tours
the facility to create an “offender-hostile”
but “customer-friendly” environment.
MITIGATION FUNCTIONS During his tour he must identify hazards
and risk factors (using checklists or his own
During an actual protection task, an adequate judgment). While on patrol he sees some
mix of procedures, equipment, and people reduces liquid spilled on the floor and judges that
probability and consequences of risk. Mitigation this represents a fall risk (PREVENTION).
functions are remembered with the 4 Ds:
● He secures the area according to his training
and procedures, and stays on the spot until
● Dissuade (Potential aggressors) someone competent (i.e., general services)
● Detect (Hazards that are being activated) arrives to fix it (MITIGATION).
● Delay (Separate physically or delay the ● He reports all actions taken and recommends
aggressor from the objective) improvements in procedures to prevent
● Detain (Stop the hazard) future unsafe conditions (RESPONSE).

RESPONSE FUNCTIONS INTERMEDIATE PROTECTION

OFFICER
Ideally, risk has been mitigated before it cre-
ates loss. In cases where this has not happened, ● A security supervisor receives reports that
it is necessary to respond.
indicate some employees are suspiciously
After a loss event occurs, all efforts must
wandering around the company trash
focus not only on bringing the situation back
containers after working hours. The
to normal but to improving the previous situa-
containers are in the back of the building.
tion by vaccinating the organization from that,
The supervisor identifies this as a theft-
or a similar risk. Response functions are easy to
through-garbage risk (PREVENTION).
remember if we use the four Rs: ● Starting immediately, she assigns a guard
● React (Act immediately in accordance with to temporarily patrol that area and gives
established procedures) him specific orders, explaining the nature of
● Resume (Gain control of the situation) the risk and signs of the threat to identify,

I. FOUNDATION
 SUMMARY 49
how to act, and when to report. At the same contracts to sell all empty containers of
time, the supervisor organizes a talk to hazardous materials to a recycling plant that
employees given by the local police about could treat them accordingly—this funds
crime awareness and the effects of crime in the whole campaign. The company revises
the organization (MITIGATION). its liability insurance to include this newly
● The supervisor then initiates an internal discovered risk while negotiating a premium
investigation while reporting this risk to reduction based on the calculated associated
management. She recommends changes value of potential loss (RESPONSE).
in procedures (employees will have to
exit the premises through the front door),
equipment (garbage containment area needs
to be fenced in), and people (recommends Around the Globe
changing the patrol procedures to include Financial austerity and competition among
a more thorough check of the trash area) organizations show the importance of loss pre-
(RESPONSE). vention efforts to all sizes of organizations
around the globe. This has also pushed com-
mercial organizations to seek new markets and
ADVANCED PROTECTION resources in different areas of the world. Some
OFFICER organizations with high-risk appetites are ven-
turing into historically inhospitable environ-
ments. Protection officers at these firms are
● It has been reported to the Health, Safety, facing broader language and cultural challenges.
Security, and Environmental Quality Laws and regulations vary greatly in differ-
manager of a petrochemical facility that ent regions of the world. Nevertheless, huge
someone is stealing empty containers from efforts are taking place to standardize proce-
hazardous materials. He identifies this as dures, training, and risk management models
a health and environmental threat, since all over the world.
inhabitants of poor neighborhoods in the
surrounding area might be using them
to store water for washing and cooking
(PREVENTION). SUMMARY
● After assessing the risk, he sets up
an awareness campaign to train the A professional protection officer is dedicated
surrounding neighbors of the threat the to protecting people, information, physical
empty containers pose. The company gives assets, reputation and the environment sur-
away new containers to these people, rounding organizations. As a professional, the
while profiting from a positive Socially officer follows a code of ethics, shares a com-
Responsible Capital Campaign (goodwill mon history with his colleagues, and owns a
from the villagers) (MITIGATE). common body of knowledge.
● As part of the campaign, the firm arranges The titles and designations given to protec-
for doctors from the closest public hospital tion officers may be insufficient when we need
to measure levels of contamination among to express the tasks these dedicated men and
villagers and the nearby river. It also women perform.

I. FOUNDATION
50 3. ROLE OF THE PROFESSIONAL PROTECTION OFFICER

EMERGING TRENDS
Despite the fact that the basic role of all pro- the carrying of weapons. Contemporary protec-
tection officers remains the same, the duties tion officers are more likely to have some type of
performed by protection officers are becoming weaponry than in the past. This may not be fire-
increasingly specialized: health care protection, arms; it is usually pepper spray or some other
retail loss prevention, campus security, school secu- nonlethal weapon.
rity (elementary to secondary grades), shopping There are also heavily armed protection offi-
center security, high-rise building protection, bank- cers in areas of the world where civil strife and
ing security, and so on. These specialties, or verti- warfare prevail. Hence, there is a more military
cal markets, continue to evolve. Some of the major emphasis than ever before. This trend will con-
contract agencies have coursework tailored to par- tinue as energy exploration moves into danger-
ticular sectors: these providers know full well that ous areas and people’s demand for security
they must take every means possible of meeting (employees at these locations) increases.
their clients’ specific needs. The American Society There is also a greater need for effective liai-
for Industrial Security International also has a large son with police, fire, emergency medical, and
number of councils devoted to specialty areas. In military organizations. Regional disasters such as
addition, there are professional associations such massive snow storms, earthquakes, or hurricanes
as the International Association of Campus Law require close cooperation. So, too, does the pro-
Enforcement Administrators, the International vision of security at major public events: there
Foundation for Cultural Property Protection, and are 50 or more different organizations providing
the International Association of Healthcare Security security at the Super Bowl in the United States.
and Safety that cater to specific sectors. The issue of training continues to be a concern.
Convergence between physical and logical While on paper it may appear as though security
security is well advanced, and convergence with personnel are being trained, closer inspection
other risk management functions within the reveals that this is often not the case. Sometimes
organizations (health, environment, safety, and in contract security there is a major disconnect
quality) are quickly gaining momentum; this between the corporate policy on training and
and the increased use of technology have what actually happens in the field. Maggio (2009)
demanded a new breed of highly trained/highly cites a 2005 study in New York City in which it
educated protection officers (especially at the was found that most security personnel reported
supervisory and management levels). having less training than was required. Moreover,
Protection officers are moving into more of the training that was given failed to emphasize
a leadership/ambassadorial role. While many terrorism or working with police or firefighters.
are entry-level employees, they are also coordi- One possible solution to the training dilemma
nators. They design and develop programs in is state or provincial mandates. A state or prov-
safety and security. They are more like profes- ince may require security officers to have a
sionals in that they use discriminating judgment, certain amount of training and to be licensed.
determining their own course of action rather Unfortunately, it takes a long time to get legislation
than being told what to do by superiors. enacted. Once it is in place the training is generally
They continue to utilize additional technol- minimal. Also, the regulations rarely cover all pro-
ogy and this technological prowess is giving tection officers; most state/provincial laws only
them a more professional appearance. So, too, is cover contract security personnel.

I. FOUNDATION
 REFERENCES 51

There are some positives to this, however. in selecting a security service provider. Should
In the United Kingdom, the Security Industry this occur, there may be both an increase in costs
Authority is improving regulations for door and a degradation of service.
supervisors and others. There are inspections University degrees and internationally recog-
being done to insure that protection officers in nized professional certifications, such as the ones
clubs are licensed. In California and Ontario, awarded by the International Foundation for
both contract and proprietary security personnel Protection Officers and ASIS International, are in
are regulated. As of this writing, the province of great demand among quality-conscious employ-
Alberta is also moving in that direction. ers all around the globe. This trend will continue
Outsourcing of police services to private con- as society places more emphasis on obtaining
tract firms continues. While public police may credentials.
espouse the principles of community policing, they While degrees and professional certifications
may not be able to practice it. The reality is that are key components of professionalism, so, too,
public police have budgetary concerns and lim- are guidelines and standards. Voluntary guide-
ited resources. There is a movement in some areas lines or compulsory standards developed by pro-
toward having private security personnel perform fessional associations are having a major impact
order maintenance and quality-of-life patrols. A on the practice of protection. At the present time,
security service firm may be better equipped to do standards and guidelines are being developed
this in large shopping centers, parks, or housing on an array of topics such as the Private Security
developments. The public police can then focus Officer Selection and Training Guideline by ASIS
more on investigations, drug enforcement, and the International. This guideline establishes mini-
response to felonious behavior. mum criteria for selecting and training security
This shift also triggers an evolution of the officers. It is of obvious use to employers and
protection officer from being a “private secu- contract agencies. It may also assist regulatory
rity” officer to becoming something of a public bodies in establishing state or provincial licens-
servant. Such a role may create confusion in the ing requirements. (http://www.asisonline.org/
mind of the officer. Only thorough education, guidelines/inprogress_published.htm. Retrieved
training, and highly structured socialization will October 13, 2009). In addition to employers,
prevent role confusion. contractors, and governmental agencies, insur-
Another driver of this trend is the growth of ance carriers can use standards and guidelines.
security service providers. Some of these compa- Policyholders may receive a premium reduction
nies are quite large and operate internationally. for meeting a guideline or standard.
Others are not as large or international but may Obviously, standards and guidelines will
have a major share of a local or regional mar- have a major impact on the practice of protection
ket. Either scenario may lead to monopolization. over time. And the professional protection officer
Once this happens, the client has limited choice is a key factor in compliance.

References
Resources
Brown, S., & Blackmon, K. (2001). Operations management: Training courses online can be obtained through AST
Policy, practice and performance improvement. Woburn, Corporation (http://www.astcorp.com). There are a wide
MA: Butterworth-Heinemann. variety of courses! Specialized topics can be studied to
Maggio, E. J. (2009). Private security in the 21st century: prepare for new assignments or jobs. These courses can
Concepts and applications. Sudbury, MA: Jones & Bartlett. be used to target individual career interests and earn

I. FOUNDATION
52 3. ROLE OF THE PROFESSIONAL PROTECTION OFFICER

recertification credits for Certified Protection Officer

designates. 4. Competency can be demonstrated through
360 Training has a series of online instructional programs for professional certifications, and consists of
security personnel. 360 specializes in continuous learning an adequate balance of three characteristics.
and recertification. Visit http://www.360training.com/.
Which of the following is not one of those?
ASIS International publishes the Protection of Assets
Manual, a comprehensive online reference guide. The a. Attitude
POA is the primary text for the Certified Protection b. Skills
Professional designation. It contains several chapters c. Communication
relating to the role of the protection officer, includ-
d. Knowledge
ing Security Officer Training and Private Policing in
Public Environments. Go to http://www.asisonline.org 5. Every decision that a protection officer
or http://www.protectionofassets.com/PDFSamples/ makes reflects on the organization he or she
POA_TableByVolume_Oct2008.pdf. represents; for instance, patrol officers often
Butterworth-Heinemann is the premier publisher of security times are the only people on the premises
texts. There is a wide array of titles available on physical
(during night and weekends). Which of the
security, investigation, emergency management, and so
on. Visit http://www.elsevierdirect.com/index.jsp. following tasks is most unusual to a basic
protection officer?
a. Collect intelligence on changes, unusual
S E C URI T Y QU IZ situations, or suspicious persons
1. Which of the following best describes a b. Maintain compliance with organizational
protection officer? policies
a. A man or a woman hired to look after an c. Legal consultant role
entrance door d. Interacting with the public in the
b. A man or a woman who concentrates on environment
safety and security while others perform 6. The basic role of the protection officer is to
various tasks prevent, mitigate, and respond to:
c. A man or a woman in charge of welcoming a. Intentionally created risks (security)
visitors and providing them with b. Accidental and unintentional risks (safety,
information health, environment, and quality)
d. A man or a woman hired to dissuade c. Any and all risks in the WAECUP model
potential trespassers d. None of the above
2. The career path of a protection officer might 7. There are five types of critical resources to be
take him through: protected; which of the following is not one of
a. Operational level those?
b. Supervisory level a. Time
c. Management level b. Information
d. All the above c. People
3. The Professional Protection Officer has d. Reputation
some essential characteristics. Which of the 8. The value added by a protection officer ’s
following is not one of them? performance is measured in the level of
a. Follows a code of ethics improvement that his work brings into
b. Shares a common history the organization’s protective process and
c. Masters the use of lethal and non-lethal objectives. Examples of this can include:
weapons a. Vigilance of better practices and
d. Owns a common body of knowledge recommends state of the art standards

I. FOUNDATION
 SECURITY QUIZ 53

b. Always reporting adequately and keeping 10. One of the steps taken during response
adequate records functions performed by protection officers
c. Improving policies, procedures, is recovery. Which of the following is an
job-specific instructions example of it?
d. All of the above a. Assets not damaged during a fire are
9. All actions taken before active protection quickly moved into a secure location
measures are performed can be included b. A claim is filed with an insurance
in the preventative functions. Which of the company
following is not one of those actions? c. Video footage from a bank robbery is
a. Preventative investigations given to local police
b. Identification of hazards and risk factors d. All the above
c. Induction training
d. Separate physically or in time the
aggressor from the objective

I. FOUNDATION
 C H A P T E R

4
The Protection Officer as a Leader
Franklin R. Timmons and
Scott A. Watson

his or her power from the ability to inspire

CHAPTER OBJECTIVES others to willingly follow a process or recom-
● Compare and contrast the words mended course of action in support of organiza-
“management” and “leadership” tional goals and objectives. Since leaders are not
● List and explain 10 expectations of leaders necessarily charged and empowered with direct
authority, the “willingly” part of the definition
● Identify and explain three critical is of critical importance. In contrast, a manager
leadership skills or supervisor is charged and empowered with
● List four key interpersonal communication direct authority; however, without solid lead-
skills and explain their importance ership skills, the manager will be ineffective
in meeting organizational goals and objectives
(Hertig, McGough, & Smith, 2008; Johnson,
2005; Sennewald, 1985).
INTRODUCTION

In the course of this chapter, we will discuss

the basic principles, skills, and characteristics of
leadership. To understand leadership, we need Who should study and develop
to establish from the beginning that leaders and leadership skills?
supervisors/managers are not one and the same.
1. Managers and Supervisors: Those entrusted
Our expectation would be that every supervi-
with management and supervisory roles
sor/manager is a leader, but every leader is not
have, by virtue of their acceptance of their
necessarily tasked with direct line supervision.
position, a responsibility to study and
Simply stated, a leader is anyone who influ-
develop leadership skills.
ences the willing actions of others in support of
2. Team Members: Those who wish to take on
organizational goals and processes. Note the word
the added responsibility of influencing their
“influences” in this definition. A leader derives

55
56 4. THE PROTECTION OFFICER AS A LEADER

become a leader, it is wise to answer the follow-

own team, and the greater organization they
ing ten questions about, and for, yourself:
serve, should study and develop leadership
skills.
3. High Potential: Those with high leadership
1. Do you have a sense of mission that is
potential should be encouraged to study the
greater than your own personal interests?
principles of leadership in order to make a
2. Are ethics more important to you than your
career decision about their long-term goals.
career?
3. Do you have a desire to help people solve
both work-related and personal problems?
4. Do you care about people enough to
constructively challenge them when they
It is also important to keep in mind that not
are engaged in activities that are hurtful to
everyone desires to be a leader, and that’s okay.
themselves, others, or the organization?
There are a great many people who are both
5. Do you readily accept responsibility for
content and effective in their roles as a team
your own mistakes?
member. Still, a manager or supervisor should
6. Are you willing to accept responsibility for
never assume that one is content; lines of com-
the mistakes of others who are following
munication need to remain open and the ques-
your lead?
tion needs to be asked (Watson, 2007).
7. Can you see potential in others?
8. Are you willing to develop potential in others?
9. Do you handle setbacks well?
DO YOU REALLY WANT TO 10. Are you patient?
BE A LEADER? 1. Yes: If you can answer “yes” to all of the
above questions, then you should consider
To some people, the idea of being a leader
developing leadership skills.
sounds glamorous because they immediately
2. I’m not sure: If you answered “I’m not
think of exerting influence over a team, being
sure,” then you owe it to the organization
consulted about important decisions, and being
you serve and yourself to study leadership
recognized as indispensible to the organization.
in order to fully answer those questions.
Indeed, leaders experience many of these ben-
3. No: If you answered “no” to most of the
efits, but they come at a high price.
questions, then, at this point in your life, you
The legendary football coach Vince Lombardi
probably wouldn’t be content or effective in
said, “Leaders aren’t born; they are made. And
a leadership role.
they are made just like anything else, through
hard work. And that’s the price we’ll have to
pay to achieve that goal, or any goal.” Coach Lombardi was right; leadership is
The decision to develop leadership skills and hard work!
assume a role of influence within an organiza- As previously stated, leadership isn’t for every-
tion should not be taken lightly. Leadership one and many people do not seek out leader-
involves long-term commitment and hard ship positions. Still, the seasons of a person’s life
work without an immediate payoff. Leadership change and with time, so, too, can one’s desire to
is not about position or privilege and often become a leader. Leaving oneself open to the pos-
involves putting one’s self-interest below that sibility of becoming a leader is a wise choice, as
of the team. Before embarking on the journey to some of the most effective leaders are sometimes

I. FOUNDATIONS
 THREE CRITICAL LEADERSHIP SKILLS 57
the most reluctant to assume those roles (Hertig EXPECTATIONS OF LEADERS
et al., 2008; Johnson, 2005; Sennewald, 1985;
Watson, 2007). Now that we understand what it takes to be an
effective employee, let’s examine what additional
TEAM MEMBER SKILLS: THE expectations we have of leaders. Remember, as
FOUNDATION OF LEADERSHIP we previously stated, a leader is any individual
who influences the willing actions of others in sup-
If you make the decision that becoming a port of organizational goals and processes.
leader is a worthwhile goal, the hard work Additional traits that can characterize a leader
begins as a team member. As team members, we in any organization include:
all have certain understood and implied respon- 1. Encourages open communication.
sibilities. Much of what we do is grounded in the 2. Advocates teamwork, to eliminate error
roles and expectations set forth by the organiza- traps, and strengthen firewalls.
tion we serve, but other characteristics include 3. Seeks out and eliminates organizational
the values that we, as team members, possess. weaknesses that foster error traps.
You cannot be an effective leader until you have 4. Reinforces desired work behaviors.
first met the basic tenets of being an effective 5. Knows the importance of preventing error
team member. Some very important attributes of traps.
being an effective team member are: 6. Challenges atmospheres that support
complacency.
7. Works to clarify organizational and
1. Communicate effectively; in fact, over- individual employee issues.
communicate. 8. Champions “across the board” adherence to
2. Be aware of error traps in the workplace or the highest standards.
daily work processes. 9. Ensures all workers fully understand the
3. Ensure that firewalls or protection is in potential consequences of unsafe behavior.
place to address the error traps. 10. Minimizes unfamiliarity among members of
4. Be motivated to improve operations; always the team.
strive for excellence.
Leadership involves the ability to understand
5. Continuously identify ways to improve
the goals of the organization we serve. For the
human performance.
sake of our chapter, let’s refer to everyone out-
6. Advise management when problems exist
side our sphere of influence as our customer. Our
in performing work.
clients, our managers and supervisors, our peers
7. Have a questioning and supportive attitude
and our community, no matter who that may
as well as a willingness to be a proactive
be, are our customers. Once we understand the
problem solver.
goals and objectives of our customers, then we
8. Embrace and practice the STAR concept
can better serve their needs (Hertig et al., 2008;
(Stop, Think, Act, Review).
Johnson, 2005; Sennewald, 1985; Watson, 2007).
9. Strive for success but have a plan for failure.
Continually ask, “What if?”
10. Take the time required to do the job right THREE CRITICAL
the first time. LEADERSHIP SKILLS
(U.S. Department of Energy, 2009) The development of leadership skills is a
lifelong process, so a complete list and detailed

I. FOUNDATIONS
58 4. THE PROTECTION OFFICER AS A LEADER

explanation of all the skill sets required for cognizant, not only of what constitutes violations
effective leadership could fill several librar- of law and organizational policy but also what
ies. What follows is an overview of three broad appears to violate such laws and policies. Only by
categories of practice that all leaders should doing so can the protection officer avoid doing
study and strive to master. wrong, while engendering confidence in those
Practice 1: Ethics. This is the cornerstone of he or she serves (Department of the Army, 2006;
the protection field. The organizations we serve Hertig et al., 2008; Johnson, 2005; Sennewald,
entrust us to protect their most valuable assets. 1985; Watson, 2007).
As a professional protection officer, you are Practice 2: Mission Focus. Organizations
likely to have access to secure areas of the facility exist for a purpose. This purpose is the organi-
in which you work. You are also likely to have zation’s mission or reason for existence. The role
access to confidential information, knowledge of the security department is to provide profes-
of specific security vulnerabilities, and the trust sional protective services that allow the organi-
of individuals within the organization. As a zation to accomplish its mission. The role of the
result of this expanded access, knowledge, and protection officer is to ensure that the security
trust, we in the protection field are held to a department accomplishes its mission to serve
higher standard of behavior than the popula- the organization. Those who wish to be lead-
tion at large. ers in the protection field must be familiar with
the organization’s mission and how the security
department contributes to accomplishing it.

Ethics goes beyond the following

concepts: The Professional Protection Officer’s
1. Following Organizational Rules: It is not quest to be mission oriented should
enough for a protection officer to simply include an understanding of the
refrain from violating organizational rules; following:
everyone is supposed to follow the rules.
Since the professional protection officer is 1. The organization’s mission.
expected to enforce rules, following those 2. Who the organization serves.
same rules is expected as a matter of course. 3. The organization’s values.
2. Complying with Laws: It is not enough for 4. The history of the organization.
the protection officer to simply comply with 5. The organization’s structure.
laws. Laws are, after all, minimal standards 6. The geographic area and economic climate
of behavior expected by the society at large. in which the organization operates.
A protection officer should not only comply 7. The image of the organization.
with legal requirements but also 8. The security department’s role in the
should strive to go above and beyond the organization.
minimal standards provided by law. 9. The security department’s organizational
structure.
10. His or her own role in accomplishing the
mission.
Practically speaking then, ethics both encom-
pass and surpass the minimal standards of law (U.S. Department of the Army, 2006; Watson,
and the basic expectations of the organizations 2007)
we serve. A protection officer should always be

I. FOUNDATIONS
 THREE CRITICAL LEADERSHIP SKILLS 59
Practice 3: Interpersonal Communication. communicating nonverbally. No matter how
Organizations consist of groups of people all you or another individual communicates
working together under a common structure for nonverbally, clarification is critical in
a common purpose. An ability to understand checking for understanding. A nonverbal
and relate to people is a key element in effec- message has meaning, just as a verbal
tive leadership because it enables the leader to one does. The content is more difficult to
influence others to accomplish organizational “read,” but it is just as important. Many
and departmental missions. actions are interpreted with specific feelings,
There are four basic communication skills whether or not those feelings were meant
needed of every leader: verbal, nonverbal, lis- to be conveyed by the sender. By asking for
tening, and writing (Figure 4-1). The optimal clarification, misunderstandings can be kept
way to communicate is face-to-face. This allows to a minimum.
both the sender and the receiver of informa- 3. Listening Skills: Listening is often-
tion to engage in real-time verbal and nonver- times the most overlooked aspect of
bal analysis. It also allows for clarification and communication. Although more than half of
immediate feedback. our communicating time is spent listening,
compared to other types of communication,
1. Verbal Communication: Verbal
we spend a small amount of time learning
communication is comprised of the spoken
how to listen effectively or actively. In
word. It is very important because it allows
order to improve your listening skills, listen
us to:
actively, devoting all of your concentration to
a. Express ourselves in words.
the task. In fact, to be a good leader, we must
b. Ask questions and clarify nonverbal
be a good listener. We must understand what
communication actions.
the expectations really are and we must align
c. Provide feedback to the listener.
our roles and responsibilities to meet those
2. Nonverbal Communication: Nonverbal
expectations. Comprehension is the primary
communication is just that; communicating
goal of listening. We need to understand the
with your body or emotions. Some experts
message being sent before we can process
say that we do the vast majority of our
the information, evaluate it, and provide a
response. NOTE: If at any time, during this
process, you get confusing information—ask
for clarification!
4. Writing Skills: Writing is another key
element in communication and a skill
developed over a lifetime. As a professional
Verbal Non-verbal protection officer you may find yourself
writing incident reports, daily logs, email
communications, proposals, training
programs, statements, security survey
Writing Listening
reports, and annual reports along with a host
of other correspondence. There are many
ways to enhance one’s writing capability
but the best teacher is direct experience and
professional feedback from peers, managers,
FIGURE 4-1 Four key areas of interpersonal communication. supervisors, and customers.

I. FOUNDATIONS
60 4. THE PROTECTION OFFICER AS A LEADER

Over time, writing tends to improve, so assessing your strengths, weaknesses, and
don’t be discouraged if this is a weak area motivations, as well as those of others
for you. around you.
4. Continually Assess the Situation: Life
The protection officer who strives to main-
moves quickly and situations can change
tain the highest standards of ethics, constantly
instantly. As a professional protection
remains aligned with departmental and organiza-
officer and a leader, you must prepare for
tional mission, develops solid interpersonal com-
whatever is coming next. This can only
munications skills, and will make steady progress
be accomplished by training yourself to
in developing leadership skills (U.S. Department
develop and maintain situational awareness.
of the Army, 2006; Elgin, 1980; Sennewald, 1985).
5. Remember What Is Truly Important: As
mentioned earlier, ethics is the cornerstone
of the protection field and an organization’s
TEN STEPS TO BECOMING AN mission is its reason for existence. Always
EFFECTIVE LEADER keep in mind that ethics is more important
than a specific job; your career is more
The following 10 steps or precepts are pro-
important than a specific position and the
vided as a guideline for the serious student of
mission is more important than pet projects or
leadership.
short-term gains. Remembering what is truly
1. Be the Leader You Would Want to Follow: important will help you keep perspective.
Remember our definition of leadership: any 6. Take Action: A leader must know when
individual who influences the willing actions to act and when to wait. Failure to act,
of others in support of organizational goals especially in the protection field, can be
and processes. Ask yourself, “What type of very costly.
leader would I be willing to follow?” Once 7. Position Yourself and Your Organization
you answer that question, strive to be that Well: A leader must position him- or
leader! herself to be ready to take advantage of
2. Accept That Conflict Is a Normal and opportunities when they arise. As you move
Healthy Part of Growth: Remember that forward in any situation always be aware of
conflict is inevitable in all areas of human potential opportunities and take the time to
endeavor. While some conflicts can have position yourself and your team so that you
negative effects, the absence of conflict can capitalize on them when they arise.
would mean that everything would always 8. Be Adaptable: It is easy to get hung up on
stay the same and improvement would ideas, but not all ideas are acceptable to the
never occur. When engaged in a conflict, ask organizations we serve, nor are all ideas
yourself, “What progress can be made by workable. Always be ready to adapt your
actively listening to another point of view?” plans to suit the needs of the organization.
3. Know Yourself and Know Others: A leader Doing so will allow you to overcome
has to be completely honest about his or obstacles quickly and be more effective in
her strengths and weaknesses as well as the long run.
the strengths and weaknesses of others. 9. Avoid Predictability: The protection field
Only by doing so can the leader make requires structure and accountability, but
significant progress toward accomplishing it also requires staying one step ahead of
both the departmental and organizational situations and those who would victimize
goals. Train yourself to be constantly the people or organizations we serve.

I. FOUNDATIONS
 PITFALLS OF LEADERSHIP 61
10. Collect and Use Information: Information is and managers hired to protect the status quo.
the lifeblood of an organization and affects Change not only drives fear, it also drives the
the functioning of an effective protection fact that more effort is required to complete the
team. As a leader, it is important to collect change. This entire process means moving out-
and properly use information about the side the individuals’ comfort zone. Many peo-
organization, threats, vulnerabilities, and ple believe in the saying “don’t rock the boat.”
a host of other matters. By being mission- An important point to consider is that the boat
focused and honing the interpersonal skills is already rocking. The question is, do we steer
necessary to develop good relationships, the organization (boat) into the wave or do we
the professional protection officer will find allow the organization to be broadsided? A key
more sources of information and, in turn, be element to help any organization better deal
a more effective leader. with the effects of change is TRUST.
Trust can’t be purchased. It is a house that
These 10 steps or precepts, if worked on, will
must be built one brick at a time. It opens the
help the professional protection officer in devel-
door to the path for success. Trust is earned
oping solid leadership skills (Watson, 2007).
through the following simple steps:
● Honesty—Can an employee/customer
THE LEADER AS AN believe what you say?
AGENT OF CHANGE ● Integrity—Can an employee/customer
believe you will keep your promise?
As the last link between senior management ● Openness—Can employees/customers
and line employees or customers, it is the lead-
believe that you will share what you know?
er’s job to assist in the implementation of change.
To do this, certain obstacles must be overcome. (Hertig et al., 2008; Johnson, 2005)
There are several strategies for reducing resis-
tance to change. Much resistance to change
comes from lack of trust or people having to
PITFALLS OF LEADERSHIP
operate outside their comfort zone.
Resistance can sometimes be overcome or the
Oftentimes, people who see themselves as
impact lessened if the following are completed:
leaders think that others will follow them with-
1. Fully explain the upcoming changes. out question. Leaders must understand that
2. Make certain employees or customers fully leading is more about serving, negotiating,
understand the change. motivating, communicating, and actively listen-
3. When possible, discuss why the change is ing than the physical act of leading. Incorrectly
required. assessing a situation and trying to be overly
4. Identify and discuss the possible effects with persuasive or dominant can bring disaster to
employees or customers. a leader, especially one who has just assumed
5. Answer questions, or take the information that role.
and follow-up if you don’t know the answer. Some pitfalls that a leader should recognize
6. Build trust with your employees; they will and consider are as follows:
better accept the change.
1. Leading is more about achieving a shared
7. Be honest and be consistent.
goal, not managing or supervising people.
Change can potentially create fear in the orga- 2. A leader has to always display confidence,
nization and paranoia in the minds of executives trustworthiness, and truth. In other words,

I. FOUNDATIONS
62 4. THE PROTECTION OFFICER AS A LEADER

characteristics that make someone want to August 27, 2009, from http://www.hss.doe.gov/
follow them. nuclearsafety/ns/techstds/standard/hdbk1028/doe-
hdbk-1028-2009_volume2.pdf.
3. Many times, other employees/customers Watson, S. A. (2007). The art of war for security manag-
have the answers or at least some thoughts. ers; ten steps to enhance your organizational effectiveness.
Leaders need to be active listeners. Burlington, MA: Elsevier.
4. Make certain the elements of leadership are
aligned with corporate or customer goals
and desires. Resources
Bolton, R. B. (1979). People skills: How to assert yourself, lis-
(Hertig et al., 2008; Johnson, 2005; Sennewald, ten to others and resolve conflicts. New York, NY: Simon &
1985; Watson, 2007) Schuster.
Elgin, S. H. (1993). The gentle art of written verbal self defense:
How to write your way out of life’s delicate situations. Upper
Saddle River, NJ: Prentice Hall.
CONCLUSION Fujishin, R. (1993). Discovering the leader within; running small
groups successfully. San Francisco, CA: Acadia Books.
A leader is any individual who influences the Sawyer, R. D., & Tzu, S. (1994). The art of war. Boulder, CO:
willing actions of others in support of organizational Westview Press Inc.
goals and processes. While leadership roles can be
rewarding, they come at the high cost of con-
S E CURI TY QU I Z
sistent hard work and dedication, often with-
out a discernible return on investment. Those 1. Leaders and supervisors are not one and
who wish to assume leadership positions in the same. Our expectation is that every
the protection field must be prepared to put the supervisor is a leader but not every leader is
needs of the team above their own. They must necessarily a supervisor.
exercise the highest standards of ethics, remain a. True
mission-focused, and develop the solid interper- b. False
sonal skills necessary to motivate others (Hertig 2. The key for a supervisor to get anyone to do
et al., 2008; Johnson, 2005; Sennewald, 1985). anything is to:
a. Threaten them to do it
b. Get them to want to do it
References c. Bribe them to do it
d. None of the above
Elgin, S. H. (1980). The gentle art of verbal self defense. Upper
Saddle River, NJ: Prentice Hall. 3. Leadership is not about self-interest; it is
Hertig, C. A., McGough, M., & Smith, S. R. (2008). about being other-person-centered. Thus,
Leadership for protection professionals. In S. J. Davies & before embarking on a mission to become a
C. A. Hertig (Eds.), Security supervision and management leader, one should conduct a self-examination
(3rd ed.) (pp. 219–239). Burlington, MA: Elsevier.
in all the following ways, except to:
Johnson, B. R. (2005). Principles of security management.
Upper Saddle River, NJ: Prentice Hall. a. Assure that no one in the group will be
Sennewald, C. A. (1985). Effective security management (2nd able to pass you up and become your boss
ed.). Newton, MA: Butterworth-Heinemann. b. Make ethics more important than your
U.S. Department of the Army. (2006). FM 22 army lead- career
ership competent, confident, and agile. Retrieved
c. Have a deep desire to help others solve
August 27, 2009, from http://greerfoundation.org/
CouncilofPromisingLeaders.html. both work-related and personal problems
U.S. Department of Energy (2009). Human performance d. Find the potential in subordinates and
improvement handbook; Volume 2: Human performance tools push those subordinates to self-actualize
for individuals, work teams and management. Retrieved

I. FOUNDATIONS
 SECURITY QUIZ 63

4. An effective team member will display the d. Reader-friendly written material, sending
following attributes: complete, clear, easily understood
a. Continuously identify ways to improve communications
human performance 8. The optimal way to communicate is written.
b. Advise upline management when a. True
problems exist in work performance b. False
c. Be motivated to improve operations and 9. Some experts say we conduct a vast amount
always strive for excellence of our communications nonverbally. No
d. All the above matter how we or others communicate
5. Traits that can characterize a leader in any nonverbally, we must always strive
organization include all the following, except: for clarification if we want to achieve
a. Advocate teamwork in the ranks understanding. Which of the following is
b. Encourage open communications true about nonverbal communications?
c. Support complacency in the ranks a. The content is more difficult to read than
d. None of the above verbal and written communications
6. There are numerous critical leadership skills. b. The message being sent is usually
A leader will display all of the following skill just as important as other forms of
sets, except: communication
a. High ethical beliefs and attitudes c. Asking for clarification will keep the
b. A high ability to communicate well while misunderstanding to a minimum
understanding and relating to all people d. All the above
c. Learning how the mission of the 10. Leaders are often called upon to institute
organization compares to the leader’s change in a department. Change is hard
career goals to accept by many subordinates because
d. Being aware of the organization’s mission of insecurities or lack of trust. Resistance
and being focused on accomplishing that can be overcome by all of the following
mission suggestions, except:
7. There are four communication skills needed a. When possible, discuss why the change is
for every leader. Which of the following is not required
one of them? b. Inform the employees that if they cannot
a. Never missing a chance to shut up accept the change you will help them find
(listening) work elsewhere
b. Top down as a priority communications c. Be honest and consistent
direction d. Answer questions, or take the information
c. Complete and concise face-to-face and follow-up if you don’t know the
communications answer

I. FOUNDATIONS
 C H A P T E R

5
Career Planning for Protection
Professionals
Christopher A. Hertig and Chris Richardson

that are available in security. A great resource to

CHAPTER OBJECTIVES start with is the Career Opportunities in Security
● Review the importance of career planning booklet, published by ASIS International. It can
● Emphasize the significance of education be found at http://www.asisonline.org/career
and training center/careers2005.pdf
Another suggestion is to speak with a profes-
● List relevant resources for education, sional in a particular security field about their
training, career planning, internships, and job responsibilities and duties. A more in-depth
licensing/certification approach would be to job shadow the profes-
● Networking sional for a half or full day. This exposure will
● Job search allow a broad overview of a particular security
● Résumés discipline and give a “front-line” view of the
● Interviews specific career.
● Explore opportunities for career Career centers at colleges and universities
advancement can also be beneficial. They typically have valu-
able resources to assist in career planning and
developing a career path. Many of them have
an extensive network of contacts as well.
It is important to remember several key
IMPORTANCE OF CAREER
points about careers:
PLANNING
1. Career planning is a continual process that
Career planning is essential to becoming a suc- may change course a few times throughout a
cessful security professional. This is a multistep professional’s career.
process that evolves as experience is gained and 2. Careers are like recipes—they consist of
education is obtained. The first step in this pro- various ingredients—all in the proper
cess is exploring the numerous industry segments proportion.

65
66 5. CAREER PLANNING FOR PROTECTION PROFESSIONALS

3. While it is usually easy to see why someone Persons with college degrees tend to obtain
has been successful in a career, it may not higher-paying jobs, yet this is not always easy
be evident why someone did not succeed. to see. The career ladder they follow is not sim-
“Nobody gives you a scorecard when it comes to ple. College graduates may not see the immedi-
a career.” ate benefit of having a degree. It may take them
several years and several jobs for the degree to
really help them advance. After all, there are rel-
EDUCATION atively few “requirements” but many “expecta-
tions,” meaning that while the degree may not
Education is the cornerstone of career place- be required, it is expected.
ment and advancement. There are rare excep- The jobless rate for college graduates is much
tions where advancement to the most senior lower than the rate for non-graduates. This
level has occurred without advanced degrees, holds true in both boom and bust economic
but for the most part, in today’s market, a climates. During good times and bad, degreed
degree is essential. There are over 100 colleges persons have significantly lower rates of unem-
and universities offering degrees or programs ployment. Earnings are also much greater for
in security management and over 1,600 that graduates. Graduating from high school creates
offer criminal justice degrees or programs. a wage jump of about 32%; some college experi-
Furthermore, many of these academic institu- ence without a degree increases wages approxi-
tions offer online programs, enabling access for mately 13%. Graduation from college increases
more “nontraditional” students. salaries around 77% (Leonard, 2009).
Additionally, education enables a broader
view of the industry and the various disciplines.
It helps people to see how their job functions, TRAINING
however exciting or mundane, contribute to a
larger mission. Education helps prepare stu- Training is a structured learning experience
dents to lead others and manage the mission. designed to enable one to perform a specific
Education is an essential career component. task. Employees who are trained can perform
Unfortunately, it is not always easy to deter- tasks more efficiently and more safely. Training
mine exactly where education helps one to aids employers by increasing the effectiveness
advance. Holding a degree or certificate may or of employees. Training also increases the com-
may not aid one in getting a job. Generally, the munication between employees and manage-
degree experience should help prepare one for ment. It helps to give the employees a better
the process of preparing a résumé, researching idea of management’s expectations.
employers, and being interviewed. Employers Training also reduces the fear and frustration
look favorably upon persons that have demon- employees face when confronted with problems
strated the commitment and personal organiza- on the job. Training prepares them for the job
tion necessary to obtain a degree. and thus they feel more confident. As a result,
But in many cases, having a degree does not training generally reduces employee turnover.
automatically open doors. There may be other Employees are more engaged when they have
qualifications that the employer seeks, such as received adequate training.
experience, licensing, or certification. A degreed Professional organizations such as the British
individual may become confused and discour- Security Industry Association, the International
aged when finding that their education does Foundation for Protection Officers, and the
not automatically get them a position. Electronic Security Association (formerly the

I. FOUNDATIONS
 EXPERIENCE 67
National Burglar and Fire Alarm Association) be thought through beforehand. The costs and
support training efforts. The International benefits should be weighed. Finding out what
Association of Chiefs of Police (IACP) has been a employers think of the training is important.
staunch advocate of training. The IACP launched Lengthy, extensive training classes must be
various training initiatives such as the Training scrutinized before enrolling in them.
Keys: short instructional memos on specific There is a common mistake made by people
topics. These keys could be easily delivered to completing training at a police academy (which
classes of police officers by a supervisor. Finally, is several months in length and costs thou-
ASIS International launched a “Standard on sands of dollars) which is assuming they are
Security Officer Selection and Training” to ensure guaranteed employment. While this will help
that hiring standards were met and training one to get a police job, it does not guarantee it.
addresses all the areas that it needs to address. Additionally, state Police Officer Standards and
While professionals have supported training Training Commissions generally place a time
both within professional organizations and as limit on completing an academy and finding
individuals, there are many issues involved in employment. A police academy graduate may
providing training. have only 2 years to find a job or be decertified.
Training is expensive for employers to provide. The students must know themselves and the
Aside from the instructional costs, the employer employment market before going into debt.
is paying employees for their time yet not directly Another pitfall, which some young people fall
benefiting from it, as the employees are being victim to, is taking the wrong courses. Some peo-
paid for non-productive time while they are ple take all manner of martial arts and firearms
learning. This situation has helped to propel the training. While this is desirable in moderation,
growth in distance learning. Distance learning job seekers should beware of potential employ-
helps one avoid many of the costs associated with ers branding them as “Martial Arts Masters of
training as well as with scheduling problems. Mayhem” or “gun nuts.” In some employment
Distance learning also helps individuals to learn settings this is the “kiss of death” for job appli-
on their own; some contract security firms and cants. Martial skills should be bundled with
police departments have embraced this concept. other competencies such as first aid, firefighting,
These organizations provide motivated employ- customer service, writing, research, and so on.
ees with the option of professional growth. One solution to obtaining training is through
Anyone serious about pursuing a career volunteer work. Volunteer fire companies and
should seek out training on their own. Doing ambulance services provide training to their
so helps them to learn important skills. It also members. There are also occasions when agen-
makes them more attractive to employers. cies that offer services to crime victims or disaster
Trained individuals may save an employer relief will train volunteers. While the Red Cross
money on training costs. In some areas it is is well known, there may also be local organiza-
becoming increasingly common for people to tions that will offer training to volunteers.
send themselves through a police academy so
that they are more certain of landing a police
job. A person who has completed training on
their own also stands out as someone who is EXPERIENCE
motivated and employers generally wish to hire
only the most motivated of personnel. Experience in a particular field or in a posi-
As completing training costs time and tion is one of the most cited criteria or qualifi-
money, taking an instructional program should cations for employers. A quick search through

I. FOUNDATIONS
68 5. CAREER PLANNING FOR PROTECTION PROFESSIONALS

online job boards or job openings will reveal volunteer experience, something to put on their
that the majority of the positions requires a résumé, and references for future jobs.
“minimum” number of years of experience. If
experience is not required for a particular posi-
tion, there are often other qualifying criteria LICENSING/CERTIFICATION
such as education, certification, or skills listed
as a prerequisite. With some positions a license is required.
Internships are an excellent way for a student This may be at the state, provincial, or county
to gain experience in the security and/or crimi- level. In some cases, there are also cities that
nal justice industry. Employers are much more license security and police personnel.
inclined to hire an intern with no or limited expe- Research into career options must include
rience than a permanent employee with no or licensing requirements. There are almost always
limited experience. The significant differences are licenses required for armed security personnel. It
the internship has defined employment dates, is also common to license those who offer inves-
the intern is more closely supervised, and intern- tigative services on a contractual basis (private
ships are often unpaid. investigation). Some jurisdictions license alarm
Two new Web sites have been recently launched installers, security consultants, personal protec-
to connect employers and students with intern- tion specialists, door supervisors in clubs, and
ships. The Web site www.securityinternships.com locksmiths.
provides a listing of security internships listed by Certification is another valuable addition
employers with both a proprietary and contract to the résumé and skill set of security profes-
security staff. The Web site www.criminaljusticein- sionals. Almost every security discipline and
ternships.com provides a listing of criminal justice security society or organization has their own
internships with local, state, and federal agencies. certification and it is worthwhile to seek out
Both Web sites offer more than just a listing of and obtain the relevant certifications.
internships. They offer résumé templates, schol- There are more recognized certifications than
arship information, career news articles, and a others, but as with educational institutions, it is
listing of other valuable Web sites. important to vet the certifying body to ensure
There are times when career planning the validity of the certification.
involves a transition into another field or dis- To be a well-rounded professional, certifica-
cipline. For example, a security director may tions in areas other than security contribute to
want to transition into audit or compliance. success. For instance, a certification in public
While these two fields are loosely related, the speaking, finance, accounting, or computers
transition may be smoother if it occurs within can provide additional opportunities and salary
the same organization. It is more difficult to increases.
transition into another field or discipline at
another company or organization.
Volunteering is another approach to filling NETWORKING
the experience void in one’s résumé. Volunteer
work can sometimes be performed for non- Networking with security industry experts
profit organizations such as churches or civic can excel the progression of security profession-
organizations. It can also be offered by different als. Networking can begin at any career stage and
departments in one’s employing organization; is advantageous to both young and experienced
an employee may volunteer to perform work security managers and executives. Networking
outside of their department. This gives them can occur during industry conferences, through

I. FOUNDATIONS
 CAREER ADVANCEMENT 69
social mediums such as LinkedIn, and through Search and Knock ’em Dead Resumes, both writ-
professional associations. It also occurs through ten by Martin Yate.
job experience, various job assignments, and The objective of the job search and résumé
meeting people through employment. is to provide an opportunity for an interview.
All too often, networking is considered a Arguably the most important process in land-
tool to find employment. Although it is advan- ing a position, the interview is where the final
tageous to network with industry peers and decision to hire the most qualified and best can-
colleagues to search for a security position, didate occurs. Nothing should be overlooked
networking has many other benefits beyond during this process.
finding the next job. It allows one to reach out Preparation for the interview should be thor-
to others for assistance with solving a complex ough and well thought out. It is important to
problem or to benchmark a process or proce- research the employer to ensure the applicant
dure. Networking also enables one to stay up- knows the history of the company and is up-
to-date on industry news and trends. In this to-date on any recent news such as mergers,
respect, networking aids in finding jobs. It also expansion, stock price, awards, and so on. In
helps in succeeding at those jobs. addition to researching the company, the appli-
cant should drive to the interview location the
day before to ensure that directions are accurate
JOB SEARCH and to notate the amount of travel time.
Social networking sites are being used more
Online job searching has surged in the past frequently by employers to screen applicants. It
decade. The Internet allows for an unprece- is imperative for an applicant to scour through
dented number of jobs to be listed by employers any social networking site they are members of
and searched by applicants. There are large com- to ensure any pictures or videos that could be
panies such as monster.com and careerbuilder deemed inappropriate are removed prior to the
.com that list job openings for every career and application process.
discipline available. There are also niche job sites
that focus on specific industries.
Before a job search can be started, a résumé CAREER ADVANCEMENT
must be constructed. A résumé is often the
first exposure an employer has to an applicant. Career progression goes beyond education
Furthermore, the employer or recruiter spends and experience. Security professionals have
less than 30 seconds reviewing a résumé. This attributed their successful climb up the pro-
signifies the importance of an impressive résumé verbial “ladder” to credibility, leadership, and
in getting an interview for a position. interpersonal skills. These qualities and skills
There are two formats for résumés: func- develop over time and require an investment
tional and chronological. A chronological résumé of time and energy devoted to a career path.
focuses on the time format of experience. It There are four approaches to reaching career
typically lists employment and other activities objectives: become a resident expert on a secu-
according to dates, with the most recent listed rity topic, develop a personal brand, culti-
first. A functional résumé doesn’t focus on dates; vate a mentorship, and establish a network of
rather, it focuses on a narrative style of skill sets colleagues.
and experience. Excel at one’s current job tasks. While the
A widely recognized resource for job search- knowledge, skills, and abilities required for
ing and résumé writing is Knock ’em Dead Job a supervisory position differ from those of a

I. FOUNDATIONS
70 5. CAREER PLANNING FOR PROTECTION PROFESSIONALS

subordinate, people who don’t “shine” will not Find a mentor. Mentors are important. They
be promoted. provide guidance and insight. They enable the
Being visible is important. Joining commit- person being mentored to grow on their own
tees and taking on additional projects is one into new levels of competency. They aid the pro-
way to do this. Mach (2009) states that it is tégé in gaining additional areas of competence.
advantageous to work across your organization. Sponsors are another means of helping one
Richardson (2009) states that there are four advance in their career. A sponsor is someone
strategies that can help security professionals who brings along a subordinate when they
advance on the job: becoming an expert in some themselves obtain a promotion. Sponsors may be
area; developing a personal brand; finding a chosen to head up a different division of an orga-
mentor; and networking. nization. Care must be taken in choosing a spon-
Become an expert in an area that is needed. sor. Sometimes sponsors fall out of favor within
A retail loss-prevention officer who masters an organization. A sponsor who is on the wrong
interviewing, a casino security professional side of politics is not a good sponsor to have. In a
who can design camera systems, or a protection similar vein, a sponsor who is not very ethical is
officer at a high security facility who becomes a a liability. Ethics is crucial in this regard.
software expert are all in demand. Becoming a In some cases, promotion within one’s
reliable source of information or expertise gets employment organization is simply not hap-
one noticed. It opens up opportunities to work pening. This may be due to a small number of
on special projects and meet new people. positions being available. It may also be the
Develop a brand. A brand is a unique style. case that the persons holding those positions
One person may project himself as an innovator. are not leaving them. In these situations, one
Another may be a researcher. Still another may either has to be satisfied staying where they are
excel at social relationships and politicking. or seek employment in another organization.

EMERGING TRENDS
Enrollment in colleges and universities is In addition, academia has noticed this trend and
at an all-time high. Employers are streamlin- consequently there are a growing number of col-
ing processes and asking employees to do more leges and universities that offer a degree or pro-
with less. When employers hire, they have gram in Crisis or Emergency Management.
the ability to be more selective and seek out the Job searching and applying for jobs are
most qualified candidate. A reduced workforce increasingly becoming online activities. It must
and an influx of applications for open positions be noted, however, that there is a major role
increase the competitiveness of the candidates. for interpersonal, face-to-face interaction. The
Experience and education are two of the most practices of investigation, asset protection, and
important areas that set candidates apart. so on, are interpersonal endeavors. They can-
Emergency management is closely related to not be completely performed electronically.
security and homeland security. Emergency or Additionally, the job search and acquisition pro-
crisis management has been a career field that cesses require in-person abilities. One will be
has rapidly expanded over the past several years. limited without a personal network. In addition,
There are many career opportunities available with job candidates who don’t do well in interviews
government, private, and nonprofit organizations. will not be hired.

I. FOUNDATIONS
 SECURITY QUIZ 71

References recruitment, employment, training and retention sys-

tems.” The Partnership provides career information
Alexander, D. (2009). Achieving diversity: A battle for the sexes. to students and others. Additional information can be
http://www.info4security.com/story.asp?sectioncode accessed at www.careerclusters.org.
10&storycode4121598&c12 Retrieved 02.12.09. Internships in security can be found at www.securityintern
Bixler, S. (1992). Professional presence: The total program for gain- ships.com.
ing that extra edge in business by America’s top corporate image Internships in criminal justice can be found at www
consultant. New York, NY: Perigee. .criminaljusticeinternships.com.
Choi, C. (2009, February 1). Signing up for an online degree?
Know the costs. York Sunday News, 2E.
Cosgrove, S. (2007, January 28). Grades are great—but grads
need skills. York Sunday News. S E CURI TY QU I Z
Ford, W. (1999). The accelerated job search. Walnut Creek, CA:
Management Advantage. 1. Which of the following best describes the
Goulet, T. (2008). How to get credit for your ideas at work. importance of career planning?
 http://msn.careerbuilder.com /  Article/MSN-1692- a. Meet with parents and friends to
Workplace-Issues-What-Gets-You-Through-the-Workday/? determine which career is best
cbsid43d7d1cf28254e729bd0131b1fb8522a-280787170- b. Job shadow a professional currently in the
VI-4 & sc_extcmp  JS_1692_advice & cbRecursionCnt 
2 & SiteId  cbmsn41692 & ArticleID  1692 & gt1  23000
field of one’s potential career
Retrieved 11.23.08. c. Complete a self-evaluation study that can
Hopson, J. L., Hopson, E. H., & Hagen, T. (2009, March 15). be found on the Internet
Speak up to your supervisor. York Sunday News. d. None of the above
Jones, L. (1992). The encyclopedia of career change and work issues. 2. When earning an education what are the
Phoenix, AZ: Orynx.
Leonard, C. (2009, January 25). A degree still pays. York
most important considerations?
Sunday News. a. Determine if the college or university is
Mach, S. (2009). World-class customer service: The key to York accredited
College’s success. York, PA (January 13). b. Gain work experience through internships
Richardson, C. (2009, February 1) “Steps Toward Career or volunteer work
Success” Security Management Magazine, 53, 91–92.
Yena, D. (1987). Career directions. Homewood, IL: Career direc-
c. Maintain a satisfactory grade point
tions: A special edition of Johnson & Wales University. average
d. All of the above
Resources 3. On average, how much of a salary increase
do college graduates earn over noncollege
The Electronic Security Association (formerly the National
graduates?
Burglar & Fire Alarm Association; www.alarm.org) spon-
sors a variety of educational programs with the purpose a. 77%
of representing, promoting, and enhancing the growth b. 58%
and professional development of the electronic life safety, c. 84%
security, and integrated systems industry. In cooperation d. 35%
with a federation of state associations, ESA provides gov-
4. Why is experience such an important
ernment advocacy and delivers timely information and
professional development tools. There are various certi- component of your résumé (choose the best
fication programs for alarm installers, technicians, and answer)?
related electronics professionals. a. Experience provides exposure to scenarios
The National Partnership for Careers in Law, Public Safety, and interaction not available in the
Corrections and Security was initiated in 1999 with fund-
classroom
ing from the U.S. Department of Justice. The Partnership
exists “to build and support career development pro- b. Education is more important than
grams and systems that ensure seamless transitions by experience and it is not necessary
linking and integrating secondary and post-secondary c. It demonstrates a high level of motivation
education, professional certifications, and organizational

I. FOUNDATIONS
72 5. CAREER PLANNING FOR PROTECTION PROFESSIONALS

d. A job allows the student to earn money 8. Why do employers search social networking
while in school sites for applicant information?
5. On average, how many certifications should a. They want to find other candidates for
one obtain? other open positions
a. 8 b. Searching these sites provides a quick
b. 4 and efficient way to learn more about
c. 9 the candidate
d. None of the above c. To find a specific person’s résumé
6. What is the difference between a functional d. Employers do not search social
and a chronological résumé? networking sites on job applicants
a. A functional résumé lists the functions that 9. There are four strategies for developing a
you performed at a job career; choose the one that is not a strategy.
b. A functional résumé is a summary of a. Develop a personal brand
experience, whereas a chronological résumé b. Network
lists jobs or positions by dates of employment c. Find a mentor
c. There is no difference d. List one’s résumé on an online job board
d. A chronological résumé only lists 10. What is one of the fastest growing fields
education and certification related to security?
7. When interviewing for a job, what preparation a. Law enforcement
is necessary (choose the best answer)? b. Homeland security
a. Drive the route to the interview location c. Private detectives
the day before d. Contract security
b. Research the organization
c. Be prepared to answer standard interview
questions
d. All of the above

I. FOUNDATIONS
 U N I T II

COMMUNICATIONS

6 Effective Communications
7 Security Awareness
8 Central Alarm Stations and Dispatch Operations
 C H A P T E R

6
Effective Communications
Charles T. Thibodeau

means that whatever was contained in the com-

CHAPTER OBJECTIVES municator’s original message is both received
● Definition of effective communications and understood by the targeted receiver or
● Why effective communications is receiver group. The element of understanding
necessary the message is the central focus of this defini-
tion, for without that element, communications
● The six essentials of effective are blocked. Put another way, effective com-
communications munications simply are nonexistent without a
● How to address each audience effectively two-way, mutual understanding of the message
● Myths and misconceptions about being communicated.
communications
● Proper use of communication devices
DUE DILIGENCE BASED ON
EFFECTIVE COMMUNICATIONS

Businesses are required by law to establish and

EFFECTIVE COMMUNICATIONS maintain what is called “due diligence.” In lay-
DEFINED man’s terms, that means operating their affairs
by paying particular attention to the best welfare
“Effective communications” is the faith- and interest of their visitor’s safety and security
ful reproduction of a thought, idea, observa- needs. To meet this “due diligence” requirement,
tion, instruction, request, greeting, or warning, businesses must focus on foreseeable real and per-
expressed in a verbal, written, electronic alarm ceived threats. Next, the law expects businesses to
annunciation, or pictorial media, originated and warn people of danger and then avoid or mitigate
transmitted by a communicator or communicat- those threats that have a chance of materializing
ing device to a specifically targeted receiver or and causing a substantial loss of assets, damage
receiver group. The term “faithful reproduction” to property, and/or injury to people.

75
76 6. EFFECTIVE COMMUNICATIONS

To comply with this mandate, businesses but if these six factors are present, communica-
must conduct perpetual risk analysis, vulner- tions will be extremely effective.
ability assessments, integrated countermea-
sure designs, security officer training, employee
security awareness training, and contingency
planning. However, without “effective” commu- CONSIDER THE AUDIENCE
nications, none of these practices and procedures
could exist. Thus, effective communications are Everyone communicates at different lev-
a key element in assisting businesses in meeting els. If you are communicating with someone
their mandate to provide proof of compliance who is many levels below your communica-
with required levels of due diligence. tion level, the message you are sending stands
a good chance of being misunderstood. In
addition, assuming that everyone speaks and
CHANNELS OF understands on your level is almost a guaran-
COMMUNICATIONS tee that you will be an ineffective communica-
tor. The midpoint between talking above your
There are four channels of communications audience and talking below your audience is
in any organization or company: top-down, currently the seventh-grade level. If you want
bottom-up, horizontal, and the grapevine. The perfect clarity in your communications, then
first three are essential for information to flow speak slowly, carefully choosing your words,
in every direction. These are the formal and using no more than five- or six-letter words,
official forms of communications. The fourth and choosing words that are commonly known.
form of communications found in most orga- In many cases, when asked to repeat a message,
nizations is the grapevine, which consists of an the receiving person uses different words. Thus,
outgrowth of informal and casual groupings of each time you are requested to repeat a mes-
employees. Effective communications in any sage, say it in different words.
security department requires all four of these The security officer’s communications must
forms. They provide maximum performance also accommodate the language difficulties
both during stable and predictable periods and of an ever-growing ESL (English as a Second
during times of stress. Language) population. Spanish and French
are common, second to English, and there
is an ever-growing Asian population whose
THE SIX ESSENTIALS OF languages include Korean, Laotian, Hmong,
EFFECTIVE COMMUNICATIONS Mandarin, and Vietnamese. The security officer
of the future may indeed need to be bilingual.
Effective communications must be: Another consideration is medically afflicted
people with communication impediments,
● Timely
although there may be nothing you can do to
● Complete
breach their communication difficulties. When
● Clear
dealing with the deaf, blind, or people afflicted
● Concise
with multiple sclerosis (MS), patience is your
● Factual
greatest asset, and a strong commitment to help
● Accurate
these people will get you through it. Just be
This is a bare bones list of requirements. Cer- persistent until you can find the way each one
tainly, the complete list includes other attributes, communicates.

II. COMMUNICATIONS
 PROPER USE OF COMMUNICATIONS DEVICES 77

VERIFYING COMMUNICATIONS your communications. A much better ques-

WITH FEEDBACK tion to ask, when finished preparing a message
is “Does this message have all six essentials of
It is of the utmost importance that the effective communications?” If not, fix it before
receiver of a message gives you some kind of the message is sent. If that fix extends the mes-
indication that he or she received the message sage length, it is better to violate the brevity rule
and the message received is the same one you than the need-to-decipher rule. Abbreviations are
sent. What I am alluding to here is the use of only valuable to the receiver who can decipher
feedback to confirm that the receiver did in fact them. Shorthand is usually only valuable to the
receive and understand the message. The initial sender of the message and in many cases cannot
communicator who sent the message is respon- be deciphered readily by the receiver of the mes-
sible for ensuring that the message was not only sage. If there is any absolute rule in effective mes-
received, but was the same message that was sage sending, it is this: No message other than a
sent. The communicator has a right to believe crypto-message should have to be deciphered by
the message was received and understood if a any receiver of the message.
confirmation message is returned. Acceptable
confirmation messages among peers would be
any of the following: “10-4,” “roger,” “good PROPER USE OF
copy,” or a very short verbal message repeating COMMUNICATIONS DEVICES
your message.
Telephone Systems
MYTHS AND MISCONCEPTIONS The telephone is one of the most important
IN COMMUNICATIONS tools that any security officer can have at his
or her disposal. At the same time, if the tele-
There is one misconception that causes more phone equipment is not properly designed for
errors than any other in the communications a security or emergency setting, it can be a great
field and that is something called brevity, or problem, hampering effective communications.
keeping each communication as brief as pos- The telephone equipment in a security program
sible. In an attempt to accomplish this one goal, must be simple to use with the least probability
the communicator uses abbreviations, personal of failing during an emergency.
shorthand, partial words or partial sentences, In modern cutting-edge security control cen-
poor grammar, and a message that requires ters, there will be a 10-button phone with caller
deciphering. ID on it for day-to-day business. It will be a part
Being brief many times is not an important of the facility PBX or electronic phone system,
goal of writing. Saying as few words as possi- and like all phones, it will have the ability to
ble and speaking in code is not always the best place calls outside the facility as well as within
choice of content for verbal communications. the facility. It will also be tied into a tape record-
The above list of six essentials must be present ing device to record all incoming and outgoing
to have a clear and concise message. calls.
The length of the message is important in Separate and apart from the 10-button phone,
many situations, such as sending duress codes or there will be a red phone used exclusively for
using a two-way radio. However, brevity is one emergencies with caller ID and tape recording
of the least important factors and most destruc- device on it as well. This red phone may have
tive factors to the attempt to be “effective” with a strobe light connected to it to distinguish the

II. COMMUNICATIONS
78 6. EFFECTIVE COMMUNICATIONS

ringing sound from all the other phones in the directly to the mainframe of the local telephone
room. This phone will have no dial-out capabil- office and it will operate on its own power.
ity; in fact, the face of the phone will have no Therefore, this direct tie to the outside world
dialing keyboard. will be somewhat protected from numerous
The reason for having a separate red phone threats. The conduit-encased phone line would
for emergencies is that the security operator or almost assure an outside line during any power
dispatcher will at some point need to communi- outage or computer failure that could cripple the
cate over the regular phone lines to call for fire, facility’s PBX or electronic telephone system.
police, or emergency medical assistance and for In some facilities a fourth, black phone is
other assistance. If the emergency phone is tied physically identical to the red phone; it can-
into the 10-button phone, the emergency event not be dialed. This phone is dedicated to panic
caller at the scene of the emergency must be put alarm annunciation. If there is a threat on exec-
on hold while public assistance is being called. utive row, or a robbery in the credit union, cer-
Never hang up on the emergency event caller or tain designated employees are trained to use
put the emergency event caller on hold during the black phone for “duress code” messages.
an actual emergency. The caller under the stress The cell phone is the newest addition to the
of an emergency may hang up whenever they phone systems available for security officers. In
cannot hear the sound of your voice or noise in many locations, security departments are invest-
the control center. ing in cell phones that double as two-way radios.
In addition, each security station in the facil- At this point, for most security departments, these
ity should be equipped with a red phone as telephone-radio combination units are too costly.
well as a regular phone. When an emergency In other locations, cell phones are used as back-
call comes in, each red phone should be picked up units to the two-way radios for communica-
up with the remote stations just listening in to tions where two-way radio signals are blocked by
the conversation between the dispatcher and dead spots. Cell phones play an important part
emergency event caller. during patrol duties to allow emergency calls to
Then, before hanging up, each station will be made from the scene, back to the control cen-
confirm that they have received the message ter when the two-way radio is ineffective. The cell
heard over the red phone. The emergency tele- phone can also be used for calls directly to the 911
phone system is not a place to skimp on cost emergency response centers.
or design when so much depends on effective
communications during emergencies. In fact,
just in case you lose your connection with the
Two-Way Radios
emergency event caller, it is best to jot down The two-way radio is the primary mobile
that person’s name and phone number immedi- communications device that almost all security
ately at the outset of the call. officers use to communicate with the control
A third phone, a yellow phone, would be a center and between other officers, supervisors,
single analog line separate and apart from the and management. There are some problems
facility PBX or electronic telephone system. This with most two-way radio systems and that
phone will have a hardwired four-lead tele- trouble includes, but is not limited to, failure
phone cable inside of a conduit from the wall to operate in dead spots, being susceptible to
jack in the room where the phone is located to operator error, and having short battery life. In
the street-level mainframe. The conduit will addition, an adequate two-way radio system
lessen the threat of the line being cut or burned is expensive; the units are bulky and take up
through during an emergency. This line will tie space on a crowded utility belt. Some of these

II. COMMUNICATIONS
 PROPER USE OF COMMUNICATIONS DEVICES 79
radios break down regularly and are costly to to allow for processing. If this is not done, your
maintain. However, all of these shortcomings message will be clipped at both ends. When
aside, we could not do the security job as well holding the transceiver up to talk, hold it to the
as we do without effective communications side of your mouth and speak across the micro-
devices like the two-way radios. phone. Do not speak directly into the micro-
Two-way radios are miniature radio stations phone or you may speak too loudly and cause
and as such, something called “ground-wave distortion of the transmitted message.
propagation” makes the difference between The frequency of the radio also has an impact
effective communications and either broken on effective communications. Most radios used
communications with static or no communica- by security are FM transceivers. They are either
tions at all. Ground-wave propagations are the VHF or UHF. Two-way radios that are called
scientific explanation that explains how a radio VHF transceivers work on what is known as
signal travels from the source antenna to the very high frequency. The UHF radios operate
receiving antenna. It also explains that if any- on ultrahigh frequency. The difference between
where along that path, there is an object that these two transmission levels is the lower the
is so well grounded, like an I-beam or other frequency, the longer the wavelength. That
metal object, the signal may be short-circuited means the VHF signal will travel a long way, but
and driven into the ground before the message a VHF signal is a relatively weak signal and does
reaches the receiver’s antenna. Because the trans- not work as well in tall buildings with lots of
mission antenna sends out many pear-shaped steel. By contrast, the UHF transceiver is a stron-
signals, not just one, to overcome this signal ger signal but has a much shorter wavelength.
interference problem, the officer needs only to That means that it packs a wallop and works
walk a few feet from where the transmission is well in tall buildings with lots of steel, but it
garbled and the signal may be reestablished. cannot travel too far. A UHF system with numer-
The two-way radio is most effective with the ous repeaters in line is possibly the most effec-
antenna 90 degrees perpendicular to the ground. tive two-way radio communications system.
The antenna should be pointing straight up
in the air during use. By tipping the antenna
Pagers
sideways or horizontal to the ground, the unit
becomes directional and the strongest transmis- The pager takes a telephone call to respond
sion will be along the line where the antenna is to unless it is a voice pager or a text pager that
pointing. If a two-way radio antenna is pointing displays messages. Pagers are nice because
away from the receiving antenna, then the radio they are small and work just about every-
is being used in a very ineffective manner. where. However, they do not allow the mes-
In many systems, signal strength gets a boost sage receiver to respond with a message and
by use of a repeater. A repeater is a great help but they do not allow for verification that the signal
the process by which it works makes it somewhat was received and understood. Pagers should be
user-unfriendly. The repeater receives the signal, used for back-up only. Two-way radios and cell
turns it around, and sends it back out as a more phones are the best communications devices for
powerful signal. That process takes time; thus, portable operations.
the two-way radio communicator must hold the
transmission switch down for two seconds before
talking in order to engage the repeater and then
Intercoms
the communicator must hold the switch down In a retail setting or a hospital setting emer-
for two seconds after the message is finished gency, codes are sent over the intercom. We all

II. COMMUNICATIONS
80 6. EFFECTIVE COMMUNICATIONS

know that “code blue” means cardiovascular signal exceeds maximum input peak-to-peak fre-
problems complicated by respiratory failure. quency. You do not have to speak loudly when
We know that “code red” means fire. In some announcing over an intercom, as they have
retail companies a call over the intercom such as built-in amplifiers to adjust the sound level.
“Mr. Jones, please come to the front of the store”
means that security is needed at the front of the
store. The intercom is useful when it is working, SUMMARY
but traditionally the intercom system is a weak
link in the communications systems of any facil- Effective communications do not exist when
ity. There are problems with volume and static, the speaker and the receiver are not “on the
and they seem to have more than their fair share same page.” That is the bottom line in many con-
of maintenance needs. If the intended receiver tract dispute cases where the seller and the buyer
of the message is out of the area where there are failed to reach a “mutual assent to the same
no speakers, the message will not be received. proposition.” This means that the buyer expected
In addition, there usually are no procedures to to receive something that the seller was not sell-
inform the communicator that the message was ing; thus the contract could be declared null and
received and understood. Despite the prob- void all because the buyer and seller were expe-
lems, however, intercoms are still needed. Extra riencing a lack of effective communications.
speakers should be placed in remote and hard- One of the situations that led to the death of
to-hear-in areas all over the facility to assure hundreds of firefighters in New York City dur-
emergency messages reach everyone. If you ing the 9/11 terrorist attacks in 2001 was the
work in a facility equipped with intercoms for fact that their two-way radio system failed.
communications and you even think that a mes- Poor communications turned deadly in that sit-
sage might have been transmitted over an inter- uation. We have to be continuously vigilant of
com, call dispatch and check out your suspicion. effective communications in our security work.
The mistake that a communicator can make Failure to communicate effectively, including
using the intercom is to speak too loudly into the failure to communicate at all, can very quickly
speaker. Many systems will distort if the input turn into serious injury or death.

EMERGING TRENDS
As states across this country continue to pass effective communications in the workplace. These
laws for mandatory security officer training, effec- supervisors should not hesitate to have a security
tive communications will be an important part of officer rewrite his or her report when that report
that training. A training curriculum authorized by fails the effective communications test. In addition,
a state licensing board will likely contain report poor report writing should be rewarded with man-
writing as a mandatory component. It will be a datory writing class refreshers taken repeatedly
supervisor’s prerogative to assure that the officers until effective communications improvement is
in his or her command are following the report observed. It is very possible that this turn around
writing training they receive. Therefore, it will trend in effective communications will emerge
take the state licensing board and the security offi- over the next decade as security departments
cer trainers and supervisors, both in contract and work toward ensuring that effective communica-
proprietary security, to enforce acceptable levels of tions exists throughout the security industry.

II. COMMUNICATIONS
 SECURITY QUIZ 81

S EC U RI T Y QU IZ must be able to tell which of the following?

Choose the best answer.
1. Which of the following best describes
a. That the communications were necessary
effective communications?
b. That the communications were timely
a. A faithful reproduction of a message
c. That the message was received
sent to a receiver clearly understood and
d. That the message has been received and
confirmed by the receiver
understood
b. A message sent by a communicator who
7. The one misconception that causes
expects the receiver to understand it
more errors than any other in effective
c. A message that is sent to a person with
communications is:
hope that it will be understood by all
a. Every message must be brief
d. All of the above
b. Every message requires some
2. Tort law expects every business to actively
interpretation
pursue the following:
c. Every message must be clear and concise
a. employee background checks
d. None of the above
b. due diligence regarding safety and security
8. The telephone equipment in a security
c. adequate training of all employees
program must be which of the following?
d. employee benefits
Choose the best answer.
3. There are four channels of communications in
a. It must be technologically rugged and
most companies; which of the following is not capable of working under severe conditions
a channel? b. It must be simple to use with the least
a. Top-down communications probability of failing during an emergency
b. Bottom-up communications c. It must be available on a 24/7 basis
c. Grapevine communications d. None of the above
d. Reverse-horizontal communications 9. In the security office, separate and apart from
4. There are six essentials of effective the general use telephone, there will be a red
communications; which of the following is phone used exclusively for emergencies. That
not one of those essentials? phone will have the following attachments
a. The communications must be complete to make it more effective. Which of the
b. The communications must be clear following is not one of those attachments?
c. The communications must be consistent a. Ringer
d. The communications must be concise b. Strobe
5. Effective communications has built-in flexibility c. Tape recording device
to facilitate the needs of the receiver or receiver d. Beeping sound every 3 seconds
groups. Which of the following characteristic is 10. During some emergency situations, the
important to take into consideration? phone system will be destroyed, especially
a. Communications grade level remembering when there is a building collapse. What can
the seventh-grade midpoint rule we do to protect that phone line?
b. English as a Second Language (ESL), a. Use a separate single-cable phone line not
people with poor understanding of English part of the building’s main phone system
c. Medical condition such as speech b. Place the telephone cable inside of a metal
impediment, hearing loss, or poor sight conduit
d. All of the above c. Have the cable enter/exit the building at
6. A very important part of effective the lowest level of the building
communications is that the communicator d. All of the above

II. COMMUNICATIONS
 C H A P T E R

7
Security Awareness
James E. Sellers

corporate environment, and it should include

CHAPTER OBJECTIVES everyone connected to corporate functions.
● Explore the importance of security Managers should formulate a plan that
awareness to the overall success of an emphasizes enlisting every employee to form
organization partnerships with critical external acquain-
tances to build a diverse team. When properly
● Explain how a stakeholder approach is launched and actively reinforced, an effective
used to create a partnership, which helps security awareness team encompasses various
achieve a safe and secure environment entities to achieve basic protective goals, which
● Explore examples of “lessons learned” that help deter unwanted activities that threaten
by an organization to help partners the organization.
understand why security awareness is Although the basic roles, skills, and knowl-
important personally and for the success edge of team members will vary, each should
of the organization understand that he/she is an essential player
● Discuss how focus groups and surveys in safety management and in helping the com-
are utilized for better communication pany achieve security goals. This creates an
environment that reduces liability risk and loss
prevention by encouraging general safety prac-
tices and strategies that produce lasting results.
INTRODUCTION Whether a matter of routine or during an emer-
gency, team members should, at least, know the
Security awareness has long been a goal of most current corporate security plan, accept
organizations that strive to provide a safe and responsibility, and have the ability to imple-
secure environment for their employees, cus- ment program objectives.
tomers, and those who want to defend precious
assets. The practice of security awareness oper-
ates best when a reasonable plan is put together WHAT IS SECURITY AWARENESS?
with policies and procedures that support a
comprehensive team concept. A security aware- When we speak about “security awareness,”
ness team is crucial to sustaining a healthy we are talking about the need to focus attention

83
84 7. SECURITY AWARENESS

on security throughout the organization and to organization down, but should also flow
keep security in the forefront of every employee’s back up to the top. It is in this way that
mind during the day. It involves a sense of duty outdated procedures are discovered and
by those who could be affected to be aware of corrected.
security practices as they relate to daily activi- 2. Modern security techniques now involve
ties of the organization. Although the plan can more collaboration with external associates
be extensive, it does not require every employee such as customers, venders, contractors,
to know every aspect; many times it will apply insurance providers, security consultants,
to specialized or departmental duties. public safety officials, law enforcement, the
Security awareness provides a framework of fire department, government emergency
established policies and procedures that partici- management operators, and others. By
pants employ by reporting unsafe conditions, collaborating with associates a synergy is
suspicious activity, and noticing general safety developed that acts as a force multiplier.
breaches, merely as second nature. Value is added to the security plan by using
Team members are trained and polled regu- proven ideas from experienced external
larly to heighten their awareness about chang- contributors.
ing trends in practices and rapidly advancing
Security departments should liaise with local,
technology. In the past, the main concern has
state, and federal law enforcement officials.
been on physical site security issues; focusing
These officials can speak with management to
mostly on gates, doors, windows, and locks.
reinforce security and safety practices that the
Today, along with physical awareness, security
security department recommends including in
initiatives must include internal matters, like
company policies and procedures. The secu-
avoiding workplace violence, enhancing per-
rity manager should solicit the officials to offer
sonal safety, and being up-to-date on the latest
advice and feedback from their observations.
information technology, including safe Internet
The internal and external partners described
practices. Greater emphasis must now be placed
above become stakeholders through common
on these issues, more so than in the past.
interests and shared goals that help the organi-
zation succeed. Stakeholders may be directly or
indirectly related to an organization and may
EXPANDING THE TEAM offer input that reflects commitment to ongo-
THROUGH PARTNERSHIPS ing functions. As stakeholders, managers and
employees all benefit through financial or per-
To be effective, the security department sonal investment, employment, and so on. All
should instill “security awareness” among share the belief that it is in their best interest
members from all layers of the organization as to protect and promote the organization as if it
well as external partners. were their very own. See Figure 7-1.
1. Employees should be made to feel part of the
awareness team and should be solicited for
their ideas to improve security. Encourage TECHNIQUES FOR REINFORCING
employees to report security problems POLICY AND PROCEDURES TO
and correct safety potential issues when INCREASE SECURITY AWARENESS
observed. Use a double loop communication
model, which means that information To greatly increase security awareness, mem-
should not only flow from the top of the bers from all layers of the organization and

II. COMMUNICATIONS
 DOUBLE LOOP LEARNING 85
Management

Security
All employees
department

External
partners

FIGURE 7-1 Security awareness with partner approach (stakeholder). Figure courtesy of J. E. Sellers, 2009.

external partners should be instilled with a ● Security awareness meetings should be held
sense of partnership through interactive activi- with all departments at least every quarter.
ties that include orientation sessions, training,
Technology such as Internet e-mail, Webcast
security updates via newsletters, e-mails, and
training, and electronic newsletters, now enable
informative signage.
security departments to easily and inexpensively
● All employees should be apprised of the communicate and distribute valuable security
organization’s policies and procedures and safety information throughout the organi-
upon entering the organization. Employee zation. The correspondence should focus on the
orientation should be documented and positive outcomes that can be achieved if the
signed to indicate the rules are understood. organization’s security procedures are followed.
● Organizational policies and procedures should See Figure 7-2.
be clear, concise, and written correctly. They
should also be reviewed and updated annually,
at a minimum. Print and electronic copies DOUBLE LOOP LEARNING
should be readily available to all employees.
● Repetition of the security awareness message Management should consider the Double
will lead to increased involvement. Loop Learning theory of Argyris and Schon
● Repetition can be accomplished by such (1978). In this theory the organization becomes a
methods as daily exposure through the use “learning organization” by detecting and correct-
of posters, weekly exposure via e-mails, ing errors through questioning and modification
and monthly or quarterly exposure through of existing norms, procedures, polices, and objec-
newsletters and handouts. tives. According to Fiol and Lyles (1985), learning

II. COMMUNICATIONS
86 7. SECURITY AWARENESS

is “the process of improving actions through

Written better knowledge and understanding.” With a
Policy and
Procedure double loop learning security awareness commu-
Orientation
nication model (Figure 7-3), a mechanism is insti-
tuted which provides feedback from employees
on improving security awareness. By creating
double loop communication, employees can then
Scheduled become stakeholders who have a vested interest
Meetings,
Training,
in the success of the security awareness effort.
Focus Groups,
Surveys
Security Informative
Updates Signage,
via Email, Posters, TOOLS
Newsletter, Handouts,
Webcast Library
The tools utilized to create this valuable feed-
FIGURE 7-2 Developing security awareness. From Policy back are focus groups and surveys.
and procedure reinforcement (J. E. Sellers, 2009). Focus Groups: Focus groups consist of indi-
viduals selected by management to participate

Security Information
Suggestions Security Policy and
from Employees Procedure
to Management from Management
(ideas are considered to Security
to correct errors and Department
improve security)

Security Information
from
Security Management
to All Employees

FIGURE 7-3 Developing security awareness. Double loop learning security awareness communication model (J. E. Sellers, 2009).
Adapted from Argyris and Schon (1978).

II. COMMUNICATIONS
 RESOURCES 87
in discussions on security policies, procedures, organization. This technique uses examples in
and other security programs. The groups con- which security awareness leads to a successful
sist of mostly “end users” who operate under outcome, resulting in an increase in safety or a
the policies. It is this group that often can offer reduction in crime. The “lessons learned” exam-
practical solutions for seemingly complicated ples show how security awareness fits into the
“problems.” Focus groups have brief scheduled organization’s culture or even contributes to creat-
meetings that have minimum interference with ing a security culture where one was nonexistent.
the company’s scheduled core activities. The “lessons learned” examples help employ-
Surveys: Short surveys on security aware- ees and partners understand why strong secu-
ness should be included in e-mails, newsletters, rity is important to them personally as well as
and Webcasts. The surveys can be evaluated to to the success of the organization.
identify what areas of the security awareness
program should be adjusted to keep it on track.
Information from the focus groups and sur- RESOURCES
veys should be available within the organiza-
tion to lend credence to the double loop security Security department managers should reach
awareness communication process and improve out to available resources provided by professional
the management/employee partnership. groups when setting policies and procedures. There
are a number of industry-specific organizations
that provide support by sharing information with
LESSONS LEARNED their members. There also are security organiza-
tions such as IFPO and ASIS that have established
The technique for obtaining greater involve- guidelines on security topics. These organizations
ment in security awareness should include a have Websites that offer security information and
collection of lessons learned from inside the provide links to other valuable sources.

EMERGING TRENDS

Ever-improving and changing technology pro- could result. These security breaches may include
vides business opportunities, yet at the same time computer viruses that can be introduced via the
creates security dilemmas for security managers. Internet. These viruses can attack the organiza-
Subjects, such as information technology (IT), tion’s computer system and result in lost pro-
now occupy much of the security department’s ductivity and expensive corrective action. It is
resources. Technology in the form of cellular imperative that all stakeholders know how they
phones, computers, digital cameras, copiers, and can be affected and be made aware of the dangers
facsimile machines, while increasing the speed of misusing information technology. They must
of conducting business, can also be a method be vigilant, use safe Internet practices, and report
for compromising valuable organizational or any suspicious computer activity. The security
personal information through theft or misuse. director should always seek better ways to pro-
Without safeguards, including rules regarding the vide employees with the knowledge necessary
use of electronic devices, severe security breaches for secure information technology use.

II. COMMUNICATIONS
88 7. SECURITY AWARENESS

References Figures 7-1, 7-2, 7-3 content by J. E. Sellers (2009) using

Micro Soft, 2003 “drawing”.
Argyris, C., & Schon, D. (1978). Organizational learning: A the- Senge, P. M. (1990). The fifth discipline: The art and practice of
ory of action perspective. Reading, MA: Addison-Wesley. the learning organization. New York: Doubleday.
Argysis, C. (1991). Teaching smart people to learn. Harvard Sellers, J. E. (2002). A study of contributing factors to job sat-
Business Review. isfaction at the Atlanta police department’s crimes against
Fiol, C., & Lyles, M. (1985) Briacliff, NY: Academy of property section. Atlanta.
Management. Academy of Management, 10(4), 803–813.

S E C URI T Y QU IZ 6. The “lessons learned” examples help

1. Security awareness is simply letting employees and partners understand why
everyone know in the organization how security awareness is important to them
security impacts them and how important personally and for the success of the
they are, as stakeholders and team members, organization.
to the continued success of the company. a. True
a. True b. False
b. False 7. Which is a method to increase
2. To be effective, the security department should security awareness among all layers
instill “security awareness” among all levels of of the organization and external
the organization and external partners. partners?
a. True a. Eyeglasses
b. False b. Bright lights
c. Interactive activities
3. Security awareness meetings should be
d. None of the above
held with all departments at a minimum
8. Focus groups consist of:
frequency of:
a. Organizations
a. Annually
b. External partners
b. Quarterly
c. Individuals selected by management
c. Weekly
d. None of the above
d. Daily
9. When double loop communication is
4. Security awareness should be instilled
used, the following employees have the
among half of the members, from all
opportunity to become active:
layers of the organization and external
a. Police officers
partners.
b. Stakeholders
a. True
c. Managers
b. False d. None of the above
5. In double loop communication, information 10. Team members are trained and polled
should not only flow from the top of the regularly to heighten their awareness about
organization but also a process should be in changing trends in practices and rapidly
place for information to travel back to the top. advancing technology in security.
a. True a. True
b. False b. False

II. COMMUNICATIONS
 C H A P T E R

8
Central Alarm Stations and
Dispatch Operations
Sean Smith, Jim Ellis, and Rich Abrams

INTRODUCTION
CHAPTER OBJECTIVES
● Explain the history of central alarm In the modern world of safety and security,
stations and dispatch centers and how the necessity of a fully functional central alarm
they evolved into the technologically station and dispatch center must not be under-
advanced operations of today estimated. According to Abrams (2003), “The
control room is the nerve center of any safety
● Provide an overview of the various types
and security department.” Such an operation is
of alarm and control systems that may
capable of detecting nearly any emergency that
be monitored by a central station, as well
could occur, 24 hours a day, 7 days a week. Such
as computerized visitor management
situations may include fire, burglary, major facil-
systems
ity equipment failure, or certain natural disas-
● Introduce the numerous types of sensors ters. Equally as important is the responsibility of
incorporated into alarm and control a dispatcher to coordinate communications with
systems that transmit messages back to protection officers in the field, as well as assist
the central station agencies and the general public. Alarm systems
● Provide an overview of the transmission are powerful tools in the prevention of crime
media by which messages are and disaster, but the observations of the field
transmitted from alarm and control officer and the report from the customer on the
sensors to their systems’ central telephone are also vital. Dispatchers are trained
processors to obtain and record all the information neces-
● Introduce the reader to the sary to send an appropriate response to any sit-
communications equipment utilized by uation, ranging from a customer who is locked
dispatchers in a central station, with a out of his or her office to a field officer being
focus on radio and telephone systems assaulted by a suspect. Thanks to sophisticated
detection and communication equipment—and

89
90 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

very quick thinking—dispatch and monitoring alarm systems, such as an attached clock that
staff are prepared to coordinate an immediate could activate and deactivate the system at cer-
response to all of the above and more. tain intervals, as well as a latching circuit that
required authorized personnel to manually
reset the system prior to deactivating the audi-
HISTORY OF CENTRAL ALARM ble alarm (Fischer, 2008b).
AND DISPATCH CENTERS Around the year 1877, Holmes installed the
first network of burglar alarm systems con-
In the past, humans acted as both alarm nected to a central station (Ellis, 2007). He sent
sensors and transmission media. In order his son to Boston to establish a second central
for a response to occur, an emergency situa- station there. While in Boston, Holmes Jr. dis-
tion had to be directly observed by a citizen, covered that alarm signals could be transmit-
who then rushed to police or fire headquar- ted to a central station via preexisting telephone
ters to notify the authorities in person wires, and vice versa. He set up a network of
(National Communications Institute [NCI], 700 telephones connected to the Boston central
2001). However, this process began to change office, and promptly informed Holmes Sr., who
when William Cooke and Charles Wheatstone set up a similar operation in New York City. In
invented the electrical telegraph in 1837 1878, Holmes Sr. expanded his telephone inter-
(Stewart, 1994). The telegraph was tailored ests by becoming president of the newly formed
to the public safety industry in 1852, when Bell Telephone Company. He sold his interest
William Channing invented the fire alarm tele- in the company 2 years later but retained the
graph (Fischer, 2008a), which allowed a citizen exclusive right to utilize Bell telephone wires
to activate a pull box, sending a signal with the for his alarm circuits (Fischer, 2008c).
location of that box to the local fire company. In 1871, Holmes was introduced to direct
In 1853, Augustus Russell Pope developed competition when Edward Callahan formed the
and patented the first modern burglar alarm in American District Telegraph company, which
Somerville, Massachusetts. It involved an open eventually became ADT. They utilized manual
electrical circuit that connected the doors and action call boxes connected to a central moni-
windows in a building; when a protected door toring station (Ellis, 2007). When the station
or window was opened, the circuit would close received an alarm, messenger boys were dis-
and activate an audible alarm. Pope only com- patched to the source and would immediately
pleted one installation, however. The patent report their findings to local police or fire offi-
was sold in 1858 to Edwin Holmes, who greatly cials via preexisting call boxes. By 1875, ADT
expanded the business (Fischer, 2008a). had expanded from New York City to Brooklyn,
Holmes installed his first burglar alarm sys- Baltimore, Philadelphia, and Chicago (Fischer,
tem in Boston in 1858 (Ellis, 2007). However, 2008d). At this time, the company offered
within 1 year, he chose to relocate to New York police, fire, and all-purpose messenger boy ser-
City, because at the time, it was perceived to be vices; however, within a few years, they began
where “all the country’s burglars made their to offer a contract security patrol service known
home” (Fischer, 2008b). By 1866, Holmes’s cli- as the “Night Watch.” Even so, messenger boy
ent base had grown to over 1200 residential cus- services initially accounted for over 70% of the
tomers. Around this time, he began marketing company’s revenue. However, use of this ser-
to business entities as well as private residences, vice declined rapidly with the development
with great success. The year 1868 brought sev- and proliferation of the telephone. In 1901,
eral technological advances to Holmes’s burglar R. C. Clowery, then owner of ADT, decided the

II. COMMUNICATIONS
 TYPES OF MONITORING SYSTEMS 91
wisest course of action was to focus almost touch screens, enhanced caller ID, voice record-
exclusively on police, fire, and security services ing, and telecommunication devices for the deaf.
(Fischer, 2008d). Two-way radios have evolved into networks
In 1877, the city of Albany, New York, pur- including many advanced features, such as:
chased the world’s first police telephones ● touch screen interface
and installed them in the mayor’s office and ● voice recording
five city districts (Stewart, 1994). In 1883, the ● remote paging
Gamewell Company created a call box that ● remote activation and deactivation of
could be used by the police or the public. These
handheld units
call box systems were installed in Washington,
DC, Chicago, Detroit, and Boston within the Pencil-and-paper record-keeping systems
next several years. In the United Kingdom, gas have been replaced by computer-aided dis-
lights were installed on top of police call boxes, patch software, making it much easier to enter
which could be lit by police headquarters in new data and retrieve archived information.
order to notify the officer on foot patrol to con- These systems can be integrated with a variety
tact the nearest station (Stewart, 1994). of other programs, including report manage-
Radio communication for police would ment software, telephone or radio interfaces,
come many years later. The first police radios geographic mapping and tracking systems, and
in America were utilized by officers in Detroit, even alarm-monitoring software.
Michigan, in 1928. These were only capable of
transmitting from the base station to a mobile
radio. Bayonne, New Jersey, became the first TYPES OF MONITORING SYSTEMS
police department to utilize two-way radios
in 1933 (Institute of Electrical and Electronics A security officer might come into contact
Engineers, 2009). At that time, and for many with any number of monitoring systems when
years, a dispatch center was a relatively sim- staffing a console. Each system may control a
ple operation. A typical center would consist specific action or sequence of actions if so pro-
of a telephone system, a radio system, and a grammed. The most complex are integrated sys-
record-keeping interface. The telephone sys- tems that operate multiple individual operations
tem was basic, unlikely to incorporate features from one software application.
that were not found in residential or office tele-
phones, other than a manual switchboard used
to redirect calls. The radio system was a simple
Alarm Systems
desk microphone with a “push to talk” switch. At the basic, but most reliable, end of the
Records were kept by hand on a series of paper spectrum is an alarm system that monitors
forms (NCI, 2001). Such an operation may be areas of a facility. This would consist of sen-
staffed by a switchboard operator, or by a police sors placed around the facility and connected
or protection officer assigned to the desk. to a central console. In some systems, the con-
Currently, the core functions of a dispatch sole might include lights and a buzzer such
center remain the same: telephone communica- that a violation or alarm would cause both the
tion, radio communication, and recordkeeping. light and buzzer to activate. Toggle switches
However, the technology has changed drasti- connected in the circuit allow for areas to
cally over the years. Consumer-grade telephones be shunted, bypassed, or silenced until the
have been replaced with multi-line telephone alarm can be investigated. This also allows for
terminals accompanied by features such as a sensor with a fault on it to be silenced until

II. COMMUNICATIONS
92 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

repaired. However, this generally leads to the something that is known, generally a personal
assumption that any alarm on that device is identification number; something that is car-
usually a false alarm. It is therefore imperative ried, such as a card or token; or something that
to repair any part of the system that is malfunc- the authorized person has, such as a fingerprint
tioning as soon as possible. Depending on the or iris (the colored part of the eye). The creden-
type of sensor that is malfunctioning, it may be tial is entered, swiped, presented, or scanned,
necessary to station an additional security offi- and, after some level of verification, access is
cer in that area or conduct additional patrols. granted or denied.
Modern alarm systems have a keypad that Access control systems come with various
operates much in this same fashion, but with the means of operation and scope from a single
addition of a communicator that allows the sig- door to many thousands of doors or alarms
nals to be transmitted offsite to another console around the world. At the small end of the access
in a neighboring facility, an alarm central moni- control spectrum is the single door keypad at
toring station, or in rare cases, to the police. Some which a person enters a code that is mechani-
modern alarm systems will spell out the location cally or electronically verified. Most access con-
of the alarm in a textual format. As long as the trol systems use a card-based credential, which
naming convention is consistent across the sys- is swiped or presented to an electronic reader to
tem and all officers are trained in how to locate gain access. These systems can be used across
an alarm that is spelled out, this can be a very just a few doors to many thousands of doors
cost-effective method of monitoring a facility. and sensors connected via the company’s com-
Fixed graphical alarm panels will show an puter network. The most secure access control
outline of the facility and critical areas being systems utilize a biometric authentication pro-
monitored within. When an alarm is generated, cess. Biometrics entails using something that is
it is much easier to find and locate the alarm part of the person for verification of identity,
because the alarm is shown relative to the lay- such as fingerprints, hand geometry, vein pat-
out of the facility. Computer-based graphical tern recognition, voice print, and iris recogni-
alarm panels will also show the facility, but tion. Biometrics can be used as the sole means
can be modified as the facility or the system of verification, but are frequently used in con-
expands in scope and coverage. junction with a card reader.
Another main component of medium- to
large-sized access control systems is the distrib-
Access Control Systems uted processor, sometimes referred to as a field
Access control systems are based on the controller. This computer is installed between
premise that issuing keys to all employees the main computer and the card reader at the
who need them is generally not cost-effective. door and communicates back to the main com-
Another premise of an access control system is puter only when necessary, such as to request
that it would be cost prohibitive to rekey the updated information about card holders or
facility should a key be lost. Finally, an access when there is an alarm. The distributed proces-
control system can limit employee access; sor makes all of the decisions as to granting or
allowing them entry only to areas in which they denying access to a person who presents their
are authorized, or granting entry during certain card at the card reader, therefore taking the pro-
times of day. cessing load off the main computer and allow-
An access control system uses a means of ing the entire system to operate faster. The
verification, known as a credential, to allow a distributed processor also allows the system to
person to enter an area. The credential can be continue to operate if the connection back to the

II. COMMUNICATIONS
 TYPES OF MONITORING SYSTEMS 93
main computer is interrupted. Typically, distrib- that allows the application to show building
uted processors control between 2 and 16 doors layout or to import floor plans from another
and allow for the connection of various sensors, application. Thus, all activity in the system is
just like a regular alarm system. Distributed presented on a single screen. Automatic actions
processors can communicate to the main com- for certain events can be programmed into such
puter via a communications protocol such as a system, such as calling up a particular camera
RS-232 or RS-485, although an increasing num- when a door goes into alarm.
ber of systems are now being connected to a
company’s internal computer network (intra-
net). Newer systems are taking the network
Fire Alarm Systems
connection all the way down to the card reader Of all the alarm systems, it is most critical for
at the door. Other systems use a Web-based security officers to understand the basic opera-
interface for programming the system and can tion and interaction of fire alarm systems. Fire
communicate down to the distributed proces- alarm systems are regulated by building and
sor via the network or through the wireless data fire alarm codes adopted by the municipality
network available from cell phone companies. in which the facility resides. Because different
The main computer in an access control municipalities may adopt different codes, how
system can be a simple desktop computer for a system operates or is installed at one location
small systems up to redundant mirrored serv- might be quite different at another location. As
ers for very large systems, or any combination fire alarm systems are so essential for the safety
in between. In smaller systems, the computer is of the employees and the well-being of the
used for entering cardholder information and facility, it is critical to have a thorough working
programming the system, whereas in larger knowledge of the operation of the system and
systems there may be multiple computers dedi- the security officer’s role in its successful use. It
cated to programming and photo badge cre- is also very important to understand the proper
ation or monitoring and controlling the various operation of the system and expectations of the
alarms and doors connected to the system. In fire department.
the largest systems the desktops communicate Fire alarm systems typically have a main
to a server, which is a high-speed computer able control panel with a display. If necessary, addi-
to perform several thousand operations per sec- tional displays can be installed in other areas.
ond: essential for controlling the flow of data Larger systems may incorporate a graphical
back and forth across a large access control sys- display of the facility and locations of the vari-
tem. In some cases, a secondary server is kept ous sensors therein. Where the alarm must be
on standby to act as a reserve to the primary monitored offsite, a communicator or dialer is
server should it fail or need periodic mainte- installed to allow the fire alarm to send alerts
nance. When this secondary server is receiving to an alarm company central station or, in some
the same updates at almost the same time as the rare cases, to the fire department.
primary server and can automatically take over Like intrusion alarm systems, fire alarms
the processing load, it is said to be redundant can be connected with a number of devices
or mirrored. on a zone. Newer, larger fire alarm systems
Access control systems can be used to moni- (and intrusion alarm systems as well) utilize
tor alarms, such as door alarms, duress buttons, a multiplex loop, where all of the devices are
or environmental situations (high or low tem- connected on the same loop, with each device
perature, sump pump, water level). The control having its own unique identifier or address.
systems typically contain a graphical interface This type of system is known as a multiplex or

II. COMMUNICATIONS
94 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

addressable system. The largest fire alarm systems the central monitoring station, dispatchers can
integrate dozens or hundreds of control panels control these cameras at will, in order to focus on
across several facilities, with a dedicated main locations or individuals that require close obser-
computer in the company command center for vation at a given time. These cameras can also be
monitoring. set up to focus on a series of locations, one after
another, each for a preset length of time.
CCTV cameras generally incorporate a
Building Automation Systems (BAS) method of recording the images they monitor.
Building automation systems operate much This allows protection officers to revisit images
the same, and in a similar configuration, as to verify descriptions of individuals and events,
access control systems. Building automation and also to retain those images for use as evi-
systems control heating, ventilating and air con- dence. At particularly sensitive locations, video
ditioning (known collectively as HVAC), as well may be recorded on a continuous basis, but this
as lights. More expansive systems can assist in very quickly consumes a great deal of data stor-
controlling elevators, escalators, and irrigation age space. Cameras that are integrated with
systems. Building automation systems may other sensors—intrusion sensors, for example—
integrate with, or share the same software and can be set up to focus on a specific area and
hardware as, an access control system. begin recording when an alarm is received from
the associated sensor. A dispatcher typically has
the ability to begin and end a video recording
Closed-Circuit Television Systems (CCTV) at any time and to take a single snapshot image.
Closed-circuit television (CCTV) systems Images have typically been stored on video
allow dispatchers to watch over a large number cassettes, in either real time or time-lapse for-
of areas at once. They provide an excellent (and mat (Ruiz, 1999). However, the current trend
cost-effective) way to monitor high-sensitivity is for image files to be digitally stored onto
and high-risk locations at all times, without computer hard disk drives either using digital
needing to post a protection officer at those video recorders, (DVR), or with several drives
locations. The cameras used may be easily vis- together, or onto large capacity storage devices
ible to the public or they may be hidden to the known as network attached storage (NAS) or
point of near-invisibility, depending on the needs storage area networks (SANs). It is possible to
of the organization and the locations at which connect the hard disk drives into a configura-
they are stationed. tion known as a redundant array of indepen-
From the central monitoring station, a dis- dent disks, or RAID. Such a configuration has
patcher may be able to view up to 16 separate the capability of either manually or automati-
images in real time on a single monitor (Nelson, cally backing up drives so that the failure of
1999). Alternatively, he or she may view a single any one drive does not result in the loss of all
image at a time, and switch to other images on recorded data. Other options for exporting
demand or at preset intervals. The video images images include CD-ROM compact disks, digital
may be in color or black-and-white format. video disks, or even USB flash drives.
According to Nelson (1999), color images are
better for identification purposes, while black-
and-white images have better performance in
Integrated Systems
low light. Cameras may be stationary, but those As security and fire alarm systems become
with pan, tilt, and zoom capabilities can easily more expansive in scope and operation, it is
be installed wherever they are necessary. From sometimes necessary to link the systems together

II. COMMUNICATIONS
 TYPES OF SENSORS 95
under one controlling piece of software or appli- ● Glass break sensors. When a pane of glass
cation. Other times it is necessary to link various breaks, it emits sound waves in a specific
systems together, such as human resources sys- frequency. Glass break sensors are able to
tems, parking applications, and payroll systems, pick up this frequency and generate an alarm
so that there is greater functionality and more in response. They are particularly useful
accurate information flowing automatically near windows and glass doors (J. Russell,
between those systems. Such systems are generi- personal communication, July 8, 2009).
cally referred to as “integrated systems.” ● Motion sensors. Microwave sensors send
waves of electromagnetic energy back and
forth within an area. If an intruder enters,
TYPES OF SENSORS the energy is interrupted, and the sensor
generates an alarm. Passive infrared sensors
All security, fire, and other alarm systems detect the body heat of an intruder and
incorporate a wide variety of sensors at vari- generate an alarm in response. Ideally, an
ous points throughout a protected facility. The area will be protected by dual-technology
basic purpose of a sensor is to detect a physi- sensors. These combine microwave and
cal change in the environment, interpret what infrared technology into one sensor,
event might be taking place, and transmit that increasing the reliability of the system and
information back to a central processor where it decreasing the number of false alarms
is translated into a format that can be read by transmitted to the monitoring station
the dispatchers in the central alarm station. (Morris, 2003).
● Electric eye. This type of sensor consists
of a transmitter, which generates infrared
Intrusion Sensors light in a straight line, and a receiver
directly opposite the transmitter. When
Intrusion sensors are meant to determine
the beam of light is broken by an intruder,
whether an unauthorized person has accessed,
an alarm is sent to the central processor.
or attempted to access, a protected area (Garcia,
Electric eyes have declined in popularity
1999). Various types of sensors can be placed
due to the availability of motion detectors
around the perimeter of a facility, around a
with greater reliability (J. Russell, personal
smaller area within the facility, or on a particu-
communication, July 8, 2009).
lar spot or item (Morris, 2003). They typically ● Seismic sensors. These are able to pick up
incorporate a short delay prior to generating an
vibrations on a surface and when a certain
alarm, in order to allow an authorized person
vibration threshold is reached, an alarm is
to deactivate the system without sending a false
generated. Seismic sensors may be placed on
alarm to the monitoring station. Types of intru-
floors in order to detect a walking intruder,
sion sensors include:
or on walls or doors, to detect an attempted
● Magnetic contact switches. These are placed break-in (J. Russell, personal communication,
on doors, windows, and other potential July 8, 2009).
access points. Typically, the first part of the ● Pressure sensors. These detect the weight
mechanism is placed on the frame and the of a person or object. If an intruder steps
second part is placed on the movable portion on a pressure mat, the change in surface
of the access point. When the access point is weight activates an alarm. Alternatively, a
opened, the magnetic signal is interrupted pressure switch may be placed underneath
and the sensor generates an alarm. an object at risk of theft or removal. Again, if

II. COMMUNICATIONS
96 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

an intruder removes the object, the change in not be programmed to unlock the door, as
surface weight triggers an alarm. this allows the door to be unlocked from the
● Panic and duress alarms. These are switches outside without a key or card.
that must be manually activated by a staff ● Keypad locks. These devices require
member when he or she is threatened by an an employee to input a numeric code in
intruder or other emergency. Typically, they order to bypass the locking mechanism.
are utilized in high-risk or high-sensitivity Because codes can be easily transferred to
areas and are hidden from the general unauthorized persons, these locks are often
public. Alternatively, handheld wireless used in conjunction with other access control
panic alarm triggers may be issued directly measures.
to employees (Morris, 2003). ● Magnetic strip readers. An employee is
issued a card with a magnetic strip, which
is embedded with numerical data. The
Access Control Sensors employee swipes the card through the
reader, which uses that data to verify his
Access control sensors may be used to detect
or her authorization for access (J. Russell,
unauthorized access to a facility, and to gener-
personal communication, July 8, 2009).
ate security alarms in response. However, they ● Proximity card readers. Proximity cards are
may also be used to grant access to authorized
also embedded with a numeric identifier.
personnel when presented with the proper cre-
The staff member waves the card near the
dentials. Several types of access control sensors
reader, which utilizes radio frequencies to
are often used at a single entry point in order to
receive the data, which is sent to the field
provide multiple layers of security:
controller. The field controller verifies the
● Magnetic contact switches. These operate in card and grants or denies access accordingly
the same manner as they do when applied to (Best, 2003).
intrusion detection systems. These switches ● Wiegand card readers. A Wiegand card
are able to detect whether a door is open contains specially treated wires with a
or closed; if the door is opened without unique magnetic signature. A sensing coil
presentation of a proper credential, a forced inside the reader receives the data contained
door alarm will be generated (J. Russell, within the employee’s card (Best, 2003). The
personal communication, July 8, 2009). card can either be swiped or passed through,
● Request-to-exit devices. Also known as REX depending on the design of the reader.
switches, these are sometimes embedded ● Biometric readers. These detect the unique
into the crash bar or doorknob on the interior characteristics of parts of a person’s body in
of a door. A motion sensor may also be used order to verify his or her access privileges.
as a request-to-exit device when mounted Biometric readers include fingerprint scanners,
above the door, to sense a person traveling handprint scanners, retinal scanners, facial
toward the door to exit. When the door is recognition, and voice recognition.
opened properly in order to exit an area, the
REX switch is triggered and bypasses the
Fire Alarm Sensors
magnetic contact switch, avoiding a false
alarm. However, if the door is left open for The ability of fire to devastate lives and prop-
an extended period of time, a held door erty should never be underestimated. Fire alarm
alarm will be generated. Unless there is a sensors seek to prevent significant damage by
requirement to do so, REX devices should detecting fires in their earliest stages, allowing

II. COMMUNICATIONS
 TYPES OF SENSORS 97
protection officers and fire officials ample time or combustion particles. They typically
to respond. Fire alarm sensors include (J. Russell, incorporate ultraviolet light sensors, infrared
personal communication, July 8, 2009): light sensors, or visible light sensors.
● Pull stations. These switches are
● Heat detectors. These measure changes strategically placed throughout a protected
in a room’s ambient temperature. They facility, and when a person observes fire or
are programmed to a certain baseline smoke, he or she is encouraged to manually
temperature and when the room’s pull the nearest switch, triggering a fire
temperature exceeds the baseline, a fire alarm and speeding evacuation of the
alarm is triggered. area. Unfortunately, pull stations are easily
● Photoelectric smoke detectors. This type of abused. To activate a pull station in order
detector contains an electric eye, generating to cause a false public alarm is a criminal
a beam of infrared light within its housing. offense in most jurisdictions; therefore,
When smoke enters the detector, it refracts protection officers responding to such
that infrared light, and an alarm is triggered alarms should be prepared to enforce their
in response. organization’s relevant policy or involve
● Ionization detectors. These devices contain local law enforcement as appropriate.
a tiny amount of radioactive material, which
creates radiation in an ionization chamber.
Any smoke that enters will absorb some of Building Automation Sensors
the radiation and change the electrical charge Building automation sensors are typically
within the chamber, prompting the device used to measure and adjust the heating, ven-
to send an alarm signal to the monitoring tilation, air conditioning, lighting, and other
station. environmental conditions in a protected facility.
● Air sampling detectors. These are often They include:
used to protect rooms filled with sensitive
equipment, such as computer servers. They ● Gas detectors. There are several different
continuously take in air from the room types of gas detectors, each of which will
and analyze the air samples for smoke or measure the levels of a particular type of
combustion particles. If a positive result is gas in the air (such as natural gas, carbon
received, the detector generates an alarm monoxide, carbon dioxide, and radon). If the
and in many cases, immediately causes a fire gas levels exceed a preset tolerance, an alarm
suppressant to be discharged within the room. is generated.
● Beam detectors. These utilize an electric ● Level indicators. These are often applied
eye, which extends a beam of infrared light to tanks that hold liquids or gases that are
across an entire room, rather than within critical to a facility’s operation. When the
the housing of a photoelectric detector. They amount of liquid or gas in the tanks drops
are most often used in rooms with very below a preprogrammed level, a notification
high ceilings, where it would be impractical can be sent to the central monitoring station
to install and maintain a smaller detector. or to personnel who will refill the tanks
Again, the beam of light will be refracted (J. Russell, personal communication, July 8,
by smoke in the room and an alarm will be 2009).
triggered. ● Temperature sensors. As the name suggests,
● Flame detectors. These are able to spot these measure the ambient temperature in a
actual flames, rather than sense smoke room. They are often utilized in rooms where

II. COMMUNICATIONS
98 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

scientific experiments are being conducted ● Motion sensors or Video Motion Detection
and the temperature must be kept extremely (VMD). Certain types of motion sensors
hot, extremely cold, or within a specific can be incorporated directly into a CCTV
range. If the temperature falls out of the camera. These typically utilize a reference
pre-set range, an alarm is triggered. image, which is compared to the image
● Power failure sensors. These are integrated currently being picked up by the camera,
with the electrical system of a facility. When in order to detect whether the image has
a power failure occurs, a notification alarm changed significantly (J. Russell, personal
can be sent to the central monitoring station. communication, July 8, 2009).
At the same time, devices such as backup ● Facial recognition. This biometric technology,
generators and emergency lights can be when integrated with sophisticated CCTV
automatically activated. cameras, can identify potentially dangerous
● Integrated sensors. Some of the same individuals by comparing a face with wanted
devices used to detect intruders—magnetic person lists or terrorism watch lists. They
door switches and motion sensors, are most often utilized by law enforcement
for example—can be integrated with officials at immigrations checkpoints, such as
lighting systems. In this way, lights can be airports (Best, 2003).
programmed to turn on automatically when
a staff member enters a darkened room.
TRANSMISSION MEDIA

When an alarm sensor detects an event that

Closed-Circuit Television Sensors warrants a protection officer’s attention, it imme-
Closed-circuit television cameras themselves diately transmits a message back to the central
can be considered sensors because they receive monitoring station. A transmission medium is
visual images and transmit them back to the simply the method by which that message is car-
central monitoring station. However, human ried. Signals may be carried by a variety of solid
eyes alone are not the most reliable detectors materials, or may pass through the air itself.
when it comes to CCTV systems (Garcia, 1999), ● Copper wire. This type of material is
particularly when they may be focused on up to
extremely common throughout the alarm
16 images on a single monitor. For this reason,
industry. Intrusion and fire alarms can
additional sensors are usually integrated into a
be transmitted through copper cables
CCTV system:
specifically geared toward alarm systems;
● Integrated sensors. The majority of CCTV however, they are frequently transmitted
sensors are not incorporated into the camera through traditional telephone lines,
unit itself. However, CCTV systems can be which are also usually made of copper. A
integrated with a wide variety of sensors from disadvantage of copper wire is that it can
other systems, including intrusion detection, be cut or otherwise damaged, interrupting
access control, and fire detection. For example, the transmission of vital signals. However,
if a bank teller triggers a panic alarm, the a major advantage is that it is continuously
bank’s cameras can be programmed to zoom monitored by the alarm system if properly
in on his or her location and begin recording installed, so that if such damage occurs,
immediately. At the central monitoring station, the central monitoring station will be
an additional alarm may draw the dispatcher’s immediately notified (J. Russell, personal
attention to the relevant camera images. communication, July 8, 2009).

II. COMMUNICATIONS
 VISITOR MANAGEMENT SYSTEMS 99
● Optical fiber. This type of material is number of visitors each day as part of their nor-
increasing in popularity at a rapid pace. It mal operations. Personnel at the front office or
was once far more expensive to install a fiber security office must fulfill two functions: first,
optic network than a copper one, but like they must determine whether or not to allow a
most technological innovations, fiber optics visitor access to the building. Second, they must
are dropping in price. Copper wire carries keep a log of all visitors who have arrived and
signals in the form of electricity; optical fiber departed.
carries signals in the form of light, which is less In the past, organizations typically relied
inherently dangerous. Additionally, optical on a paper sign-in sheet at the building’s main
fiber is able to carry larger amounts of data at a entrance. A visitor would write his or her name,
faster rate than copper wire. Both transmission time of arrival, specific destination within the
media can be cut or damaged, but like copper building, and purpose of the visit on the sign-in
wire, optical fiber is continuously monitored, sheet. Personnel at the desk would verify the
so the central monitoring station will be made visitor’s identity, ensure that he or she had per-
aware as soon as this occurs. mission to enter the building, and in most cases,
● Radio transmission. This method utilizes the issue a temporary identification badge for the
air as its transmission medium. Alarm signals visitor to wear while on the premises. The visitor
are sent via a certain radio frequency from would then be required to sign out when exiting
point A directly to point B. This solution can the building. This type of procedure is still in
cover a much longer distance than copper place at many organizations, especially smaller
wire or optical fiber. A drawback with some ones, due to its simplicity and low cost.
radio systems, however, is that the signal However, for many larger organizations,
is prone to interference from trees, other electronic visitor management systems prove
objects, or competing radio signals (J. Russell, safer and more cost-effective because staff mem-
personal communication, July 8, 2009). bers no longer need to spend time logging visi-
● Cellular transmission. Cellular signals are tors in and out, and personally clearing each
similar to radio signals; in fact, they operate one through applicable unwanted person data-
within the radio frequency spectrum. The bases (Savicki, 2007). Such solutions greatly
difference is that cellular signals are transmitted increased in popularity after September 11,
at a higher frequency within that spectrum. 2001. A typical electronic visitor management
Additionally, they utilize cell towers that are system consists of a kiosk at the building’s
capable of digitally processing, sending, and entrance, an attached printer, and software that
receiving the signals over a wider area than links the kiosk to the front office or security
traditional radio signals. Unfortunately, this office. A visitor approaches the kiosk and enters
transmission medium is not continuously his or her personal information or presents his
monitored; therefore, in fire alarm systems, it or her driver’s license for the machine to read.
can only be used as a backup method, rather The purpose of the visit must also be provided
than a first line of defense (J. Russell, personal (Moorhouse, 2008). The kiosk may check the
communication, July 8, 2009). individual through applicable state and national
databases—sex offender registries are typically
utilized in school settings—as well as organi-
VISITOR MANAGEMENT SYSTEMS zationally defined unwanted person databases.
If the visitor is not cleared, he or she is issued
Several organizations—large office build- a voided identification badge and appropriate
ings and schools, for example—receive a large staff members are notified automatically to take

II. COMMUNICATIONS
100 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

further action (Savicki, 2007). If the visitor is switch between functions quickly and easily.
cleared, the kiosk prints an identification badge Typically, the operator will be equipped with a
for him or her to wear on the premises, which headset, in order to move about the station and
includes a facial photograph, the date, time, keep both hands free while communicating with
and purpose of the visit (Moorhouse, 2008). An a caller. The system may incorporate several
added benefit is the ability of staff members to incoming emergency lines and several incom-
easily search the software database for detailed ing nonemergency lines, which would likely be
information on previous visitors. shared by all telephone consoles at the station.
It is also possible to integrate a visitor man- Each console would also have access to its own
agement system with a building’s access con- line for outgoing calls. Alternatively, all emer-
trol system. For example, the card printed by gency calls may be routed to a dedicated “red
the kiosk may be programmed with certain phone” in the station, eliminating the need to
electronic credentials, which would allow the place an emergency caller on hold while brief-
bearer to enter authorized doors by swiping ing police, fire, or emergency medical services
the card or presenting it to an electronic reader. (Thibodeau, 2003). It is common for all tele-
Alternatively, frequent visitors may be issued a phone calls, incoming and outgoing, emergency
permanent card or tag, which can be presented and nonemergency, to be automatically recorded
to the kiosk when entering or exiting the build- and archived for supervisors to refer to later.
ing, without necessitating a new identification In agencies with very advanced technology,
card for each visit (Savicki, 2007). telephone systems may be integrated with a
variety of other systems in the central station.
For example, it is possible to connect certain
COMMUNICATIONS telephone software with certain computer-aided
dispatch software and geographic mapping
Communications equipment plays a huge role software. In these situations, the central station
in the successful resolution of alarms, criminal may receive an emergency call, and the location
and policy violations, emergency situations, and, provided by the caller ID may be automatically
of course, customer service. In a modern central highlighted on a computerized map. The loca-
monitoring and dispatch station, communication tion might then be automatically imported into
takes many forms. However, the vast majority of the computer-aided dispatch software when a
communication is performed verbally, through new event is created by the operator.
telephone lines and radio channels. Organizational policy varies with regard to the
A modern telephone system in a central usage of cellular phones by protection officers in
station will incorporate many technological the field. When they are permitted, they can be
advances available to the general public, such as very useful tools for relaying information back
caller ID, preset number dialers, and the ability and forth that is sensitive but nonemergency in
to place callers on hold or transfer them to other nature. At the very least, it is common for a patrol
lines. However, the system should also be tai- supervisor to be equipped with an organization-
lored for use by emergency service personnel. issued cellular phone for this purpose.
The system’s interface may be a series of Radio systems are equally as important as
physical keys on what looks like a very large telephone systems in both emergency and non-
telephone base, or it may be integrated with emergency situations. They are the most fre-
touchscreen software, to allow the operator to quently used method by which field officers

II. COMMUNICATIONS
 CONCLUSION 101
communicate with their dispatchers and with messages—to be sent and received. Certain digital
each other. A modern radio system interface, radio systems can even be integrated with certain
like that of a modern telephone system, may computer-aided dispatch software, which can
consist of a set of keys or may incorporate a communicate via text with individual radio units.
touch screen for ease of use. The same headset
used by the operator for telephone communica-
tion will often be integrated with the station’s CONCLUSION
radio system as well. Additionally, the cen-
tral station should be equipped with software Remember: the most important component
enabling an operator to see the name or ID of of a central monitoring and dispatch operation
a handheld or mobile unit; to page, activate, or is you, the protection officer assigned to the sta-
deactivate an individual unit; to acknowledge tion. Cutting-edge technology is no substitute for
emergency signals received; and to perform an individual with good communication skills,
maintenance functions. sound judgment, knowledge of department pol-
The radio system will typically be capable of icy, and proper and up-to-date training.
monitoring and transmitting on a large number After completing the initial department-
of channels simultaneously. These may consist approved courses and on-the-job training, it
of the primary channel, an emergency channel, is important to continue growing as a profes-
a tactical channel, maintenance and custodial sional. This is achieved in part by studying
staff channels, and many more. Direct monitor- current departmental policy and seeking con-
ing and transmitting on local police, fire, and tinuous feedback from coworkers and super-
emergency medical channels is also possible. visors. However, in order to keep up with
A two-way radio operates in either simplex or industry developments and open up additional
duplex mode. In simplex mode, a radio transmits training opportunities, it is often wise to turn to
and receives messages on the same frequency a professional organization.
and communicates directly with other radios. In The International Foundation for Protection
duplex mode, a radio transmits and receives mes- Officers is an excellent starting point. Their
sages on two different frequencies. This mode Certified Protection Officer program is extremely
also incorporates a repeater. A repeater is sim- beneficial to officers both in the field and at the
ply a stationary device, attached to an antenna, central console. Several organizations exist, how-
which receives a radio message, amplifies it to ever, which provide more specialized opportuni-
increase its range, then retransmits the message ties for dispatchers and monitoring personnel.
to its destination. Duplex mode is far more com- The Association of Public Safety Communications
mon than simplex mode in this day and age. Officials (APCO) and the National Emergency
Radio equipment can be either analog or digi- Number Association (NENA) provide continu-
tal. Analog equipment has been in use for many ing education programs and advocacy for dis-
years. It tends to be less complicated than digital, patchers in the public and private sectors. The
and is therefore less expensive to purchase and National Burglar and Fire Alarm Association
maintain. It also tends to be more compatible (NBFAA), the Security Industry Association (SIA)
with existing radio systems. Digital equipment and Central Station Alarm Association (CSAA),
allows for a larger number of officers to talk provide similar services, but are geared toward
at once on the same channel. It also allows the life safety and security alarm monitoring end
for different types of data—for example, text of the spectrum.

II. COMMUNICATIONS
102 8. CENTRAL ALARM STATIONS AND DISPATCH OPERATIONS

EMERGING TRENDS
● As we have seen, many different types of organizations, analog systems provide
alarms can be integrated with each other to plenty of functionality at a greatly reduced
achieve optimal results. Likewise, telephone cost. While digital equipment is on the
and radio systems can be integrated with rise, analog equipment is far from
computer-aided dispatch software and a obsolete.
variety of other software packages. The ● Text-based communication has been
ability to integrate is highly valued, and as utilized among protection officers for
technology improves, the ability will continue years, incorporated into the mobile data
to become more widespread. terminals installed in many police and
● Plain language radio transmission is rapidly security vehicles. It has also been utilized
becoming the preferred protocol for many in telecommunications devices for the deaf,
organizations, rather than the use of 10-codes which allow the hearing-impaired to quickly
and other codes to denote certain types of call for emergency assistance. However,
events. This is because plain language makes very recently, a call center in Iowa became
it far easier to cooperate with other agencies the first in the nation to accept emergency
during emergency situations. text messages to 911 (Svensson, 2009). This
● Digital radio systems are becoming more capability is likely to be adopted by many
widespread, thanks to their enhanced more emergency call centers in the near
voice and data transmission capabilities, future. Whether or not similar technology
and the potential for integration with will become popular in the private sector
software applications. However, for many remains to be seen.

References Garcia, M. L. (1999). Security systems design and evalua-

tion. In S. J. Davies & R. R. Minion (Eds.), Security super-
Abrams, R. (2003). Central alarm stations and dispatch cen- vision: Theory and practice of asset protection (2nd ed.)
ters. In: Protection officer training manual (7th ed.) (pp. (pp. 236–254). Burlington: Elsevier Science.
93–95). Burlington: Elsevier Science. Institute of Electrical and Electronics Engineers. (2009). IEEE
Best, C. (2003). Access control. In: Protection officer training history center: Milestones chronological listing. Retrieved from
manual (7th ed.) (pp. 96–102). Burlington: Elsevier Science. http://www.ieee.org/web/aboutus/history_center/
Ellis, J. (2007). Proprietary central alarm monitoring stations in milestones_alpha.html.
modern security management operations (Master’s thesis, Moorhouse, E. (January 20, 2008). Kiosks guard the lobbies
Webster University, 2007). at Lenape district’s high schools. The Burlington County
Fischer, J. (2008a). Who was Augustus Russell Pope? CSAA Times. Retrieved from http://www.phillyburbs.com/
Signals, 14(3). Retrieved June 30, 2009, from http://www pb-dyn/news/112-01202008-1474276.html.
.csaaul.org/AugustusRussellPope.html. Morris, C. (2003). Alarm systems fundamentals. In
Fischer, J. (2008b). Our father’s beginning. CSAA Signals, Protection officer training manual (7th ed.) (pp. 87–92).
14(4). Retrieved June 30, 2009, from http://www.csaaul Burlington: Elsevier Science.
.org/EdwinHolmes1.html. National Communications Institute. (2001). Carter, C. D. (Ed.).
Fischer, J. (2008c). Protecting the protection? CSAA Signals, In Basic communications officer: Student’s course guide (4th
14(5). Retrieved June 30, 2009, from http://www.csaaul ed.). Gainesville, FL: Georgia Design and Graphics.
.org/BirthofCentralStationIdea.html. Nelson, L. A. (1999). Designing operations centers. In S. J.
Fischer, J. (2008d). The central station evolves. CSAA Signals, Davies & R. R. Minion (Eds.), Security supervision: Theory
14(7). Retrieved June 30, 2009, from http://www.csaaul and practice of asset protection (2nd ed.) (pp. 277–279).
.org/BirthofADT.html. Burlington: Elsevier Science.

II. COMMUNICATIONS
 SECURITY QUIZ 103
Ruiz, H. C. (1999). Security technologies. In S. J. Davies & from http://www.eee.strath.ac.uk/r.w.stewart/boxes
R. R. Minion (Eds.), Security supervision: Theory and prac- .pdf.
tice of asset protection (2nd ed.) (pp. 263–271). Burlington: Svensson, P. (August 5, 2009). Iowa 911 call center
Elsevier Science. becomes first to accept texts. ABC News. Retrieved from
Savicki, M. (April 26, 2007). School uses high-tech check- http://abcnews.go.com/Technology/wireStory?id
point for visitors. The Charlotte Observer. Retrieved from 8259735.
http://www.lobbyguard.com/news/charlotteobserver- Thibodeau, C. T. (2003). Effective communications. In
20070426.htm. Protection officer training manual (7th ed.) (pp. 166–170).
Stewart, R. W. (1994). The police signal box: A 100 year Burlington: Elsevier Science.
history (University of Strathclyde, 1994). Retrieved

S EC U RI T Y QU IZ 6. The 10-codes are used to assist with rapid

transmission of radio communications.
1. Magnetic contact switches, motion sensors a. True
and glass break sensors are examples of what b. False
kind of sensors. 7. Access control sensors may be used to
a. Access control detect unauthorized access to a facility, and
b. Building automation to generate security alarms in response.
c. Closed circuit television Which of the following is not one of those
d. Intrusion access control sensors:
2. Magnetic stripe, wiegand, proximity and a. Magnetic contact switch
biometric are examples of access control b. Network attached storage device
readers. c. Keypad locks
a. True d. REX or request to exit device
b. False 8. A transmission medium is simply the
3. An advanced radio dispatch system may method by which an electronic message
consist of the following: is carried. Signals may be transmitted in a
a. Touch screen interface variety of ways. Which of the following is
b. Voice recording not one of those mediums used to transmit
c. Remote paging electronic messages:
d. All of the above a. Copper wire
4. A main component of a medium to b. Fiber optics
large access control system is the c. Cellular Transmission
following: d. None of the above
a. Access control 9. A smoke detector is a device to manually
b. Distributed processor initiate a fire alarm
c. Card data a. True
d. Field b. False
5. Network Attached Storage (NAS) and 10. Gas, temperature and power failure are
Storage Area Networks (SAN) are examples examples of which of the following sensors:
of Large capacity storage devices used with a. Access control
video surveillance systems. b. Building automation
a. True c. Closed circuit television
b. False d. Fire alarm

II. COMMUNICATIONS
 U N I T III

PROTECTION OFFICER
FUNCTIONS

9 Automation in Protection Operations

10 Patrol Principles
11 Traffic Control
12 Crowd Management and Special Event Planning
 C H A P T E R

9
Automation in Protection
Operations
Kevin E. Peterson

today. We feel that this information is beneficial and

CHAPTER OBJECTIVES supports the purpose of the book. It does not repre-
● Provide a historical perspective on sent an endorsement of any particular product or
automation in the protection industry vendor by the author, the publisher, or IFPO.)
● Explain the proper application of
automation in the protection officer’s
sphere of responsibilities HISTORICAL PERSPECTIVE
● Describe different types of technology
The security industry in the United States
applications that support protection
was born in the mid-1800s and grew rapidly
operations
with the establishment of innovative compa-
● Identify emerging roles for protection nies such as the Pinkerton Detective Agency
officers with regard to automation and Wells Fargo. These companies provided a
● Emphasize the need for appropriate variety of services such as investigations, exec-
education and training in information utive protection, guard forces, and counterintel-
technology and security automation ligence. The innovations of that time included
as part of a well-rounded professional such techniques as mug shots, handwriting
development strategy for protection analysis, and criminal information databases
professionals (ASIS International, 2006, pp. 6–7).
In the late 1800s and early 1900s, security
providers focused much of their attention on
labor unrest. Although some changes in the
(Note: In this chapter we mention a number of industry occurred during this time, such as
specific products and product/service providers. This state and federal regulation of security compa-
is meant to present the reader with a general view nies and increased “professionalization” of these
of the types of products, services, and providers that firms (e.g., the use of written contracts, sales
are available to security and protection professionals staffs, and a formal command structure), the

107
108 9. AUTOMATION IN PROTECTION OPERATIONS

services themselves remained largely low-tech, A number of studies in recent years have
focusing on armed guards and facility protec- projected massive expansion of electronic secu-
tion (Smith, 2003). rity systems employing advanced technologies,
The next major jump in security services but they also concluded that the human element
occurred as World War II approached and the (i.e., security officers) will not be predominantly
defense industrial complex emerged. The field replaced by technology (Webster University,
of “industrial security” was established to meet 2009). This conclusion is particularly interest-
the needs of the federal government in manag- ing, and profound, since some of those studies
ing security requirements for defense contrac- were funded by security systems vendors.
tors. The “industrial security” era resulted in Nonetheless, technology can and should be
a wide array of new security-related technolo- exploited by the security services industry—-
gies, concepts, and procedures—and an increase and this will require officers and supervisors
in the use of security officers. Existing security who are well rounded in technology applica-
providers opened specialized divisions and new tions. Some of these applications are discussed
providers were established to meet the need. in the remainder of this chapter, according to
Despite these innovations and forward-looking the primary functions they perform.
companies, many people viewed the security
industry as nothing more than night watch-
men, even up to and through the 1960s. Over CONTEMPORARY SECURITY
the next three decades, the use of security offi- ENVIRONMENT
cers became more prevalent. Ironically, one rea-
son for this may have been the development of Today, an increasing number and variety of
security technology such as electronic access technology applications support security func-
control and surveillance systems. For example, tions. The most relevant of these applications,
these technologies led to the establishment of from the perspective of the professional protec-
security operations centers (or command cen- tion officer, are listed below.
ters), which created a new function for protec-
tion professionals.
During these years, computer and commu-
Incident Management Systems
nications technologies developed rapidly and Few would argue that one of the most tedious
permeated virtually every type of business as tasks for the protection officer is report writing.
well as our personal lives. However, the secu- Originally, incident management systems simply
rity services industry is generally perceived as changed the task of writing a hardcopy report
having been slow to embrace technology in the into a computer-based function where officers
performance of their mission. would enter the same data into a computer using
The terrorist attacks of September 11, 2001, a word-processing-like program. One of the
brought new and intense attention to the secu- benefits of this change was that users of these
rity industry in both the public and private sec- reports no longer had to deal with issues such
tors. One of the benefits of this attention was the as poor handwriting and missing pages. Data
development and implementation of new and entry, however, was awkward, formats were
improved security technology applications. cumbersome, and it was difficult or impossible
Essentially, it gave a “shot in the arm” to secu- to include attachments, diagrams, and sketches.
rity budgets and made it easier for security pro- The functionality of incident management
fessionals to justify innovations in equipment, systems expanded rapidly and developed into
tactics, and techniques. more integrated tools such as IRIMS (Incident

III. PROTECTION OFFICER FUNCTIONS

 CONTEMPORARY SECURITY ENVIRONMENT 109
Reporting and Information Management Sys- ● Stand-alone visitor management tools
tem), a product of a Canadian firm known as that can be linked to existing incident
PPM 2000. The product was introduced in the management systems
mid-1990s and released as a full enterprise-wide ● Stand-alone visitor management products
version in 2001. During this time, a number (independent)
of competing products such as iViewSystems ● Sophisticated, completely integrated visitor
entered the marketplace as well. management tools
The real benefit of these tools is their ability ● Simple, low-end, affordable visitor
to integrate, manage, and truly use the informa- management tools
tion not only for incident management but also
for subsequent investigations, trend analysis, Automated tools for visitor management
and strategic security planning. Unfortunately, have several advantages, including the ability to
many organizations (whether by decisions of keep a searchable record of visitors and gener-
the executive management or of security direc- ate reports based on individual, company, facil-
tors themselves) remained with the “comfort- ity, or date range. Data from these systems can
able” paper-and-pencil method, using hardcopy also support subsequent investigations when
(often handwritten) incident reports. an incident is discovered after the fact. From a
Some of the complaints regarding automated life safety perspective, some systems can report
incident management systems were a lack of who is currently in a facility, allowing protec-
user-friendliness, inability to adequately tailor the tion professionals to better account for all build-
system to the particular company using it, incon- ing occupants in the event of an evacuation.
venient report generators, and, not insignificantly, System components may include an input
that officers were not computer-savvy enough to device that can read driver’s licenses or other
effectively use the systems. Today, many of those identification cards (including photographs),
problems have been solved with new versions of cameras, badge printers, and self-service kiosks
the software or even new product lines for inci- (for larger applications). Most automated
dent management systems. For instance, most systems also allow employees to preregister
products now include extremely user-friendly expected visitors (this can usually be done
GUIs (Graphic User Interfaces) that make data through the company intranet right from the
entry straightforward and officer familiarization employee’s desktop). Another benefit is the abil-
quick. See the “Emerging Trends” box at the end ity to store records of and designate frequent or
of this chapter to learn about some of the trends repeat visitors. Both of these capabilities serve
in these systems and why they have become an to streamline entry procedures, thereby facilitat-
invaluable tool for asset protection programs in ing business operations and presenting a profes-
both the public and private sectors. sional security image for the organization.
Among popular product providers are
EasyLobby, iTrak (by iViewSystems), TEMPbadge
Visitor Management Tools (the company that first introduced self-expiring
Automated visitor management tools are paper badges), and LobbyGuard. In addition,
widely available today and should be in use by extremely affordable packages such as one
almost all types and sizes of organization. Among by Brother are available at popular office sup-
the types of visitor management tools are: ply stores. This indicates that there are visitor
management tools on the market for all types
● Visitor management modules within of users, all sizes of facilities, and at all cost
incident management systems levels.

III. PROTECTION OFFICER FUNCTIONS

110 9. AUTOMATION IN PROTECTION OPERATIONS

There is no excuse today for using a hand- Near-term plans for CAP Index include
written sign-in log as a visitor management tool. “… an ‘ultimate dashboard’ that will merge
In addition to the inefficiencies and inability to crime forecasting with site surveys and risk
electronically store and access data, hardcopy assessment, event history and loss-related
visitor logs can represent a security vulnerability. alerts …” (Groussman, 2008, p. 63). Tools like
Visitors can generally view the log while they are this should be used for strategic security plan-
signing in and see who else (individual, company, ning, making a business case for new policies
etc.) was recently in the facility. In some environ- and programs, and conducting risk assessments.
ments, that may be very sensitive information— It is extremely useful to track crime data for a
or may at least represent a privacy issue. given location over time and also be able to
compare crime levels in surrounding areas.
Crime Mapping
Another category of automation that is Geospatial Information Systems (GIS)
increasingly important to the crime prevention
Closely related to crime mapping, GIS pro-
and security communities is that of crime map-
vides a graphic view of various situations by
ping. The most well-known and respected pro-
leveraging the capability to layer information
vider of crime mapping services is CAP Index.
from different databases or inputs over a map
They refer to their primary capabilities as crime
or image. This tool is generally used for exterior
forecasting and security risk analysis. This firm
spaces (e.g., a map of a city or neighborhood),
provides several products, all based on objec-
but can also be used with diagrams, campuses,
tive crime and incident data. Among the uses
or even building interiors. The objective may be
for this type of data are:
to review historical data (such as incidents or
● Site selection—used by organizations to aid a particular type), identify patterns of activity,
in determining where to locate new facilities display sensitive locations or areas that warrant
or where to expand existing facilities based special security attention, support an investi-
in part on local crime data gation, identify traffic patterns (vehicular, foot,
● Rank and compare—the ability to compare or product), or compare any type of data with
crime statistics at different locations other data sets by location.
● Security allocation—data to assist in One example of a GIS provider is ESRI, which
determining security force deployment, staff has supported a wide variety of homeland secu-
augmentation, and resource allocation rity, law enforcement, disaster management,
● Litigation defense—crime data can be used and public safety projects. They provide com-
to justify corporate policies and procedures mercial-off-the-shelf (COTS) software as well
that may be questioned during a security- as individualized consulting and project man-
related lawsuit or other legal action agement services. The ESRI Web site states that
● Loss prediction—products can be integrated “a geographic information system … integrates
with corporate data such as shrinkage figures hardware, software, and data for capturing,
to aid in predicting losses and setting risk managing, analyzing, and displaying all forms
tolerance (thresholds) for specific retail or of geographically referenced information. GIS
other sites allows us to view, understand, question, inter-
● Return on investment (RoI)—data can be pret, and visualize data in many ways that reveal
used to justify security expenditures and relationships, patterns, and trends in the form
projected budgets for specific sites or entire of maps, globes, reports and charts.” Regarding
enterprises force protection and security applications,

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 CONTEMPORARY SECURITY ENVIRONMENT 111
the site mentions the ability to “assess security security risk management in general. Criminal
risks, develop preparedness and security plans, intelligence/criminal analysis tools are the last
and understand the impact of incidents” as key application we will cover.
benefits (ESRI, 2009). According to Marilyn Peterson, past presi-
According to an article in the Fall 2002 edi- dent of the International Association of Law
tion of Energy Currents, GIS can be used not Enforcement Intelligence Analysts (IALEIA),
only for security planning but also to develop “Criminal analysis is the application of particu-
exercise scenarios and to compare projected out- lar analytical methods to data collected for …
comes of various security solutions. Some appli- criminal investigation or criminal research” and
cations suggested by the article are comparing is “practiced in law enforcement … and in pri-
scenarios for pedestrian traffic flow and timing vate security organizations around the world”
for building evacuations, simulating “entire (Peterson, 1998, p. 1). This field, like some of
community” response to a crisis (i.e., not only those previously discussed, originated in a man-
how will you react, but how will your neigh- ual form and has now migrated to a largely auto-
bors react—and how that affects your reaction), mated process.
and modeling of toxic substance releases based One of several vendors that offers automated
on wind speed and direction. The article also solutions for criminal intelligence analysis is i2
mentions that GIS can be used to plan and/or Incorporated. They offer an “integrated suite
compare different CPTED (Crime Prevention of products that enables investigators and ana-
through Environmental Design) options for cor- lysts to quickly understand complex scenarios
porate facilities, government agencies, or com- and volumes of seemingly unrelated data, per-
munities (Shields, 2002). form analyses, and communicate the results”
The concerns of the energy and utilities indus- (i2, 2009). Their customers include law enforce-
try, and the wide variety of applications for GIS ment, government, military, and intelligence
are outlined nicely in the article as follows: users as well as commercial organizations.
Products like this help protection profession-
When disaster occurs, data becomes critical to als “connect the dots” to uncover crime trends
life and property savings. GIS shows where the gas,
and conduct complex investigations. The
water, fiber optics, and power lines are (or were).
Rescue teams need to know the location of buildings, Protection of Assets Manual (POA) lists crimi-
stairwells, and basement facilities. Safe traffic routes nal intelligence analysis as an important “force
that avoid probable leaks and live wires need to be multiplier” for investigative and security pro-
drawn. Staging areas for heavy equipment are also a fessionals (ASIS International, 2006, p. 46).
GIS concern (Shields, 2002).
Another force multiplier is the use of com-
mercial and other online databases. According
Criminal Intelligence and to POA:
Analysis Tools Anything that significantly improves the speed
and efficiency of information gathering, collation,
According to Brian McIlravey of PPM 2000, analysis, or organization is an important force multi-
“Using information about actual and prevented plier. On-line resources are such a tool and are expand-
incidents is essential to the development of effec- ing at a rapid pace (ASIS International, 2006, p. 71).
tive security safeguards for each workplace
environment …” (McIlravey, 2009, p. 7). This That document also warns, however, against
quote highlights the relevance of all of the tools two dangers in using online resources for inves-
discussed in this chapter to the professional tigative and security functions. First, there is
protection officer specifically, and the practice of the danger that protection professionals will

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112 9. AUTOMATION IN PROTECTION OPERATIONS

get side tracked and go off on tangents, focus- much that they more readily accept technol-
ing more on the online environment than on ogy in their workplace. Still, the effective use of
the investigative or security objectives. Second, automated security tools should be emphasized
there is a natural assumption that anything in officer training and education programs.
extracted from databases or online sources is Two graduate students in a Business and
credible. Users must remember to validate and Organizational Security Management program
corroborate all sources, including those that studied college curricula designed to pre-
originate in online databases or files (ASIS pare protection officers for a career in security.
International, 2006, p. 73). Among their findings was a distinct lack of
coursework addressing emerging technology
issues. They concluded that course content
THE ROLE OF THE should include orientation on automated tools
PROFESSIONAL such as incident and visitor management sys-
PROTECTION OFFICER tems as well as crime mapping and analysis.
According to their report, “Security officers
Protection professionals, whether operating lacking this knowledge would be placed at a
in a government or private sector environment, great disadvantage among peers …” (Bolyard &
are increasingly relying on technology and Powell, 2007, p. 4).
automated applications such as those described In addition to individual officers, security
in this chapter. Individuals who embrace tech- service providers might consider expanding
nology and leverage it as a tool in performing their service offerings to include items such as:
their duties—and in their own professional ● Conducting automation-assisted risk
development—are those who will excel. In fact,
assessments
the same applies to security services providers. ● Providing security technology training
As security business consultant Mark Gottlieb
services
puts it: ● Recommending security technology
Due to advances in security technology, computer solutions to clients
literate guards who understand “smart buildings” ● Including automated crime analysis or crime
and possess an understanding of the loss preven- mapping within security services
tion function will find their services in high demand.
... Technological improvements and innovation are
● Providing security services specific to IT
changing the role of the security guard. Security environments (e.g., data centers)
firms must keep abreast of these changes (Gottlieb, ● Providing IT security services
2006, p. 4).
As systems and procedures become more
Only a few years ago, administrators at a integrated and technology-dependent, we must
college offering an associate’s degree in crimi- also begin to consider the “security of security
nal justice and security management stated systems.” The Alliance for Enterprise Security
that their students—those employed as, or Risk Management began to address this issue in
aspiring to become, security officers—were a booklet entitled “Convergent Security Risks in
literally “afraid” of computers. For that rea- Physical Security Systems and IT Infrastructures.”
son, the college was extremely hesitant to add One of the many recommendations presented in
computer skills to their learning objectives and the booklet was:
curriculum. Connecting special systems and devices to orga-
Today, things have changed as people rou- nizations’ networks introduces new and usually seri-
tinely use technology in their personal lives so ous levels of risk. The trade-offs between connecting

III. PROTECTION OFFICER FUNCTIONS

 SUMMARY 113
these systems to organizations’ networks and the Technology and automation is bringing unprec-
security risks that doing so introduces thus need edented benefits, efficiencies, and opportunities
to be better analyzed and understood (Alliance for
Enterprise Security Risk Management, 2006, p. 15).
to the field of security and assets protection.
From information sharing and information
management to risk assessment and strategic
SUMMARY security planning, automated tools are truly of
value. One warning, from technology consul-
The issue of automation in protection opera- tant Anton Ivanov, however, is very relevant
tions can be summarized nicely with the follow- here:
ing quotations:
IT … is a tool to allow [organizations] to imple-
… networked computer technology and asso- ment business processes … [and] operate more
ciated applications will provide enterprises with efficiently.… However, it is the business process that
increased operational efficiencies and intelligent makes the business more efficient, not IT as such
security” (Open Security Exchange, 2007, p. 3). (Ivanov, 2009).

and
We need to be careful to use technology as
… the amount and variety of security data flow- a tool rather than allow ourselves to be used
ing into their information systems is only going by technology. Nonetheless, professional pro-
to grow … as their corporations grow and as new tection officers should develop a technology-
technology-based security systems come online. The
corresponding need to store and organize this data
friendly mind-set, develop their skills, and
for meaningful use will thus become an even more incorporate high-tech thinking into their profes-
pressing issue … (McIlravey, 2009, p. 9). sional worldview.

EMERGING TRENDS
The driving force in today’s electronic secu- Electronic security systems are now routinely
rity systems is “integration.” Security systems capable of being controlled from remote sites
are increasingly integrated with fire and life via the Internet (over secure connections) and
safety systems, communications systems, and even using mobile devices such as a BlackBerry
even automated building controls. This allows or iPod (including activation/deactivation of
new capabilities such as “downstream controls” access cards, and dissemination of threat alerts
and “automatic lockdowns.” In other words, a to specific audiences). This trend is expected to
breach at an entrance turnstile might lock down continue and will require security professionals
the elevators or close selected interior doors. to keep up on these technologies (Belfor, 2008).
Building controls may include doors and locks, Somewhat related is the trend toward greater
elevators, lighting, HVAC, and communications functionality of incident management systems.
systems. Today, these controls can be integrated Data is being collected, analyzed, and utilized
with CCTV, intrusion detection, and electronic in unprecedented ways. Contemporary systems
access control systems. can provide valuable data for corporate inves-
Another important trend is toward remote tigations, level-of-trust decisions, on-site inci-
monitoring and control of security systems. dent management, evacuation management,

III. PROTECTION OFFICER FUNCTIONS

114 9. AUTOMATION IN PROTECTION OPERATIONS

regulatory compliance monitoring, security The continued development of public-private

performance measurement, security planning, partnerships that involve the private security
force deployment, report generation, business community may influence this issue and allow
case analysis, and many other tasks. As stated by special access to security-relevant data.
Brian McIlravey: “Incident reporting and inves- In short, technology is expanding rapidly
tigation management software solutions … are and is making more and more of an impact on
becoming the keystone of a well-thought-out security operations and the way protection
and executed security information management professionals perform their duties. McIlravey
program, playing a key role in the risk manage- summarized the entire issue of “automation in
ment and decision-making process” (McIlravey, protection operations” this way:
2009, p. 24). There is a strong trend in security manage-
Finally, the use of online sources and inte- ment to strengthen and make more consistent
gration of disparate databases for information the management of security information across
sharing will become indispensable in protec- the enterprise. This trend is driven … by the
tion operations. At the same time, however, this much broader corporate interest in data analysis
information-sharing environment will raise ques- and knowledge-based decision making. There is
tions about personal privacy concerns which will also relentless pressure to improve the speed and
likely lead to data restrictions. The proper bal- quality of decision making, reduce costs, improve
ance between security and privacy will be a key productivity, and demonstrate a commitment to
issue and will be the subject of much discussion. best practices (McIlravey, 2009, pp. 23–24).

References Groussman, J. (2008, May). Loss forecasting and ROI.

Security, pp 62–63. BNP Media, Troy, MI, http://www.
Alliance for enterprise security risk management (AESRM). securitymagazine.com.
Convergent security risks in physical security systems i2, http://www.i2group.com, (corporate web site), McLean,
and IT infrastructures. 2006. VA, accessed September 2009.
ASIS International. (2006). Protection of assets manual (Vol. Ivanov, A. (Technology Consultant, Cambridge, UK), Internet
II). Investigations Management. Chapter 1, Part 1, ASIS posting on “LinkedIn Q&A Forum/Information Security,”
International, Alexandria, VA. posted 12 October 2009, www.linkedin.com.
ASIS International. (2007). Protection of assets manual (Vol. I). McIlravey, B. (2009). Security information management—The
Introduction to Assets Protection. Chapter 2, Part 1, ASIS foundation of enterprise security (white paper). PPM 2000
International, Alexandria, VA. Inc. Edmonton, AB, Canada.
Belfor, H. J. (2008, March). Chairman ASIS International Open Security Exchange. (2007). Physical security conver-
Physical Security Council, “New Directions in Security gence: What it means, why it’s needed, and how to get there,
Systems and Integration: An overview” (presentation). Washington, DC (white paper).
Bolyard, D., & Powell, D. (2007, April). An assessment of Peterson, M. (1998). Applications in criminal analysis: A
undergraduate curriculum in criminal justice and homeland sourcebook. Praeger Publishing Company, Santa Barbara,
security (master’s thesis), Webster University, National CA.
Capital Region. Shields, B. (2002). Crime and catastrophe: A GIS response.
ESRI. Web site www.esri.com/. Accessed October 11, Energy Currents, Fall, ESRI, Redlands, CA.
2009. Smith, R. M. (2003). From blackjacks to briefcases. Ohio
Gottlieb, M. S. (2006). Security: An industry study. MSG University Press, Athens, OH.
Accountants, Consultants and Business Valuators. Great Webster University, National Capital Region, “Business
Neck, NY. (white paper). assets protection,” course materials, 2009.

III. PROTECTION OFFICER FUNCTIONS

 SECURITY QUIZ 115

S EC U RI T Y QU IZ 7. A study by Bolyard and Powell concluded

1. Automated visitor management systems that “security officers lacking this
should only be used in large, complex knowledge would be placed at a great
organizations with multiple facilities. disadvantage.…” What “knowledge” were
a. True they referring to?
b. False a. An understanding of basic electronic
2. One use for crime mapping is to help security systems and design parameters
determine where to locate new facilities. b. A thorough understanding of contempo-
a. True rary information technology (IT) security
b. False threats and risks
3. Studies indicate that security technologies c. An orientation on automated tools such as
will soon make security officers obsolete. incident and visitor management systems
a. True as well as crime mapping and analysis
b. False d. An orientation on the historical basis for
4. Incident Management Systems today are automation in protection operations as
really nothing more than word processing it applies to the security industry in the
systems that allow an officer to enter reports United States
electronically. 8. Geographic Information Systems (GIS) are
a. True closely related to:
b. False a. Integrated security systems
5. Two dangers mentioned in this chapter that b. Crime mapping systems
protection professionals should be aware of c. Automated incident management systems
in using online resources are (circle two): d. Graphical user interface systems
a. The possibility of going off on a tangent 9. A number of studies in recent years have
rather than focusing on the objective projected massive expansion of electronic
b. The possibility of introducing a virus to the security systems employing advanced
system technologies, but they also concluded that
c. Accidentally disseminating sensitive the human element (i.e., security officers)
information to unauthorized recipients will not be predominantly replaced by
d. Assuming that information in online technology.
databases is credible a. True
6. Among the advantages of automated visitor b. False
management systems are (circle all that apply): 10. Technology and automation is not bringing
a. Ability to reduce costs by integrating with the benefits, efficiencies, and opportunities
access control systems to the field of security and asset protection
b. Ability to keep a searchable record of that was anticipated.
visitors a. True
c. Ability to better account for all building b. False
occupants during an evacuation
d. Ability to support subsequent
investigations in the event of an incident

III. PROTECTION OFFICER FUNCTIONS

 C H A P T E R

10
Patrol Principles
Christopher A. Vail

function today, it’s necessary to see its genesis.

CHAPTER OBJECTIVES The very word “patrol” is thought to be derived
● Provide a history of security patrol from the French word patrouiller, which origi-
● List the major purposes of patrol nally meant “to tramp in the mud.” To many,
this translation may well reflect what may be
● Explore issues relating to both foot and described as a function that is “arduous, tir-
mobile patrol ing, difficult, and performed in conditions other
● Provide techniques that enhance an than ideal” (Cole, 1995).
officer’s ability to detect unusual Around 2100 B.C., the first codification of
situations customs was written by Hammurabi, King of
● List factors that influence patrol Babylon. Under these laws of Hammurabi, it
effectiveness is believed that messengers were appointed to
● Identify areas of professional conduct for carry out the commands of the law—the first
officers on patrol form of patrol duty. About 1400 B.C., Amenhotep,
pharaoh of Egypt, developed a marine patrol
on Egypt’s coast, the first recorded history of a
patrol unit.
In early Greece, guard systems were established
HISTORY OF PATROL to protect the tower, highways, and the person of
Pisistratus, ruler of Athens. Ancient Rome saw the
Security work encompasses various func- establishment of quaestores (inquirers; also basi-
tions; however, there is one function that is cally judicial officers) who would go to the house
common to all security agencies—the job of of the accused and blow a trumpet or horn as an
patrol. In order to understand the technical indication of his arrest. In 27 B.C., under Augustus,
aspects of patrol, it is important to see how this emperor of Rome, the Praetorian Guards were
function came about, how it developed, and formed to protect the life and property of the
how it changes over time. Eugene O’Neill, a emperor, and urban cohorts were established to
famous writer, once said, “The past is the pres- keep the peace of the city. The vigiles (from which
ent, isn’t it? It’s the future, too.” Therefore, to we get the word vigilantes) were formed to
gain insight and understanding of the patrol patrol the streets and act as enforcement officers.

117
118 10. PATROL PRINCIPLES

Although they were nonmilitary, they were armed paid watchmen were those paid by merchants,
with staves and the traditional short swords. These parishioners, and householders. In 1737, the
patrolmen were also assigned to patrol geographi- Elizabethan Act of 1585 was enlarged to allow
cal precincts. cities to levy taxes to pay for the night watch.
As people moved north toward England In 1748, Henry Fielding suggested that polic-
and developed collective living arrangements ing was a municipal function and that some
(the precursors to towns), a form of individual form of mobile patrol was needed to protect
and group responsibility for policing began the highways. The Bow Street Runners were
to emerge through the concept of local self- formed, with a foot patrol to operate in the inner
government. Around A.D. 700, tithings (groups areas of London, and a horse patrol to operate in
of ten families) were formed for the purpose of the outer areas. In 1829, the Home Secretary, Sir
maintaining the peace and protecting the com- Robert Peel, introduced “An Act for Improving
munity. Tithingmen were elected by the group, the Police In and Near the Metropolis”—the
and their responsibilities included raising the Metropolitan Police Act. This legislation forms
hue and cry upon learning of a crime in the the basis for law enforcement organizational
group and dispensing punishment. Ten tith- structure in America. Setting the stage for orga-
ings were called a hundred and the head man nized patrol activity, 1 of the 12 fundamental
was called a reeve. Several hundreds within the principles of the Act stated that “the deploy-
same geographical area were collectively called ment of police strength by time and area is
a shire (the equivalent of our county) and the essential.” By the end of 1830, the metropolitan
chief law enforcement officer was called a shire- area of London was organized into 17 divisions
reeve (what we now call the sheriff). and superintendents were appointed. Patrol sec-
William, the duke of Normandy, introduced a tions were created, and each section was broken
highly repressive police system in A.D. 1066, in down into beat areas.
which collective security was deemed far more Basically, Peel replaced the patchwork of pri-
important than individual freedom in England. vate law enforcement systems then in existence
He divided England into 55 separate military with an organized and regular police structure
districts and appointed an officer of his choice that would serve the state and not local interests.
to be the shire-reeve in each shire, or military He believed that deterrence of criminal activ-
district. The state assumed the responsibility for ity should be accomplished by patrol officers
keeping the peace in this system. England lived trained to prevent crime by their presence in the
under this system until the Magna Carta (Great community. Hence, modern patrol was born.
Charter) was written in A.D. 1215, guarantee- Many English systems and beliefs became
ing civil and political rights to individuals and the basis for American social, political, legal, and
restoring local control to the communities. governmental systems. In New England, com-
In 1252 in England, the watch system was munities were formed around towns and villages,
established. People appointed to the duty of which relied on constables to provide protection
watchman had the responsibility for keeping and keep the peace by using the watch system.
the peace. They were unpaid and were often The South was more rural and agricultural, with
the dregs of society—the old, infirm, sick, and smaller communities. The county was the primary
criminally inclined. After 1285, some watches form of government, in which the sheriff system
grouped together for the purpose of safety, was the prominent form of law enforcement. As
forming a “marching watch,” which may be expansion moved westward, law enforcement
considered the first form of patrol organiza- organizations combined the functions and roles of
tion found in our present-day system. The only constable and sheriff.

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 PURPOSE OF PATROL 119
Patrol activity in America can be traced random violent criminal activity, much of which
to Boston in 1636, when a night watch was is directed toward innocent victims; of drug-
formed. In 1658, New York City formed a “rat- related crime; of juvenile crime involving sense-
tle watch,” so named because they used a rat- less violence; of overloaded legal systems; and
tle to communicate their presence and signal of more civil litigation. At the same time, there is
each other. Oftentimes, people who committed more being demanded from property and orga-
minor crimes were sentenced to serve on the nizational managers in terms of protection from
watch as punishment. As can well be imagined, fire, disaster, and accident. Administrative agen-
order discipline was a major problem, leading cies at the federal, state, and local level continue
New Haven to create a regulation that said “no to enact new regulations that employers must
watchman will have the liberty to sleep.” A 1750 follow. Security officers have more responsibil-
Boston rule said that “watchman will walk their ity now than they have ever had before. In fact,
rounds slowly and now and then stand and the patrol function is more than just the back-
listen.” Following this rule—as well as mak- bone of security; it is also the heart and soul of a
ing sure to look up, down, and all around—are total loss control approach.
good procedures for contemporary protection
officers to follow.
Uniformed and paid police did not come
about until the early to mid-1800s. In 1833,
PURPOSE OF PATROL
Philadelphia began paying police officers and
The function of security is to prevent and
the New York City Police started wearing uni-
control loss. As a means of accomplishing this,
forms around 1855. As America grew, policing
patrol officers make periodic checks around a
took on new shapes and challenges, with the
facility. Therefore, patrol can be defined as the
addition of technological advances, new orga-
act of moving about an area to provide protec-
nizational and political structures, new laws
tion and to conduct observation. That is a fairly
requiring more police officers, societal reliance
simplistic definition, since while protection
on law enforcement, and the slow growth of
and observation may be the major elements of
private police and security agencies. However,
patrol, there are numerous other functions that
the patrol function of police and security
the officer may be called on to perform dur-
remains the same and is considered the “back-
ing his or her tour of duty. Based on organiza-
bone” of security and police agencies.
tional needs, there are several major purposes
Security patrols may be routine and boring
of patrol.
to some; however, the patrol activity of today is
much more than “tramping in the mud,” sound- 1. Detection of criminal or unauthorized
ing the hue and cry, or shaking a rattle. The activity. Contingent upon organizations’
officer of today who protects a facility is respon- needs, this could include trespassing, noise
sible for the safety and security of physical—and violations, safety violations, lease violations
often intellectual—assets of tremendously high by tenants, alcohol violations, parking
value. He/she is responsible for the safety and violations, and so on. In order to be effective,
security of a workforce consisting of people who officers must be intimately familiar with
are educated, well trained, and professional— organizational rules, laws, and patterns of
a huge investment of human worth and pro- criminal behavior, all of which are constantly
ductivity. Today’s security officer has available changing.
training, equipment, and technology hereto- 2. Prevention and deterrence of crime and
fore unheard of. We now live in an age of more unauthorized activity. This includes

III. PROTECTION OFFICER FUNCTIONS

120 10. PATROL PRINCIPLES

projecting a security presence onto the 8. Respond to emergencies. This is where

environment. Making the security program security patrol has traditionally varied from
visible will at least temporarily suppress police patrol; while security emphasizes
criminal/unauthorized activity. prevention, law enforcement emphasizes
3. Ensure compliance with organizational response to problems. Unfortunately,
policy. At the same time this is done, security departments must be able to
public/community relations are maintained respond professionally to accidents, fights,
by interacting with persons in the work fires, intrusions, assaults, thefts, HAZMAT
environment. Relations with tenants, problems, or other reasonably foreseeable
vendors, neighboring security departments, emergencies. Staffing levels, response times,
and local law enforcement certainly come training, and equipment must all support the
into play here. Additionally, officers may requirement for emergency response.
help ensure compliance with administrative 9. Performance of other services required by
agency regulations such as OSHA, EPA, or management. This can include opening up
U.S. Labor Department mandates. areas and making them ready for visitors.
4. Assess, report, and record loss-causing It could also include dispensing literature,
situations or circumstances. This conduction of formal or informal surveys
could include any type of fire, safety, or of visitors, testing equipment, finding lost
health hazard, such as chemical spills, children, or acting as an escort.
overcrowding of rooms/area, radiation
leaks, coffee pots left on, leaking pipes, Obviously, the needs of all organizations/
unsanitary conditions, congested areas, facilities are unique. Shopping centers have
mechanical failures, and so on. different loss control needs than warehouses.
5. Investigate as directed by the central alarm Hospitals are different from power plants. Hotels
station (CAS), dispatch, or supervisor in are different from amusement parks. Military
charge. There are a host of possible lines of installations are different from college cam-
inquiry that can be requested of the patrol puses. What activities occur and what activities
officer by management. are unauthorized vary considerably. Patrol may
6. Test and inspect the physical security system. involve taking action against unauthorized per-
This includes alarms, locks, lights, CCTV, sonnel, suspicious persons, illegal activities, and
access points, and physical barriers such as suspicious automobiles. Pertinent state and local
fence lines. While assuming greater importance laws and company policies will dictate what
in high-security installations, this is a function security officers are to do in these situations.
of patrols in all environments to some degree. Depending on the officer’s employer, he or she
7. Act as a compensatory measure during may also be required to conduct an investigation
system outages. Should there be an outage of criminal activity. The catch-all phrase of “per-
or malfunction of a physical security system formance of other services” may include a mul-
component, the patrolling officer will titude of functions as requested by the officer’s
stand by and assume a fixed post at the employer, the client, and/or as needed by others
affected point/area until the situation is such as visitors, vendors, and employees. In any
remedied. This may simply involve calling event, patrol is the “eyes and ears of security.”
maintenance and standing by until a lock is The provision of security services is not an “after-
fixed, or it may require continuous posting thought;” it is a business necessity. Organizations
out in a high-security facility with an alarm that don’t take steps to protect their assets
or power outage. will lose them! Employers also have a legal

III. PROTECTION OFFICER FUNCTIONS

 TYPES OF PATROL 121
and moral responsibility to provide a safe and on a frequent and random basis, making it diffi-
secure workplace for their employees and those cult for one with criminal intent to penetrate that
who visit their organization. Insurance com- area. Officers on foot patrol also have as much
panies require that certain security measures use of their five senses—sight, smell, taste, feel,
be enacted. There are court decisions affecting and hearing—as their physical condition allows
security, particularly relating to the commission and they can actually “patrol” a larger area using
of wrongful acts or the omission of required one or more of these senses.
acts. Federal, state, and local laws, rules, and Major drawbacks to foot patrols are the
regulations dictate that certain security mea- small size of the area that can be patrolled
sures be placed in effect. Security, therefore, is a effectively, the amount of time taken to con-
part of management in any company or organi- duct one round while carefully checking every-
zation. Patrol is the essence of providing those thing, and getting from one part of the area to
security measures. another. Other drawbacks include access to
emergency equipment if needed and personnel
costs involved—it takes many protection offi-
TYPES OF PATROL cers to provide adequate protection. Inclement
weather conditions also sometimes restrict foot
There are two basic types of patrol: foot and patrol activity.
mobile. With each type of patrol, different meth- Patrol officers can use a number of different
ods may be used, depending on many factors. methods of mobile patrol. The automobile is the
Mobile patrols include the use of automobiles, most common form of patrol; however, many
bicycles, mopeds, and golf carts. Helicopters agencies find it economical, while providing
and horses are other means of mobile patrol, other benefits, to patrol with golf carts, bicycles,
but are not all that common. or mopeds. The advantage of mobile patrol
Foot patrols are normally conducted by one includes the very fact that it is mobile. The offi-
officer “walking a beat.” Areas to be patrolled cer can patrol a much larger area. Depending
are both indoors and outdoors. The major advan- on which type of vehicle is used, the officer has
tage to this type of patrol is that officers can learn access to emergency equipment, and he/she
their assigned areas well. While this is not an all- can carry different amounts and types of equip-
inclusive list of what a foot patrolman can learn, ment. Obviously, a car can carry a lot more than
he or she will learn what doors and windows a bicycle, and this is a bona fide consideration
are normally locked or unlocked, what lights when determining what type of mobile patrol
are normally left on at night, what personnel are to use. While a bicycle can’t carry as much
authorized in certain areas, where emergency equipment as a car can, it can get to places a car
equipment is located, and what potential hazards can’t, and can do it much more quietly. These
exist. Such knowledge will assist the officer in are some other factors to consider in selecting
determining if anything is amiss. It is also a good what type of mobile patrol to use:
opportunity for the officers to become known to
the employees and to establish a positive profes- 1. Initial cost of purchase
sional relationship with everyone they contact. 2. Ongoing maintenance costs
One way to accomplish this is by discussing the 3. Size of the area to be patrolled
above-mentioned items, or any other official mat- 4. Need to access emergency and other
ter, with the people involved. Another advantage equipment, such as first-aid kits, traffic
of foot patrol is that an officer could place him- control equipment, extra rain ponchos,
self or herself at or near high security risk areas additional radios, and so on

III. PROTECTION OFFICER FUNCTIONS

122 10. PATROL PRINCIPLES

5. Type of facility being protected, and the The officer should have a positive attitude
organizational image and culture of the facility when going to work—his or her mind should
6. The threat model and degree of vulnerability be focused on the job ahead. No personal prob-
of the facility lems, hobbies, or business should be carried to
work with the officer.
Depending on the size of the patrol area
There should be absolutely no ingestion of
and access to a car, or in some cases where golf
alcoholic beverages or other psychoactive sub-
carts are used, the officer can also carry patrol
stances at least 8 hours before going on duty.
dogs. Dogs enable the officer to search a large
The officer should have had ample rest before
and/or complex environment very quickly with
going to work, as he or she will need to be both
minimal manpower. In very large areas, aerial
mentally and physically alert on duty. Officers
patrols may be conducted by helicopter. In rug-
should have a positive attitude and an accom-
ged terrain, horses or ATVs may be used. Each
panying bearing that reflects courtesy, polite-
of these methods has some capacity to carry
ness, and a willingness to serve. These are basic
equipment.
qualities of professionalism, which instill confi-
dence in a department.
All personal and company equipment issued
PREPARATION FOR PATROL or used while on duty should be checked to
ensure that it is in working order. For exam-
Preparation for going on patrol duty is not ple, making sure a pen has ink for note-taking
only the physical act of putting on a uniform; it or a radio has working batteries, which can be
also requires mental and psychological prepara- life-saving if the officer needs to call for help.
tion. Security officers should act and look pro- Officers need to know all policies, rules, and
fessional not only while on duty, but also while regulations that pertain to the security of the
going to work. This not only produces a posi- facility, and particularly, the assigned patrol
tive impression on the people they serve, but it post. While proper procedures for performing
helps the officer to perform better. When they the job should be known, many officers have
look and act like professional security officers, their own procedures for accomplishing a task.
such demeanor demands more respect from If used, they should be in compliance with
others. This respect generates a positive attitude accepted practices of the security agency, the
in the officer, and he or she becomes more con- client, and certainly, the law.
fident and more competent in his or her work. It is important, when preparing to go on
While people should not “judge a book by its patrol, that the officer knows the property he or
cover,” the fact remains that people do judge pro- she is protecting “like the back of his/her hand.”
tection officers based on their first impression. The location and condition of emergency equip-
Clothes “do make the man,” so one’s personal ment, water shut-off valves, electrical controls,
appearance is important. The officer’s uniform fire alarms, and telephones should be known, as
should be properly tailored and in good con- the patrol officer may be the first responder to a
dition—neat, clean, and pressed. There should situation requiring their use. The location of any
be no holes, patches, or loose threads dangling hazardous materials, or places where hazard-
from it. Shoes and leather equipment should be ous materials are worked with, should be firmly
polished. Male officers should be clean shaven. implanted in the officer’s mind. All doors and
Hair and fingernails should be clean. No items windows, and the condition they’re normally
not authorized by the employing organization found in, should be well known. This includes
should be attached to the uniform. knowledge of existing scratches or other marks

III. PROTECTION OFFICER FUNCTIONS

 PREPARATION FOR PATROL 123
that could otherwise be a sign of forcible entry. These are some techniques that enhance an
Also, some doors and windows are frequently officer’s ability to detect unusual situations.
left open, some partially open, and some should ● Get to know people in the patrol
never be open. Knowledge of the state of these
environment. Maintain a professional—not
exits and entrances is very valuable to the
personal—relationship with them. Have
patrolman.
some idea what their jobs and/or functions
The alert patrol officer will know what type
are. Most people will gladly elaborate on
of conduct, organizational behavior in this case,
what they do if asked in a tactful manner.
is considered acceptable or normal at his or her ● Inspect equipment. Get in the habit of
facility. Conduct that is considered abnormal in
checking maintenance tags on equipment.
one area or section may be very commonplace
Know what the equipment does.
in another. Examples include such things as ● Get to know maintenance personnel and
what doors are normally left ajar; what vendors
procedures. Consider taking an orientation
or service personnel use what doors regularly;
tour with the maintenance department.
what computers are left on; what certain smells ● Visit the central alarm station, if possible.
or odors are normal; and what types of people
Become familiar with the alarms and CCTV
frequent the facility. The officer must first be
in each protected point and area.
able to determine what is customary for his or
her patrol area, and then look for actions, condi- There are many different incidents that could
tions, or patterns that are unusual. Each officer occur to an officer on patrol that may require
must decide in his or her own mind, and to his immediate action on his or her part or on the
or her own satisfaction, what is suspicious. This part of others. As the first responding author-
will vary by experience, background, training, ity to such incidents, the officer should be men-
attitude, and type of environment in which he tally and physically alert and able to respond,
or she works. A successful officer is one who is making correct decisions as to what needs to be
able to combine logical suspicion with skillful done. The officer may have to take immediate
observation and has enough natural curiosity to action using his or her own professional knowl-
investigate those conditions that he or she feels edge, skills, and abilities, or he or she may have
are unusual. to direct others such as the police, EMS, fire,
If an officer works the night shift, it is advis- or maintenance personnel to the scene via the
able to visit the work site during the day. This most expedient way.
will give the officer a fresh and clearer perspec- In some circumstances, the officer may have
tive of his/her responsibilities. For example, the to control a gathering group of onlookers and it
officer might discover the existence of doors or is essential to know how to isolate them from
windows that he or she didn’t even know were the crisis point (problem area). Being able to
there. He or she might discover that a part of block off an area quickly and efficiently is obvi-
the facility thought to be empty or unused is ously important in emergencies. Since anything
really full of expensive equipment. Or the offi- could happen at any time, the effective security
cer might find that an area thought to contain officer knows his or her patrol area very well.
valuable equipment or materials is actually When arriving for duty, an officer should
empty or full of items to be discarded. It also be briefed by a supervisor or check with
gives the officer the opportunity to talk with the previous shift for any unusual events or
and discuss security issues about the facility occurrences; suspicious activities or persons;
with other officers whom he or she normally facility problems dealing with security, fire,
doesn’t meet. or safety; orders, directives, and policies; and

III. PROTECTION OFFICER FUNCTIONS

124 10. PATROL PRINCIPLES

any expected VIPs, vendors, contractors, and opportunity, the desire, and the tools. Patrol
so on. Determine if there are any communica- officers have a direct influence over the first one
tion “dead areas” and where they are. In other and some influence over the second. An effective
words, to be fully prepared to go on patrol, an patrol officer, by following accepted patrol proce-
officer must know what has happened, what is dures, can and will hinder the first element—the
happening, and what is likely to happen. opportunity to commit a criminal act. By ensur-
One area of preparation often overlooked by ing all doors and windows are properly closed
many officers and departments is that of con- and locked, ensuring there is adequate lighting
tinuing training and education. With the many in vulnerable areas such as where safes or valu-
and increased demands placed on security per- ables are kept and around the building(s) proper,
sonnel today, it is essential for the officer to stay and making access difficult to possible targets
abreast of the latest laws, equipment, products, for criminal activity, opportunities for the crim-
services, and procedures in security. This infor- inal are reduced or eliminated. This is the very
mation is gained only through education or essence of loss prevention.
training. Companies who contract out for their While the patrol officer may not be able to
security services, proprietary security depart- directly influence a person’s desire to commit
ments, and security companies themselves, a crime, that desire is greatly hampered by the
should provide basic and ongoing training for very presence of a security officer perform-
their security officers. Companies can estab- ing his or her patrol duties in a professional
lish internal training programs, send officers way. It is indeed a rare criminal who will com-
or require officers to attend local colleges that mit a crime in the presence of a patrol officer
have security educational programs, or have (although it has happened), especially one who
their officers take home-study courses. is visible, alert, and showing confidence. The
There are also private vendors who special- third element is not controllable by security
ize in conducting security training programs. personnel; however, security officers should
If a local police department has a “ride-along” know what tools are generally used by crimi-
program, this can provide excellent training for nals. Guns are obviously a tool, but some peo-
the security officer. Another way for an officer ple have the authority and permission to carry
to gain new information and knowledge is by weapons. Screwdrivers and pry bars are com-
reading security- and law enforcement–related mon everywhere, but in the hands of a criminal,
professional journals and magazines. Protection they become burglar tools. Information gather-
News, Security, Police and Security News, FBI Law ing equipment, such as photographic or record-
Enforcement Bulletin, and Security Management ing devices, may be used to steal information.
are all excellent sources of up-to-date profes- Radio transmitting or monitoring devices may
sional information. also be used by terrorists and sophisticated pro-
fessional criminals.
Patrol is never routine; anything is liable to
TECHNIQUES OF PATROL happen at any time. Therefore, there are two
major principles of patrol that guide the effec-
As stated earlier, patrol is defined as the act tive patrol officer. The first principle of patrol
of moving about an area to provide protection is that it should always be done in a random
and conduct observation. In the security world, fashion. Never patrol by driving or walking
the majority of patrol activity is focused on the in the same direction. Alter routes; change the
prevention of criminal behavior. A crime can- pace occasionally; walk or drive for a while and
not occur unless three elements are present: the then stop to look and listen. Sometimes, turn

III. PROTECTION OFFICER FUNCTIONS

 TECHNIQUES OF PATROL 125
around and backtrack your route. If someone is Patrol officers must also thoroughly docu-
trying to figure out where the patrol officer will ment their observations. There should be
be at any given time so that they may conduct detailed notes taken on any unusual, suspi-
some illegal act, random patrolling will keep cious, or potential loss-causing situation. Notes
them off guard. must be kept professionally and observations
The second principle of patrol ties in with reported up the chain of command to the appro-
randomness: The frequency of patrol should priate management personnel. Forms designed
be random. Do not go on patrol at the same specifically for each environment should be on
time each time; the officer’s patrol schedule hand. Whether there is a predesigned form or
should always vary. Depending on the vul- not, the important thing is to report all situations
nerability of the facility being protected, the if there is any doubt as to their importance.
officer may want to patrol the area once every Although it is not a patrol technique in the true
few hours, once every 2 hours, once an hour or sense of the word, officer survival is a major con-
more. At the very least, every facility or area sideration when on patrol. One way to survive
should be patrolled when going on duty and patrol is to use “sensible” patrol methods—that
just before going off-duty. Patrol should never is, use all five natural senses—sight, hearing,
be conducted the same way each time by timing smell, touch, and sometimes, although rarely, the
or route; there should be nothing predictable sense of taste on patrol. The two strongest senses
about a patrol officer’s schedule as the officer the officer will use are that of sight and hear-
should not patrol by a set routine or pattern. ing. If riding in a motorized vehicle an officer
With the use of automatic monitoring sys- should keep the windows opened a little, allow-
tems or barcode technology, patrols are docu- ing him or her to detect the sound of breaking
mented. These systems generally require that glass or other noises of suspicious origin. He or
officers patrol in a set sequence within an estab- she should not play a commercial radio loudly if
lished time period. Using a random patrol route the car is equipped with one as it could drown
with a barcode unit is still possible by approach- out noises that require investigation. An open
ing each patrol point from a different direction. window will also allow the officer to use his or
Times may also be varied to some degree. her sense of smell to detect smoke or other odors
Another principle of patrol is communi- that should be investigated.
cation. Patrol officers should always keep the Often a person is known to have a “sixth
command post, supervisor, backup officer, or sense.” This means that they seem to know
central alarm station advised of where they are when something “just isn’t right,” or they get
and what the situation is. They must follow the a “feeling” about a person or a situation. This
following proper radio procedures: sense is called intuition. It develops from expe-
rience, and it permits a person to sense what
1. Listening before speaking into the radio is abnormal or unusual. While an officer can-
2. Depressing the microphone a split second not testify in court that he or she performed a
before and after speaking to ensure that all certain duty by using his or her “sixth sense,”
syllables are transmitted it can be very accurate in determining when
3. Speaking clearly and a little more slowly something needs further investigation. While
than normal into the microphone it can be used as a guide to determine which
4. Not broadcasting when not necessary action or actions are appropriate, it should
5. Avoiding the use of profanity, horseplay, or never be used as the sole determining factor.
confidential information on the radio Another means of patrol survival is the use
6. Scanners abound—especially with reporters. of the mental “what if?” game. This game (also

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126 10. PATROL PRINCIPLES

known as creative daydreaming or mental flashlight. If there is a glare from lights, use it
rehearsal) is played as an officer patrols his or to your advantage if necessary! Use flashlights
her area by thinking of any possible incident, judiciously; don’t have them turned on more
remote as it might be, that could occur at any than necessary (although for walking safety
place or time. For instance, the officer could they should be used if other light sources are
think of what to do if someone came running not available). “See others before they see you.”
out of an office or building that is supposed to
be closed and locked, just as he or she gets there.
The officer could think about what actions to
take if he or she heard a loud explosion, or gun-
FACTORS THAT INFLUENCE
shots in the area. What would an officer do if he
PATROL EFFECTIVENESS
or she smelled smoke in the area or saw a fire in
As patrol is an expensive loss control tech-
progress? What would an officer do if he or she
nique, it only makes sense to have the officer
saw a chemical leak in progress? The list goes
detect the greatest number of loss-causing situ-
on and on. Doing this might uncover a potential
ations as possible. The WAECUP theory of loss
loss event that has occurred or is occurring. It
control is applicable here.
will also keep an officer up-to-date on company
rules, regulations, policies, and procedures. Waste—Patrol officers check scraps being
It is a form of self-training, as the officer can thrown away, look for lights, heat, and water
determine his or her own needs for improve- turned on needlessly.
ment and take the appropriate steps to correct Accident—Officers look for spills and other
any deficiencies in his or her professional life. slippery walking conditions. Always observe
Finally, it makes response to the event more effi- all around patrol points for fire hazards,
cient, should it occur. It may save the life of an materials stacked too high, and so on. “Look
officer or the life of another. up, down, and all around.”
Light and noise discipline should be prac- Error—Patrol officers should be thoroughly
ticed when on patrol. This means that patrolling briefed prior to their shift as to what
officers should avoid making any more noise activities are occurring in their patrol
than is necessary. They should keep the radio environment. They should check and
turned down somewhat, keep keys and equip- double-check schedules of building openings
ment from jangling, and so on. They should and shipments of personnel arrivals.
be able to “hear others before they hear you.” In many cases, the security department
Note that radio net discipline is also important; functions as “the grease in the machine,”
overuse of the radio ties up the net and depletes making things run smoothly between
the battery. Extended conversations should be different departments. In most organizations,
carried out by landline methods, such as tele- security makes sure that things don’t “fall
phones. Note, too, that backup means of com- through the cracks.” Patrol officers can play
munication should always be considered when a key role in alleviating problems caused by
on patrol or fixed post duty. Always have a con- simple human error.
tingency plan if the primary means of commu- Crime—Become familiar with criminal
nication doesn’t work. behaviors in the local area. Also, keep up-to-
Similarly, light discipline should be prac- date on criminal trends within the industry.
ticed. This means avoid being silhouetted. Speaking with local police and reading
Never sit with lights behind you or stay in a car industry-specific management literature are
with the dome light on. Use a clipboard light or good ways to maintain one’s professional

III. PROTECTION OFFICER FUNCTIONS

 FIXED POSTS 127
education. Also, patrol in a random manner things such as burglary tool marks or the
and develop professional relationships with smell of marijuana more quickly than an
people in the patrol area so that you are inexperienced officer.
approachable. If people observe something ● Variety of activities: Officers do many
that doesn’t quite seem right, and they various things, many of which don’t even
are comfortable talking with a security appear to be connected, and things can
officer about it, they will. This can uncover happen very quickly. Other employment,
numerous potential crimes. such as an extra job, can influence an officer’s
work performance (see fatigue above).
● Failing senses: Age or illness affects an
UNETHICAL/UNPROFESSIONAL officer’s senses; the older or sicker he or she
PRACTICES becomes, the less quickly the body is able to
respond to stimuli. Obviously, keeping in good
Patrol officers should be wary of fraternizing
health aids the officer in being more discerning
with employees (“Familiarity breeds contempt”).
on patrol. It also makes for better interactions
They should also be on guard for possible indi-
with others; something that is critical to the
cations of collusion between employees, employ-
success—and job survival—of the officer.
ees who constantly work when no one else is
around, gambling between employees, racist There are also external factors that can affect
graffiti in bathrooms and elevators, employees the ability to perform the patrol function effec-
conducting competing businesses while using tively, including the following.
company resources, and so on. ● Environmental conditions: These can be
Since observation and perception are key
weather, highway traffic conditions or
effective patrol techniques, the officer should
lighting (day patrol vs. night patrol, interior
be aware of certain internal factors that can
patrol and exterior patrol).
influence his or her ability to perform on patrol ● Distance: Things that are closer to us are
effectively. While the officer may not be able
easier to perceive, and things more distant
to control all of these factors, the very realiza-
are harder to identify clearly.
tion that they exist can help the officer be more ● Time: The more intense a person’s
effective. Internal factors include:
involvement in an activity, the faster time
● Fatigue: Feeling tired or worn out can affect seems to go. Also, security officers may
the way an officer perceives things (with the work shift hours and often an officer needs
use of all five senses). to adjust his or her “internal clock” both at
● Boredom: The more often a task is work and at home.
performed, the more it becomes routine and ● Duration of the Input: The longer a
boring. Boredom leads to stress; stress leads stimulus is received, the more accurate the
to hasty, improper decisions being made. interpretation will be.
This can be a deadly distraction if not kept
under control.
● Personal problems: Preoccupation with FIXED POSTS
personal problems distracts from keeping
one’s mind on the job and should not be While not patrols in the strict sense of the
brought to work with the officer. word, fixed posts manned by security person-
● Known facts: Officers with security or law nel are a part of almost every facility. In some
enforcement experience will recognize cases, these are in designated structures like

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128 10. PATROL PRINCIPLES

those manufactured by commercial suppliers. 7. In high-threat situations such as strikes,

In others, they may consist of manning a desk civil disturbances, or crowds that could
in the lobby during evening hours. Many situa- trample an officer, a route of retreat should
tions support the use of temporarily fixed posts always be open to the officer manning
such as at public events, at traffic control points the post. There may also be justification
during rush hour, or during heightened periods for concealing the post or building cover
of security, such as strikes. into it. Whatever the situation, safety of the
Regardless of the employment, fixed posts officer must be of paramount importance.
represent a substantial amount of man-hours 8. Comfort—reasonable comfort—should
and cost. Fixed post duties should be performed always be afforded to officers on post.
in a professional manner, bearing in mind the Care should be taken to ensure that
following: guard booths are not so hot as to induce
sleepiness.
1. The mission or objective of the post must 9. Fixed posts should be visible from other
be clearly understood. The reason for the posts, patrolling officers (on foot or in a
existence of the post should be specified in vehicle), or CCTV. This helps to ensure the
written post orders. These orders should be safety of officers, and provides overlapping
readily available to the officer manning the visual coverage of the area being secured.
post. 10. Officers should not leave the post until
2. Duties as mandated by the post orders properly relieved. This is of critical
should be read and understood. A importance in high-security installations
supervisor or auditor who inspects the post or where a contract firm is billing a client
should be favorably impressed with how for a fixed post officer. Officers should stay
well the officer knows his or her duties. in the immediate vicinity of the post. They
3. Post orders should be kept neat, orderly, should check out the area near the post for
and secure. Persons without a “need to unusual or unacceptable conditions, prior
know” should not be told what the orders of to assuming it.
the post are.
4. Light discipline—avoidance of being
silhouetted should be maintained just as on CONCLUSION
patrol. “See others before they see you.”
5. All equipment, especially communications The need for security is not a modern
equipment, should be checked when first requirement. The caveman was initially con-
manning the post. Simple tests of detection cerned only for his personal well-being, and
equipment (X-ray, metal detectors, explosive then he became responsible for his immediate
detectors, and so on) should be conducted as family’s safety and security. Eventually, fami-
early in the shift as is practical. Manuals for use lies became clans or tribes which evolved into
of the equipment should be readily available. communities. Security became a social respon-
Officers must be accountable for the presence sibility. Within this responsibility, the patrol
and condition of all equipment on post. function with designated people to conduct
6. Officers being relieved on post should the patrols dates to early Egypt. Despite politi-
brief their relief officer. Large, complex cal, legal, and other changes, the patrol function
operations may have a predesigned form for has remained the primary means of providing
this, or a simple list of things to advise might security services to communities, regardless of
be compiled by the officer being relieved. whether they are public or private entities.

III. PROTECTION OFFICER FUNCTIONS

 SECURITY QUIZ 129
Protective services in America are based on Performance Dimensions Publishing provides patrol books,
English precedents. While there have been tre- videos, and equipment (800-877-7453), Powers Lake, WI
53159-0502.
mendous changes in technology, society, work,
political scenes, economies, and the work forces
themselves, the purpose of patrol today remains S E CURI TY QU I Z
as it has always been: the protection of prop- 1. Uniformed and paid police did not come
erty and lives, the prevention and detection of around until which of the following:
crime, and the performance of other services. a. The early 1900s just before World War I
Today’s security officer has many more duties b. The 1830s when Philadelphia started
and responsibilities than his predecessors. He paying police
or she must be technically competent in patrol c. The late 1700s about the start of the
techniques; the laws, rules, and regulations per- Revolutionary War
taining to security; and numerous other areas of d. 725 A.D.
responsibility, such as firefighting and medical 2. The patrol function is the least important but
emergencies. Embracing the WAECUP theory necessary part of the loss control approach.
and putting it into practice will go a long way a. True
toward making patrols more cost-effective and b. False
professional. 3. Based on organizational needs, there are
Proper training and preparation for patrol, many major purposes of patrol. Which of the
professional work habits, and attentive patrol- following is not one of those purposes:
ling techniques will enhance the patrol officer’s a. To detect unauthorized activity
skill and abilities. What was once considered a b. To prevent unauthorized activity
punishment for minor criminal offenses, or a c. To perform an activity that creates the
job with little or no responsibility for the “down appearance of authority
and out,” is rapidly becoming a profession. d. To provide emergency response in a timely
In conclusion, professional patrol performance fashion
may be considered using the following acronym: 4. There are basically two types of patron.
P Preparation Which of the following are those two types?
A Alertness a. Mobile and foot patrol
T Thoroughness b. CCTV Surveillance and foot patrol
R Reports c. Canine patrol and checking ID’s at the
O Observations main entrance
L Language (communication) d. None of the above
5. Preparation for a patrol tour of duty requires
more than just putting on the uniform and
References going to work. It also requires mental and
Butterworth-Heinemann, an imprint of Elsevier Science, psychological preparation.
has books on physical security, alarms, report writing, a. True
and security in schools, hotels, colleges, office buildings, b. False
and retail stores. http://stbooks.elsevier.com/security 6. If the officer is working the overnight shift,
(800-545-2522).
2200 to 0600, it is advisable to do which of the
Cole, G. F. (1995). The American system of criminal justice (7th
ed.). Belmont, CA: Wadsworth. following:
Professional Training Resources has books and videos on a. Stop ingesting alcohol-laced adult
patrol and a multitude of other security topics (800-998- beverages two hours before the shift
9400), P.O. Box 439, Shaftsbury, VT 05262.

III. PROTECTION OFFICER FUNCTIONS

130 10. PATROL PRINCIPLES

b. Sleep at least 10 hours before the shift to c. Failing to provide less-than-lethal

assure alertness all through the night weapons to each officer
c. Ingest at least four cups of coffee to keep d. Equipping the patrol vehicle with wrong
awake all night colored flashing lights
d. Visit the work site during the day for 9. Which of the following is a principle of
facility orientation patrol that every patrol person should
7. There are numerous techniques that help an follow:
officer to detect unusual situations. Which of a. A patrol should always be done in a
the following is one of those techniques: random fashion
a. Get acquainted with the people on your b. The time the patrol officer leaves on
shift and where they should be and what patrol each time should be random
they do c. Keep in communications with either
b. Get to know maintenance personnel and internal or external backup support when
how they can help you needed
c. Visit the central alarm station and become d. All the above
familiar with the CCTV system and what 10. There are many internal factors that can
the area of coverage is influence a patrol officer’s performance in a
d. All the above negative way. Which of the following is not
8. One area of preparation often overlooked by one of those internal factors:
many security departments is: a. Fatigue
a. Failing to provide continuing training and b. Preoccupation with personal problems
education c. Environmental conditions
b. Failing to perform driver license checks on d. Boredom
each patrol officer

III. PROTECTION OFFICER FUNCTIONS

 C H A P T E R

11
Traffic Control
Arthur A. Holm

important sign in use today. These three func-

CHAPTER OBJECTIVES tions of a STOP sign are taken for granted:
● Provide an overview of the importance of 1. Regulates traffic flow.
traffic control 2. Clarifies the question of right-of-way at
● Explore the elements of successful traffic intersections.
control 3. Reduces motor vehicle accidents at
● Describe basic traffic control hand signals intersections.
● List five general rules for traffic direction Generally speaking, there are two main types
of automatic traffic signals:
1. Traffic lights of three colors, sometimes with
an arrow for easy turning.
An officer directing traffic at a busy site pro- 2. Visual and audio warning signals commonly
vides the most frequent contact between citi- seen at railway crossings.
zens and security personnel. The importance
of bearing, appearance, and attitude cannot be Automatic traffic signals normally provide
overemphasized. Likewise, the skillful handling adequate intersectional control. However, there
of what citizens recognize to be a difficult and are numerous situations that must be directed
hazardous job can generate and maintain pub- by a “point control” officer, to assure safe and
lic respect. efficient vehicular and pedestrian movements.
Construction sites, accidents, rush hour peri-
ods, special events, or any other condition that
SIGNS AND AUTOMATIC SIGNALS causes congestion of traffic must receive imme-
diate attention.
If you hold a driver’s license, then you Traffic duty consists of directing and supervis-
can assume knowledge of most traffic signs. ing traffic at gates and intersections and patrol-
The STOP sign is without a doubt the most ling parking areas. These duties are performed

131
132 11. TRAFFIC CONTROL

in order to keep traffic moving with a minimum must therefore assume a military bearing, with
of delay and maximum of safety. weight evenly distributed on both feet.
Since traffic control duty may require an offi- When not engaged in signaling motorists,
cer to remain at his post for hours in all kinds he/she must stand in the “at ease” position,
of weather, protective clothing must be readily facing traffic, and with hands at his/her sides.
available. Proper protection against the elements When directing traffic, shoulders must be in
is an important factor in maintaining efficient line with the flow of traffic and attention must
traffic control. It has been observed that a wet or be directed to the vehicular movement.
cold officer presents a hazard to himself as well
as to motorists.
Proper clothing should also include high- HAND SIGNALS
visibility material to increase the safety value
during nighttime assignments, whether the Prompt compliance to hand signals is depen-
intersection is well lit or not. dent on the officer’s ability to use uniform,
clearly defined, and understandable gestures.
Intersectional control does not call for compli-
ROADWAY POSITIONS cated choreography or wild arm movements.
Improper hand signals, although highly
The position selected to direct traffic entertaining to bystanders, cause confusion,
must be suited to the particular intersection hesitation, and lead to violations and accidents.
and expected traffic patterns. It must com- Unusual movements undermine the purpose of
mand a full view of the intersection and its traffic control and direction.
approaches. In turn, the officer must be com- Stopping traffic: Two clearly defined motions
pletely visible to the motorists and pedestrians. are required to stop traffic. First, select the
In many instances, noncompliance to gestures vehicle to be stopped. Look directly at the
or whistle signals is caused by the inability of driver, and point in his direction with the arm
the motorist to see the officer. Usually, officers fully extended. The position is held until you
assigned to traffic control will select a position are observed by the driver. Then raise your
in the center of the intersection or at one of the hand so that the palm is extended. The position
corners. is held until you are observed by the driver.
Then raise your hand so that the palm is toward
1. The center of the intersection: This position
the driver and the arm is slightly bent at the
affords the greatest visibility, but it is also
elbow.
the most hazardous. This location is usually
Maintain this position until the oncom-
selected when traffic signals are inoperative,
ing traffic has stopped. With the one arm still
traffic is not moving at a high rate of speed,
raised, turn your head and repeat the procedure
and where there is little pedestrian traffic.
with your other hand to stop the traffic moving
2. The corner position: Intersections having
in the other direction. The arms are now low-
heavy pedestrian or vehicular turns can
ered until all traffic has stopped (Figure 11-1).
be controlled by an officer standing a few
Starting traffic: To start vehicular movement
feet off the curb line at one of the corners
on the cross street, pivot a quarter turn to place
providing the greatest personal safety and
your shoulders parallel with the vehicles waiting
better pedestrian control.
to move. When the intersection is cleared, turn
Posture serves to communicate the fact that your head to one side facing the waiting traf-
the officer is in command of the situation. He/she fic. Attract attention by pointing to the lead car.

III. PROTECTION OFFICER FUNCTIONS

 TRAFFIC CONTROL 133

BASIC STANCE STOPPING FIGURE 11-1 Stopping traffic.

1 POINT 3 POINT

DIRECTION OF MOVING TRAFFIC

SHOULDERS PARALLEL TO

2 STOP 4 STOP

WHISTLE ONE LONG BLAST

STARTING THE WHISTLE

1 POINT 3 POINT
The whistle, when properly used, attracts the
attention of motorists and pedestrians and facili-
tates compliance with hand signals. Improperly
used, it becomes a meaningless distraction that
2 START 4 START adds to the confusion.
To be effective, the whistle must be used in
moderation. It then becomes an invaluable aid
to assist in the control of the various road users.
The whistle should be blown loudly and not
TWO SHORT BLASTS tooted lightly. It is a means of communicating
rather than a musical instrument.
FIGURE 11-2 Starting traffic.
One long blast is used to attract the motorist’s
attention to the officer’s hand signals to stop.
Two short blasts with a wave means “start.”
Then, turning the palm inward, bring the hand
Three short blasts are used to give warning of
up and over to the chin, bending the arm at the
unusual or dangerous conditions—turning vehi-
elbow.
cles, improper crossing, and the like. The num-
If the driver’s attention has been properly
ber of warning sounds should be limited as it
obtained, it will only be necessary to make a
is in this area that most improper whistle usage
few motions. After traffic begins to move, the
occurs. Normally, three short blasts will suffice
arm is dropped to the side. The opposing traffic
to warn any motorist or pedestrian.
is then started in the same manner, but with the
other arm.
Slow or timid drivers may be urged to speed TRAFFIC CONTROL
up by increasing the rapidity of the arm move-
ments. However, flailing the air with wild arm With the responsibility of traffic direction,
gestures and shouting at the slow-moving vehi- you will be assigned to safely expedite the flow
cles is unnecessary and only confuses nervous of traffic, with the purpose of preventing con-
drivers and may lead to greater traffic conges- gestion and providing maximum vehicular
tion or accidents (Figure 11-2). movement. The following responsibilities must

III. PROTECTION OFFICER FUNCTIONS

134 11. TRAFFIC CONTROL

be fulfilled in order to properly carry out this LEFT TURN

assignment: 1 POINT 3 POINT

1. Regulate the flow of traffic. Give priority

of movement to the most heavily traveled
areas by allowing longer periods of running
time. Traffic movements must be of equal
2 STOP 4 START
and adequate time if the intersecting streets
carry an equal traffic volume. Long runs are
preferable as they reduce the loss of time
from frequent changes of traffic directions.
2. Control and assist turning vehicles. Supervise
all vehicular turns. If traffic is exceptionally
heavy or a spillback is caused by another FIGURE 11-3 Directing a left turn.
intersection, determine the preference of traffic
direction. If turning vehicles increase the
3. Coordinate the flow of traffic with the
amount of congestion, direct traffic to continue
adjacent intersections. Whenever applicable,
straight ahead during the period of the backup.
allow the movement of traffic at the
Prevent improper turns; right turns from the adjoining intersections to serve as a guide. If
left lane, or a left turn from the right lane, must the vehicular movement is not coordinated,
be prohibited. Not only are they illegal, but they traffic spillbacks may occur by reason of
increase potential congestion and accidents. traffic being stopped at the next intersection.
Traffic backups or accidents may be caused 4. Protect pedestrians. Immediate motorist
by motorists waiting to turn left or cutting in response cannot be assured when traffic
front of oncoming automobiles. Assist vehicles is signaled to stop. Mechanical failure,
wishing to turn left. Direct the waiting motor- inattentiveness, or other reasons may cause
ists to enter the intersection on the left turn failure to obey the signal. Pedestrians can
lane. Allow approaching vehicles that present then be protected only if they are held
an immediate hazard to pass. Stop the other back at the curb until all moving traffic is
oncoming traffic and motion the vehicles turn- completely stopped. Pay particular attention
ing left through the intersection (Figure 11-3). to children, blind or handicapped persons,
Priority of movement is determined by the and the elderly. Escort these people across
amount of traffic flow in each direction. If the the street if necessary.
number of vehicles turning left is greater than 5. Assist people seeking information. Carry
the opposing traffic flow, the turning traffic a street guide or a map of the local area to
is given preference. If the oncoming traffic is assist out-of-towners or local citizens seeking
heavy and there are only a few vehicles wait- directions. If an inquiry can be quickly
ing to turn, these vehicles are held up until a answered, there is no need to leave the
sufficient amount of traffic has been permitted intersection. However, if a detailed explanation
to pass through. The cross traffic is not started is necessary, direct the citizen to the curb where
until the intersection has been cleared. the answer may be given in safety. Don’t leave
In heavily congested situations in which a your post unless traffic conditions permit.
large number of motorists are making right 6. Assisting emergency vehicles. Stop all
turns, hold back pedestrians to give precedence vehicles and pedestrian traffic when an
to the vehicular traffic. emergency vehicle is approaching. Give

III. PROTECTION OFFICER FUNCTIONS

 GENERAL RULES FOR TRAFFIC DIRECTION 135
the driver a “Go” signal indicating the 1. Clothing—You must dress properly
intersection is clear. If the driver of the according to the weather conditions. If you
emergency vehicle signals for a turn, are uncomfortable because you are cold or
acknowledge by motioning in the proper wet, you cannot perform at peak efficiency.
direction, indicating that the way is clear. 2. Reflective body vests and armlets—These
aids help the motorist to see you and help
There is no written, legal authorization that
protect your safety.
allows private citizens (security officers) to
3. Flashlight—Use a flashlight with a red or
direct traffic on public land or thoroughfares.
orange cone on the end of it at night. This
However, should you be requested or ordered
makes you more visible to the motorist and
by a police officer to assist him, you are obli-
also aids in giving directions.
gated to do so. This includes directing traffic if
4. Whistle—The whistle is used to attract
necessary.
the attention of the motorist and is used in
On private property, the safe movement
conjunction with hand signals.
of traffic is the responsibility of the owner or
5. Radio—The radio provides a means of
someone delegated by the owner. In most cases,
communication with your supervisor or
the delegated authority is the security officer.
other security officers.
On construction sites, assistance is required
6. Signs—Stop and Go signs and flags are most
to get traffic in and out of the site quickly and
commonly used on construction sites and
safely. Highway flagmen are required for the
highways.
safety of the workers and for an even flow of
7. Pass or badge—In some situations, you are
traffic around building or repair sites.
required to have a pass or a badge to allow you
to perform your duties at a gate, crosswalk, or
GATE DUTY building or highway construction site.

Directing traffic from or at a gate would

include such duties as checking passes, check- GENERAL RULES FOR TRAFFIC
ing trip tickets, and regulating special types of DIRECTION
traffic flow.
The position you take at a gate is determined 1. Select a position best suited for the
by the design of the gate, traffic characteristics, intersection.
daylight or night conditions, and the degree of 2. Use uniform signals and gestures.
control required. In taking up your position, 3. Keep stragglers alert and rolling in their
keep these factors in mind: proper traffic lanes.
a. Be visible to approaching traffic. 4. If a spill-back begins to form, look
b. Be in a position to see approaching traffic. immediately for the source of the trouble and
c. Do not interfere unnecessarily with the flow take action.
of traffic. 5. Be cheerful, but firm. Do not shout or argue
with motorists or pedestrians.
As a general rule, protection officers are
EQUIPMENT assigned to control private parking and traffic
scenes. Examples are shopping centers, parking
It is essential that you have the proper equip- lots, sporting events, construction sites, resort
ment when on traffic control. areas, and so on. Each area is different and the

III. PROTECTION OFFICER FUNCTIONS

136 11. TRAFFIC CONTROL

protection officer must exhibit sound judgment Vehicles should be allotted space by ensur-
in selecting his position. For example, when ing one section is filled in an orderly fashion
an extremely heavy flow of traffic is expected before rotating to another section. The signals
at a football game, a pregame plan should be to start and stop traffic are extremely important.
formulated. Practice them.

S E C URI T Y QU IZ 6. Directing traffic from the corner position

is safer than a center-of-the-intersection
1. The following sign is without doubt the most
position.
important sign in use today.
a. True
a. Yield
b. False
b. No U Turns
7. Proper protection against the elements is
c. Stop an important factor in maintaining efficient
d. None of the above traffic control.
2. Directing traffic from or at a gate would a. True
include such duties as checking b. False
a. Traffic flow 8. The primary use of the traffic whistle is to
b. Entry pass attract the police.
c. Travel tickets a. True
d. All of the above b. False
3. On private property, the safe movement of 9. General rules for traffic direction are:
traffic is the responsibility of the security a. Select a position best suited for the
officer. intersection
a. True b. Use uniform signals and gestures
b. False c. Be cheerful, but firm
4. When signaling a driver to stop, your hand d. All of the above
should be: 10. When on traffic control, proper equipment
a. Closed includes:
b. Palm open a. Proper clothing
c. Finger pointed b. Flashlight
d. Fist clenched c. Radio
5. Slow or timid drivers should not be urged d. All of the above
forward with increased rapidity of arm
motion because they may over-react and
cause an accident.
a. True
b. False

III. PROTECTION OFFICER FUNCTIONS

 C H A P T E R

12
Crowd Management and Special
Event Planning
Patrick C. Bishop,
Terence M. Gibbs, and
Jennifer Lantz

When disturbances do occur, it becomes the

CHAPTER OBJECTIVES responsibility of the police, and in some instances,
● Define basic terms the responsibility of security forces, to restore
● Explain causes of crowd formation order. Once a crowd has been allowed to get out
of hand, through inadequate supervision or in
● Identify different types of crowds spite of the best efforts by security personnel to
● List steps to take when controlling a crowd prevent a disturbance, the task of restoring any
● Planning strategies, personal behaviors, semblance of order, protecting life and property,
and responsibilities of crowd control and the eventual dispersement of the crowd or
● Explore riot control formations mob is a tremendous one.
It is important, therefore, that police and
● Crowd management assessment security forces be able to quickly determine if a
● Alcohol serving considerations gathering will become uncontrollable and take
immediate steps to prevent disorder. The only
way this will be successfully accomplished is
INTRODUCTION for the personnel of all crowd control groups
to have a good understanding of the types of
Whenever people gather together in large num- crowd formations that are likely to be encoun-
bers, such as at athletic events, parades, strikes, tered. Also, these personnel should note the dif-
peaceful demonstrations, protest rallies, and so ferent responsibilities of security officers, police,
on, there exists a potential threat for mass discord. and riot control forces.

137
138 12. CROWD MANAGEMENT AND SPECIAL EVENT PLANNING

DEFINITIONS a soapbox orator. Such a crowd has a common

interest for only a short time. It has no organiza-
1. Crowd—A concentration of people whose tion, no unity of purpose beyond mere curiosity,
present or anticipated behavior is such that it and its members come and go. Such a group will
requires police action for the maintenance of normally respond without resentment to the urg-
order. ings of a police officer to “stand back,” “move on,”
2. Demonstration—A crowd that is exhibiting or “keep moving.” There is no emotional unity
sympathy for or against authority, or some and they offer little concern.
political, economical, or social condition. However, even in this most ordinary and
3. Disaster—Any extreme or catastrophic routine situation, the person in authority who
condition that imperils or results in loss of is lacking in good judgment and discretion
life and/or property. may meet with resistance. Derogatory remarks,
4. Picket line—A demonstration in which unnecessary shoving and the like cause imme-
several people walk about in a public space, diate resentment in people and become self-
carrying signs that show their displeasure defeating. Impartiality, courtesy, and fair play
with a business or government policy. Often hold the key to any situation involving people.
associated with strikes, picket lines are When you instruct a crowd to “move on,” it
usually legal in the United States, as long as must mean everyone. If you make exceptions
the picketers keep moving and do not attempt and allow some people to remain, strong objec-
to harass or interfere with others in any way. tions may be raised. This glaring partiality may
5. Rally—A gathering of people to show cause some people to defy you. Incidents such
support for a common cause. as these can rapidly change crowd attitudes
6. Riot—A breach of the peace committed and, if nothing else, impart a very poor impres-
to violence by three or more persons, in sion of the security officer.
furtherance of a common cause to protest A crowd may also assemble for a deliber-
or disrupt some enterprise, venging action ate purpose—spectators at a football game or
against anyone who may oppose them. a rally of some sort, or it may be a disgruntled
7. Sit-down strike—A form of a strike in citizen, or group of citizens, willing to be led
which the workers refuse both to work into lawlessness if their demands are not met.
or leave the workplace. This makes it Members of these crowds have little depen-
impossible for the employer to bring in dence on each other, but they do have a unity of
others to do the strikers’ jobs. Sit-down purpose; they are drawn together to share a com-
strikes are illegal in the United States. mon experience. If outside influences interfere
8. Strike—A work action in which employees with their purpose or enjoyment, it is possible for
withhold their labor in order to put pressure some individuals in the group to become unruly
on their employer. and aggressive. There are numerous instances of
riots occurring during, or immediately following, a
sporting event or rally in which emotions run high.
FORMATION OF CROWDS

A crowd may exist as a casual or temporary CAUSES OF CROWD FORMATIONS

assembly having no cohesive group behavior. It
may consist of curious onlookers at a construc- 1. Basic cause—The basic reason for the
tion site, spectators at the scene of a fatal acci- formation of any crowd is the occurrence of
dent, or curious citizens who are attracted to an event that is of common interest to each

III. PROTECTION OFFICER FUNCTIONS

 PSYCHOLOGICAL FACTORS 139
individual. The nature of the crowd is largely PSYCHOLOGICAL FACTORS
governed by the nature of the event.
2. Casual causes—A large and comparatively In addition to the factors that cause crowds to
orderly “casual crowd” may gather in a form and turn peaceful groups into disorderly
shopping area or at a sporting event. mobs, it is important that people dealing with
This casually formed crowd is characterized crowds understand that a small crowd often
by the fact that its members think and act as attracts a great many initially disinterested peo-
individuals. There is an absence of cohesion ple, thereby rapidly increasing its size; this snow-
or organization. This type of crowd is balling effect is caused by certain psychological
easily controlled in its formative stages, factors:
but it may develop otherwise if the event
becomes alarming, or if something occurs 1. Security—Certain individuals may be
which causes severe emotional upset to its attracted to a crowd due to the feeling
members. of security and safety it provides while
3. Emotional causes—Crowds that are formed associating with large numbers. This
due to events that incite the emotions of situation is most likely to arise during
the members are almost invariably unruly periods of civil unrest where large gangs are
and troublesome simply because emotion roaming the streets, looting and threatening
makes them blind to reason. These are the the safety and peaceful existence of the
most frequently encountered emotional citizens who become fearful for their well-
causes: being and join with the gang for the security
a) Social—Crowd disturbances resulting it may afford them.
from racial or religious differences, or 2. Suggestion—Persons joining a crowd tend
excitement stemming from a celebration, to accept the ideas of a dominant member
sports, or other similar event. without realization or conscious objection.
b) Political—A common political cause may If the dominant member is sufficiently
result in attempts by large groups to gain forceful with their words and ideas, they
political power or settle political disputes may be able to sway the good judgment
by other than lawful means. and commonsense reasoning of those about
c) Economic—Economic causes of them. There is a tendency to accept even
disturbances arise from conditions such the wildest of ideas; thus they transform the
as disagreements between labor and susceptible into unthinking followers.
management, or from such extreme 3. Novelty—An individual may join a crowd
conditions of poverty that people resort to as a welcome break in one’s normal routine
violence to obtain the necessities of life. and through persuasion and suggestion react
d) Absence of authority—The absence of enthusiastically to what they consider proper
authority, or the failure of authorities to form under these new circumstances.
carry out their responsibilities, may cause 4. Loss of identity—Similar to that of the
people to believe they can violate the law “security” factor. The individual tends to
without fear of reprisal or hindrance. lose self-consciousness and identity in a
e) Disaster—Disaster conditions may result crowd. Consequently, one may feel safe to
in violent emotional disturbances among be neither detected nor punished for any
people in the area due to fear, hunger, loss participation in wrongdoing.
of shelter, or injury and death of loved 5. Release of emotions—The prejudices and
ones. unsatisfied desires of the individual that are

III. PROTECTION OFFICER FUNCTIONS

140 12. CROWD MANAGEMENT AND SPECIAL EVENT PLANNING

normally held in restraint may be released crowd can quickly become unruly and very
in an emotional crowd. This temporary violent.
release of emotions is a strong incentive to an 4. Hostile—Crowds of this nature are generally
individual to participate in the activities of motivated by feelings of hate and fear to the
the crowd. It provides the opportunity to do extent they are prepared to fight for what they
things he or she has been inwardly desirous want. The most prominent types are strikes,
of doing but hitherto has not dared. political demonstrations, and hoodlums or
rival mobs. Hostile crowds may have leaders
who direct and maintain a high degree of
hostility in their followers, but not always.
TYPES OF CROWDS 5. Escape—An escape crowd is one that is
attempting to flee from something it fears. It
The behavior of crowds varies widely depend-
is leaderless and completely disorganized,
ing on its motivational interest. Crowds are clas-
but it is homogeneous in that each person
sified in accordance with their behavior patterns
is motivated by the same desire, which is to
and it is essential that any security measures
escape. Once an escape crowd reaches safety,
are based on recognition and understanding of
it will lose its homogeneity and its members
the type of crowd they must deal with. The fol-
must then be handled as refugees.
lowing outline is representative of most of the
crowd types that might be encountered in this
country.
CROWD ACTIONS AND
1. Acquisitive—The members of an acquisitive SUGGESTED COUNTERMEASURES
crowd are motivated by the desire to get
something. They are best illustrated by a The majority of crowds do not, as a rule,
crowd of shoppers seeking items in short resort to violence; however, any crowd is poten-
supply or at an auction sale. They have no tially dangerous or at the least, aggressive. The
leaders, little in common, and each member mood of a peaceful crowd—that is, acquisitive,
is concerned with his or her own interest. spectator, or expressive—may change quickly to
2. Expressive—In this type of crowd, the that of a hostile or “escape” crowd. Since most
members gather to express their feelings concern is caused by a hostile crowd, as opposed
such as at a convention or political rally. to the other types mentioned, a more thorough
The expressive crowd is usually well study should be made of it.
behaved; however, some persons in it may A hostile crowd is usually noisy and threat-
feel that slight disorders and unscheduled ening, and its individual members may harass
demonstrations should be condoned by security personnel. This kind of crowd will
the officials. When they are thwarted or hesitate to participate in planned lawlessness
restrained, resentment occurs and their because it generally lacks organization and
otherwise cheerful enthusiasm may be leadership in its early stages. However, it may
replaced by hostility. provide the seedbed for “mob” action when it
3. Spectator—This crowd gathers to watch is aroused by the more forceful persons who
out of interest, curiosity, instruction, or assume leadership. It may also be triggered into
entertainment. It is invariably well behaved violence by the undesirable actions of individ-
and good humored initially, but since ual protective personnel.
spectator sporting events, parades, and so on Aroused crowds will often vent their resent-
tend to stir the emotions rapidly, this kind of ment and hostility on those assigned to maintain

III. PROTECTION OFFICER FUNCTIONS

 CROWD ACTIONS AND SUGGESTED COUNTERMEASURES 141
order. Some individuals may try to bait security the mood and feelings of the crowd. This
officers into committing errors of judgment, or collective excitement is communicated to
displays of unnecessary force in order to discredit each member of the group in what is known
authorities, or to further incite crowd members to as the “milling process.”
commit acts of lawlessness, or to oppose efforts in
The presence of an adequate force of men to
regaining control. Such crowd actions are usually
disperse the crowd and break it into small iso-
directed toward one or two individual officers
lated groups before it becomes hysterical and
in the nature of taunts, curses and other minor
aggressive is an effective method of coping with
annoyances. Verbal abuses must be ignored, no
the milling process. It is necessary for security
matter how aggressive they may become. By
to make a show of force, which does not neces-
contrast, immediate action must be taken to those
sarily mean the use of force. The mere presence
who assault, throw rocks, or attempt in any way
of an adequate number of well-disciplined and
to interfere with protective units.
well-trained control forces often suffices.
In controlling a hostile crowd, sufficient man-
power is basic to your success. If it appears that 3. Removing the crowd leaders. The most
a peaceful demonstration or other large crowd excited and vocal members of a crowd
gathering is showing hostile tendencies, do not establish themselves as the informal
hesitate to report and call for immediate assis- leaders. Removing or isolating the agitators
tance. This does not, however, mean you may contributes greatly to eventual crowd
or should resort to the use of unnecessary force. dispersal. Isolating the more boisterous
Such action is never justified. Potentially dan- individuals should only be attempted if
gerous crowds can usually be controlled by the sufficient manpower is available. A crowd is
following methods: not impressed with inadequate manpower
and violence may result. Individual heroics
1. Removing or isolating individuals involved are not only foolhardy but dangerous, as well.
in precipitating an incident before the 4. Diverting the attention of the crowd. The
crowd can achieve unity of purpose. This use of a public address system on the fringe
may cause temporary resentment in a very of a crowd, urging the people to “break
small portion of the crowd members. It is up and go home,” is a successful crowd
important, therefore, to immediately remove dispersal tactic. Amplifying the authoritative
the subject from the area. Elimination of tone of the command attracts the attention of
the cause of irritation will prevent an ugly individuals in the crowd and breaks the spell
incident. Remember that the injudicious use cast by the more excited crowd members.
of force can well defeat your purpose and 5. A crowd that grows in hostility and defies
turn the entire crowd against you. orders to disperse can also be controlled by
2. Fragmentizing the crowd into small forcing the individuals to focus attention on
isolated groups. The police often arrive at themselves rather than the objectives of the
the scene of an incident or hastily conceived group. Instead of making a direct assault on
demonstration after a crowd has assembled the crowd, a series of random arrests is made
and achieved a degree of unity. The close of individuals situated on the edge of a crowd.
contact of the crowd members and the The crowd will soon recognize that a greater
emotionalism of the situation cause the number of persons are being arrested. But the
individuals in the crowd to become group- fact that arrest is threatened through haphazard
influenced and directed. Individual controls selection causes them to fear for their liberty
disappear and each person is swayed by and a spontaneous dispersal results.

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142 12. CROWD MANAGEMENT AND SPECIAL EVENT PLANNING

6. Using a recognized leader. An effective them pass through the ranks and then close
method of counteracting the developing rapidly behind them.
leadership in a crowd is by using someone
having greater appeal to the crowd. A
trusted labor leader, a member of the clergy, WHEN VERBALIZATION
a well-known sports figure, or a well-known DOESN’T WORK
civil rights leader can often successfully
plead for order and reason. Depending on When verbalization is not effective, there may
the origin and cause of the crowd formation, be a need to physically move crowd members.
an appropriate public figure or official may This should be done only as a last resort, and
greatly assist in calming the excitement and should include verbalization. It should be a
emotions of the crowd. planned action, only be done after professional
7. Preventing panic from developing in a instruction has been received on the proper
crowd. Panic is caused by fear and is most procedures. The following are some physical
often found in the “escape” crowd fleeing control techniques that are appropriate for the
from disaster or the threat of disaster or movement of people in crowds:
violence. The primary cause of panic is 1. “Heavy hands”—Assert your presence with
blockage of the escape route. Security actions your hands in front of you.
should aim at providing an escape route, 2. Be assertive! Do not take a backward step
directing and controlling the progress of when moving the crowd.
the crowd along the route, and at the same 3. Destabilize resistant persons by one or more
time dividing the crowd into small groups, of the following techniques:
if possible. The following control techniques a) Upper torso restraint.
might be implemented: b) Arm around waist with an escort hold.
a) Display a helpful, calm and confident c) Belt lift with an escort hold.
attitude. Loudspeakers should be used to d) Bracketing with an escort hold.
give directions and helpful information. e) Pressure point control as appropriate.
b) Use rational members of the crowd to f) Wristlocks, team control position, arm
assist in calming or isolating hysterical bars, etc. as appropriate.
persons.
c) Provide first aid and medical attention to
the injured and weak, particularly women SECURITY AND
and children. DEMONSTRATIONS
d) Use security to block off routes so as
to channel movement in the desired Security organizations assigned to supervise
direction. Care must be taken to ensure demonstrations have a twofold responsibility.
that the security forces do not panic a Regardless of individual convictions, they must
crowd by hasty action, arrogance, or first protect the peaceful demonstrators who are
thoughtlessness. exercising their right to protest.
8. Directing women and children. Crowds Spectators not in sympathy with the demon-
and demonstrators may resort to having stration constitute a potential threat of violence.
women or children wheeling baby carriages This is often aggravated by counterdemonstra-
at the head of their advance. If the marchers tion whether it is organized or spontaneous.
must be stopped, an attempt should be made Crowd control forces must also protect the
to divert the women and children or let general public from demonstrators who infringe

III. PROTECTION OFFICER FUNCTIONS

 PLANNING CONSIDERATIONS 143
upon the rights of others. The more common life and property of citizens to assure the basic
problems occur when demonstrators engage rights of all people.
in “sit-ins” and so on, and violate the property If you observe a hostile crowd gathering,
rights of others. Fanatical members may even lie never hesitate to request assistance. In these
down in the path of vehicles and refuse to move. instances, it is definitely safer to overstate the
They must be picked up and carried away at number of personnel needed to restore order,
once. Use of tear gas in this situation is not gener- than to attempt to act alone or underestimate
ally recommended in view of the passive nature your requirements. A show of force not only
of the gathering and their relatively few numbers. has a restraining effect on the crowd, but also
Such groups may attempt to discredit secu- provides the necessary manpower.
rity with harassment during removal, by resort- Order must be established. Approaching the
ing to shouts of “brutality,” raising their hands more vocal individuals in a crowd is an effec-
as if to ward off blows, and emitting cries of tive method of dealing with a group. When
pain when they are aware of the presence addressing these persons, be firm and care-
of news media. Such encounters will tax the fully phrase your commands. Do not become
patience and control of individual security offi- involved in an argument. Use simple language
cers, who must ignore all such verbal attacks. and inform the people of the violations they are
or may be committing. Request that the viola-
tions stop and that the groups disperse. Allow
FORMATION OF A MOB the crowd the opportunity to withdraw peace-
fully without interference. If the throng defies
The crowd or demonstration will deteriorate authority and the apparent leaders make no
into a mob if it has been preconditioned by irri- efforts to disperse the crowd, arrests should be
tating events, aroused by rumors, and inflamed made and police assistance obtained.
by professional agitators who appeal to emo- Whenever you are dealing with an excited
tion rather than to reason. Hostility prevails and or hostile crowd, remember that it is poten-
unity replaces confusion and disorganization. tially dangerous and may require only a slight
The early frustrations engendered by agitation incident to turn it into a mob—your example
and rumor require a climactic incident to unleash and your ability to maintain order are the best
the mob and may come about for any number of deterrents to mob action.
reasons. It may often be influenced by the appar-
ent weakening of the strength and attitude of
security groups assigned to preserve the peace.
PLANNING CONSIDERATIONS

From time to time, security personnel have

the opportunity to plan for large crowd control
RESPONSIBILITY AND BEHAVIOR events. An example of this may be political
OF PROTECTIVE GROUPS rallies, sporting events, parades, or shopping
mall events. As there is always some form of
Protection must extend to all people. This
advance notice for these expected large crowd
means fair and equal treatment of all. Observe a
events, the following considerations should
position of neutrality—act with firmness—this
form part of the contingency procedure:
is not belligerence or unreasonable force. After
an order is given, it must be enforced for the 1. Is police involvement required?
preservation of the public peace and the carry- 2. Barriers (this includes metal fencing, ropes
ing out of the traditional mission of protecting and stanchions, people)

III. PROTECTION OFFICER FUNCTIONS

144 12. CROWD MANAGEMENT AND SPECIAL EVENT PLANNING

3. Communications (radio and telephone, PA 2. Take lawbreakers into custody and turn over
system) to the police for arrest.
4. First aid staff 3. Use reasonable force to enforce the law.
5. Ambulance or first aid rooms a) Do not overlook violations or defiance of
6. Doctors lawful orders.
7. Location of event b) The use of unreasonable force often incites
8. Fire procedures, equipment, personnel a crowd which normally would be passive
9. Communications center or curious.
10. Media observation area c) Charges of brutality are often made in
11. Entry and exit location for VIPs an attempt to discredit the security force;
12. Parking they will have no basis in fact if brutality
13. Lavatories is not used.
14. Food concessions 4. Remain on the fringe of the crowd. Do not
15. Disabled persons areas (wheelchairs) get too close or mix with a hostile crowd.
16. Entertainment before or after event Remain out of reach and observant of crowd
17. Signs and individual activities, pending the arrival
18. Timing schedule of reinforcements.
19. Number of security personnel and degree 5. Assist fellow officers who may be in
of expertise required trouble. If one of your associates situated
20. News releases and media precoverage near you is physically attacked, go to his
21. Time of year and type of environment or her immediate assistance. Arrest the
22. Alternate power sources assailant. To permit such a person to escape
23. Size of crowd expected will encourage others to assault or try to
24. Vehicles for movement of VIPs, and overpower individual security personnel.
so on 6. Refrain from participating in crowd activities.
a) An aggressive crowd will invariably
As you can see, when a large crowd control
throw a barrage of rocks, sticks, bottles,
event is known and sufficient time is avail-
and so on at opposing forces. DO NOT
able for preplanning, the event should be able
throw them back at the crowd! This will
to take place with minimal problems for both
only precipitate greater hostility and
security staff and participants alike.
supply the crowd with more missiles.
b) Withdraw to a safe distance until
dispersal operations can be commenced.
PERSONAL BEHAVIOR

1. Stand your ground without yielding. Your

RIOT CONTROL FORCE
job is to maintain order and protect life and
DEPLOYMENT PROCEDURES
property.
a) Avoid all unnecessary conversation.
Basic riot and crowd control formations used
b) Do not exchange pleasantries with
by control forces exist in the following forms
the crowd or apologize for your
(Figure 12-1):
actions.
c) Do not give the impression you will 1. Arrowhead—This is used to strike into and
not enforce orders to disperse or arrest split a crowd or mob, or to provide an escort
individuals defying such an order. for a person(s) to a given point through a

III. PROTECTION OFFICER FUNCTIONS

 CROWD MANAGEMENT ASSESSMENT 145
PERSONNEL EMPLOYMENT
BASIC RIOT AND CROWD CONTROL FORMATIONS USED BY CONTROL FORCES EXIST
IN THE FOLLOWING FORMS:

a) ARROWHEAD
THIS IS USED TO STRIKE INTO AND SPLIT A CROWD OR MOB, TO PROVIDE AN
ESCORT FOR A PERSON (S) TO A GIVEN POINT THROUGH A FRIENDLY OR DIS-
ORGANIZED CROWD. THE USE OF AN ADDITIONAL INVERTED ARROWHEAD AT
REAR OF THE FORMATION WILL GIVE ALL-AROUND PROTECTION.
b) LEFT FLANKING AND RIGHT FLANKING

USED TO MOVE A CROWD OR MOB TO THE RIGHT OR LEFT, OR TO TURN A

CROWD AWAY FROM THE FRONT OF A BUILDING, FENCE, ETC.
c) LINE
USED TO MOVE A CROWD OR MOB STRAIGHT BACK UP THE STREET.

FIGURE 12-1 Riot and crowd control formations.

friendly or disorganized crowd. The use of 7. Are the security personnel properly briefed
an additional inverted arrowhead at rear of on the type of crowd?
the formation will give all-around protection. 8. Is the company providing security
2. Left flanking and right flanking—Used to properly licensed?
move a crowd or mob to the right or left, 9. Have all required permits been obtained?
or to turn a crowd away from the front of a 10. What is the seating?
building, fence, and so on. 11. What is the procedure for extracting
3. Line—Used to move a crowd or mob problem people from the crowd and
straight back up the street. ensuring that they leave the venue without
posing a threat to anyone inside or outside
the venue?
CROWD MANAGEMENT 12. Is supervision present and adequate?
ASSESSMENT 13. Are communications, including two-way
radios, adequate?
1. What is the officer-audience ratio? 14. Is alcohol being served at the event?
2. Are the security personnel deployed in a way If so, what are the procedures for
as to maximize surveillance of the crowd? controlling access to alcoholic
3. What type of performance is this? beverages?
4. Are the security personnel properly trained 15. What are the evacuation procedures in the
to handle the crowd? event of panic in the crowd?
5. Are the security personnel knowledgeable 16. In the event of a cancellation after the
in first aid? audience has been admitted to the venue,
6. Are the security personnel licensed and what procedures are in place to placate the
armed with any weapons? crowd?

III. PROTECTION OFFICER FUNCTIONS

146 12. CROWD MANAGEMENT AND SPECIAL EVENT PLANNING

ALCOHOL SERVING service, and therefore ensure intoxicated

CONSIDERATIONS persons do not harm themselves or others?
Are security personnel:
Serving alcohol at special events can create
a host of safety, security, and liability issues. 1. Properly trained in the above techniques so
A few considerations regarding alcohol service that they can control access to the venue?
are: They must also be able to intervene properly
Are persons dispensing alcohol: in matters involving intoxicated patrons,
including making sure that intoxicated
1. Properly trained in correct procedures for patrons do not harm themselves or others.
checking and verifying IDs of patrons? 2. Properly and adequately trained in the
2. Properly trained in the methods to use to methods of extracting problem patrons from
control service of alcoholic beverages? the crowd?
3. Properly trained in the recognition and 3. Correctly trained and instructed to ensure
identification of behavioral cues (TIPS that evicted patrons do not linger about
program: Training for Intervention the exterior of the establishment to take
Procedures) of intoxication and the revenge upon other patrons or employees,
intervention techniques to use to stop or re-ignite an earlier conflict?

EMERGING TRENDS
The first and foremost emerging trend is a greater are sworn in for the duration of the fair. Some of
awareness by organizational management of the the officers then joke that they are “suspended
problems and potential liabilities associated with without pay for 355 days” once the fair is over.
special events. Special events are complex under- In addition to the fair police, there are township
takings and many things can go wrong. Perhaps police, and some contract security personnel.
the best way to conceptualize this is the old saying York County Deputy Sheriffs perform security
“whatever else can go wrong, will go wrong.” at concerts held at the fair. Private investigative
It is clear that special event security is a firms conduct surveillance and make controlled
division of the security field that needs to be buys from vendors who sell counterfeit goods.
addressed. It is defined as a part of physical York County Probation Department person-
security, but it is not ongoing. It is occasional; nel search for probation violators and perform
only temporary. As such, it may not garner the security at concerts. This is an excellent means
attention that it deserves. of both apprehending probationers who are in
An interesting example of event security is violation as well as deterring troublemakers.
at the oldest fair in the United States, the York Deputy U.S. Marshalls sometimes conduct sting
County Fair, in York, Pennsylvania. Security operations for fugitives.
at the fair is difficult because of the number of Gang activity is prevalent, especially on stu-
people in such a small space. The fair takes place dent nights when students get in for free. Nearly
in September, so planning must begin in March. 100 police officers are required, and EMS needs
There must be adequate EMS (emergency medical to be prepared for possible mass casualty situ-
services), fire, and police in place. In fact, the fair ations. It is evident that there is a need for even
has its own police force, a group of officers who more officers, but monetarily it isn’t possible.

III. PROTECTION OFFICER FUNCTIONS

 REFERENCE 147

So the trend is to reach out to the private sector money depending on the size of the venue and if
and specialized service firms for security at these the event was set up correctly. INA also utilizes
types of special events. probation officers who take vacation days to
In addition to the example of the York Fair, man special events. The probation officers are all
we are seeing more varied and creative use of college graduates who have had some relevant
protection forces across the board. These include training and experience.
proprietary security, t-shirt security, contract Another trend is having more restrictions in
security, off-duty police, and so on, all working place as to what can be brought into an event, as
in contact with one another. INA, Inc., based out well as more restrictions on tailgating parties and
of Harrisburg, Pennsylvania, finds that using serving alcohol. There is also an increase in the
off-duty police officers saves a great deal of use of dogs and horses at some special events.

Reference c. Removing them

Health Communications Inc. The TIPS Program: Training for d. Arresting them
Intervention Procedures, Alexandria, VA; 1985–2009. 3. If you observe a hostile crowd gathering,
never hesitate to request additional:
Resources a. Weapons
b. Assistance
The International Association of Assembly Managers is
an organization of professional venue managers. The
c. Rioters
IAAM conducts and publishes research, holds meetings, d. Vehicles
and administers a professional certification program for 4. A demonstration is a crowd that is
assembly managers. Visit http://www.iaam.org/. exhibiting sympathy for or against
The Center for Venue Management Studies (CVMS) is authority, or some political, economical,
IAAM’s resource center for public assembly facility man-
agement. The Center offers a variety of books and videos.
or social condition.
CVMS works with IAAM staff and work groups, such as a. True
the Safety and Security Task Force, to develop and dis- b. False
tribute resource materials and practice aids for the indus- 5. A riot means any extreme or catastrophic
try. Visit http://www.iaam.org/CVMS/CVMS.htm. condition that imperils or results in loss of life
and/or property.
S EC U RI T Y QU IZ a. True
b. False
1. In controlling a hostile crowd, sufficient
6. The basic reason for the formation of any
___________________ is/are basic to your
crowd is the occurrence of an event that is of
success.
common interest to each individual.
a. Force
a. True
b. Manpower
b. False
c. Time
7. A leaderless crowd that is attempting to flee
d. Weapons
from something it fears is a/an:
2. The protection officer should attempt to
a. Spectator crowd
isolate an individual troublemaker by:
b. Emotional crowd
a. Taking them down
c. Hostile crowd
b. Tranquilizing them
d. Escape crowd

III. PROTECTION OFFICER FUNCTIONS

148 12. CROWD MANAGEMENT AND SPECIAL EVENT PLANNING

8. Some psychological factors in crowd c. Apologize for his/her actions

formation are: d. All of the above
a. Security e. None of the above
b. Novelty 10. Some riot control, force deployment
c. Loss of identity procedures are:
d. None of the above a. Arrowhead, left and right flanking,
e. All of the above line
9. The protection officer dealing with crowds b. Right flanking, bullet, left flanking
should: c. Line, bow, arrowhead
a. Exchange pleasantries with the crowd d. Arrowhead, bullet, left flanking
b. Give the impression he/she will
enforce orders

III. PROTECTION OFFICER FUNCTIONS

 U N I T IV

CRIME PREVENTION AND

PHYSICAL SECURITY

13 Environmental Crime Control

14 Physical Security Concepts and Applications
15 Alarm System Fundamentals
16 Access Control
17 Detection Technology
 C H A P T E R

13
Environmental Crime Control
Glen Kitteringham

While the reader is likely familiar with Crime

CHAPTER OBJECTIVES Prevention through Environmental Design
● Define environmental crime prevention (CPTED), there are several other theories that
● Provide an overview of the main offer insight into crime control opportunities.
environmental crime control theories But the question remains: Why should secu-
rity practitioners know the reasons for apply-
● Explain how theory application aids in ing particular security applications, as well as
informed crime control decisions the theories behind them? Because if you are
going to implement a new security application,
you should understand why! Learning and
applying these theories will allow you to make
INTRODUCTION informed crime control decisions as to why
certain security measures should or should
The private security industry has come a not be carried out. Once you understand why
long way from when Allan Pinkerton created an offender carried out unwanted activity in
his world famous Pinkerton’s Detective Agency a particular area, you can implement security
in the middle of the nineteenth century. In the measures with a far better chance of success.
intervening 16 decades, there has been a great As security measures cost money to implement,
deal of activity. Significant steps have been the wise security practitioner will not want to
taken in lock and key systems, access control waste time, effort, or money. Following crimi-
hardware, the increasing ingenuity of vaults nal activity, an officer may wonder: Was there
and safes, fencing systems, CCTV, increas- an absence of a capable guardian as Felson and
ing professionalism and training of security Cohen theorize (1979)? Did the offender make
officers, and a host of other physical security a rational choice either for or against carrying
enhancements. However, proper attention has out a criminal act as Cornish and Clarke (2008)
not been given to the environmental crime con- believe takes place? A deeper understanding of
trol theories and subsequent practical applica- the offense allows the responding security pro-
tions behind the deployment of these human, fessional to make keener and more analytical
hardware, and documentation innovations. choices about how to respond to the situation.

151
152 13. ENVIRONMENTAL CRIME CONTROL

Will it require a simple or a complicated fix? In follow-up measures and programs. While the
some cases, simple is usually cheaper and can intent of this chapter is not to argue the pros
be just as successful as more expensive security and cons of one theory over the other, one com-
measures. ment will be made. While all the programs
There is a danger in thinking that once secu- and money spent upon social crime control
rity measures have been implemented, there can be considered laudable, it would be a fool-
will never again be a crime or unwanted activ- ish security manager who donated his or her
ity in the same area. Crime may or may not security budget to a social crime control pro-
occur. Other factors may be at work, including gram regardless of how noble it may seem.
the effects of displacement and diffusion of ben- Government and big businesses have spent
efits (to be explained). This forces the security billions of dollars on this issue for many years,
practitioner to continually review the area from but physical security forces are required more
many different perspectives. Has new tech- than ever.
nology made the old security solutions moot? Environmental crime control has not been
Will an attack come from a different direc- relegated the same attention and respect as the
tion, during a different time of day? Will the social crime control model. Social crime con-
attacker be forced to try new methods or big- trol has been practiced in one form or another
ger or better tools, or will be there be a different for hundreds of years. In contrast, environmen-
attacker? Continual awareness and review are tal crime control grew from work completed at
necessary. the University of Chicago in the 1920s. It was
there that more attention was paid to the area
in which the crime was being committed than
ENVIRONMENTAL CRIME to the people who committed the criminal acts.
PREVENTION VERSUS SOCIAL The theory laid dormant for several decades,
CRIME PREVENTION but was given a rebirth by the influential writer
and social commentator, Jane Jacobs, when she
A simple explanation of environmental crime wrote The Death and Life of Great American Cities
prevention is that environmental crime prac- in 1961. Her work inspired both C. Ray Jeffery
titioners focus their attention and energies on and Oscar Newman, both of whom took off in
locations of potential criminal activity. These new directions: Jeffery, with his book, Crime
practitioners “look for crime patterns and seek Prevention through Environmental Design, and
to explain them in terms of environmental Newman, with his Defensible Space. In turn,
influences. From these explanations they derive both researchers inspired others, such as Paul
rules that enable predictions to be made about and Patricia Brantingham, Tim Crowe, Ronald
emerging crime problems, and that ultimately V. Clarke, and Marcus Felson. What follows is
inform the development of strategies that an overview of the various environmental crime
might be employed to prevent crime” (Wortley control theories.
& Mazerolle, 2008, p. 1). Locks, doors, and other
barriers, CCTV equipment, and patrolling secu-
rity officers are all examples of environmental
THEORIES
crime control measures. On the other side of the
coin is social crime prevention. This area focuses
Rational Choice Theory
upon social programs, education, employment
creation, welfare, unemployment insurance, Rational Choice Theory was first presented
police, corrections, and other after-the-fact by Ronald V. Clarke and Derek B. Cornish in

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 THEORIES 153
1986 in The Reasoning Criminal: Rational Choice will be different for the laptop thief than for the
Perspectives on Offending. As Tayler (1997, p. 293) arsonist, vandal, or industrial spy. In addition to
states, the rationale behind the theory is that these issues, even within the narrow confines of
people will commit a crime if it is in their own a single crime such as laptop theft, what moti-
best interests. Basically, the offender uses a vates one offender (e.g., financial desire) will be
decision-making process whereby the positive different from another (e.g., a drug addict who
and negative aspects of committing a particular steals to trade for crack cocaine). These situ-
act are weighed. If the perception is that there are ational crime prevention techniques are laid out
more reasons for proceeding, regardless of the in Table 13-1.
existing security barriers, then, at the very least, Rational choice theory also includes the prin-
an attempt will be made. If an opportunity ciple that criminals are opportunistic. These
presents itself, there is a benefit, and there is lit- opportunistic criminals are not profession-
tle likelihood of being apprehended, then they als, but average people. If the reward is high
will commit the crime. Further, Pease (1997, enough, deterrents will not work. People will
p. 967) quotes Clarke and Cornish (1985), who weigh the pros and cons of committing the
claim that “the underlying assumption is that crime, and these are centered on the specifics of
offenders seek to benefit themselves by their the target. Finally, situational crime prevention
criminal behavior. This entails making deci- works best with the amateur criminal and least
sions and choices, however rudimentary their with the professional criminal. Bearing in mind
rationality might be, being constrained by limits that there are different classifications of crimi-
of time, ability, and the availability of relevant nals, primarily amateur criminal and profes-
information.” sional, the more security precautions taken, the
Following this rationalization, it is up to the more likely all but the most determined attacker
security practitioner to convince the poten- will be stopped. Other factors come into play as
tial offender that it is not in the offender’s best well; two that will be discussed are displace-
interests to carry out the act. The application ment and diffusion of benefits.
of situational crime prevention techniques is
the result of this theory. As rational choice is
the theoretical element, what follows are situ-
Displacement of Crime
ational crime prevention techniques that are the The basis for displacement is that a deter-
practical efforts used to reduce criminal oppor- mined attacker, if stopped at or by one method,
tunities. These techniques involve increasing location, etc., will try other ways of commit-
the effort, increasing the risk, reducing rewards, ting a crime until successful. There are six ele-
reducing provocations, and removing excuses. ments to displacement as laid out in Table 13-2.
These five techniques are further subdivided Displacement claims that, regardless of whether
into five subcategories to help eliminate oppor- a specific crime is committed at a particular
tunities for criminals. They can range from location, the criminal will simply move to a
physical access control devices to the use of more “criminal user-friendly” location until the
psychology to deter people’s criminal tenden- crime can be completed. One way to remember
cies. Finally, one should remember that criminal the six elements is to consider who, what, when,
decision making is crime-specific. This means where, why, and how. Coincidentally, these are
that “specific offenses bring particular benefits also the six elements of a properly written inci-
to offenders and are committed with specific dent report.
motives in mind” (Cornish and Clarke, 2009, Research indicates that displacement is
p. 26). The weighed actions, risks, and rewards not nearly as strong a factor as many people

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 154
TABLE 13-1 Twenty-five techniques of situational prevention

Increase the Effort Increase the Risks Reduce the Rewards Reduce Provocations Remove Excuses
1. Harden target (both premise 6. Extend guardianship 11. Conceal targets 16. Reduce frustrations and 21. Set rules
and laptop itself ) • Take routine precautions: • Off-street parking stress • Rental agreements
• Steering column locks go out in groups at night • Gender-neutral • Efficient queues and • Harassment codes
and immobilizers leave signs of occupancy phone directors polite service • Hotel registration
• Anti-robbery screens carry phone • Unmarked bullion • Expanded seating
• Tamper-proof packaging • “Cocoon” neighborhood trucks • Soothing music/muted
watch lights

2. Control access to facilities 7. Assist natural surveillance 12. Remove targets 17. Avoid disputes 22. Post instructions
IV. CRIME PREVENTION AND PHYSICAL SECURITY

• Entry phones • Improved street lighting • Removable car • Separate enclosures for • “No Parking”
• Electronic card access • Defensible Space design radio rival soccer fans • “Private Property”
• Baggage screening • Support whistleblowers • Women’s refuges • Reduce crowding in • “Extinguish camp

13. ENVIRONMENTAL CRIME CONTROL

• Pre-paid cards for pubs fires”
payphones • Fixed cab fares

3. Screen exits 8. Reduce anonymity 13. Identify property 18. Reduce temptation 23. Alert conscience
• Ticket needed for exit • Taxi driver IDs • Property marking • Controls on violent • Roadside speed
• Export documents • “How’s my driving?” • Vehicle licensing pornography display boards
• Electronic merchandise decals and parts marking • Enforce good behavior • Signatures
tags • School uniforms • Cattle branding on soccer field for customs
• Prohibit racial slurs declarations
• “Shoplifting is
stealing”

4. Deflect offenders 9. Use place managers 14. Disrupt markets 19. Neutralize peer pressure 24. Assist compliance
• Street closures • CCTV for double-deck • Monitor pawn • “Idiots drink and • Easy library
• Separate bathrooms for buses shops drive” checkout
women • Two clerks for • Control classified • “It’s OK to say No” • Public lavatories
• Disperse pubs convenience stores ads • Disperse • Litter bins
• Reward vigilance • License street troublemakers at
vendors school

5. Control tools/ weapons 10. Strengthen formal surveillance 15. Deny benefits 20. Discourage imitation 25. Control drugs and
• “Smart” guns • Red light cameras • Ink merchandise • Rapid repair of alcohol
• Disable stolen cell • Burglar alarms tags vandalism • Breathalyzers in
phones • Security guards • Graffiti cleaning • V-chips in TVs pubs
• Restrict spray paint sales • Speed humps • Censor details of • Server intervention
to juveniles modus operandi • Alcohol-free events

http://popcenter.org/library/25%20techniques%20grid.pdf. Accessed June 7, 2009.

 THEORIES 155
TABLE 13-2 Methods of Displacement

Type Reason Issues to Consider

1 Who The offender Quits, moves, goes to The next offender may have different motivations, skill
changes jail, retires, dies, is sets, tools, patience, knowledge, etc. Existing security
replaced measures may no longer be adequate.

2 What The type of If security measures An addict, failing to gain access to an office to steal
offense carried out prove to be adequate, laptops to trade for drugs, may instead conduct a street
consideration should robbery. An offender may switch from robbing banks
be given to the offender to writing bad checks. An offender may switch from
changing offenses. crimes of violence to Internet-based scams.

3 When The time in which Daytime, nighttime, The offender may change the time of their offense. If
the crime was morning, afternoon, they cannot tunnel into a bank vault at night, they may
committed evening, weekdays, rob the bank during the day. A laptop thief, if unable to
weekends, summer, defeat physical security after hours, may decide to talk
winter, etc. their way past a receptionist to gain access.

4 Where The location of the Moves on to another If an offender cannot gain access to one building, they
criminal act house, store, may attempt to go next door to gain access. Regardless,
neighborhood, city, state/ the expectation is that they will go elsewhere. They
province, or country, etc. may change locations because they have become too
well known in their present area.

5 Why The type of target Weaker, younger, older, There are a variety of reasons why the offender may
which is attacked less security, female, male, switch targets. If a location is attacked and the target
inability to overcome turns out to be removed, the offender may take other
current security measures, items. Retail thieves may enter a pharmacy intending
etc. to steal drugs, but if narcotics are not available and
cash is, they will switch targets.

6 How The method used Gun, knife, pen, computer, The offender may change their modus operandi. For
to complete the vehicle, etc. example, the terrorists who brought down the World
crime Trade Center towers originally used a vehicle bomb
in the underground parking garage. When that failed,
they used airplanes as cruise missiles.

assume. Common sense indicates that dis- Diffusion of Benefits

placement increases the effort on the offender’s
Diffusion of benefits is the opposite of dis-
part, which is exactly why security measures
placement. Just as it is assumed by critics of
are implemented in the first place. Increasing
Rationalism that crime is simply moved to
the effort makes it more costly for the criminal
another location, there is also a belief that the
(Clarke, 2008, p. 188). Displacement can also be
benefits of situational crime prevention tech-
viewed positively if the security practitioner
niques are also moved to other locations,
gives thought from a planning perspective, con-
thereby resulting in a decrease in crime. As
siders how the criminal may react to existing
Pease states in reference to both issues:
security measures, and then creates additional
security measures. This is why multiple levels The fact that displacement has been long debated,
of physical, IT, and procedural security mea- and that diffusion of benefits has been neglected sug-
sures should be implemented. gests that displacement is dominant not because it

IV. CRIME PREVENTION AND PHYSICAL SECURITY

156 13. ENVIRONMENTAL CRIME CONTROL

reflects a real attempt to understand crime flux, but social group cohesiveness, or a host of other
because it serves as a convenient excuse for doing aspects. Acknowledging the complexity of the
nothing (‘Why bother? It will only get displaced’)”
(1997, p. 978).
theory, a crime prevention response cannot come
from one area alone. Instead, a multidisciplinary
A further, somewhat controversial point to approach must be taken, in which responses are
displacement is that there may be a benefit to tailored to the situation. One must consider the
displacing certain kinds of crimes. For example, criminal opportunity, the individual offender,
drug and prostitution control may be made eas- his or her readiness and willingness to commit
ier or more tolerable when it is away from resi- crime, and the combination of the previous three
dential neighborhoods or concentrated in one aspects as they impact the sociocultural, eco-
locale (Pease, 1997, p. 979). nomic, legal, and environmental cues. Granted,
this is not an easy theory to employ from a theo-
retical or a practical perspective. Some of the
components of this theory are certainly beyond
ROUTINE ACTIVITY THEORY the security practitioner’s reach to address, but
knowing that a detailed examination of the envi-
Routine activity theory, developed by Cohen ronment is required may enable practitioners to
and Felson, revolves around three things: a view the environment from a broader perspec-
“potential offender, a suitable target, and the tive. Knowing that decisions to conduct criminal
absence of a capable guardian” (Bottoms & Wiles, activity are often carried out for entirely differ-
1997, p. 320). All three must come together in ent reasons than previously suspected gives the
order for criminal activity to be realized. Routine security officer the opportunity to view criminal
activity theory relies on the same rational choice activity in a new light.
methodology as situational crime prevention
techniques. As in any theory, routine activity
theory has its criticisms. One of the primary criti- CRIME PREVENTION THROUGH
cisms is the assumption that criminals are rational ENVIRONMENTAL DESIGN
in their decision making. They may not use the (CPTED)
same rationale as the person implementing the
security measures. They may not even be aware CPTED, probably the most well known of
of the situational crime prevention techniques the environmental crime control theories, was
put into effect. They may be under the influence first discussed by Dr. C. Ray Jeffery in 1971. To
of drugs or alcohol or, for whatever reason, they quote Tim Crowe, a huge proponent, CPTED
may simply not care about the security measures. “expands upon the assumption that the proper
design and effective use of the built environ-
ment can lead to a reduction in the fear of crime
CRIME PATTERN THEORY and the incidence of crime, and to an improve-
ment in the quality of life” (Crowe, 1991, p. 1).
Crime pattern theory, developed by Paul and There are three key concepts specific to
Patricia Brantingham, is a rather complex amal- CPTED. These concepts are:
gamation of both rational choice and routine The use of natural surveillance. Natural sur-
activity theories, as well as a further introduc- veillance refers to increasing the ability of legiti-
tion of sociocultural, economic, legal, and physi- mate place users to see farther and wider, while
cal environmental cues. The premise is that decreasing the ability of illegitimate place users
crime does not occur randomly in time, place, to hide when waiting for the right time to carry

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 SECOND-GENERATION CPTED 157
out their activity. An example of using natural it a dangerous area to visit. Several CPTED
surveillance could be in an underground park- strategies were employed, including design
ing lot. As users leave their cars and head changes and enhanced security officer presence.
toward either an elevator lobby or staircase, it is Eventually, a large number of legitimate users
often difficult to see what lies inside. By replac- returned to the area, which, in turn, further
ing cinderblock with a glass partition, the prop- deterred the skateboarders from coming back in
erty manager increases the natural surveillance large numbers. While the problem has not com-
whereby legitimate users can see directly into pletely gone away, it has decreased noticeably.
the vestibule area instead of guessing what lies Further, CPTED planners should classify
ahead. Also, it is difficult for an illegitimate user security strategies into three categories. The
to stay in this area for long, as they are subject first category is the use of organized strate-
to increased visual scrutiny. gies. This includes the use of human resources
The use of natural access control. This con- to increase security, such as security or police
cept falls under the umbrella of spatial definition. officers or some other type of official guardian.
An example of natural access control is when The second strategy is to incorporate mechani-
normal place users are encouraged to use an area cal methods into enhanced security. This is
for legitimate purposes, and illegitimate users are achieved through the use of hardware such as
discouraged from remaining in the area. How CCTV, locking mechanisms, access control sys-
this is accomplished is determined by the particu- tems, fences, and other barriers. Finally, the
lar location and imagination of the property man- third and probably most important strategy is to
ager. For example, if unwanted visitors remain in use natural enhancements to enhance security
an area because of a design feature, such as a wall awareness. This may take the form of increased
or barrier, the feature should be removed (unless presence of legitimate place users, proper use
required) or changed to make it less attractive, of windows to increase surveillance, or making
thereby reducing the overall attractiveness of the all users responsible for security, and so on. It
area. Another example is skateboarders who use is important to start with the natural methods
a particular plaza because of the many attrac- of enhancing security, and then augment them
tive, flat wooden benches. Pop-up seats could be through organized and mechanical methods.
installed on the benches, making it difficult, if not
impossible, for skateboarders to use them.
Territorial behavior. This concept is key to
reclaiming an area if it has been taken over by
SECOND-GENERATION CPTED
illegitimate users. If design features have created
Developed in 1998 by Saville and Cleveland
a haven for illegitimate users and frightened off
(2009, p. 80), second-generation CPTED includes
legitimate users, then one of the most important
the original emphasis on physical location and
required actions is for the space to be reclaimed.
adds the newer concept of including social fac-
Initially, this may take the form of enhanced
tors. These factors include:
security patrols to keep illegitimate users away
until the area is once again seen as desirable for 1. Social cohesion: involves the local community
legitimate users. The return of high numbers in events, associations, and positive problem
of normal space users will deter the presence solving without resorting to violence, and
of illegitimate space users. A prime example is builds positive community relationships.
based upon the previous example of skateboard- 2. Connectivity: the neighborhood has positive
ers. In one instance, an area had practically relations and influence with external
been taken over by illegitimate users, making agencies (Saville & Cleveland, 2009, p. 82).

IV. CRIME PREVENTION AND PHYSICAL SECURITY

158 13. ENVIRONMENTAL CRIME CONTROL

3. Community culture: positive social and occupants can easily adopt proprietary
cultural activities. attitudes;
4. Threshold capacity: positive community ● Those which improve the natural capability
resources that do not overwhelm the area, of residents to survey both the interior and
proper land density use and zoning, and a exterior of the residential space;
lack of crime generators. ● Those which enhance the safety of adjoining
Second-generation CPTED focuses on the phys- areas such as communal facilities;
ical and social aspects of communities to mini-
● Finally, through the judicious building
mize both criminals and criminal opportunities. materials to reduce the perception of
peculiarity such as vulnerability, isolation
and stigma of housing projects and their
DEFENSIBLE SPACE: CRIME residents (Newman, 1971).
PREVENTION THROUGH
URBAN DESIGN
PRACTICAL APPLICATIONS
This theory revolves around the public hous-
ing environment and seeks to reduce crime As one can see, there are some similarities
through the use of natural surveillance, natural between Defensible Space and CPTED applica-
access control, and territorial concern. tions. The important concept of legitimate users
History of Defensible Space. While Oscar versus illegitimate users, the proper and effec-
Newman has written many influential pieces on tive utilization of surveillance, both natural and
this important concept over the past 30 plus years, man-made, and creating safe havens for normal
two of his most important works are Architectural users are common to both. Knowing and under-
Design for Crime Prevention, published in 1971 standing who belongs in an area and who does
through the U.S. Department of Justice, and not (legitimate users versus illegitimate users of
Defensible Space, published in 1972. Additional space), the importance of various types of sur-
books, such as Creating Defensible Space from veillance, and encouraging legitimate users of
1996, published through the U.S. Department of space to use or reclaim areas for activities are
Housing and Urban Development, add to his sig- recommendations that security practitioners
nificant body of work. can understand and appreciate.
Concept and Strategies. While there will
not be a detailed analysis of all the concepts
that encompass the theory of Defensible Space,
SUMMARY
a general overview will be made. The writer
While this chapter has not detailed each and
encourages interested parties who seek a
every theory or practice of crime prevention, it
deeper understanding to access the aforemen-
has provided an overview of the main existing
tioned books for an in-depth analysis. Basically,
environmental crime theories. Readers are encour-
Defensible Space calls for proprietors and
aged to further examine the theories outlined
legitimate users of residential space to act as
here, as they are an important aspect of crime con-
guardians of their living areas. To quote from
trol. While certainly not the only theories, rational
Architectural Design (p. 2):
choice, routine activities, CPTED, Defensible Space,
Physical mechanisms for achieving Defen-
crime pattern theory, and situational crime preven-
sible Space are as follows:
tion techniques comprise an important basis for
● Those which serve to define spheres of explaining some of the root causes of why certain
influence of territorial influence which crimes may occur repeatedly in specific locations.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 SECURITY QUIZ 159
Not all the answers are contained here, and while Wortley, R. (2001). A classification of techniques for con-
every situation is unique, the security practitio- trolling situational precipitators of crime. In B. Fisher &
M. Gill (Eds.), Security journal, Vol. 14, No. 4 (pp. 63–82).
ner should understand that there are some basic Perpetuity Press.
explanations and rationales behind every crimi- Wortley, R., & Mazerolle, L. (2008). Environmental criminol-
nal activity. Implementing security enhancements ogy and crime analysis. Portland: Willan Publishing.
should be an educated decision. Hence, a detailed
study of the criminal area with the accompanying
rationale should reduce criminal opportunity. Resources
Vellani, K., & Nahoun, J. (2001). Applied crime analysis.
Butterworth-Heinemann.
References Newman, O. (1996). Creating defensible space. U.S.
Department of Housing and Urban Development.
Bottoms, A., & Wiles, P. (1997). Environmental criminology.
Newman, O. (1972). Defensible space: Crime prevention through
In M. Maguire, R. Morgan, & R. Reiner (Eds.), The Oxford
urban design. The Macmillan Company.
handbook of criminology (2nd ed.) (pp. 305–359). Oxford:
Fennelly, L. J., & Lombardi, J. H. (1997). Spotlight on security for
Clarendon Press.
real estate managers. Institute for Real Estate Management.
Clarke, R. V. (1997). Situational crime prevention: Successful
Jacobs, J. (1992). The death and life of great American cities.
case studies (2nd ed.). Albany, NY: Harrow and Heston.
Vintage.
Clarke, R. V. (2008). Situational crime prevention. In R. Wortley
National Crime Prevention Institute (NCPI). (2001).
& L. Mazerolle (Eds.), Environmental criminology and crime
Understanding crime prevention (2nd ed.). Butterworth-
analysis (pp. 178–194). Portland: Willan Publishing.
Heinemann.
Cornish, D. B., & Clarke, R. V. (2008). The rational choice
perspective. In R. Wortley & L. Mazerolle (Eds.),
Environmental criminology and crime analysis (pp. 21–47).
Portland: Willan Publishing.
Crowe, T. D. (1991). Crime prevention through environmental S E CURI TY QU I Z
design. Boston, MA: Butterworth-Heinemann.
Module 1. (1999a). Criminological theory 2: Rational choice 1. Environmental crime control theory focuses
theory: 277–304. The Scarman Centre for Public Order: upon the ___________ of the criminal act:
University of Leicester. a. Time
Module 1. (1999b). Crime prevention 2: The situational approach:
b. Location
305–344. The Scarman Centre for Public Order: University
of Leicester. c. Perpetrator
Module 5. (2000). Applied crime management: Unit 3: Crime d. Victim
pattern analysis: 113–168. The Scarman Centre for Public 2. Basically the offender uses a decision making
Order: University of Leicester. process whereby the positive and negative
Newman, O. (1971). Architectural design for crime prevention.
aspects of committing a particular act is
National Institute of Law Enforcement and Criminal Justice.
Pease, K. (1997). Crime prevention. In M. Maguire, weighed. This is an example of:
R. Morgan, & R. Reiner (Eds.), The Oxford handbook of a. CPTED (Crime Prevention Through
criminology (2nd ed.) (pp. 963–995). Oxford: Clarendon Environmental Design)
Press. b. Routine activity theory
Saville, G., & Cleveland, G. (2008). Second generation
c. Rational choice theory
CPTED: The rise and fall of opportunity theory. In
R. Atlas (Ed.), 21st century security and CPTED (pp. 79–90). d. Defensible space
Boca Raton, FL: CRC Press. 3. The application of situational crime prevention
Tayler, I. (1997). The political economy of crime. In techniques are the results of this theory.
M. Maguire, R. Morgan, & R. Reiner (Eds.), The Oxford a. Rational choice theory
handbook of criminology (2nd ed.) (pp. 265–303). Oxford:
b. Routine activity theory
Clarendon Press.
Tyska, L. A., & Fennelly, L. J. (1998). 150 Things that you c. Crime pattern theory
should know about security. Boston, MA: Butterworth- d. Defensible space
Heinemann.

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160 13. ENVIRONMENTAL CRIME CONTROL

4. There are ______ aspects of displacement? c. Acting under the influence of drugs or
a. Three alcohol
b. Four d. The absence of a capable guardian
c. Five
d. Six ANSWER KEY
5. There are three key concepts specific to Manual Questions
CPTED. Which of the following is not one? 1. Environmental Crime Prevention and Social
a. Natural surveillance Crime Prevention
b. Defensible space 2. Environmental, location, criminal
c. Natural access control 3. potential, criminal
d. Territorial behavior 4. Displacement
6. There are _____ main categories of 5. Diffusion, security
Situational Crime Prevention Techniques. 6. Location
a. Three 7. Rational choice theory
b. Four 8. Rational choice theory
c. Five 9. Six
d. Six 10. Defensible space
7. Further, the categories have ___________
different sub-categories? Interim Questions
a. Three 1. Potential, target, capable
b. Five 2. Crime pattern, environmental clues
c. Seven 3. Residential, natural, natural, territorial
d. Nine 4. CPTED, increase
8. Defensible Space: Crime Prevention 5. Benefits, situational, techniques, decrease
Through Urban Design was created by: 6. Five
a. Oscar Newman 7. Five
b. Marcus Felson 8. Oscar Newman
c. Patricia Brantingham 9. Defensible Space
d. Ronald V. Clarke 10. Acting under the influence of drugs or alcohol
9. This revolves around public housing and
seeks to reduce crime through the use of Ten Final Questions
natural surveillance, natural access control 1. Defensible, guardians
and territorial concern. 2. Situational, crime, five
a. Crime Prevention Through 3. rational
Environmental Design (CPTED) 4. Environmental, Chicago, location
b. Crime Pattern Theory 5. Natural, illegitimate
c. Defensible Space 6. Location
d. Rational Choice Theory 7. Rational choice
10. Routine Activity Theory, developed by 8. Five
Cohen and Felson, revolves around three 9. Five
things: which of the following is not one of 10. Defensible Space
the three factors?
a. A potential offender
b. A suitable target

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 C H A P T E R

14
Physical Security Concepts and
Applications
Kevin T. Doss and
Denis A. O’Sullivan

In the security planning process, the organi-

CHAPTER OBJECTIVES
zation identifies which assets require protection
● Define physical security planning and the types of risks that could compromise
● List five steps of the security planning those assets. This critical function determines
process the level of appropriate countermeasure that is
required based upon a formally documented
● List three options for intrusion
process. Risks are usually categorized into three
monitoring
categories:
● Explain the three primary objectives of
security lighting 1. People—Human resources are usually the
most critical asset within any organization,
● Provide the three roles of CCTV and and as such, must receive a stronger
access controls consideration when assessing risk.
● Explain the value of safes, vaults, 2. Property—Physical property or intellectual
containers, fencing, and barriers assets.
3. Legal liability—Legal risks can also
affect people and property, but need to be
considered as a separate category. This is
PHYSICAL SECURITY PLANNING due, in part, to the extent which lawsuits
affect the security industry these days.
What is “physical security planning?” It is a Additionally, the security planning process
recognized security process that, if followed, will should determine the probability of such occur-
result in the selection of physical countermea- rences and the impact on the organization if
sures based on appropriateness. The selected loss should ever occur. These steps are critical
countermeasures should also be justifiable from to determine how to best protect organizational
a cost point of view. assets and must be performed periodically. An

161
162 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

added benefit of the security planning process according to their nature. All threats can be
is the potential for increased security awareness grouped under the following headings: indus-
throughout every level of the organization. trial disaster, natural disaster, civil disturbance,
The security planning process consists of the crime, and other risks.
following five steps: Industrial disasters—these should be easy
to identify, associated threats related to on-site
1. Assets are identified.
or adjacent activity. The following are typi-
2. Loss events are exposed.
cal industrial disasters that might affect most
3. Occurrence probability factors are assigned.
companies: explosions, fires, major accidents,
4. Impact of occurrence is assessed.
and structural collapse. To correctly assess the
5. Countermeasures are selected.
threat, you must intimately know the nature of
Let’s look at each of these steps. company activity, the nature of activity on adja-
cent properties, dangerous routes, flight paths,
1. Assets are identified
and the existence of nearby major oil or gas
At first glance, this step would appear easy;
pipelines.
however, this is not necessarily the case. Have
Natural disasters—the potential for a natu-
you ever attempted to take inventory of your
ral disaster largely rests with the geographic
personal property? The major problem seems
location of the company property. If the prop-
to be “how to;” that is, do we include every nut
erty is located in the southeast United States, it
and bolt? For the purpose of following the secu-
is reasonable to identify hurricanes as possible
rity process, this is not necessary. It should suf-
loss events. Similarly, if the property is located
fice to group assets according to category except
in California, it would be reasonable to plan for
where an item is especially attractive (from a
earthquakes. Other areas may suggest the need
thief’s viewpoint) and valuable. The following
to identify floods or tornados as threats.
categories should encompass the majority of
Civil disturbance—most companies can be
assets for most companies:
threatened either directly or indirectly by actions
– land – buildings that can be categorized as civil disturbances. If
– heavy machinery – production equipment your company is engaged in weapons technol-
– office equipment – office furniture
ogy, or indeed any activity that might be viewed
as threatening the environment, it is reasonable
– vehicles – cash or other negotiables
to expect that the company might become the
– goodwill – public image target of demonstrators. All labor disputes fall
– raw material – finished product under this heading.
Crime—it is relatively easy to identify crimes
Depending on the nature of the company’s
that might affect company operations. Any
activities, there may be other categories. In any
or all of the following will affect most compa-
event, there is one asset which has not been
nies: arson, assault, bomb threats, breaking and
mentioned primarily because it is controversial:
entering, theft, and vandalism. If a company is
employees. Employees are a company’s most
engaged in high-tech, it would be reasonable to
valuable asset, although some people do not
also include espionage, extortion, and sabotage
like to group them with all the other assets.
as likely threats.
2. Loss events are exposed Other risks—this is meant to be a catch-all
This step consists of exposing all possible for those threats that do not neatly fit the above
threats to the assets that were identified. Similar categories. Two examples are disturbed persons
to how we group assets, we group threats and loss of utilities.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 PHYSICAL SECURITY PLANNING 163
3. Occurrence probability factors are assigned 4. Impact of occurrence is assessed
Having identified assets and exposed the This step is not as difficult or as uncertain
threats to those assets, the next step is to quan- as determining probability. Impact for almost
tify the possibility that the threat will occur. all organizations has a bottom line of dollars
This is probably the most difficult step in the and cents. The most important thing to remem-
process. Information must be collected and ber is that dollar losses may be either direct or
carefully analyzed to determine its effect on the indirect and that they may be so high as to be
probability for occurrence. The following affect crippling.
probability: Direct costs are those that can be directly
assigned as the value of the asset that has been
● The physical composition of structures—for lost or damaged. Indirect losses are those costs
example, wood frame or concrete block associated with the loss that would not have
● The climatic history of the area, such been incurred if the loss event had not occurred.
as number and frequency of tornados, An example is downtime.
hurricanes, earthquakes, and so on The final task in relation to impact is to
● The nature of activity at the property to assign levels or classifications that will allow for
be protected. For example, if the products correlation with the four degrees of probability.
being produced are televisions and related Again, the actual words are not important; how-
products, then the probability for theft will ever, the following are suggested:
likely be high
● The criminal history for the local and ● Very serious
adjacent areas ● Serious
● Is there community conflict in the area? ● Moderately serious
● Unimportant
An analysis of the foregoing, coupled with
We will see the importance of these ratings
a review of the activity and organization of the
shortly. Before we move to the final step, let us
company to be protected, will enable one to
recap: we have taken inventory of our assets,
make a determination with reasonable accuracy
identified the threats to those assets, assessed
regarding the probability for a loss relative to
the probability of occurrence for the threats, and
specific assets or groups of assets.
assessed the potential impact on company oper-
The probability for occurrence will not be the
ations if one of these threats were to occur.
same for all loss events. For this reason and to
facilitate later correlation with impact factors,
5. Countermeasures are selected
we must assign probability ratings. While the
This is the final step in the planning process.
actual wording is not important, the following
We now have to use all the data we have col-
are suggested:
lected to protect our property in the most effi-
● Certain cient manner, while also considering the cost of
● Highly probable these countermeasures in relation to the value
● Moderately probable of our assets. The initial step is to decide on the
● Improbable level of protection needed; the level can range
from low to very high.
To make these words more meaningful, we When selecting physical security coun-
can assign percentage weights to each: certain  termeasures, it is imperative that one use a
75–100%; highly probable  50–75%; moderately systematic approach. By standardizing the pro-
probable  25–50%; and improbable  0–25%. cess, mistakes are less likely to occur and more

IV. CRIME PREVENTION AND PHYSICAL SECURITY

164 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

accurate calculations can be made. In addition, Referring to our matrix, we can quickly see
one must document the process and keep accu- that the recommended level of protection is
rate written records of the recorded data. This “level IV,” the highest level possible. This would
allows for better-informed decisions regarding suggest using an effective detection system cou-
the selection and implementation of physical pled with an efficient suppression system.
security countermeasures. The large number and variety of assets and
There are several methods or processes avail- associated threats means that we will end up
able to the security practitioner when select- with a complex pattern of different levels of
ing countermeasures; however, the simplest protection. This is not as confusing as we might
method to ascertain the desired levels of pro- expect, particularly if we think in terms of
tection is a matrix as illustrated in Figure 14-1. security-in-depth.
For example, consider the threat of fire. The Security-in-depth, also known as layered
probability of a fire can be rated as “moderately protection, is a concept that means placing a
probable” for most types of businesses; from a series of progressively more difficult obstacles
criticality point of view, we must consider fire in the path of an aggressor. These obstacles are
as potentially “very serious.” often referred to as lines of defense.

Threat Level Matrix

Moderately Highly
Improbable probable probable Certain

Unimportant I I I I

Moderately
I II II II
Serious

Serious II III III IV

Very Serious III IV IV IV

Levels of Security
I Low
II Medium
III High
IV Very High

FIGURE 14-1 Threat level matrix.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 PHYSICAL SECURITY PLANNING 165
The first line of defense is at the property we would apply the principle first to the prop-
line. Methods of defense at this point may be erty in general terms as described above, and
either natural, such as a river, or manmade, then to each and every asset separately. An
such as a fence. Additionally, the barrier may example would be an industrial complex and
be psychological or physical. At the very mini- an asset such as information.
mum, the property boundary must be defined The complex itself will probably be protected
in some way that separates it from its neigh- by a perimeter fence. Each building within
bors. Psychological barriers, such as property will be properly secured and there will be elec-
definition, do not impede would-be trespassers; tronic intrusion detection systems within the
however, they do play an important role in the buildings. In addition to this general protec-
rights of the property owner. tion, we should attempt to establish protective
The second line of defense is the exterior of rings around the information. For example, the
buildings. Controls at this point should be dif- information should be stored in a safe (third
ficult to overcome. It is important to remember line of defense), the safe should be in a room
that all six sides of structures (roof, floor, and that has interior motion detection (second line
walls) may present weaknesses that must be of defense), and access to the room should be
strengthened. Special attention must be given to through a door equipped with proper locking
the usual points of break and enters: doors, win- hardware and possibly a card access system
dows, and skylights. In fact, any opening greater (the first line of defense) (Figure 14-2).
than 96 square inches in area and less than 18 feet Selecting appropriate countermeasures is
from grade must be protected. It is usually at this a difficult task, requiring considerable practi-
line of defense that electronic intrusion detection cal experience and extensive knowledge of the
devices and electronic access controls are used. various controls and their strengths and weak-
The third line of defense is interior controls or nesses. Effective planning will result in a cost-
object protection. Controls at this line of defense justified, integrated protection program.
include electronic motion and intruder detection An integrated protection program results from
devices, access controls, safes, vaults, document a systems approach to selecting controls. The fol-
storage cabinets, quality locking devices, and fire lowing are two important points in relation to
protection. using a systems approach:
Applying the security-in-depth concept
means more than simply establishing three lines 1. The whole, rather than its individual parts,
of defense that will meet all your needs. Ideally, must be considered.

Doors locked Alleys and rear

and barred properly lighted
Roof openings
Fence in
secured
good repair
Alarm system
throughout store, Windows locked,
24-hr. phone barred, or well
number available secured
Locks modern Access to roof
and adequate protected
Safe lighted and Debris cleared
in open view
Building interior Cash drawer open
well lighted to prevent damage

FIGURE 14-2 Defense around exterior of building.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

166 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

2. Design should allow for an acceptable level types of gaseous discharge lamps take 2 to 5
of redundancy, without any unnecessary minutes to reach maximum intensity. They are
duplication of effort. very effective in areas where fog is prevalent.
A word of caution in relation to gaseous dis-
A systems approach is often referred to as charge lamps is that they make color identifica-
“systems engineering.” tion unreliable.
The remainder of this chapter will concen- Metal halide lamps are also of a gaseous
trate on the physical components of a protec- type, but due to the excellent color rendition
tion program. While space will not permit great this lamp offers, it is recommended for many
detail, we will attempt to explain the major security applications. Metal halide lamps can be
points relative to security lighting, security glaz- used very effectively with color CCTV cameras
ing, alarm systems, card access systems, locks due to the light properties which imitate natu-
and keying, closed circuit television, safes and ral daylight. The downside of this lamp is that
vaults, and fencing. it is expensive to use.
Incandescent lamps are typically used in res-
idential homes for lighting. They are very ineffi-
SECURITY LIGHTING cient and have limited use for security purposes
due to the short lifecycle and expense of use.
Security lighting has three primary objectives: Quartz lamps emit a very bright white
light. Lighting may be classified as floodlights,
1. It must act as a deterrent to intruders.
searchlights, fresnels, and street lighting. The
2. It must make detection likely if an intrusion
difference between floodlights and searchlights
is attempted.
is that searchlights project a highly focused
3. It should not unnecessarily expose patrolling
beam of light, whereas floodlights project a
personnel.
concentrated beam. Fresnels produce a rectan-
Lighting systems are often referred to gular beam of light and are particularly suit-
as “continuous,” “standby,” and “movable” or able for illuminating the exterior of buildings.
“emergency.” Streetlights produce a diffused light and are
Continuous lighting is most commonly used. suitable for use in parking areas and driveways.
Lamps are mounted on fixed luminaries and are Certain lighting intensities are recommended
normally lit during the hours of darkness. for specific situations.
Standby lighting is different from continu-
ous lighting in that the lamps are only lit as Perimeter or property boundary 0.15 to 0.4 fc
required. Parking lots (open) 2.0 to 3.0 fc
Movable or emergency lighting is portable Parking garage (enclosed) 5.0 to 6.0 fc
lighting that may be used to supplement either Vehicle entrances 1.0 fc
continuous or standby lighting. Light sources Pedestrian entrances (active) 5.0 fc
may be incandescent, gaseous discharge, or
Exterior of buildings 1.0 fc
quartz lamps. The common lightbulb emits
incandescent light. Open yards 0.2 fc
Gaseous discharge lamps are street-type
lighting and may be either mercury vapor or The foregoing are suggested lighting inten-
sodium vapor lamps. Mercury vapor lamps sities only; specific circumstances may dictate
emit a strong light with a bluish cast. Sodium different intensities. To explain the suggested
vapor lamps emit a soft yellow light. Both intensities, “fc” means foot-candle and simply

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 GLAZING 167
refers to the amount of light emitted within 1 Safety/fire: Under this heading, we are basi-
square foot of a lit standard candle. cally looking at two types of glass: tempered
and wired.
Tempered glass can be considered safety
glass, as it is several times stronger than ordi-
APPLICATION CONSIDERATIONS nary glass. It is especially resistive to accidental
breakage. If it does break, it will disintegrate into
1. When designing a protective lighting system,
small pieces with dull edges, thereby minimiz-
consider three lines of defense: the perimeter,
ing risk of injury. Tempered glass is available in
open yards, and building exteriors.
different thicknesses to suit different purposes.
2. All accessible exterior lamp enclosures
Wired glass is glass with a wire mesh built
should be in tamper- or vandal-resistive
into it. The wire is embedded in the glass when
housing. This means that the receptacle
it is still in its molten state. Wire glass resists
and lens should be constructed of a material
impact because of its strength. It is also listed by
that will resist damage if attacked and that
Underwriter’s Laboratories as a fire-retardant
the mounting screws or bolts should be
material.
tamper-resistant.
Here are some suggested uses for safety/fire-
3. If protective lighting is to be located in an
retardant glass:
area that may be subject to explosions, the
housings should be explosive-resistant. ● Passageways
4. Before finalizing any decision on the ● Entrance doors and adjacent panels
installation of lighting, consider the impact ● Sliding glass doors
that additional lighting will have on your ● Bathtub enclosures and shower doors
neighbors. Failure to consult with a neighbor Burglar/vandal-resistive: Several types of
prior to an installation may result in costly burglar/vandal-resistive glazing materials are
redesign. available, including laminated glass, wired
The foregoing is a presentation of the basics glass and acrylic, and polycarbonate plastics.
of security lighting. Prior to utilizing any of the Laminated glass will resist degrees of impact
suggested standards, please check local codes proportionate to its thickness. This type of glass is
or ordinances. particularly valuable where the quality of trans-
parency is important and where other types of
impact-resistant material may be subject to vandal-
ism. Wired glass provides resistance of a limited
GLAZING nature; it will not resist prolonged attack. Acrylic
plastic is particularly resistive to forced attack;
The various uses, methods of fabrication, and
however, it is not as resistive as polycarbonate. It
overabundance of trade names make the selec-
is, however, much more transparent than poly-
tion of an appropriate glazing material appear
carbonate. Polycarbonate plastic is 20 to 30 times
very confusing. In an effort to simplify the pro-
stronger than acrylic of comparable thickness.
cess, we will address the subject under the fol-
Bullet resistive: Bullet-resistive material is
lowing headings:
available in the form of laminated glass or acrylic
● Safety/fire and polycarbonate plastics. Bullet-resistant lami-
● Burglar/vandal-resistive nated glass consists of multiple piles of glass and
● Bullet resistive plastic material laminated together. Highly trans-
● Special purpose parent, bullet-resistant acrylic material is suitable

IV. CRIME PREVENTION AND PHYSICAL SECURITY

168 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

for many cash-handling situations, such as those program. Intrusion sensors are typically inte-
which occur in banks. Polycarbonate, consisting grated with physical barriers, such as a door
of several sheets of plastic laminated together, is or window, and must take environmental
highly resistive to ballistics; however, visibility is conditions into consideration to be effective.
somewhat impaired. Selection of the appropriate detector, from the
Special purpose: Under this heading, we will numerous and varied options available, is often
look at transparent mirror glass, coated glass, a difficult task. The end user is well-advised
heated glass, and rough or patterned glass. to become familiar with the different types of
Transparent mirror glass may be installed in a detectors/sensors available and must evaluate
door or in a wall. From one side, it is functionally both the application and environmental con-
a mirror, and from the other, it permits an unob- ditions prior to implementation. If relying on
structed view through the mirror. The primary advice from a vendor for proper intrusion sen-
purpose of transparent glass is for surreptitious sor selection, it is essential that the end user
surveillance. Flow-on or cement-on plastic coat- describe their objectives and make the vendor
ing is available for application to existing installed contractually responsible for meeting those
glass. This material may serve well as an interim stated objectives.
measure until a more appropriate vandal-resistive In the following paragraphs, we will look at
material can be installed. Rough or patterned glass different types of detectors: magnetic switches,
is available with many different designs that make metallic foil, audio, vibration, ultrasonic, photo-
it range from practically opaque to practically electric, passive infrared, microwave, dual tech-
transparent. This type of glazing is most appropri- nology, and video motion.
ate where there is a conflict between the need for Magnetic switches: These are often referred
privacy and natural light. to as door contacts. They may be either sur-
face-mounted or recessed. The choice is largely
an aesthetic one; however, the recessed ones
INTRUSION DETECTION do afford more protection from tampering.
Switches are commonly “unbalanced,” which
Every intrusion detection system is meant to means that they may be defeated by substitu-
detect the following: tion of a secondary magnetic field to keep the
contacts in the open position while the detector
1. Unauthorized entry magnet is moved away from the housing con-
2. Unauthorized movement within taining the contacts.
3. Unauthorized access to controlled areas or For high-security applications, a “balanced”
objects switch is available. This switch is designed to
There are three components to an intrusion withstand defeat by creation of a secondary
detection system: magnetic field. Magnetic switches have many
potential uses in addition to their traditional
1. Detectors/sensors use on doors and windows. They may be used
2. System controls on desk or file cabinet drawers or to secure
3. Signal transmission equipment to a fixed position.
Metallic foil: This is a narrow strip of metal
foil designed to break if the surface to which
Detectors/Sensors
it is attached is attacked. It is mostly used as
The design and implementation of intrusion a glass breakage detector and is commonly
sensors are critical for any physical security seen on storefront windows and glass doors.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 INTRUSION DETECTION 169
It may also be used as a barrier penetration measure radiated energy. When activated, they
detector, such as in a wall under gyprock. If simply establish the ambient temperature. From
properly installed, it should do its job well. that point on, any significant deviation will
A major detractor is that it is not considered result in an alarm.
aesthetically pleasing; this can also be overcome Microwave: Microwave detectors use high-
to some extent by the experienced installer. frequency radio waves to establish a protected
Vibration: Vibration detectors are shock sen- area. They are particularly suitable for use in
sors. They may be used to detect persons climb- areas where air turbulence or changing air tem-
ing chain-link fencing, breaking through walls, peratures may prohibit the use of ultrasonic
or attacking safes or other containers. As glass or infrared detectors. A major weakness with
breakage detectors, they are very effective and microwave is that it can penetrate beyond a
not too expensive. protected area. Microwaves will penetrate prac-
Ultrasonic: These are motion detectors. A tically all surfaces except concrete and metal.
protected area is flooded with an oval pattern Dual technology: Dual technology sensors
of sound waves. As the sound waves bounce off combine two technologies into a single sensor.
objects, they reflect a signal back to a receiver. An example of this would be to combine a pas-
Any movement in the protected area will cause sive infrared sensor with a microwave sensor.
a change in the reflected pattern, which will An alarm signal is not generated until both
result in an alarm. Ultrasonic sound waves are sensing devices are triggered. Thus, the use of
in a frequency range that is above the capac- such technology should result in fewer nui-
ity of the human ear. These detectors are par- sance alarms being generated if installed cor-
ticularly susceptible to false alarm due to air rectly and applied properly.
turbulence. Video motion: Using CCTV cameras to ini-
Photoelectric: A beam of light is transmitted tiate an alarm is another method that can be
to a receiver. The transmitter and receiver may utilized for intrusion detection. Video motion
be in one housing with the beam reflected. Any technology detects changes in light brightness
interruption of the beam causes an alarm. These levels within the coverage area. It is advisable
devices are commonly used as automatic door to only use video motion detection for an inte-
openers or in stores to ward off a customer from rior application due to the varied environmen-
entering. When used for security purposes, dif- tal conditions which exist outdoors. Vibrations,
ferent methods are used to make the beam moving objects such as trees and bushes, and
invisible to the naked eye. Either an infrared fluctuating light levels can trigger nuisance
light-emitting diode is used or an infrared fil- alarms when using video motion; they may ren-
ter is simply placed over the light source. Either der the system ineffective.
method effectively makes the beam invisible.
Infrared: These are probably the most ver-
satile detectors currently available. Patterns of
System Controls
coverage are available that will protect practi- System controls consist of components that
cally any configuration of space. They can be transform individual detectors/sensors into
used effectively to protect long narrow corri- a network of intelligence-gathering devices.
dors, portions of rooms, or entire large rooms. System controls include data processing equip-
Infrared detectors are often referred to as pas- ment, signal transmission equipment, on/off
sive detectors because they are the only detector and reset controls, backup power supply, LED
that does not monitor an environment that has system status indicators, and any other equip-
been created by the detector. Infrared detectors ment specific to a particular system.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

170 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

The data processing equipment basically station to a commercial station in the event of a
acts as a receiver and interpreter of signals holdup of the monitoring personnel.
from the sensors/detectors and reacts to these Commercial monitoring falls into two cate-
signals in accordance with preprogrammed gories: monitoring stations or answering ser-
instructions. vices. The answering services are useful for the
The signal transmission equipment is the economical monitoring of signals transmitted
means by which an alarm is raised. This equip- by telephone dialers; however, this is not for
ment may simply activate a local siren, or it high security systems. Commercial monitoring
may send a signal over telephone wires to a stations are either Underwriters Laboratories
remote monitoring location. The telephone (UL) approved or they are not. UL-approved is
wires may be either dedicated (the most secure the best guarantee of quality service.
system) or through the normal telephone net- Note: An initial step in planning an intrusion
work by use of a digital dialer that transmits to detection system is to identify zones of pro-
a special type of receiver/decoder. tection in the building that will create a series
The on/off and reset controls can be keys, of independent subsystems. Each subsystem
toggle switches, or digital keypads. The digital should (1) be compatible with normal opera-
keypad is recommended. The backup power tions, and (2) allow for prompt response to a
supply is essential in case the electrical power specific problem area.
supply fails or is sabotaged. When the functional requirements of a sys-
The LED (light-emitting diode) system sta- tem have been identified, the system engineer-
tus indicators use different colors to indicate ing should be left to experts.
whether the system is on or off, or if there is
trouble in the system. The usual colors are red
for system okay (but in the off mode), yellow
for trouble somewhere in the system, and green CARD ACCESS
for armed and properly functioning.
The decision to use, or not to use, a card
access system should be based on the perceived
need for accountability and the accompanying
SYSTEM MONITORING financial considerations. An objective statement
for a card access system might read: “To eco-
There are basically three options: nomically eliminate the inherent security weak-
1. Local nesses in key access systems by electronically
2. Proprietary supervising and documenting the activities or
3. Commercial persons authorized to access the property.”
To be useful, a card access system should
A local system is just that, a siren or bell on have the following minimum capabilities:
the outside of the protected premises. This sys-
tem is not recommended due to its reliance on a ● Restrict access by authorized persons
passerby to actually call the police. to certain times and/or days of the
The proprietary system is similar to a local week.
system in that the system is monitored on-site ● Allow controlled after-hours access to
or remotely by employees of the owner of the selected areas within.
protected premises. If this system is used, it is ● Control after-hours access to a
advisable to have a link from the proprietary parkade.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 LOCKING HARDWARE 171
● Selectively control after-hours use of ID card can easily be incorporated into any access
elevators. card:
● Maintain a record of all valid and invalid use ● Company name and logo
of cards. ● Details of cardholder
● Provide an audit trail permitting a printout ● Name
of persons on the property at any one time. ● Department
There are numerous types of cards: ● Date of birth
● Magnetic coded ● Signature
● Magnetic strip coded ● Photograph
● Proximity coded ● Condition of use (restrictions)
● Weigand coded This is not recommended, however, because
● Hollerith if the card is lost, it will be obvious to the finder
● Optical coded that it is owned by a particular organization,
The magnetic coded card contains a sheet of which may lead to unauthorized use of the
flexible magnetic material on which an array of card. There are many different card readers; the
spots have been permanently magnetized. The significant difference among them is the addi-
code is determined by the polarity of the mag- tion of a secondary method of verification or
netized spots. The magnetic strip encoding is confirmation, such as the requirement for inser-
widely used in commercial credit cards. The tion of a personal identification number (PIN),
proximity card is a badge into which electroni- through a numerical keypad.
cally tuned circuits are laminated. The badge The use of a numerical keypad usually offers
gets its name from the fact that it only has to be the valuable option of allowing a user to signal
held near the reader for authorized access to be that he is operating under duress.
granted. The reader for this card is concealed Figure 14-3 shows the functional operation of
in the wall behind drywall or paneling. The a card access system.
Weigand-coded badge contains a series of par-
allel wires embedded in the bottom half of the LOCKING HARDWARE
badge. Each wire can be assigned a logic “0” or
“1;” the combination reveals the ID number. Locking hardware can be categorized as
The Hollerith badge is easy to recognize mechanical, electrical, or electromagnetic, and
because the card has small rectangular holes as either security or nonsecurity.
punched in it. It cannot be considered a high- Quality mechanical security locks should be
security badge. The optical coded badge is easy used for all of the following:
to recognize if it uses a barcode as its encoding ● Perimeter openings
device. The barcode is commonly used on retail ● Doors that control/restrict internal
goods to assist the cashier with pricing.
movement
All of the commonly used coded cards are ● Doors to sensitive/restricted areas
reliable and, with the exception of the Hollerith
badge, are reasonably resistive to compromise. Only deadbolt locks should be considered.
Although it is not recommended, many orga- The bolt should offer a minimum of 1-inch
nizations like to use their access cards as both throw. If the door is a glass metal-framed door,
an access card and an identification badge. The the bolt should be of the pivotal type to ensure
information contained in the normal employee maximum throw.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

172 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

Proper Send badge FIGURE 14-3 Functional operation of a card

Badge input access system.
type of number for
into reader
badge analysis

Badge
number
analyzed

Valid
Time zone Door opens
badge
allows access for seconds
number

Door
relocks

Electric locks are particularly suitable for the Note: It is essential that the fire department
following: be consulted prior to any final decision on the
locks of any door that may be considered an
● Remote control of the after-hours pedestrian
emergency exit. Get their decision in writing,
entrance door
and carefully consider it before compliance.
● Grade-level emergency exit doors
Emergency exit devices that are normally
● Exit doors from stairwells to grade level
used on emergency exit doors cause justifi-
● All stairwell doors
able security concern. If permitted, only qual-
Electric locks are available where the strike ity electric or electromagnetic locks should
is normally in the locked or unlocked position. be used. If electric or magnetic locks cannot be
Electromagnetic locks are particularly suitable for used, great care should be taken to ensure
use on emergency exit doors, as there are no mov- the emergency devices use such features as
ing parts that can accidentally become jammed. the following:
Several conditions must be met before this type
of lock can be used on an emergency exit door: ● Deadbolts
● A manual or automated egress device to ● Deadlocking latches
unlock door within close proximity. ● Vertical locking bars for pairs of doors
● When activated, the fire alarm system must
be able to automatically deactivate the Remember that emergency exit devices can
locking device. be connected to a proprietary or commercially
● Each location must have a fire pull station monitored alarm system. Loud local alarms
in its vicinity, and its activation must are also an effective way to protect emergency
automatically deactivate the lock. exits.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 CLOSED CIRCUIT TELEVISION 173

CLOSED CIRCUIT TELEVISION Intelligent video is currently used in some of

the largest cities in the world to detect criminal
CCTV has three major roles in any physical activity and other issues, such as traffic prob-
security program: lems, loitering, and riot activity. Among the tre-
mendous benefits of using technology to detect
1. To deter crime or unwanted activities certain events, intelligent video may allow for
2. To allow the ability to witness an act as it the reduction of manpower by harnessing tech-
occurs nology to increase efficiency and accuracy of
3. As an investigative tool after an act has CCTV systems.
already been committed There are three main views that a standard
CCTV system should provide, depending upon
Although CCTV is typically used to monitor the application requirements:
a property or facility for crime prevention pur- 1. Identification of any subjects
poses, there are a multitude of applications with 2. Identify the actions within a scene
which this technology can be used to visually 3. Identify the scene where the act occurred
monitor events. CCTV is a great tool for assess-
ing a real-time situation involving crowd con- Subject identification is based on the prin-
trol and responding to personnel movements. ciple that whoever or whatever is viewed must
In addition, it can be used to capture customer be identifiable beyond any reasonable doubt.
movement and behavior in the retail environ- This includes capturing specific features that
ment as well as to monitor internal staff as they could identify the person, such as nose, ears,
work. CCTV can also remotely watch traffic and eye characteristics. As an example, the
flow on highways and monitor weather activity scene view usually will provide about 25% cov-
in specific areas. erage of the person being viewed. The subject
CCTV technology has progressed quickly identification view is critical when used with
in recent years. The advent of software-based facial recognition software, as the facial features
analytics has skyrocketed the capabilities of must be captured to have a reasonable success
CCTV into the future. “Intelligent video,” as rate in identification.
it is known, can offer tremendous capabilities Action identification is a view that can
under the right circumstances. As with any assess what has occurred within a given area.
CCTV system, the surrounding environment This level of video surveillance can usually
can adversely affect the effectiveness of any determine what has occurred. A good example
CCTV program. That being stated, here are a might be that a painting was stolen or that an
few CCTV software feature sets that fall into the act of violence occurred. Another illustration
intelligent video realm: of an action identification view would be in a
retail environment to determine how a retail
● Video motion detection (VMD) customer purchases specific goods while shop-
● People counting and tracking ping, and which advertisement was most effec-
● Object classification, counting and tracking tive in gaining additional sales. The action view
● License plate recognition usually comprises about 10% of the total scene
● Facial recognition image.
● Crowd detection Identification of a scene view is based on
● Psychology of motion (still under being able to identify where an act took place.
development) An example might be in the lobby or in a specific

IV. CRIME PREVENTION AND PHYSICAL SECURITY

174 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

department. Each scene must stand on its own Housings—several types of housings are
merit and be identifiable during playback. available. They fall into two categories: aes-
Weather monitoring is another example of an thetic and environmental. Housings can also
application using a scene view. effectively disguise the existence of a camera.
Great care must be exercised in designing a Monitors—monitors are available in differ-
CCTV system to ensure that the objectives are ent sizes and in color, monochrome, or LCD.
achieved. Caution is also necessary to ensure When a quality image is required, it is neces-
that costs do not get out of hand. This is a com- sary to use a high-resolution screen.
mon problem when the system is not designed Sequential switches—it is not necessary, or
by a security expert. usually desirable, to have a monitor for every
The following are suggested practical appli- camera. By using a sequential switcher, the
cations for CCTV: image from two or more cameras can be rou-
tinely rotated for viewing on one monitor. When
● Parkade areas, entrances/exits, shuttle
required, an operator can lock on the image
elevator lobbies, stairwells, and elevators
from one particular camera for select viewing.
● Shipping/receiving areas
Motion detectors—cameras are available
● Main floor elevator lobbies
with built-in motion detection capability. If
● Cross-over floors
movement occurs within the field of view of the
● Cash handling areas
camera lens, an alarm will sound at the control
All CCTV systems are made up of several center, or a video recorder will be activated to
components that an end user should be, at the record the activity that caused the alarm. This
very least, familiar with. The following is a brief feature is very valuable when using a large
description of each component: number of monitors.
Cameras—a primary consideration in rela- Pan/tilt/zoom—the need to use several cam-
tion to camera selection is the available light eras to cover an area or activity can be avoided
coupled with required image quality. The two by carefully positioning one camera and pro-
most common cameras in use today are the viding pan/tilt/zoom features.
charge coupled device (CCD) and the comple- Controls—in addition to the normal televi-
mentary metal oxide semiconductor (CMOS). sion controls, controls will be required for what-
Both are relatively stable camera platforms that ever special features are built into the system.
outperform older camera technology. Consoles—the design of a control center
Lenses—there are three major types of lenses console that houses a CCTV system is definitely
available for cameras today. They are fixed lens, an engineering task. Care must be exercised to
varifocal lens, and zoom lens. The fixed lens only ensure operator comfort, particularly in relation
offers a single point of view and is best used on to viewing angles and ease of accessibility of
indoor applications due to the more consistent controls.
environment. The varifocal lens offers a range Video recorders—a CCTV system should be
of views and great flexibility in application, as considered incomplete if it does not have the
long as the range is within the lens capabilities, ability to selectively record events. Recording
and the lens does not need to be refocused. The can be done on VHS recorders; however, these
zoom lens, by contrast, is best for situations in are quickly being replaced by digital video
which the lens needs to be refocused, should recorders (DVRs) and by network video record-
one change the field of view. The focus on a ers (NVRs). In some cases, the recordings are
zoom lens is maintained either through manual sent directly to a computer server using a graph-
or motorized adjustments. ical user interface (GUI). The GUI eliminates

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 SAFES AND VAULTS 175

Time, day, FIGURE 14-4 Typical closed circuit televi-

Video sion system.
date
monitor
generator
Camera

Camera Sequential Time-lapse

switcher VCR

Camera

the need for a separate recording “box” by Locks

using software to manage the recordings.
Day/time generators—this feature has potential Safes are available with three types of lock-
benefits in specific circumstances—for example, ing systems:
where no immediate incident response capability ● Single combination
is available, or if the recording may be required as ● Single key lock combination
evidence in court. ● Dual combination
For an example of a typical system diagram,
see Figure 14-4. With the single combination option, an unac-
companied person with the combination can
access the contents at any time. The second
option, a key lock combination, requires that
two persons be in attendance to open the safe.
SAFES AND VAULTS One person has the key to unlock the combina-
tion-turning mechanism, and the other has the
Safes and vaults are designed to offer vary- combination to unlock the safe. The third option
ing levels of protection from specific risks— is similar to option two in that two persons
namely burglary, robbery, and fire. must be in attendance to open the safe. Each
person has only one of the combinations.

Burglary-Resistive Safes
Interiors
In addition to their actual construction,
burglary-resistive safes have a number of pro- Sufficient options are available in interior con-
tective features: figurations so that the need for customization can
be avoided. Available features include fixed or
● Locks adjustable shelving and enclosed compartments
● Interior design that may be either key or combination-locked.
● Depository Available options increase proportionately to the
● Time locks size and cost of the safe.
● Time delay locks
● Relocking device
Depository
● Extra weight
● Floor anchoring This feature permits the insertion of prop-
● Counterspy dials erty, most often cash, without allowing access

IV. CRIME PREVENTION AND PHYSICAL SECURITY

176 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

to the safe contents. The depository is usually structural reasons, is floor anchoring—provided
fitted with an antifish device to inhibit retrieval a concrete slab is available.
of deposited property.
Counterspy Dials
Time Locks
It is not uncommon for thieves to note the
Time locks prevent access to the safe con- combination of a safe while surreptitiously
tents for predetermined timeframes by persons viewing it being unlocked. A counterspy dial
normally authorized for access. For example, prohibits anyone other than the person imme-
when a bank safe is locked at the close of the diately in front of the dial to see the numbers,
business day, it cannot be opened again until and only one number is visible at a time.
the following morning. Should the bank man- Apart from the foregoing obvious security
ager be taken from his home forcibly, he cannot features, we can tell little about a safe by look-
be forced to open the safe. ing at it; nowhere can appearances be more
deceptive. For this reason, a purchaser has to
Time-Delay Locks rely on a particular vendor or on independent
This feature is designed to protect against a appraisal. Independent appraisal is available
holdup. Opening a safe equipped with this fea- from Underwriters Laboratories Inc. (UL). If
ture requires keying the lock, followed by a pre- a manufacturer submits a product sample to
determined waiting period, before the locking UL, they will conduct various tests and issue
mechanism will unlock. A safe with this feature authority to the manufacturer to affix a specific
label to the protected line. The following UL
is often used at late-night convenience stores or
labels are available:
24-hour gas stations.
UL Labels Resistant to Attack From
Relocking Devices T.L.-15 Ordinary household tools for
15 minutes
These devices are designed to act as a second-
ary locking feature if the normal one is attacked. T.L.-30 Ordinary household tools for
30 minutes
For example, if someone attacks the combina-
tion dial with a sledgehammer, the relocking T.R.T.L.-30 Oxyacetylene torch or ordinary
household tools for 30 minutes
device will activate. After this happens, only a
qualified safe expert can open the safe. T.R.T.L.-30  6 Torch and tools for 30 minutes,
six sides
X-60 Explosives for 60 minutes
Extra Weight
T.R.T.L.-60 Oxyacetylene torch for 60
To prevent thieves from simply walking minutes
away with a safe, it is recommended that a safe T.X.-60 Torch and explosives for 60
weigh a minimum of 340 kg or 750 lbs. Most minutes
large safes do weigh 340 kg, and smaller ones T.X.T.L.-60 Torch, explosives, and tools for
can be ordered with extra weight added. 60 minutes

Safe manufacturers sometimes assign their

Floor Anchoring own ratings. An assigned rating will usually
An acceptable alternative to extra weight, mean that the safe offers a level of protection
where extra weight may present problems for that compares to what UL would assign if given

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 FENCING 177
the opportunity to test. A concern exists, how- Two very important points in relation to fire-
ever, that without an independently assigned resistive containers are:
rating or classification, a purchaser has no way ● Paper records will destruct at temperatures
of verifying the expected level of protection.
in excess of 350°F (159°C).
● Computer tapes/disks will destruct at
temperatures in excess of 150°F (66°C).
Burglary-Resistive Vaults
Underwriters Laboratories tests fire-resistive
Any storage container specifically designed
containers for their ability to protect contents
to resist forcible entry and large enough to per-
when exposed to heat. Tests are also conducted
mit a person to enter and move around within,
to determine the container’s ability to survive a
while remaining upright, can be considered a
drop, as might happen when a floor collapses in
vault. Vault construction consists of reinforced
a fire situation.
concrete walls, floor and ceiling, and a specially
Note: It is of the utmost importance to remem-
constructed vault door.
ber that safes and vaults are only designed to
Any consideration to build/purchase (pre-
delay entry when attacked; they are not impen-
fabricated vaults are available from most large
etrable. For this reason, safes and vaults should
safe manufacturers) must be carefully assessed
always be protected by a burglary alarm system.
to ensure cost-effectiveness. The assessment
Similarly, alarm systems should be used to pro-
must recognize that the value of the asset to be
tect the contents of record safes from theft.
stored in the vault will likely attract the profes-
sionally competent thief. The impact of this is
that regardless of construction, the vault will
only delay penetration.
UNDERWRITERS LABORATORIES
In addition to applicable features as men-
Underwriters Laboratories (UL) is a recog-
tioned for “burglary-resistive safes,” the possi-
nized certification organization for security
bility that an employee(s) may be locked into the
equipment, security systems, and security mon-
vault accidentally or deliberately in a robbery
itoring. UL criteria are important in physical
situation must be considered. To ensure safety
security, as it helps to reduce potential litiga-
of employees, all vaults should be equipped
tion by conforming to specific standards. UL
with approved vault ventilators and a method
has created safety standards for every device,
of communicating to those outside the vault.
system, and monitoring center that they cer-
tify. Many jurisdictions require UL certification
prior to commissioning the system, and in many
Fire-Resistive Containers cases, insurance premiums can be reduced for
Insulated safes, filing cabinets, and record UL-compliant installations.
containers that offer varying degrees of pro-
tection to contents from exposure to heat are
available. FENCING
The appearance of fire-resistive containers
can be particularly deceptive—of necessity, the The subject of fencing is a much more inter-
construction material is totally different from esting and important topic than most people
burglary safes. The insulation material used in first realize. Fencing has been used through-
fire-resistive containers offers little protection out history as a defense against enemies—the
from physical assault. walled city of Pompeii dates back to 800 B.C.,

IV. CRIME PREVENTION AND PHYSICAL SECURITY

178 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

and it was not uncommon for the complete a risk assessment. It is also necessary to gain
frontiers of kingdoms in China to be walled a thorough understanding of the enterprise’s
(origin of the Great Wall of China). Closer to operation. For the purpose of this article, we
home, the old city of Quebec remains the only will discuss the fencing requirements for a typi-
enclosed city in Canada and the United States. cal manufacturing plant located in an industrial
Modern acts of terrorism and civil distur- area of a large city. The objective of the fenc-
bance have resulted in innovations in the types ing program is twofold—to control movement
and usage of fencing. Barbed tape (razor rib- to and from the property, and to minimize the
bon), a modern version of barbed wire, is a very need for costly manpower at control points. The
effective (if not vicious) defensive, or should we latter is to be attained by keeping the number of
say, offensive material. Its use is rarely justified, perimeter openings to a minimum.
except where the highest standards of secu- While it is true that the industry is becoming
rity are necessary—for example, in a federal ever more security conscious, it is also true that
penitentiary. the owners of industrial facilities do not want
The use of barbed tape in industrial facili- their property to look like a prison compound
ties is not common in North America. Barbed or armed camp. With this in mind, the first
tape can be used in coils along the top of fences, objective is to define the boundary of the prop-
instead of the conventional barbed wire over- erty. Most often, this will require a combination
hang. In very high-risk situations, coils of of structural and psychological barriers.
barbed tape stacked in a pyramid configuration From a psychological point of view, we are
between a double conventional fence will pro- only concerned with defining the boundary—-
vide a very effective defense. mostly for legal reasons, prevention of trespass,
Another product of modern terrorism is and liability lawsuits. Property definition may
the freely rotating barbed wire fence topping be simply a change in landscaping, or indeed,
recently developed in Ireland. When a would-be anything that distinguishes the property from
intruder grabs the overhang in an attempt to its neighbor.
gain leverage, a second overhang simply rotates Somewhere between the property line and the
into place. This is more effective than the con- area of company activity, it will be necessary to
ventional overhang and much more acceptable install a structural barrier that will act as a phys-
for routine application than coils of barbed tape. ical deterrence to the would-be intruder. Usually,
Fencing as used in most applications is the this barrier is a chain-link fence, and it should be
common chain-link type with a barbed wire, topped with a barbed wire overhang. The fol-
outward facing overhang. A major weakness lowing are suggested minimum specifications:
with the chain-link fence is the ease with which
it can be climbed. To overcome this problem, 1. Minimum of 70 in height excluding top
the British developed the “welded mesh fence.” overhang.
Compared to the 2-square-inch opening in 2. Wire must be 9-gauge or heavier.
chain-link fence fabric, the welded mesh fence 3. Mesh openings must not be larger than 2
has openings of 1.5 square inches. The openings square inches.
are 3  ½ and run vertically. The narrowness 4. Fabric must be fastened securely to rigid
of the openings makes it almost impossible for a metal or reinforced concrete posts set in
climber to gain purchase. The width of the open- concrete.
ings also inhibits the use of wire or bolt cutters. 5. There should be no more than 2 inches
Prior to making any decision on the location between the bottom of the fence and the
and type of fencing, it is necessary to conduct ground.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 CONVERGENCE 179
6. Where the ground is soft or sandy, the fence The employee car park should be completely
fabric should extend below the surface. enclosed; access to the area should ideally be
7. Top overhang should face outward and controlled by a card access system. Access from
upward at a 45-degree angle. the car park to the plant should be through a
8. Overhang supporting arms should be control point (manned during shift changes).
firmly affixed to the top of the fence posts. In addition to the possible need for a second-
9. Overhang should increase the overall ary line of defense, there may also be a need
height of the fence by 1 foot. for fenced areas to provide secure overnight
10. Three strands of barbed wire, spaced 6 storage for company vehicles, bulk raw materi-
inches apart, should be installed on the als, or large finished products. Waste awaiting
supporting arms. disposal should also be stored within a fenced
11. A clear zone of 20 feet or more should area. Fencing may also be required to segregate
exist between the perimeter and exterior operational areas, such as stores, tool cribs, and
structures. so on.
12. Where possible, a clear zone of 50 feet or It is important to remember that fencing is
more should exist between the perimeter first and foremost a barrier, and that as a bar-
barrier and structures within the protected rier, it does not have to be chain-link fencing. If
area. we also remember that fencing will only delay
the determined would-be intruder, it should
Vehicular and pedestrian gates in the perime- be easy to be flexible regarding the material
ter fence should be kept to a minimum—ideally, used. Hedging, poured concrete, solid concrete
to only one common entry point for employees blocks, and decorative concrete blocks are all
and business visitors. Depending on the size suitable fencing material.
and layout of the site, it may be necessary to If fencing is required to provide a very high
install a secondary entry point for emergency level of protection, its use should be supple-
use, such as access by the fire department. mented by fence disturbance detectors, motion
However, this entry point should normally detectors, and patrolling guards or surveillance
remain closed and locked. by closed circuit television.
All openings in the perimeter fence should be
equipped with gates. Even if these gates are not
to be electronically controlled initially, planning CONVERGENCE
should provide for power to each gate location
with provision for a remote control capability The term “convergence” is one that is cur-
from the control/security center. rently commonplace in the physical security
Typically, security control is provided at the arena. Simply put, convergence can be defined
first defensible point; however, numerous facili- as the meshing of physical security, logical
ties allow free access beyond this point to an security, information technology, risk manage-
inner control location. This may be beneficial for ment, and business continuity into a seamless
many reasons, especially in large, heavy traffic and integrated system and process. It would
plants. Once inside the initial perimeter, signs be remiss to overlook this important aspect of
should direct employees to the employee car physical security, as the entire industry is on the
park, visitors to an information center, and truck road to making convergence a reality.
traffic to shipping/receiving areas. Beyond these Organizations that take a holistic view of
points, a secondary secure perimeter should be security and integrate their physical security pro-
established. gram into a converged environment are finding

IV. CRIME PREVENTION AND PHYSICAL SECURITY

180 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

mutual benefits within the entire organization. of exposure to concepts and theory in security
When an organization can integrate their video, management. If already employed in the secu-
intrusion, and access control systems into their rity industry, an advanced degree can lead to
information technology systems, there are effi- faster promotions or an increase in salary.
ciencies that can improve the entire organization. Work experience is also a critical component,
A basic example of convergence would be and when combined with the proper education,
using the access control system over the corpo- it can lead to opportunities not afforded to those
rate network to transfer data and integrate with without the benefit of continued education.
the employee time and attendance system. The Universities such as the University of
human resources department can then utilize Leicester in the United Kingdom specialize in
the access control database (a physical security the compilation and distance education deliv-
subsystem) to track and calculate employee ery of security-specific educational opportu-
attendance and hours worked. Although this is nities. A bit closer to home, schools such as
a very basic example of convergence, it shows American Military University, York College of
how security technology can drive business Pennsylvania, and Eastern Kentucky University
efficiency and lower operating costs through offer studies that can be tailored to one’s spe-
convergence. cific area of focus. A fairly comprehensive list
One of the greatest challenges with con- of universities and colleges that offer security-
vergence is due to many departments having related degree programs can be found online at
different reporting structures, and correspond- http://www.asisonline.org/education/univer-
ingly different missions, within the orga- sityPrograms/traditionalprograms.pdf/
nization. Budgetary funding and political
wrangling can often hinder a converged envi-
ronment. Some organizations have created a PHYSICAL SECURITY
Chief Security Officer (CSO) position to assist CERTIFICATION
in the convergence of information technology
and procedures into the physical security func- ASIS International offers the only board cer-
tion. The CSO position usually has some over- tification program for physical security profes-
sight and direct accountability to make sure sionals worldwide. The ASIS Board Certified
that multiple departments work together in a Physical Security Professional (PSP) designa-
converged environment for the betterment of tion focuses on one’s proficiency in three major
the organization. domains of knowledge:
1. Physical security assessment
2. Application, design, and integration of
CONTINUING EDUCATION physical security systems
3. Implementation of physical security
There are many benefits in continuing one’s
measures
education in the security field. Continued
education is part of the career planning phase The course reference materials are comprised
and should not be overlooked as a method of eight publications, offering a substantial look
of differentiating oneself in the job market. It at physical security-related topics designed to
is more important than ever today to continu- assist security professionals in their career field.
ally improve one’s knowledge and education. It is important to point out that the ASIS
Employers are searching for employees that are “Board-Certified” designation brings accredi-
dedicated to their field and have a wide range tation to the certification process, and thereby

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 REFERENCES 181
creates a credential that is earned through exami- ASIS International does have eligibility require-
nation and not just handed out for doing course- ments, which include work experience, in order
work. As such, it has become the most respected to sit for the PSP certification exam. Additional
professional designation for Physical Security details can be found online at www.asisonline
Professionals worldwide. .org/certification.

EMERGING TRENDS
The physical security field is quickly develop- directly from the manufacturer. Surreptitious attack
ing futuristic technologies to meet developing methods on smart locks are difficult, if not impos-
threats. The industry is adopting automated tech- sible, to achieve, thus making such locking devices
nologies to assist in the detection and assessment more effective when protecting critical assets.
phases prior to a security force response. Visual Currently, security professionals are being
analytics, which is the science of computer-aided asked to do more, using fewer resources, which
assessment for surveillance systems, is becom- can make the task daunting, even for the best and
ing more accurate, which has led to deployments brightest. Recent terrorist attacks have hastened
around the world. These analytically driven solu- the technology curve in order to develop robust,
tions allow for rapid detection and assessment scalable, user-friendly physical security solutions
using facial recognition, psychology of motion, in the never-ending effort to prevent such acts.
path analysis, and much, much more. The need for new technologies will be critical to
Even “simplistic” devices such as locks are allow these practitioners to respond and mitigate
becoming “smart” through the use of computer the risk. It is evident that as the threats become
chips and RFID technology. These smart locks are more sophisticated, physical security technol-
almost impossible to pick and do not allow for cop- ogy must improve to meet those challenges, both
ies of the keys to be made, except when ordered now and in the future.

References Nilsson, F. (2009). Intelligent network video. New York, NY:

CRC Press.
ASIS International. (2009). PSP reference (2nd ed.). Alexandria: Phillips, B. (2002). The complete book of electronic security.
ASIS International. New York, NY: McGraw-Hill.
Barnard, R. L. (1988). Intrusion detection systems (2nd ed.).
Boston, MA: Butterworth-Heinemann.
Broder, J. F. (2006). Risk analysis and the security survey (3rd
ed.). Boston, MA: Butterworth-Heinemann.
Resources
Fennelly, L. J. (2004). Effective physical security (3rd ed.). Listed below are several resources that will
Boston, MA: Butterworth-Heinemann.
provide additional information regarding the
Fischer, R. J., Halibozek, E., & Green, G. (2008). Introduction to
security (8th ed.). Boston, MA: Butterworth-Heinemann. physical security industry:
Garcia, M. L. (2008). The design and evaluation of physical
protection systems (2nd ed.). Boston, MA: Butterworth- ● www.asisonline.org
Heinemann. ● www.info4security.com
Illuminating Engineering Society of North America. (2003).
Guideline for security lighting for people, property and public
● www.siaonline.org
spaces. New York, NY: Illuminating Engineering Society ● www.securityinfowatch.com
of North America. ● www.securitymagazine.com

IV. CRIME PREVENTION AND PHYSICAL SECURITY

182 14. PHYSICAL SECURITY CONCEPTS AND APPLICATIONS

S E C URI T Y QU IZ a. True
b. False
1. Risks are usually categorized into three 6. Deadbolt locks should have a minimum of a
categories. (Select one that does not apply) ½ throw.
a. People a. True
b. Property b. False
c. Legal liability 7. Card access systems permit accountability.
d. Insurance a. True
2. Physical security planning is a recognized b. False
security process that, if followed, will result 8. The most commonly used security fencing
in the selection of physical countermeasures material is:
based on appropriateness. a. Barbed wire
a. True b. Barbed tape
b. False c. Chain-link
3. The security planning process consists of d. Welded wire mesh
following a selected number of steps. 9. The minimum height of a security fence
a. Three should be:
b. Four a. 7 feet
c. Five b. 6 feet
d. Six c. 8 feet
4. Security-in-depth is also known as: d. 9 feet
a. Layered protection 10. Which of the following types of lighting are
b. Concealed protection only lit on an as-required basis?
c. Altered protection a. Continuous
d. Necessary protection b. Standby
5. Microwave detectors use high-frequency c. Movable
sound waves to establish a protected area. d. Emergency

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 C H A P T E R

15
Alarm System Fundamentals
Doug Durant and
Kevin Pound

responsible for the protection of people, prop-

CHAPTER OBJECTIVES erty, profits, and information. This chapter
● Define an alarm system provides the fundamental information you
● Explore the fundamentals of alarm need to know to be successful at your job. It is
systems and operations important to point out that this material must
be supplemented with specific information as it
● List four types of alarm monitoring applies to the alarm systems at your duty loca-
● Explain alarm sensors and how they tion. While all alarm systems perform the same
work basic function, each manufacturer’s product
● Provide effective alarm response may operate in a slightly different manner at
guidelines the location. The site may require some specific
alarm system component that makes the opera-
tion of the system different from other sites that
you may attend or be involved with as a secu-
rity practitioner.
In many cases, alarm systems form the back- Starting with the basics, a definition of an
bone of a facility’s physical protection program. alarm system is in order. Quite simply, an alarm
Universally used, alarms are very likely to be system is used to provide early warning of an
encountered by the protection officer or security intruder. There are three components to an effec-
specialist as they perform their daily duties. In tive alarm system: sensor, signal, and response.
fact, regardless of your industry, employer, shift The “system” can consist of a relatively simple
schedule, or geographic location, it is likely that switch that activates a local audible device (e.g.,
you will have some involvement with alarm siren and/or flashing emergency lights). If the
systems. system is monitored, a signal can be sent to
An understanding of basic alarm systems alert authorities or response personnel, who can
and their operation should be considered a then investigate the cause of the alarm. It can
“core knowledge” requirement for anyone also be quite complex, consisting of hardware

183
184 15. ALARM SYSTEM FUNDAMENTALS

and software elements that require considerable many cases, this will scare the criminal off before
skill and training of assigned security staff. the crime can be completed. However, in other
The most effective physical security is “lay- instances, a seasoned criminal may realize a
ered.” An alarm system should be designed to response is dependent on someone in the local
provide one or more layers of detection around area not only hearing the alarm, but also taking
an asset. Each layer is made up of a series of action to investigate it. In short, the criminal may
detection zones designed to isolate the pro- be well aware that he has a certain amount of time
tected property and to control the entry and exit to “work,” despite the activation of the alarm.
of authorized personnel and materials.
In more sophisticated systems, sensors are
interfaced with electronic entry-control devices, 2. Central Station Monitoring
Closed circuit television (CCTV), alarm report- This is the best and most popular method of
ing displays (both visual and audible), and alarm monitoring. It consists of a company that is
security lighting. As you can see, the alarm sys- paid to provide monitoring services for a variety
tem can serve as a crucial “layer” in any physi- of clients. Typically, these alarm companies charge
cal security plan. a one-time installation fee and then bill monthly
for monitoring services. Alternatively, many larger
businesses may have all of their alarm signals
ALARM MONITORING monitored by their own control centers and have
an in-house or proprietary security force respond.
Your involvement with an alarm system will When an alarm signal is received, an
depend largely on how it is monitored. There employee of the alarm company is responsible
are four methods of monitoring. for notifying the police so they can respond. In
most cases, a company’s security officers are
also notified so they can respond as well.
1. Local Monitoring
Despite its popularity, central station moni-
This is the simplest form of alarm monitor- toring is not without problems. There have been
ing. It consists of a bell or horn located near the several documented cases where the alarm com-
protected door or window. In the event of an pany failed to make the proper notifications.
attempted penetration, the resulting sound is Some alarm companies will provide their own
intended to alert nearby police, security person- security officers to respond to and investigate
nel, neighbors, or company employees. alarm conditions. In these instances, the alarm
A major drawback of this approach is the fact company’s employees must be given keys to
that many people will not bother to investigate the protected premises in order to investigate
a blaring alarm. Furthermore, manpower short- alarms. From a security and business viewpoint,
ages often make a security or police response this should be considered an additional risk.
impractical. Although relatively inexpensive to
install, this form of alarm monitoring does not
provide an adequate level of protection for most
3. Direct Fire or Police Monitoring
situations. Also, a potential criminal can disable This is no longer a common method of alarm
these alarms relatively easily. In many jurisdic- monitoring. However, in some rural or remote
tions, local municipal noise laws require the bells jurisdictions the local police or fire station will
or horns to stop after a required period of time. monitor alarms from their headquarters. When
When activated, the audible alert tells the used, this method tends to be a relatively reli-
intruder his activities have been noticed. In able way to monitor alarms.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 OPERATOR INTERFACE 185

4. Proprietary Monitoring Visual displays. The type of display used

to visually inform the operator of the system’s
In this approach, alarms are monitored by status is determined mostly by the system’s
the company’s security staff. In most cases, a complexity. Today, status information is usually
security control center is on the premises and displayed on computer workstations.
serves as a focal point for all security opera- Computer workstations provide great flexi-
tions. During an alarm event, the situation can be bility in the type and format of alarm infor-
assessed by dispatching security staff to the alarm mation that may be displayed. Both text and
location or by using CCTV to “check things out.” graphic information can be presented in a variety
In a proprietary monitoring approach, the alarm of colors. Multiple alarms may also be dis-
system is operated and controlled by the property played. If alarms are prioritized, higher-priority
owner. In most cases, this means assigned secu- alarms may be highlighted by blinking, chang-
rity specialists are adequately trained and are very ing colors, or by using bold print, and so on. To
familiar with their property and its various secu- assist the operator in determining the correct
rity systems. They have a vested interest because response, alarm-specific instructions may be
they are protecting “their” company. displayed adjacent to the alarm information.
A drawback, however, is that proprietary mon- Audible alarm devices. In conjunction with
itoring can be very expensive. This is because the the visual display of an alarm, the system must
company must not only buy the required moni- also generate an audible alarm. The audible
toring equipment, it must also pay people to alarm may be produced by the ringing of a bell
operate it. Likewise, a proprietary system may or by the generation of a steady or pulsating
provide inferior results if it is not designed for the tone from an electronic device. In any case, the
specific needs of a building and its occupants. audible alarm serves to attract the operator’s
attention to the visual alarm display. Most sys-
tems have a switch to silence the audible signal
OPERATOR INTERFACE before the operator resets the alarm.
Logging devices. All alarm system activity
Regardless of the type of alarm monitoring (such as arming the system, disarming the sys-
used at your current location, eventually the tem, maintenance, and system faults) should
system’s operation will come down to a human be logged and recorded. Logged information is
being. This person might be a monitor in a cen- important not only for security personnel inves-
tral station hundreds of miles away, or they tigating an event, but also for maintenance per-
could be one of your coworkers, assigned to the sonnel checking equipment. This is especially
security control system on the first floor of cor- important when trying to troubleshoot nuisance
porate headquarters. In all cases, the operator or “false” alarms.
interfaces with the alarm. He or she interacts Alarm printers. Alarm printers are typically
with the alarm system through devices that can of the high-speed, continuous-feed variety. The
be seen, heard, or touched, as well as manipu- printer provides a hard-copy record of all alarm
lated. In most modern systems, visual displays events and system activity.
and printers can be used to inform the operator Report printers. Many modern systems
of an alarm or the equipment’s status. Likewise, include a separate printer for printed reports,
audible devices are frequently used to alert an which use information stored by the central
operator to an alarm or the equipment’s failure. computer.
Such computer workstations permit an opera- Operator control. A means is required to
tor to acknowledge and reset alarms. transmit information from the operator to the

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186 15. ALARM SYSTEM FUNDAMENTALS

system. The types of controls provided usually Area protection is also sometimes called
depends on the type of display the system uses. volumetric protection. The sensors used for this
For example, keypads consist of a numeric or purpose protect the interior spaces of a busi-
LCD display system that are generally pro- ness or residence. These devices provide cover-
vided with a 12-digit keypad and several func- age whether or not the perimeter is penetrated
tion keys. These allow the operator to perform and are especially useful in detecting the “stay-
such actions as to secure, access, acknowledge, behind” criminal. As a general rule, area sen-
and reset alarms. sors may be active or passive. Active sensors
(such as microwave) fill the protected area with
an energy pattern and recognize a disturbance
ALARM SENSORS in the pattern when anything moves within the
detection zone.
A basic alarm system is divided into three By contrast, active sensors generate their
layers: perimeter protection, area protection, own energy pattern to detect an intruder. Some
and spot protection. Perimeter protection is the sensors, known as dual-technology sensors, use
first line of defense to detect a potential intruder. a combination of two different technologies,
Alarm sensors on the perimeter are typically usually one active and one passive, within the
mounted on doors, windows, vents, and sky- same unit.
lights. Since a vast majority of burglaries are Sensors used for area protection include the
committed using such openings, it is important following:
that they be a priority for protection. Commonly Microwave motion sensors. With microwave
used perimeter sensors include the following: motion sensors, high-frequency electromagnetic
Glass-break sensors. These detect the break- energy is used to detect an intruder’s motion
ing of glass. The noise from breaking glass con- within the protected area.
sists of frequencies in both the audible and Passive infra-red (PIR). These motion sen-
ultrasonic range. Glass-breakage sensors use sors detect a change in the thermal energy pat-
microphone transducers to detect the glass break- tern caused by a moving intruder and initiate
age. The sensors are designed to respond to spe- an alarm when the change in energy satisfies
cific frequencies only, thus minimizing such false the detector’s alarm criteria. These sensors are
alarms as may be caused by banging on the glass. passive devices because they do not transmit
Balanced magnetic switch. Balanced mag- energy; they monitor the energy radiated by the
netic switches (BMSs) are typically used to surrounding environment.
detect the opening of a door, window, gate, Dual-technology sensors. To minimize the
vent, skylight, and so on. Usually, the BMS is generation of alarms caused by sources other than
mounted on the doorframe, and the actuating intruders, dual-technology sensors combine two
magnet is installed on the door. The BMS has different technologies in one unit. Ideally, this is
a three-position reed switch and an additional achieved by combining two sensors that, individ-
magnet (called the bias magnet) located adja- ually, have high reliability and do not respond to
cent to the switch. When the door is closed, the common sources of false alarms. Available dual-
reed switch is held in the balanced or center technology sensors combine an active ultrasonic
position by interacting magnetic fields. If the or microwave sensor with a PIR sensor.
door is opened or an external magnet is brought Spot protection is used to detect unautho-
near the sensor in an attempt to defeat it, the rized activity at a specific location. It serves as
switch becomes unbalanced and generates an the final protective layer of a typical alarm sys-
alarm. tem. Assets most commonly secured with spot

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 NUISANCE ALARMS 187
protection include safes, vaults, filing cabi- (sometimes called “panic buttons”) are fre-
nets, art objects, jewelry, firearms, and other quently encountered in many business settings.
high-value property. These sensors (sometimes They are often concealed under a desk or coun-
referred to as proximity sensors) detect an tertop. Duress alarms are often used by recep-
intruder coming in close proximity to, touching, tionists, cashiers, bank tellers, security officers,
or lifting an object. Several different types are and customer service employees engaged in
available, including capacitance sensors, pres- transactions with the general public. In short,
sure mats, and pressure switches. anyone who may encounter a threatening, hos-
Capacitance sensors. These detect an intruder tile individual in the course of his or her work
approaching or touching a metal object by sens- may find a duress device of value.
ing a change in capacitance (storage of an elec- Duress alarm devices may be fixed or porta-
trical charge) between the object and the ground. ble. Operations and security personnel use them
A capacitor consists of two metallic plates sepa- to signal a life-threatening emergency. Activation
rated by a dielectric medium (an insulating of a duress device will generate an alarm at the
substance through which electric charges can alarm-monitoring station. Police or security per-
travel via induction). A change in the dielectric sonnel are then dispatched to render assistance.
medium or electrical charge results in a change Fixed duress devices are mechanical switches
in capacitance, and thus an alarm. permanently mounted in an inconspicuous loca-
Pressure mats. Pressure mats generate an tion. They can be simple pushbutton switches
alarm when pressure is applied to any part of activated by the touch of a finger or hand or
the mat’s surface. For example, an alarm is trig- foot-operated switches attached to the floor.
gered when someone steps on a mat. Pressure Portable duress devices are wireless units
mats can be used to detect an intruder approach- consisting of a transmitter and a receiver. The
ing a protected object, or they can be placed by transmitter is portable and small enough to be
doors or windows to detect entry. Because pres- conveniently carried by a person. The receiver
sure mats are easy to bridge, they should be well is mounted in a fixed location within the facil-
concealed, such as hidden beneath carpeting. ity. Either ultrasonic or RF energy can be used
Pressure switches. Mechanically activated as the communication medium. When acti-
contact switches can be used as pressure vated, the transmitter generates an alarm that
switches. Objects that require protection can is detected (within range) by the receiver. The
be placed on top of the switch. When the object receiver then activates a relay that is hardwired
is moved, the switch actuates and generates to the alarm-monitoring system.
an alarm. Naturally, in such applications, the
switch must be well concealed. The interface
between the switch and the protected object NUISANCE ALARMS
should be designed so that an intruder cannot
slide a thin piece of material under the object to A vast majority of alarms are nuisance or
override the switch while the object is removed. “false” alarms. In many jurisdictions, this places
a great deal of stress on local law enforcement
agencies. Each time a police officer is dispatched
to investigate an alarm, valuable resources are
DURESS ALARMS
being consumed. To make matters worse, most
faulty alarms are generated by the following:
In addition to perimeter, area, and spot pro-
tection, alarms can also be used for special- ● User error
ized applications. For example, duress alarms ● Poor installation

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188 15. ALARM SYSTEM FUNDAMENTALS

● Poor maintenance nothing of coming into work early, staying late,

● Substandard materials or visiting the office on a holiday. There is usu-
● Employee indifference ally nothing wrong with such activity. However,
● Inadequate training and system information if it results in continuous alarm activations, an
employee awareness program is probably in
Security officers and business owners must order.
learn as much as possible about their alarm sys- Nuisance alarms consume security and law
tems. Where are the sensors located? What type enforcement resources which could be more
are they? Who monitors the system? Awareness usefully employed in other activities. Those
is the first step in effective alarm management. which come to the attention of the police can
There is simply no excuse for arming a security also be expensive. The nuisance alarm rate has
system only to have alarms activated because become so bad in many areas that local govern-
people are still in the building. ments are now assessing fines on businesses
Similarly, at some larger facilities, people and residences. These can run into the thou-
sometimes simply forget to turn the alarm system sands of dollars.
on. Checklists should be used to arm and disarm Your organization’s ability to operate its
various parts of the alarm system as required dur- alarm system may not only protect property but
ing the business day. This will also provide docu- also help protect hard-earned profits as well.
mentation of who did what and will minimize the
chances for oversights between shift changes.
When it comes to installation, many alarms
ALARM RESPONSE
are the result of inappropriate sensor selection
Earlier, the various types of alarm moni-
or placement. Alarm installations and equip-
toring were discussed. In some cases, the pro-
ment selection are not jobs for amateurs.
tection officer or security specialist will be
Alarms are electrical/mechanical devices.
dispatched to investigate an alarm event. The
As such, they require periodic maintenance.
alarm might be the result of an employee enter-
Routine operational checks should be included
ing his office before the alarm is deactivated.
to ensure sensors and related components are
It could have been caused by a stray cat wan-
working properly. For example, security staff
dering the interior of a warehouse. The simple
should walk-test every motion detector each
movement of balloons, plants, or a sign from
day. This involves physically ensuring that each
the building’s air conditioning or heating sys-
detector is functioning properly.
tem can activate a motion detector. Then again,
Likewise, there is considerable truth in the
it could be something much more dangerous.
saying, “you get what you pay for.” Substandard
One of the major problems with nuisance
materials can include sensors, mounting hard-
alarms is that they invariably reinforce a mind-
ware, wiring, and even software. There is noth-
set that every alarm is a nuisance alarm. For
ing wrong with going for the lowest bid on an
both public law enforcement and private secu-
alarm installation. However, make sure you are
rity, this leads to complacent attitudes and poor
not chasing false economy by using inadequate
officer safety procedures. For the private sector
materials which will break and require continual
protection officer, the following alarm response
replacement and repair.
tactics are recommended:
Many non-security employees have little
understanding of security issues. This includes ● Never assume an alarm event is “nothing.”
even the most basic awareness of the compa- Assume you are responding to an intrusion
ny’s alarm system. Often, employees will think until proven otherwise.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 ALARM RESPONSE 189

EMERGING TRENDS
Alarm systems have and will continue to situation and allow them to respond effectively.
form a part of a protection plan in the fore- This will continue to help lower the false alarm
seeable future. However, the technology and rates and will help organizations comply with
reporting mechanisms that form part of an local and regional false alarm legislation.
alarm system continue to broaden. As with any Sensor technology continues to change, allow-
technology, end users will continue to look for ing for larger and more complex facilities or
smarter, faster, and more economical solutions. structures to be protected, along with new ways
The use of video analytics, in combination with to send those signals. Methods of alarm notifi-
CCTV, along with voice verification, will help to cation continue to be explored with improved
provide verified alarms. Alarm signals that gen- ways to provide mass notification alerts to large
erate attached video or captured images of the employee or student populations. Instant mes-
location of the alarm will provide the end user saging, text alerts, and cellular messaging are
with a clearer picture and understanding of the some of the options being used and improved.

● Maintain radio contact with fellow officers ● Know your company’s policy for alarm
and your security control center. response. Use common sense and avoid
● Maintain sound discipline. Keep radio volume complacency that can lead to tragic
low. Secure noisy keys and other equipment. consequences.
● If upon arrival to the scene, you detect ● Know of or how to locate appropriate phone
broken glass or other indications of an numbers and passwords for your monitoring
intrusion, do NOT proceed into the building. station.
Call the police and assume a position from ● Keep emergency call lists, updated with
where you can be a “good witness.” appropriate call-out lists, as well as local
● Evaluate all alarm information. Has there authorities.
been just one alarm? Is there a series of
Any alarm system is only as good as the
alarms which might indicate someone is
people who operate, monitor, and respond to it.
actually moving around the interior of the
Protection officers must be properly trained to
building? The professional evaluation of all
respond to alarms. They must understand how
alarms can assist you in determining where
their system works and the need to treat every
the intruder is. Relay this information to
alarm seriously.
responding police units.

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190 15. ALARM SYSTEM FUNDAMENTALS

S E C URI T Y QU IZ c. Four
1. In many cases, ________________ d. Six
______________ form the backbone of a 6. Which of the following is not a type of alarm
facility’s physical protection program. monitoring?
a. Alarm systems a. Central station
b. Covert surveillance b. Direct fire and police
c. Report writing c. Satellite
d. Physical force d. Proprietary
2. The primary purpose of an alarm system is: 7. Logging devices are used for:
a. To conduct area surveillance a. Recording system activities and faults
b. To serve as a physical barrier b. Controlling CCTV cameras
c. To provide early warning of an intruder c. Recording time and attendance of security
d. To lower insurance rates staff
3. According to the text material, the most d. Access control to computer networks
effective security is provided with a: 8. Alarm printers are typically:
a. Technical approach a. Of the color laser type
b. Layered approach b. Of the high-speed, continuous-feed type
c. Large security force c. Black and white and medium speed
d. Key and lock program d. Extremely expensive
4. In more sophisticated alarm systems, sensors 9. A glass-break sensor is an example of:
are interfaced with electronic entry-control a. A perimeter sensor
devices, CCTV, alarm reporting displays b. A spot sensor
(both visual and audible), and _____________ c. An area sensor
_____________. d. A volumetric device
a. Police patrols 10. A duress alarm is also sometimes called:
b. Aerial units a. A reset button
c. Sniper teams b. A panic button
d. Security lighting c. Activation switch
5. How many different types of alarm d. A silent partner
monitoring were examined in the text?
a. Two
b. Three

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 C H A P T E R

16
Access Control
Colin Best

be expected to perform a duty relative to access

CHAPTER OBJECTIVES control during the course of their employment.
● Define access control Access control is usually more than just the face
● Clarify the security professional’s role in at the front door. It is a combination of several
access control things, including control, record keeping, and
careful planning. In many instances, access to
● Identify various methods of achieving a given area may be by patrol and identifying
access control any people in the area being patrolled. Other
● Emphasize the value of record keeping forms may involve the control and monitor-
and data storage ing of physical security systems, such as key
systems, large-scale access control, alarms, and
CCTV systems.
One familiar example of access control is
a security officer behind a desk at the front
entrance of an office building, industrial facil-
INTRODUCTION ity, or other property. This area is often called
a “checkpoint” or “guard station.” This check-
The concept of access control is relatively point is often a fixed post, meaning the officer
simple. Access control is essentially what the is posted permanently until relieved or when
wording implies: the control of access to prop- policy and/or post orders dictate. The presence
erty, services, events, or information. A large of the officer in this key location of common
part of the protection of assets, personnel, and access is a deterrent to those who may be unau-
information begins with controlling access to thorized to enter the protected area or struc-
them and the facilities where they exist. The ture. In addition to the deterrent function, an
function and practice of access control are fun- officer familiar with the protected property and
damental to the protection officer in his or her its frequent occupants will recognize those who
duties. The security officer will almost certainly are common to the property and can challenge

191
192 16. ACCESS CONTROL

those who are unauthorized. This form of aid- that it is within the legal rights of the protec-
ing access control is common in large apartment tion officer to perform the arrest. The addition
complexes. Recognition of regular occupants by of locks to alternate entrances to the facility or
the security officer is actually considered a very property will also control access. Other forms of
secure form of controlling access; however, this additional physical security, such as CCTV and
“soft” method of access control becomes less alarm systems, will further assist in the preven-
effective as the volume of traffic increases. tion of unauthorized access, although physical
Achieving the task of controlling access may be security must not interrupt safe egress from the
considered somewhat difficult if an officer were, property or site in the event of an emergency.
for example, assigned the task to control access
to a property consisting of acres of land with no
fences or physical boundaries. Access control
EMERGENCY ACCESS CONTROL
could only be achieved by frequent patrols of
One must be sure, when controlling access, that
the protected area, challenging those unfamiliar
egress in the event of an emergency is not sacri-
persons caught on the property. In this example,
ficed. Local and national fire codes often present
those challenges may be the accepted form of
challenges to controlling access to many facilities,
access control, with no further control necessary.
and it is imperative that there is no sacrifice to
However, most facilities require additional forms
the safety of the occupants of a facility in order to
of controlling access, such as waste sites, storage
achieve better security. In most instances, policies
yards, and other facilities.
are drastically altered for access in an emergency.
In some circumstances, large properties or
Where policy dictates, a fixed post may become
defensible spaces may require a softer form of
a roaming position for the officer to facilitate an
physical barrier. This may be achieved through
escort for emergency medical services or the fire
dense foliage or even through designated walk-
department. The opposite may be true when a
ways with paint around the area of protection
roaming officer will be called from a roaming
or defensible zone. This form of control merely
patrol to a fixed position at the entrance of the
implies that a certain area is off limits and offers a
protected facility to provide speedy access for dis-
convenient path around the area.
patched emergency services.
Many properties cannot depend on this “soft”
Generally, an emergency such as fire, medi-
form of physical security. It is for this reason
cal concern, hazardous spill, or gas release
that it usually becomes necessary to add forms
should result in the halt of all work in the facil-
of physical security to achieve suitable access
ity to help facilitate access. Elevators and other
control. Fences may be erected around a prop-
conveyances should immediately be surren-
erty to control access and to “force” or “funnel”
dered from casual use for use by the emergency
visitors or employees to a common entrance or
service personnel. Parking control at a facility
“checkpoint” manned by a protection officer.
entrance or loading dock can be considered an
Appropriate signage indicating a no trespass-
access control duty where entrances are kept
ing order will aid in controlling access through
clear to make way for emergency personnel.
the message that anyone trying to breach secu-
rity and access the forbidden area risks arrest
and trespassing charges. In situations where it EXAMPLES OF ACCESS CONTROL
is expected that the protection officer will arrest
anyone caught trespassing, it is crucial that sig- Now that a given facility or property has
nage is in accordance with the laws concerning been equipped with fences, locks, and other bar-
local trespass acts. It is also extremely important riers, access can be controlled at one focal point.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 ACCESS AUTHORIZATION 193
Visitors and workers can be directed to one The above example is effective for regular
common point of access, but still one question occupants of a facility, but for the authorized
remains unanswered: What prevents unauthor- contractor or temporary staff, the security offi-
ized persons from simply accessing the facility cer may be provided with a visitor list or per-
through the front entrance, where the security mits. Those appearing on permits or lists will be
officer is stationed? This is the reason to have the only persons permitted access. Temporary
a policy for access control. The policy should or visitor badges may be issued in this case, lest
outline a clear definition of the requirements a person be challenged by staff in secure areas
for access to the property; for instance, a facil- of a facility.
ity such as a nightclub may only permit access
to those of a consenting age, so persons may be
required to present a valid operator’s license
AUDIT AND RECORD KEEPING
to gain access. Some facilities may require pre-
Signing a security register or muster is a com-
sentation of an invitation or ticket for a public
mon function of controlling access. The necessity
venue or private function such as concerts, large
of signing the security register can be considered
weddings, or other events. Sometimes, the offi-
a valid deterrent to unauthorized visitors, even
cer will be assigned access control to a parking
if the visitor does not need to present any other
garage and handling cash, then becomes part of
credential. This form of controlling access can be
the assignment. The protection officer may con-
applied to many facilities and areas. The security
trol access to other services. For example, the
register can have two functions: it can be used
officer may control access to a conveyance such
as an audit trail of who accessed the facilities at
as managing elevator bookings or to a loading
any given time; it can also be used for reference
area or entrance. The issuing of visitor and con-
by emergency services to obtain a list of “who’s
tractor badges may accomplish control of access
in” during a facility emergency, such as a fire.
in regard to temporary contractors. Office and
A register commonly contains information such
industrial facilities may require contractors to
as the name, employee number, work location,
present company identification. Policies and pro-
phone number, as well as the time in and time
cedures regarding access control may apply only
out and signature or initials of the individual
to certain people in certain areas at certain times.
requiring access. The officer assigned to main-
The identification industry is becoming
taining the security register should be prepared
more and more advanced, and many large
to assist those unfamiliar with the process in
corporations are implementing identification
order to keep neat and consistent files. Records
systems as corporate standards for all employ-
of this nature should be archived for retrieval
ees. Unfortunately, the tools to replicate iden-
according to the policies outlined by the
tification are also available to the criminal
employer or the client. Once expired, the records
population. Dye-sublimation card printers are
must be considered confidential and should be
readily available and are compatible with most
destroyed prior to disposal. Maintaining confi-
personal computers and graphics programs. It
dentiality of these files can be considered part of
is for this reason that many companies are add-
the duty of access control.
ing modern security features to their corporate
IDs. The use of holograms and watermarking
make replication of a well-designed identifica- ACCESS AUTHORIZATION
tion card difficult by unauthorized persons.
Company identification can be combined or During the course of performing access con-
integrated with an access card for the facility. trol, it may become necessary to deny access

IV. CRIME PREVENTION AND PHYSICAL SECURITY

194 16. ACCESS CONTROL

to those without proper credentials. The per- consist of executive offices, chemical rooms, file
son wishing to gain access may very well have rooms, and other areas that may require limit-
legitimate business on the protected property, ing or curtailing access. Rather than posting
and outright denial could create losses for the an officer at every area, access is controlled by
facility or property being protected. It is for this way of physical security barriers such as doors,
reason that facilities need a clear policy for the locks, CCTV, alarms, and electronic access con-
denial of access to individuals without proper trol. The effectiveness of physical security is
credentials. further enhanced by strict key control, effective
There are some facilities that may employ monitoring of CCTV and alarm systems by the
a strict “No Authorization, No Access” policy security officer, and accurate database manage-
that will dictate that the person requesting ment in electronic access control systems. Other
access without proper credentials be denied. important tools used to aid access control are
Many facilities will have a “backup” procedure intercom, telephone, and other voice commu-
to obtain the proper authorization for access. nications systems. Requests for access can be
One example may be that a facility manager made from remote points within the facility,
or supervisor could be called to provide verbal allowing an officer to be dispatched or to grant
authority for access. Another example may be access remotely from an electronic access sys-
to require a visitor requesting access to call an tem, given proper authorization.
authorized occupant in the facility to provide
an escort.
When the security officer is left with the LOCKS AND KEY CONTROL
decision of whether or not to allow access, it is
usually best that the officer act on the side of Locks and keys have been around for thou-
caution and deny access until a fair approval sands of years and are definitely the standard
or compromise is reached. Advising the person for controlling access in many areas. Since their
that he or she has to be denied access is an act invention, the durability and security of locks
best accomplished with diplomacy and respect. and keys have greatly increased along with their
The event of the denial should also be docu- use. Today, they help control access to almost
mented on a report suitable for the employer or every structure imaginable. Generally speaking,
client. Policies for granting and denying access a lock is a mechanical device that consists of a
should comprise part of the protection officer’s cylinder, springs, and several pins or “tumblers”
post orders or standard operating procedures. that prevent rotation of the lock cylinder or
plug without the insertion of a correctly cut key.
Higher security locks manufactured today make
APPLYING PHYSICAL SECURITY unauthorized replication virtually impossible.
IN ACCESS CONTROL Proprietary key blanks can have a restricted issue
to one distributor or end user. A restricted propri-
For many facilities, control of access at any etary keyway, combined with strict key control, is
one point may not be practical, particularly in an effective form of controlling access. Permanent
large facilities with many areas such as indus- keys should not be issued without signature or
trial and office buildings. Posting officers at receipt. Identical keys should each have unique
these various checkpoints to control access control numbers permanently stamped on the
might be an effective form of access control, key to identify issue. Temporary issue of keys
but in most circumstances, would not be a cost- should be accompanied by signature on a regis-
effective, long-term solution. These areas may ter or key sign-out form indicating a return time.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 ELECTRONIC ACCESS CONTROL SYSTEMS 195
All codes and control numbers appearing on the on a computer screen, directing the security offi-
keys should be documented for key sign-out. All cer to take a predetermined action. Specifics as
key control documentation should be consid- to the name, ID number, time of transaction, and
ered confidential and should be subject to similar type of denial are also recorded electronically
record-keeping procedures as the security reg- to histories, as well as other alarms. Histories
ister. When the need to revoke access privileges and other system reports can be customized in
is necessary, keys should be retrieved, or if nec- various ways and can be a valuable aid in the
essary, locks should be changed. Some newer investigation of various incidents, as well as in
generation locks can suspend or revoke access to controlling and monitoring time and attendance.
certain keys electronically, similar to an electronic Some companies utilize data from the access
access control system. This can eliminate the costs control systems to trend occupancy levels and
of lock changes, as well as administrative costs of use this data to shed energy loads in order to
reissuing new keys to authorized people. save on rising energy prices.
The industry of electronic access systems is
continually expanding in terms of technologies,
ELECTRONIC ACCESS manufacturers, and installations. The major-
CONTROL SYSTEMS ity of these systems are becoming more afford-
able and easier to use, whereas the technology
With the addition of electronic access control that makes the systems work is becoming more
to a facility, the officer can gain control of many advanced. Compiling modern, easy-to-use,
individuals in different areas of the facility at dif- graphical user interface software has made the
ferent times, regardless of traffic volume. Most management of “enterprise” scale systems a
access systems installed today provide ease of much easier task than it was just a few years
access for authorized parties to come and go to ago. Older enterprise scale systems use operat-
their authorized destinations. Access is gained by ing systems and software that consist mostly of
presentation of a card or other physical medium typed command line interfaces, which are less
to a “reader.” The reader may be connected elec- user-friendly than the more recent graphical
tronically to an “interface” or “controller,” or user interface-based technology. Front-end com-
networked directly to a host computer system, a puters on these earlier systems usually require
trend often referred to as “edge networked tech- more frequent maintenance and are more
nology.” Modern systems are usually configured costly to repair than the modern systems being
so that the remote controller, or even the reader, installed today. Installation of an electronic
will make local decisions for access control and access control system will also contribute to the
retain history transactions locally, in the event control of keys. Master keys need only be issued
of a host computer failure or scheduled main- in certain circumstances and may be signed out
tenance. This feature is known in the industry only when necessary. A daily sign-out control
as “distributed” or “field” intelligence, and the policy can ensure that master keys never need to
activation of this feature is often referred to as leave the property. Most installed access systems
“degraded” or “offline” mode. When access is use a card or similar medium to provide access
granted to a given area, the access transaction in place of the key. If lost, the card can easily be
is stored electronically on disk, tape, or printed voided by the operator of the system. This is a
media for future retrieval as part of a “history.” simple solution compared to the loss of a master
A person attempting to gain access where not key, which results in changing many locks and
permitted can usually be reported as an alarm reissuing keys to all keyholders. The access card

IV. CRIME PREVENTION AND PHYSICAL SECURITY

196 16. ACCESS CONTROL

will usually have a numeric or binary code that Systems can be interfaced or integrated with
is verified by a computer host, ensuring validity. other systems such as building automation, fire
systems, and human resources computer data-
bases. This allows the access holder to gain
access and turn on lights or air conditioning to
his or her work area with the use of the access
RADIO FREQUENCY (RF) system. With the activation of a fire alarm, an
INNOVATIONS access card could be automatically validated for
Most modern access control systems utilize use by the fire department.
a contactless or radio frequency card that, when
merely presented near a card reader, will be read ACCESS SYSTEM DATABASE
by the system and either permit or deny access. MANAGEMENT
Recent innovations in access control technology
have led to the use of contactless “smart” cards. Controlling the access system should have
In addition to providing the required data for tra- similar strict procedures to those of the key sys-
ditional electronic access control, other informa- tems. Issue should be controlled by consistent
tion can be stored on the card, such as personal and appropriate documentation. Typically, infor-
identification numbers to allow access, or even a mation is kept in a cardholder’s file, along with
biometric template, matching the cardholder’s a history of changes and authorizations. These
thumbprint or retina information to the content files should remain easily accessible by autho-
of the card. Other uses for the card may involve rized personnel until a set time has elapsed since
building automation or cashless vending. termination of the cardholder’s access. This not
only assists in audits, but can also control costs,
as a card with picture identification can be kept
on file in the event that the cardholder returns to
work in the near future. Returned damaged or
Modern electronic access systems have many
defective cards should be destroyed and docu-
features to enhance the level of access control
mented in the system database so identical cards
to a facility, area, or room. Turnstiles, interlock-
can be reissued in the future. Equal attention
ing mantraps, and parkade gates are combined
should be paid to the management of electronic
with access readers to prevent passback and
databases. Spelling and pattern consistency are
“piggybacking” in parking garages and high-
vital to good database management. Frequent
security areas. Cards may only allow one badge
software backups may one day pay off in the
in and one badge out to track the time in and
event of host server failure.
out of the facility or area. Some systems have
enhancements, such as the addition of “mobil-
ity impaired” access, to allow the extended BIOMETRIC TECHNOLOGIES
opening time of a door. In the event of a stolen
card, the card can be “tagged” with an alarm Biometric technology is slowly becoming more
upon use, alerting the operator at the monitor- commonly used in airports and other immigra-
ing station to dispatch security personnel to the tion checkpoints. Facial recognition technology
location of the cardholder. Meanwhile, the card is integrated into CCTV systems to identify indi-
remains active and permits access, so as not to viduals who are either wanted by law enforce-
alert the holder of the card. ment or may not be permitted travel to a given

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 ACCESS CONTROL IN THE INFORMATION AGE 197
country. Facial recognition technology is quickly Another large part of controlling access is
becoming an important tool in the prevention security awareness. Identifying and reporting
of international terrorism, smuggling of contra- lapses in security can prevent unauthorized
band, and child abduction at points of entry in access. Closing blinds in a locked office pre-
countries around the world. vents access to some of the visible information
held within. Paying extra attention to weak-
nesses in physical security, policy, and facility
ACCESS CONTROL IN THE design can play a large part in access control.
INFORMATION AGE As with many processes, the policies and pro-
cedures for controlling access in facilities are
Since the mid-1990s, business has migrated sometimes subject to flaws or have “room for
from the physical storefront to the Internet. We improvement,” and should therefore be scruti-
now use this medium to perform banking, man- nized by management. Some ideas for change
age our investments, and purchase goods and and improvement can be made at the level of
services. Companies make use of the Internet to the protection officer, and discussion between
give their employees access to the corporate net- officers concerning problems should be encour-
work so that they may work from home. Years aged at shift exchanges during officer brief-
ago, people perceived corporate espionage as ings and staff meetings. Tightening security
being performed by people dressed in trench should not be the only criterion for continuous
coats, picking locks with crude devices, and steal- improvement. In many instances, the need for
ing information with small cameras. Today, that faster authentication of authorized person-
image has been replaced with a teenaged com- nel may be considered essential, as losses may
puter hacker at home in his parents’ basement. occur due to an unauthorized person being
This sort of threat has led to an increase in the IT “held up” by security.
security field, a multibillion-dollar industry.

EMERGING TRENDS
In addition to those trends in information images produced by this technology for viewing
security, there are many new and emerging by security personnel are truly vivid nude ren-
trends and tools that relate to the function of derings of passengers. The industry insists that
access control. These include, but are not limited privacy is maintained, as there are no stored
to, optical high-speed turnstiles, handheld explo- images, and the facial images are censored.
sive and biohazard detection, and most recently, Use of these systems has not only been insti-
millimeter wave scanning. Millimeter wave scan- tuted at airports and embassies, but is becoming
ning is the latest trend in pre-board screening at common in nightclubs and even theaters. The
airport facilities. While it is an effective replace- role of performing and facilitating access control
ment for manually searching passengers, privacy continues to evolve, as does the technology that
advocates criticize the technology as unnecessar- supports it. It is a vital first line of defense in the
ily invasive and a threat to personal privacy. The protection of people, assets, and information.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

198 16. ACCESS CONTROL

S EC U R I TY QU IZ 6. __________ key blanks can have a restricted

1. The task of performing effective Access issue to one distributor or end user.
Control includes record___________ a. Metal
a. Control b. Foreign
b. Planning c. Proprietary
c. Keeping d. Expensive
d. Destruction 7. The feature of access control systems
2. Signing in at a security ________ is a common operating off-line and not connected to
function of controlling access. a host computer is often referred to as
a. Officer ‘________’ or ‘offline’ mode.
b. Register a. Upgraded
c. Course b. Access
d. Door c. Degraded
3. ________ of regular occupants to a facility d. Egress
is considered a very secure form of access 8. Smartcards have the ability to store a
control. biometric _______ among other types of
a. Recognition information.
b. Harassment a. Template
c. Interrogation b. Contemplate
d. Arrest c. Record
4. There needs to exist a clear policy for the d. Cash
denial of _______ for individuals without 9. _________ __________ _________ is an
proper credentials. effective alternative to manually searching
a. Rights airline passengers.
b. Access a. X-Rays
c. Service b. Facial Recognition Technology
d. Income c. Millimeter Wave Scanning
5. The effectiveness of physical security is d. Biometric Template Technology
further enhanced by strict __________ control. 10. Biometric technology is slowly being
a. Inventory removed from usage in airports and other
b. Pest immigration checkpoints.
c. Car a. True
d. Key b. False

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 C H A P T E R

17
Detection Technology
Kevin T. Doss‚
Christopher A. Hertig, and
Bethany J. Redmond

personnel efforts and assist in the assessment of

CHAPTER OBJECTIVES containers or vehicles. The selection and use of
● Identify considerations for selecting and detection equipment should complement the
implementing detection equipment types of inspections defined by security policy
● Metal detection and related procedures. In addition, detection
technology should be based upon the protec-
● Explosive detection tion level required, as well as the sophistication
● X-ray detection and type of threat.
● Canine detection To determine which detection technology is
● Electronic article surveillance systems most suitable for organizational needs, it is essen-
tial to consider the durability and reliability of the
● Responding to alarms equipment, the area of detection, and volume of
traffic or articles to be screened, and the aesthetic
effect on and cultural fit with the work environ-
ment. It is also necessary to evaluate the life-cycle
cost of the detection equipment when purchas-
WHICH DETECTION EQUIPMENT ing the proper technology. The life-cycle cost
IS THE BEST? estimates include more than the initial cost of the
equipment, as it is necessary to factor in the cost
It has been a long-standing practice to uti- to install, operate, maintain, and adjust for other
lize inspections and searches to detect and pre- fees, such as applicable taxes.
vent the introduction of dangerous articles or After the selection of the detection equipment
deter the theft of organizational assets. To better has been made, it is necessary for the supplier to
protect assets and personnel, detection equip- assist in developing training material for the pro-
ment is used at ingress and egress points. This tection officers who will operate the equipment.
detection technology can enhance security This training should be developed in accordance

199
200 17. DETECTION TECHNOLOGY

with the manufacturer’s specifications and com- Magnetometers

ply with the organization’s security policy and
procedures. Such training should address all A magnetometer is a device that detects
organizational requirements and related expecta- changes in a magnetic field caused by the pres-
tions regarding the implementation of the detec- ence of ferromagnetic materials, or materials
tion systems. The training phase will also assist attracted by a magnet. Metals such as copper,
in the promotion, awareness, and compliance for aluminum, and zinc cannot be detected by a
employee and visitor alike. magnetometer.

METAL DETECTION Continuous Wave Devices

These devices generate a magnetic field of
Devices used for the detection of metal vary low strength. A difference in the signals sent and
by application (walk-through monitors or hand- received by the transmitter and receiver from
held devices) and composition sensitivity (what the introduction of a metallic object in the mag-
type of metal it can detect). A manual inspec- netic field will cause an alarm. Continuous wave
tion, using a handheld metal detector, may be devices can be calibrated to optimize detection
necessary to locate objects on an individual if of ferromagnetic or nonferromagnetic metals.
a larger, automated detector is triggered when
the individual passes through the field of detec-
tion. It is essential that the protection officer Pulse-Field Detectors
conducting the manual inspection displays the
Pulse-field detectors operate by complex fre-
utmost level of professionalism and courtesy to
quency waves that induce an eddy current in
the individual subject to the screening. If pos-
the metal introduced in the field of detection.
sible, the gender of the officer conducting the
The signal resulting from this reaction will gen-
screening should be the same as the individual
erate an alarm when it exceeds a certain thresh-
being screened.
old. As with the continuous wave device, the
Non-portable, or “fixed,” metal detectors
pulse-field detector’s phase detection permits
are being used at airports, courthouses, pris-
form optimization for detection of ferromag-
ons, mailrooms, and even in public schools.
netic and non-ferromagnetic metals. If paired
Moreover, high-security facilities, such as labo-
with digital technology, a pulse-field detector
ratories, nuclear plants, and chemical facilities,
produces an enhanced analysis of the signal,
deploy such technology for both security and
allowing for better discrimination between
safety purposes. Many mineral companies have
different types of metals, as well as between
also deployed such technology to track employ-
prohibited items and harmless metal objects
ees who handle precious metals, such as gold or
passing through the detection field.
silver, due to the high value these metals have
on the open market.
Another application for metal detection tech-
nology is being used by police investigative units X-RAY
that operate portable (often handheld) metal
detectors at crime scenes to locate guns, knives, X-ray detection technologies are also used
bullets, and casings for investigative purposes. to detect dangerous or prohibited items when
The following are several metal detection screening packages, containers, or vehicles. The
technologies in use today: type of substance detected by the X-ray detector

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 EXPLOSIVE DETECTION 201
is dependent upon the energy transmitted by the or vehicles. Security officers involved in the
device. X-ray detection devices are capable of inspection process are responsible for prevent-
detecting drugs, metallic items, explosives, and ing the introduction of hazardous materials into
some food items. An example is a portable X-ray the area and should be able to recognize the five
detector used in a mailroom to check packages basic components of an explosive device:
for explosives or other dangerous items. ● A power source such as a battery
Standard X-ray units can only scan objects, ● An explosive material such as TNT,
but not people, due to the amount of radia-
dynamite, or C-4
tion produced. However, low-dose X-ray units ● A detonator or blasting cap
are being tested at several airports. These low- ● A triggering device such as a clock or switch
dose machines utilize backscatter technology, ● Connecting wires
which allows for safe use of X-ray detection on
humans. This type of detector will show the When viewing the detection equipment moni-
human body underneath clothes and requires tor, it is important to observe the shapes of objects
a front and back scan to properly assess the being screened. Some dangerous articles will be
individual. A note of caution must be exercised more obvious than others. Sometimes a danger-
when using these devices, as there have been ous or hazardous item may be disassembled. In
several lawsuits involving “invasion of pri- this case, a package or container may be classified
vacy” charges by individuals who have been as a possible threat even if only two components
scanned. In response, one airport has started to of an explosive device can be identified.
“black out” private areas on individuals being
scanned to protect their privacy. Chemiluminescence Detectors
There are a few concerns when using X-ray
technology as a detection method. First is the Chemiluminescence detectors can detect explo-
fatigue that operators experience when look- sives such as RDX and PETN through photo-
ing at an X-ray monitor for extended periods chemical means. Vapor samples collected from the
of time. This can be mitigated by rotating shifts subject being screened are separated into compo-
routinely based on 20- to 30-minute intervals nents by a gas chromatograph. After the sample
between operators. Another important issue to is heated and the existing nitrogen compounds
operators is the assessment interpretation dur- decompose, the residual nitrogen oxide (NO) will
ing image analysis. Individuals can make mis- react with ozone, creating nitrogen dioxide that
takes and often misdiagnose items or overlook emits a photon detected by the device.
dangerous objects. Mistakes can be reduced
through proper training of staff and by use of
Backscattering Technology
corrective measures.
Backscattering technology utilizes a detec-
tion process which can detect organic com-
pounds with a low atomic number using X-ray
EXPLOSIVE DETECTION reflection. This type of sensing technology is
also very effective in detecting narcotic drugs.
Like metal detectors, devices used to detect
explosives may vary based on method of
Computed Tomography
detection or application. Some devices are
suitable for screening people, while other tech- Computed tomography (CT) uses a compu-
nologies can only be used to search containers ter program to automatically scan packages for

IV. CRIME PREVENTION AND PHYSICAL SECURITY

202 17. DETECTION TECHNOLOGY

explosives. CT technology uses X-ray scanners consistency and uniformity make it possible for
that provide 3D images of the potential explo- dogs and handlers to be interchangeable among
sives. The costs to operate CT technology are teams. This also allows for additional flexibility
comparably higher than other explosive detec- among handlers should someone be out on sick
tion technologies. leave or take vacation time.
Typically, canine olfaction is used to detect
explosives at military bases or airports, or dur-
CANINE DETECTION ing special events. What’s more, they are very
effective in tracking down illegal substances
Dogs can be very effective instruments of at border crossings, public schools, and cor-
detection and offer great portability in a vari- rectional institutions. Dogs are also effective
ety of security applications. Research indi- in detecting both live humans and/or dead
cates that a dog’s olfactory system is 10,000 to bodies during environmental disasters such as
10,000,000 times greater than that of a human. Hurricane Katrina.
A dog’s keen sense of smell can be developed Additionally, the presence of a detection
and used in a variety of detection and security dog can provide a deterrent value to individu-
applications: als considering entering the area with prohib-
ited items or dangerous articles. Dogs are also
● Explosives
of high value when used to disarm or distract
● Human concealment and tracking
dangerous subjects.
● Drugs
It is worth mentioning that improper beha-
● Patrol services
vior by the dog and handler can ruin the
● Chemical weapons of mass destruction
reputation of the company or organization.
● Dual-trained as detection and bite dogs
Management should consider the potential
● Defense and protection of the handler
reputation damage resulting from unprofes-
Dogs trained for detection purposes may be sional behavior by the handler or dog and must
more reliable than other methods of detection ensure compliance with any legislation pertain-
because they are not very susceptible to false ing to the use of guard dogs. Indemnity against
alarms. Dogs are reliable and selective when harm or damage arising from the use of guard
detecting sources of chemical vapors and are or detection dogs should be provided by the
able to distinguish between very similar chemi- contractor. Another downside to using dogs is
cal compounds. Machines used in detection are the lengthy initial training period required for
adjustable and can be altered by users to reduce both dog and handler. Such training equates to
the occurrence of false positives. However, if cost, and many organizations do not have the
the threshold of the detection equipment is patience or funding to support it.
changed too much, the equipment may no lon-
ger be effective in detecting these substances.
A well-trained dog and handler team can typi- ELECTRONIC ARTICLE
cally work effectively for 8–10 hours. However, SURVEILLANCE
there are other variables to take into account to
determine how long a dog can work, such as vol- Electronic article surveillance (EAS) is a
ume of work, temperature, and amount of rest. technology that typically uses magnetic, VHF/
Consistency must be established during the train- microwave, or barcode sensors to detect fraudu-
ing regimen, and every handler and dog should lent activity. An EAS system is a protection sys-
be trained under the same conditions. Such tem that uses electronic sensors and detectors

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 RESPONDING TO ALARMS 203
that create a field of detection or surveillance. RESPONDING TO ALARMS
The electronic sensors, also known as labels or
hard tags, are secured directly to the merchan- A systematic process for the investigation, iso-
dise or asset. If the label or tag is not properly lation, and handling of the person, item, or area
removed from the item, the detector will sound being screened is necessary when responding to
an alarm when the article passes through the an alarm. The detection and identification of a
zone of surveillance. dangerous or prohibited item are the first steps
In the past, EAS technologies were generally of incident prevention. During an inspection,
used only in retail establishments to prevent the a protection officer must be on the lookout for
theft of merchandise. Today, EAS systems can indicators of dangerous articles, unusual series of
be found wherever there is a need to protect events, and abnormal behavior. After a suspect
assets from loss, including libraries, long-term article is discovered, it is crucial for the protection
care or assisted living facilities, and pediatric officer to proceed rationally and calmly to take
units in hospitals. control of the situation. Officers and responders
Another technology which has gained must act decisively, in accordance with policy
ground recently is radio frequency identifica- and procedures, while taking into account the
tion (RFID). Retailers have been at the forefront circumstances, the environment, and the detected
of this technology curve, using RFID to detect material or article itself. Report the situation to
fraudulent activities. However, RFID technology the controller or supervisor and take action to
allows for more than just theft protection at the reduce the threat and protect life. Be sure to con-
retail outlet. Products can be tracked from the trol and limit access to the immediate area and
raw material stage, through the manufacturing/ direct people safely to a designated muster area,
production stages, all the way to the end user. away from the suspected article. Do not attempt
Thus, RFID technology provides real-time data to move or disrupt the suspect item. Make note
which can assist the organization in efficiency of any details of the article and report them to
and productivity, while protecting assets from the supervisor and response personnel. When
theft or damage. the response personnel arrive, work with them to
In addition to electronic EAS tags, there are maintain control of the area and situation.
a few other technologies which are currently in Hands-on inspections of people are to be
use. Value deprivation tags make the item more used only as a last resort, in concurrence with
difficult to steal, but usually do not initiate an security policy, and under the direction of super-
alarm. Tags such as the “gator” tag actually tear vision. A manual inspection may be necessary to
the clothing they are attached to if an attempt to locate objects on an individual if an automated
remove them without the proper tool is made. detector alarms. If an individual refuses to coop-
Another similar tag is the infamous “ink” tag, erate with the protection officer’s request for an
which explodes stain onto the clothing if an inspection, the officer should remember that
attempt is made to remove it without the proper physical force is used as a last resort and refusal
removal tool. The retailer must place such tags to comply with the request is not a crime. Force
on clothing so they are visible, since these are should only be used under severe circumstances
considered to be deterrent devices. Moreover, and if the protection officer reasonably believes
additional training and funding are required that the individual poses a threat to others. In
to implement such technology storewide. The the event the inspection reveals the presence of
tags can also reduce cashier efficiency level, as a prohibited or dangerous article, the protec-
the cashiers must remove the tag at the time of tion officer should contact law enforcement and
purchase. hand the person over to them.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

204 17. DETECTION TECHNOLOGY

EMERGING TRENDS

Emerging trends in detection technology compared to other bulk explosive detection

include the possible use of MRIs in airports to technologies on the market today. One potential
scan and differentiate hazardous liquids from application for QR is the detection of land mines
nonhazardous liquids. Researchers at national in combat zones.
laboratories, who developed “MagViz” to take As technology advances and security demands
enhanced pictures of the brain, believe that this increase, the capabilities and uses for detection
technology might also be helpful in airport secu- equipment will also increase. Furthermore, it is
rity screening. Another detection technology that anticipated that the adversary will become even
is becoming more prominent is quadrupole reso- more sophisticated, and detection technology
nance (QR) or nuclear quadrupole resonance. will need to improve as new threats develop. In
(NQR), which is an MRI technology used to addition, both criminals and terrorists are devis-
detect hidden explosives. This technology uses ing unconventional methods and techniques to
radio waves (low energy type) to determine if destroy or compromise assets. Such advancements
any nitrogen-rich materials are present. The cost will require a more educated and aware operator,
of these QR scanners is relatively inexpensive along with an effective training program.

SUMMARY the organization. Detection technology is here

to stay and will become more sophisticated to
It is evident that no single detection techno- meet security requirements in the future.
logy is properly suited for all applications. The
detection technology must be matched to the
organizational objectives and applicable threats. References
As with most security technologies, human Association for Automatic Identification and Mobility. (n.d.).
interaction and assessment capabilities drive the Electronic article surveillance. Retrieved October 14, 2009,
effectiveness of detection technology. Total cost from http://www.aimglobal.org/technologies/eas/.
of ownership for the technology system, along Cannon, J. C. (2008). MRI at the airport? Retrieved October
with operator training, is a critical component 15, 2009, from http://www.innovation-america.org/
archive.php?articleID447.
in choosing a detection system. A security pro- Fischer, R. J., Halibozek, E., & Green, G. (2008). Introduction to
fessional should consult with an attorney to security (8th ed.). Boston, MA: Butterworth-Heinemann.
discuss potential liabilities and concerns prior Garcia, M. L. (2008). The design and evaluation of physical
to implementing any of these technologies, as protection systems (2nd ed.). Boston, MA: Butterworth-
some may be considered “invasive.” It is also Heinemann.
Patterson, D. G. (2004). Implementing physical protection sys-
critical during the planning phase to deter- tems: A practical guide. Alexandria, VA: ASIS International.
mine the threat basis and design the detection U.S. Department of Energy. (2008). Contractor protective force,
system based upon the needs and culture of DOE M 470.4-3A.

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 SECURITY QUIZ 205

S EC U RI T Y QU IZ b. X-ray
Detection Equipment c. Pulse-field detector
d. CT scan
1. How many suspect components of an
6. Which chemical compound does
explosive device are needed to warrant a
chemiluminescence technology detect?
possible threat?
a. Carbon dioxide
a. Five
b. Nitroglycerin
b. Three
c. Nitrogen dioxide
c. One
d. PETN
d. Two
7. The selection of detection equipment should
2. Which component is not considered a basic
be based on:
component of an explosive device?
a. Life-cycle cost of the equipment
a. Explosive material
b. Reliability of the equipment
b. Detonator
c. Type of threat
c. Connecting wires
d. All of the above
d. Projectile
8. Electronic article surveillance (EAS) systems
3. Which of the following is considered to be a
are used to detect:
downside to using detection dogs?
a. Electrodes
a. A dog’s keen sense of smell can be
b. Merchandise surplus
developed and used to detect drugs and
c. Fraudulent activity
explosives
d. Retail invoices
b. Unprofessional behavior by a dog and
9. When responding to an alarm, it is
its handler may ruin the company’s
important to:
reputation
a. Use physical force
c. An individual may be deterred by the
b. Remove the suspected article from
presence of a detection dog from entering a
the area
facility with a dangerous item
c. Control access to the detection
d. A detection dog may be an effective tool
equipment
for detecting lost or missing persons after
d. Abide by company policy and procedure
an environmental disaster
10. Which of the following is not a consideration
4. A magnetometer is a kind of metal detector
when using X-ray detection technologies?
that detects:
a. Taking necessary precautions to protect
a. Zinc
one’s personal privacy
b. Aluminum
b. Implementing shift rotation for security
c. Ferromagnetic material
personnel to mitigate operator fatigue
d. Nonferromagnetic material
c. Training new operators is lengthy and
5. Which of the following is not a metal
expensive
detection technology used prominently in
d. Implementing proper training and
security applications?
corrective measures to reduce mistakes
a. Continuous wave device
made in assessment interpretations

IV. CRIME PREVENTION AND PHYSICAL SECURITY

 U N I T V

SAFETY AND FIRE

PROTECTION

18 Fire Prevention, Detection, and Response

19 Occupational Safety and Health and the Protection Officer
20 An All Hazards Approach to Hazardous Materials
 C H A P T E R

18
Fire Prevention, Detection,
and Response
Michael Stroberger

situations, the protection of human lives must

CHAPTER OBJECTIVES be the most important factor. Property can be
● Identify the three components of a fire replaced, information recompiled, and other
triangle materials remade. Protection of human lives
● List typical hazard areas where fires may must be the overriding consideration in every
occur prevention and response plan.
● Identify the four types of fires
● Explain the use of five types of fire FIRE BASICS
extinguishers
● Emphasize the necessity of developing a Fire is, in its basic mechanics, nothing more
fire plan than an extremely rapid conversion from one
state to another. This reaction requires three com-
ponents to occur and must continue to utilize
these three components to be sustained. As such,
in looking at the prevention and response to fires,
Fire has long held a position as one of the
it is essential that everyone understand these
most feared threats to life and property. Fires
parts, known as the “fire triangle.”
not only destroy homes and buildings, but they
can also consume vast expanses of wilderness 1. Fuel—for a fire to exist, there must be
or entire neighborhoods, and take the lives of some materials available that are capable
people within their area of effect. Once initi- of combustion. The material could be as
ated, fires spread rapidly and become extremely simple as paper or wood, or as complex
hard to control or extinguish. as magnesium. In every case, fuel is the
Our best defense is the prevention of fire component that undergoes the conversion
before it begins. Through effective controls from its current state to a different state. In
and inspection, this threat can be significantly most cases, conversion is from a solid to a
reduced to the benefit of everyone. In all fire gas, with some solid materials remaining.

209
210 18. FIRE PREVENTION, DETECTION, AND RESPONSE

2. Oxygen—the conversion of states in a area. The operation of industrial dryers requires

fire situation requires an interaction with the production of heat. When processing cloth,
available oxygen. In most cases, fires are there is a certain amount of lint that is produced.
entirely dependent on the oxygen in the As a result, there is a ready supply of fuel (lint is
surrounding air; in other, fairly rare, cases very combustible) in close proximity to a heat
the material that is being consumed may source. The prevention practice is extremely sim-
produce oxygen as a result of this process. ple: remove and clean the lint filter after each load,
3. Heat—the final component required to cause or at least on a regular basis.
the fuel in an oxygenated environment to Other typical hazard areas to inspect could
begin the process of conversion is some include the following:
source of heat. ● Boilers, heaters, and furnaces
Without the presence of all three compo-
● Cooking areas
nents, a fire cannot begin or be sustained. This
● Electrical equipment and breaker rooms
leads us to the basic concept that cleanliness is
● Storage areas for flammable liquids
a major contributor to the prevention of acci-
● Vehicle storage areas
dental fires. If all available fuels are stored in
● Work areas that utilize oils, paint thinners,
a manner consistent with fire prevention prac- and other combustible liquids
tices, they will be sufficiently removed from
● Smoking areas
identified sources of heat, and the chance of As a general rule, areas that are cluttered
combustion is almost eliminated. This means tend to have an increased chance of fire hazards
that all identified sources of fuel must be iden- and should be frequently inspected until they
tified and properly utilized and stored, to pre- are properly cleaned.
vent exposure to heat (Figure 18-1). When inspecting for fire hazards, which
For example, one of the more common fire should be a constant aspect of every patrol,
locations in the hospitality industry is the laundry it is also essential that identified hazards be
Chemical
(O

e
He
e)

sid
xid
tur

at

en
izin
era

sid

yg
ga
mp

Ox
ge
(Te

Ox
at

nt)
yg
He

en

Re
ac
ain tio
Ch n

Fuel side
Fuel

(Reducing agent)

FIGURE 18-1 The fire tetrahedron.

V. SAFETY AND FIRE PROTECTION

 FIRE TYPES 211
corrected, documented, and prevented from utilizing an electronic system as a backup to
reoccurring. these components, you greatly increase the
likelihood of identifying fire situations. As pre-
viously stated, it is essential that fires be iden-
DETECTION METHODS tified at the earliest possible moment, so that
they have not had a chance to grow too large to
If prevention methods fail and a fire begins, be contained and extinguished.
the specific hazard must be detected so that
the response program can be effective. The two
methods of fire detection are human observa- FIRE TYPES
tion and electronic systems.
Human observation is often more effective, Although based upon the same concept,
since it allows for the use of reasoning and judg- fires can be divided into four basic types, deter-
ment to determine the nature of the actual situa- mined by the nature of the fuel component of
tion. In this case, however, there must be people their fire triangle. It is important to know these
present to make the discovery. Patrol officers have types and the differences in their fuels, as it can
excellent opportunities to identify potential fires make a difference in how the fire is contained
through smell, sight, and even sound and touch. and extinguished. The basic classes are:
In some cases, officers observe fires in such an
1. Class A fires generally have common solid,
early stage of development that they are able to
combustible materials as their fuel. This may
effectively extinguish them without outside assis-
include such fuels as wood, paper, and cloth.
tance. In addition, by obtaining the cooperation
This is a very common form of fire. It is also
of other people in the environment, the chances
the most basic.
of human observation can be increased. Often,
2. Type B fires are fueled by liquid or gaseous
these other observers must be given some form
fuels, such as gasoline, kerosene, and
of basic training to identify hazards or early stage
compressed gas tanks like propane.
fire threats so that they can be more effective.
3. Type C fires are initiated by, or contain an
Electronic detection can also be highly effec-
element of, electrical involvement. Fires in a
tive, especially in areas where chances of obser-
breaker box, power strip, frayed extension
vation by people are relatively low due to
cord, or item of powered equipment would
infrequent travel or visual obstructions. Electronic
fall into this category.
systems of detection can include sensors that
4. Type D fires are caused by burning metals,
watch for smoke, rapid increases in tempera-
such as magnesium. They are often
ture, temperatures above certain levels (regard-
extremely intense and require special
less of how quickly that temperature is reached),
equipment to handle.
and even early combustion of airborne particles.
Unfortunately, electronic sensors can also trigger Once the nature of a fire is understood, it
alarms as a result of situations other than fires. It becomes a determining factor in how to handle
is because of this that all alarms must be investi- a particular situation. For the most part, classes
gated to determine the actual cause. A, B, and C fires of sufficiently small size can be
The ideal detection program is, of course, a contained and extinguished by a person utiliz-
combination of human observation and elec- ing an appropriate extinguisher. Class D fires
tronic monitoring. By thoroughly training the require such specialized equipment that most
protective force and offering basic training to responders will not be able to effectively handle
all other people who will be in the area, and them, and should be cautioned to maintain a

V. SAFETY AND FIRE PROTECTION

212 18. FIRE PREVENTION, DETECTION, AND RESPONSE

Ordinary Flammable Electrical Combustible

Combustibles Liquids Equipment Metals

(Green triangle) (Red square) (Blue circle) (Yellow star)

FIGURE 18-2 Fire classifications.

safe distance in the process of evacuating the common extinguisher types and the class of
immediate area (Figure 18-2). fire they are intended to be used on are as
follows:
● Dry chemical—these utilize a powder that
EXTINGUISHERS is expelled from the nozzle in a stream
of pressurized, nonflammable gas. Dry
The most critical aspect of deciding if you are chemical extinguishers are usually classified
going to attempt to extinguish a fire is deter- as usable on Class A, B, and C fires, as
mining if you can do so without serious risk to they will be both effective and relatively
your own safety or the safety of others. Make no safe in those applications. Dry chemical
mistake: fighting a fire is dangerous. By its very extinguishers extinguish the fire by coating
nature, this activity requires that you intention- the fuel of the fire, making it unavailable for
ally remain within, or move within, close prox- combustion.
imity to a highly hazardous environment. Care ● Carbon dioxide—these units produce a
should be taken to ensure that the responding cloud of snow-like particles that quickly
person understands the dangers and the equip- evaporate into a carbon dioxide layer. This
ment to be used, as well as its limitations. The layer reduces the available oxygen and cools
purpose of fighting a fire is to save lives and the area, breaking the fire triangle. They
property, not to risk them needlessly. are commonly classified as B and C type
When working in an environment with extin- extinguishers.
guishers that you may not have used before, it ● Water-based—water is a good extinguishing
is recommended that a test unit be obtained, agent for Class A fires, but can aggravate
even in a group setting, so that the area of other types. If used on burning liquids
effect, limits of range, and duration of use can (Class B), it can spread the fuel, thus
be explored. enlarging the fire area. If used on electrical
When deciding if it is appropriate to attempt fires (Class C), it can cause serious harm to
to extinguish a fire, it is important that the the responder, as it may conduct an electrical
equipment you select matches the fire type. charge, causing an electrical shock to be
Mismatching the extinguisher and fire types delivered to the holder of the unit or others
may result in a marked increase in the level standing in the runoff from it.
of personal danger to which the responder is ● Halogenated units—these are referred to
exposed. With this in mind, some of the more as “clean agent” extinguishers because they

V. SAFETY AND FIRE PROTECTION

 CONTAINMENT 213
contain a chemical that leaves no residue upon to certain minimum temperatures. These
evaporation. They cool and smother fires, valves, called “sprinkler heads,” are located at
making them typically usable on Class A, B, regular intervals throughout the entire building.
and C fires. These are the ideal type of unit Once the valve opens, the feed pipe that is
for responding to computer or other delicate attached to it will continue to supply it with
electrical equipment fires, as they are far less water until the control valve for that area is
likely to cause damage to the equipment in the closed or the sprinkler head is replaced. In most
process of extinguishing the fire. systems, the feed pipe has a sensor added to it
● Foaming agents—these units produce a foam to activate the alarm system if the water begins
layer that blocks the flow of oxygen to the to flow toward an activated sprinkler head.
fire area. They are very effective against Class ● Range-hood systems—in kitchen areas,
A and B fires. Unfortunately, foaming agent there are often specialized systems designed
extinguishers often utilize a water-based agent to blanket the entire working area with a
and so should not be used on Class C fires. special chemical agent. This is designed to
be highly effective on grease fires and other
In the past, there were extinguishers that had to
common kitchen fires, yet still be relatively
be inverted to cause a reaction between the main
easy and sanitary to clean up. These systems
tank contents and a bicarbonate material, result-
are triggered manually by persons who
ing in development of pressure. It has been rec-
observe a fire.
ognized that this motion, the inversion of a heavy ● Stand pipes—based on application of fire
extinguisher, may not be within the capabilities of
codes, most buildings have a stand pipe
persons with disabilities, and their use has been
system that allows for the connection and
largely discontinued. In the United States, such
supply of fire hoses. Like an extension
extinguishers do not comply with the Americans
of a fire hydrant, these provide the fire
with Disabilities Act and should not be present in
department, or in-house fire brigade, with an
the workplace.
available source of water.
Extinguishers should also be checked and
inspected on a regular basis. If there is high traf- It is widely accepted that, even under the
fic in a given area, especially one that is open to best of circumstances, these types of automatic
the public, checking extinguishers daily, or even or large-scale systems usually slow or contain a
on each eight-hour shift, might be in order. It fire, but often do not extinguish it. As a result, it
is important to ensure that they have not been is essential that each activation is investigated
discharged or tampered with so that they will and the fire department becomes involved to
be available for use if a fire is discovered. ensure that the hazard is properly eliminated.

PERMANENT EXTINGUISHING CONTAINMENT

HARDWARE
In addition to the actions of responders and
In addition to extinguishers, which may be
the utilization of various systems and equip-
carried by possible responders, there are some
ment, there are usually design limitations that
more elaborate extinguishing devices that are
aid in the containment of a fire. In most juris-
installed in buildings:
dictions, and within many companies, there are
● Automatic sprinklers—these operate through specific design and construction requirements,
a spring-loaded valve that opens when exposed with regard to the use of fire-resistant building

V. SAFETY AND FIRE PROTECTION

214 18. FIRE PREVENTION, DETECTION, AND RESPONSE

materials. Such items as fire-resistant doors, It is essential that senior management review
designed to resist the spread of a fire for certain this program and support it. It is also essential,
periods of time, aid greatly in the containment and in some areas required, that the fire mar-
of a fire. However, to be effective, they must be shal have a chance to review the fire plan and
in their proper position and working in accor- approve it prior to implementation.
dance with their original design. As part of As part of a formal plan, alarm systems
every officer’s patrol, confirming that fire doors should be regularly inspected and tested to
are in proper condition and not propped or ensure that the components are functioning
wedged open should be a constant component. properly. This should include activation of every
sensor through cooperation with a qualified/
certified inspector or installer and the presence
FIRE PLANS or approval of the fire marshal.
Above all, the response portion of a fire plan
Designing a fire plan, prior to an actual event,
must be realistic in its assignments and expec-
is the most effective step in any fire prevention,
tations. It should be written with the following
fire detection, and fire response program. It is
limitations in mind:
through this plan that all of these factors should
be addressed and given structure and detail. ● Assign duties only to people or positions
Developing such a plan must be done in coop- that will always be present. If you work
eration with those expected to execute the plan, in an area where the patrol officer is the
and they should be involved from the beginning. only position that is staffed at all times, the
Without this, it is possible that aspects of the response plan should assume that this will
final plan may be unrealistic, and could prevent be the only person present for its critical
an effective program from being implemented. aspects. It is easier to assign an extra person
The written plan should include the follow- to a new duty than it is to find an extra
ing as a basic guide: person for a vacant function.
● Write each phase with the protection of lives
● Emergency contact names and telephone
as the primary focus, and property concerns
numbers
as a secondary motivation.
● A formal chain of command ● Write the plan based on existing equipment
● Detailed explanations of the responsibilities
and supplies only. Do not count on having
of each person or department in prevention
time to obtain other items before the plan
aspects
must be put into action.
● Detailed explanations of the responsibilities of
each person or department in response aspects The most important point about fire plans is
● An explanation of the equipment available, that they must be put into effect! What good is a
the frequency of inspection, and the method plan that is exhaustively researched, designed
of documentation by a broadly scoped committee, approved by
● An explanation of the training that personnel every member of the team, and then put on a
receive, the frequency of retraining, and the shelf and never utilized?
specific responsibilities bestowed as a result
of this training ARSON
● Charts and diagrams of the property,
detailing equipment locations, routes of Fires are not always accidents or acts of nature.
egress, evacuation meeting locations, and An alarming number of cases are thought to be
similar fixed points fires that are intentionally set for any of a vast

V. SAFETY AND FIRE PROTECTION

 SECURITY QUIZ 215
number of reasons. In some cases, insurance fraud which could draw attention to them. Much like
is believed to be the motivator; in others it is due other crimes, a motivated and dedicated arsonist
to psychological disorders. Whatever the motive, will eventually find a way to attempt to carry out
arson fires are some of the most dangerous. Often, their crime, but you can create an environment
accelerants are utilized to cause the fire to grow where the arsonist, looking for a random place to
rapidly beyond the containment and extinguish- start a fire, will be less likely to feel comfortable.
ing capabilities of the responding fire department.
In some tragic cases, this means that those within CONCLUSION
the structure don’t have time to escape before fall-
ing victim to smoke inhalation. In even more sin- Know the basics and apply them to every
ister cases, arsonists have been known to block or patrol. Train each member of the team who is
lock doors, preventing escape from the flames. supposed to respond to fire situations so that
Your best protection against arson is a com- they are not hesitant when that time comes. Train
bination of highly visible patrols to deter the everyone in how to prevent fires and respond to
attempt, and effective securing of unused rooms discovering them, for their own safety. Fire can
and flammables. These steps will reduce the areas be a devastating event, especially if the response
of concealment, which the arsonist often relies on is uncoordinated or slow. Regularly check and
to prepare for the incident, and also cause the inspect equipment to ensure that it is in usable
arsonist to have to bring their own materials, condition, should the need arise.

S EC U RI T Y QU IZ c. Both of the above

1. One component of the Fire Triangle is heat. d. Neither of the above
a. True 7. Arson fires are:
b. False a. Intentionally started
2. Class A fires are those involving alcohol as b. Often made more dangerous through the
the fuel. use of accelerants
a. True c. Sometimes part of insurance fraud attempts.
b. False d. All of the above
3. Fighting a fire with an extinguisher is very safe. 8. Typical hazard areas include:
a. True a. Boilers, heaters, and furnaces
b. False b. Cooking areas
4. Human life and safety should be the c. Smoking areas
primary concerns in fire situations. d. Vehicle storage areas
a. True e. All of the above
b. False 9. Dry chemical hand extinguishers are usually
5. Fire plans should include: considered:
a. Evacuation routes a. Class A
b. Defined responsibilities b. Class B
c. A chain of command c. Class C
d. All of the above d. All of the above
6. The detection of fires can be broken into: 10. A magnesium fire is an example of a Class B fire.
a. Electronic methods a. True
b. Human methods b. False

V. SAFETY AND FIRE PROTECTION

 C H A P T E R

19
Occupational Safety and Health
and the Protection Officer
Kevin Palacios

In many instances the only protective force

CHAPTER OBJECTIVES on duty is the officers patrolling or perform-
● Definition of work and health ing access control duties. Providing a safe and
● Consequences of occupational hazards secure physical environment is the major func-
tion of all protection officers.
● Basic elements of an Occupational Safety Many organizations combine the disciplines
and Health (OSH) program of Occupational Safety and Health (OSH), secu-
● Major causes of occupational accidents rity, and fire protection into one single depart-
and illness ment because of their common objectives. This
● The role of the protection officer in OSH department is usually referred to as the Loss
programs Control Department or the Loss Prevention
● Key terminology Department. It is usually directed by a manager
or administrator.
The protection officer, by nature of his duties
and familiarity with its surrounding, is in the
INTRODUCTION best position to identify and correct unsafe
conditions, unsafe acts, and potential hazards.
Risk can take many different forms. It can The protection officer can play a significant
affect people, information, tangible assets, repu- role in accident prevention, safety awareness,
tation, and the environment in all organizations. and health promotion in the workplace. As
This list not only describes all the domains a safety and health are broad, diverse, and ever-
protection officer has to look after, but also changing topics of study, the officer must
highlights the priorities in the job description of become familiar with the Key Terminology
the modern professional protection officer. section at the end of this chapter. They must
It is commonly accepted that the protec- also take continuing education classes on such
tion of people against all types of harm is the topics as HAZMAT, fire protection, first aid,
top priority of all security and safety efforts. and so on.

217
218 19. OCCUPATIONAL SAFETY AND HEALTH AND THE PROTECTION OFFICER

WORK AND HEALTH The consequences of occupational hazards

can generate losses such as:
The World Health Organization (WHO) ● Temporary/permanent absenteeism of the
has defined health as “more than just the wounded/ill employee
absence of disease. Rather, it is a state of com- ● Medical treatments/medicine costs
plete physical, mental and social well-being” ● Temporary/permanent replacement of
(WHO, www.who.int). It is important to personnel, equipment, and materials
highlight this triple dimension of physical, ● Insurance deductible costs and increase of
mental, and social well-being, plus the con- insurance premiums
notation of acquiring this balance in each ● Waste of time and resources on the
person. productive process
Work has a direct influence over the worker’s ● Governmental fines, temporary/permanent
health, oftentimes a positive one (i.e., when one closure, and even civil and criminal liability
develops the physical and intellectual capaci- ● Diminished motivation and productivity
ties, thus obtaining a better quality of life); but ● Legal fees and investigations costs
on occasion this influence can negatively impact ● Cost of redesigning processes
one’s health. Work conditions and workers’ acts ● Administrative costs, managerial time
include many different variables that could be, ● Increased scrutiny by governmental agencies
on some occasions, the most important source and insurance carriers
of risk to workers.
Contemporary companies develop their
activities in an extremely competitive environ-
ment. The market demands that production
BASIC ELEMENTS OF AN
systems achieve social responsibility, profit,
OCCUPATIONAL SAFETY AND
growth, and even survival goals. Companies are
HEALTH (OSH) PROGRAM
under pressure to develop “quality” products
The protection officer should be familiar
that are constantly being improved. In many
with the basic elements of the OSH program at
cases, these constant improvements generate
his company because his activities may have an
changes in work conditions and require modifi-
influence on the program. The logic behind all
cations in the way work is done. These changes
OSH programs follows similar priorities as with
can affect workers’ health. When a company’s
any Enterprise Risk Management effort:
processes, materials, techniques, employees
and even organization changes, it is necessary 1. Plan the prevention, mitigation, and
to reassess health and safety conditions. Special response measures at the inception of the
attention must be paid to the underlying orga- business/design of the workplace.
nizational and psychosocial factors related to 2. Assess all risks periodically, updating the
change, as their consequences (distractions, assessment when circumstances change.
physical and mental fatigue, labor stress, dis- 3. Avoid all unnecessary risks by redesigning
satisfaction) are not usually as visible as those dangerous tasks or replacing hazardous
of accidents and illness, but they can be just as material, equipment, or surroundings.
dangerous. 4. Treat risks with positive measures to
All elements that can negatively influence eliminate and/or to control the risks that
the work conditions or the health and safety of have been detected.
the workers, are referred to as “occupational • First target must be the source of hazard
hazards.” • Second is the medium of transmission

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 BASIC ELEMENTS OF AN OCCUPATIONAL SAFETY AND HEALTH (OSH) PROGRAM 219
• Third is collective protection program, as they carry out the following
• Fourth is personal protection of the basic functions which enhance the
worker overall safety program:
5. Control the effectiveness of the adopted • Discover unsafe conditions and
measures. unsafe practices, identify hazards,
6. Integrate preventive, mitigation, and and make recommendations to
response measures in all company control or eliminate them. Discuss
programs. safety policies and procedures with
7. Inform each and every worker about the recommendations for management.
risks their tasks entail. • Teach safety to committee members
8. Train the workers in self-protection. who will in turn teach safety to all
9. Establish control and monitoring of health. employees.
10. Plan for emergency situations. • Review accident reports and
recommending appropriate changes.
It is important to note that each country,
2.3. Individual Operations: Each employee
state, and even city has specific legal require-
must look after their own safety and
ments that need to be followed. This might
health; protection officers must perform
include statutory threshold limit values (TLV),
several duties:
task procedures, and even organization and
• Preventive—identifying unsafe
resources that need to be dedicated to OSH
conditions, practices, and hazards;
efforts. The protection officer must become
acting upon and reporting on a
familiar with the standards of his or her region
continuous basis.
and industry. In broad terms, an effective OSH
• Mitigation—by inspecting
program should include at least six requisites:
occupational hazards during patrols
1. Management Leadership and even while performing “standby”
This is usually documented in a company duties for the duration of a dangerous
safety policy. A company safety policy is a activity that is taking place.
guide that outlines the responsibilities of all • Response—activating alarms and
employees, whether they are hourly workers, performing emergency procedures,
supervisors, or managers, in the prevention administering first aid, etc.
of accidents, injuries, and illnesses on and off
the job site. Without management leadership, 3. Maintenance of Safe and Healthful
the reduction or elimination of accidents is Working Conditions
extremely difficult. The protection officer should remember that
inspections are one of the best methods to pre-
2. Assignment of Authority vent accidents and safeguard employees.
Documented authority must be assigned to 3.1. Inspection of Work Areas: The
nearly everyone in the company. protection officer should be familiar
2.1. Safety and Health Directors and with safety audits or inspections
Managers: These are change makers because these procedures are a principal
who can implement all the necessary method of discovering accident causes,
decisions via company resources unsafe conditions, and unsafe work
(organizational, technical, and people). practices. They also provide the means
2.2. Safety Committees: This is a vital of promptly correcting these unsafe
component of a successful OSH conditions and work practices.

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220 19. OCCUPATIONAL SAFETY AND HEALTH AND THE PROTECTION OFFICER

• A safety program that initiates determine potential hazards and the

regular safety inspections or means to protect employees at their
audits demonstrates to employees place of work.
management’s interest and sincerity in 3.5. Health Surveys: Performed by industrial
accident prevention. Also, inspections hygienists to control and monitor
enable the individual worker to make the appearance and development of
contact with loss control personnel on a potential illnesses as detected by the job
one-to-one basis. analysis.
• The worker can point out unsafe work
conditions unique to his work area 4. Establishment of Safety and Health
that would otherwise go undetected. Training
When a worker’s suggestions are 4.1. Safety Training: An effective company
acted upon, he realizes that he has safety program is based on proper
made a contribution to the safety job performance. When employees
program and his viewpoints are taken are trained to do their jobs properly,
seriously. they will do them safely. Supervisors
3.2. Fire and Specific Inspections: Normally, should know how to train an employee
when specific inspections are conducted, in the safe and proper method of doing
checklists are used. Each company, a job. The immediate task of accident
plant, or department usually develops prevention falls upon the supervisor,
its own checklist. Items usually included thus the need for supervisor safety
on an inspection report are as follows: training. Most companies give extensive
housekeeping, material handling, OSH training to supervisors.
material piling and storage, aisles and 4.2. Awareness and Motivation: OSH
walkways, machinery and equipment, requires constant and skillful
electrical and welding equipment, tools, promotion. Some methods of awareness
ladders and stairs, floors, platforms and motivation that are common
and railings, exits, lighting, ventilation, in the industry, and the protection
overhead valves, protective clothing officer should be aware of include the
and equipment, dust, fumes, gases following:
and vapors, explosion hazards, unsafe • On-the-job safety and health
practices, hand and power-driven discussions and safety meetings.
trucks, firefighting equipment, vehicles, • Safety contests with awards are
guards and safety devices, horseplay, effective in increasing employee
and maintenance. safety awareness and motivation,
3.3. Maintenance and Fleet Safety Program: stimulating pride among
Depending on the nature and type departmental employees, and
of company, the loss control or loss improving the safety record.
prevention department may organize a • Posters and displays.
complete program for motor vehicle/ • Safety campaigns serve to focus
fleet accident prevention and operator the attention of the entire plant
education. on one specific accident problem
3.4. Job Safety and Health Analysis: (e.g., campaign may be undertaken
Performed by safety engineers to to promote use of safety glasses).

V. SAFETY AND FIRE PROTECTION

 OCCUPATIONAL RISKS 221
• Educational materials (films, 6.2. Medical: First aid and professional
newsletters, booklets, leaflets, etc.). health care needs to be arranged.
5. Accident Record/Data Collection System
5.1. Accident Investigation: Accident OCCUPATIONAL RISKS
investigation is essential in the
prevention of future accidents. An All workplaces have an almost infinite num-
effective investigation should produce ber of potential hazards; it is only because of the
information that will lead to the presence of risk factors associated with them
development of countermeasures which that negative consequences actually occur. A
will prevent or reduce the number of risk factor is an unsafe/unhealthy condition or
accidents. action (also referred to as substandard actions
5.2. Accident Analysis: The near accident or conditions) that enables the hazard to pro-
or incident should be investigated to duce harm (accidents, illness, discomfort).
determine cause in order to prevent In order to differentiate accidents from ill-
the possibility of a future accident. ness, we must pay attention to the “hardness”
Near accidents or near misses are of the aggression and to the “speed” of the pro-
much more common than completed duction of damage. Occupational illnesses are
accidents. Near accidents usually normally caused by long-term exposure to sub-
indicate deficiencies in the system. A standard conditions (physical, chemical, biolog-
thorough investigation can reveal these ical, mechanical risk factors); these are physical,
deficiencies, as well as contributory psychological, and even ergonomic.
causes. Aggressions that act only once and produce
• For purposes of accident prevention, injuries of a temporary, incapacitating, or even
investigations should be fact- mortal nature are called occupational accidents.
finding and not fault-finding. The Generally speaking, there are four major
investigation should be concerned causes of occupational accidents and illness.
only with the facts. The investigating
1. Limited managerial understanding of the
officer, who may be the protection
human consequences and economic losses
officer, is best kept free from
attached to them.
involvement with the discipline
2. Unsafe/unhealthy conditions—any
aspects of their investigation.
condition of structures, materials, tools,
5.3. Records, Rates, and Countermeasures:
equipment, machinery, or other conditions
A comprehensive data management
of a worker’s environment that cause
system is mandatory in virtually any
or contribute to an accident or illness.
safety legislation.
(Examples: inadequate lighting, poor
6. Emergency Management, First Aid, and housekeeping, chaotic or badly organized
Medical Systems surroundings, or lack of warning systems).
6.1. EMS: Proper resources must be in place Unsafe/unhealthy conditions increase the
to respond accordingly; protection probability of an accident occurring.
officers must remember that 3. Source causes—any unsafe/unhealthy
their security tasks must not be condition has a source cause. A source
neglected while providing OSH cause can contribute to or cause an unsafe/
assistance. unhealthy condition that could lead to

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222 19. OCCUPATIONAL SAFETY AND HEALTH AND THE PROTECTION OFFICER

an accident. (Examples: normal wear and ● Document the safety violation and
tear, pipes corroding from within, ropes forward a report to appropriate
becoming rotted creating an unsafe/ management.
unhealthy condition, or lack of preventive ● The protection officer who observes an
maintenance). The source cause sets the unsafe condition, or a safety hazard should
stage for an accident; it makes the accident do the following:
possible. ● Correct the condition or report it to
4. Unsafe/unhealthy acts—Human behavior someone who can correct it.
action(s) by the worker that deviate from ● Mark off the condition as a hazard
the accepted safe work procedure that cause where immediate corrective action is not
or contribute to an accident. (Examples: possible.
horseplay or workers not wearing proper ● Document the unsafe hazard or condition
personal protective equipment.) Unsafe acts and the action taken, forwarding the
are often what trigger an accident. They may report for appropriate action.
complete the cycle so that the accident event Unfortunately, most health-related hazards
occurs. Personal factor causes often serve as and risk factors can’t be easily/directly observed.
the reason for unsafe/unhealthy behavior. The officers must be aware of the potential
Personal factor causes are any personal symptoms and consequences associated with
characteristic or conditions that may cause their workplace in order to report them for early
or influence a worker to act in an unsafe/ diagnosis.
unhealthy manner. Examples of personal
factor causes include physical or mental
conditions, extreme fatigue, intoxication,
Common Safety Hazards
poor attitude, and tense relationships in the There are numerous safety hazards that the
workplace. protection officer should be made aware. Some
of the frequently encountered safety hazards or
conditions include the following:
THE ROLE OF THE PROTECTION 1. Fire protection
OFFICER IN OSH PROGRAMS – violation of no smoking regulations
– unusual odors, especially smoke
The protection officer is trained to observe
– obstructed passageways and fire doors
and identify potential hazards. The majority
– inadequate exit signs
of large companies maintain a loss prevention
– obstructions in front of hydrants, alarm
department with protection officers on duty
boxes, extinguishers
24 hours a day, 7 days a week. The protection
– electrical heaters and coffee pots left
officer is in a position to report and correct
turned on
unsafe acts, unsafe conditions, and potential
– improper disposal of waste
hazards while conducting routine patrols.
– flammable gases and liquids which are
The protection officer who observes a
uncontrolled in areas where they may
safety violation by a worker should do the
pose a hazard
following:
– paint or painting areas poorly ventilated
● Record the worker’s name. and not properly secured
● Notify the worker’s supervisor, advising him – gas pumping areas close to operations
or her of the violation. where an open flame may be used

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 KEY FACTS IN ACCIDENTS 223
– use of flame-or spark-producing – respiratory protective equipment not
equipment near flammable substances maintained
– missing fire protection equipment – proper protective clothing not worn
2. Housekeeping 6. Machinery maintenance
– missing handrails on stairways – lack of adequate guarding
– debris on grounds – worn belts, pulleys, gears, and so on
– inadequate containers for trash – frayed electrical wiring that may result in
– broken glass short-circuiting
– obstructions on walkways, such as snow – workers operating machinery with loose-
and ice fitting clothing
– oil spills or slippery substances that may – dangerous machinery lacking automatic
cause slipping and tripping shut-off devices
– cables, pipe, electrical wires across aisles 7. Other hazards
– aisle obstructions – first aid supply improperly stored and
– litter accumulation on shop floors maintained
– cracks, holes, breaks in parking lots, – emergency routes not adequately marked
roadways, and sidewalks – improper labeling of dangerous goods
3. Doors and emergency exits – broken or damaged equipment not
– burned out or missing emergency lights adequately tagged
– doors that don’t fit properly that would These are the more common safety hazards
hinder emergency exit encountered by the protection officer on routine
– improperly fitting door frames patrol. A good rule of thumb is that the protec-
– equipment or debris blocking emergency tion officer should devote one complete patrol
doors during his shift to safety. Dedicating one patrol
– improper panic hardware for doors to the observation and reporting of unsafe acts,
4. Vehicle and fleet safety unsafe conditions, and safety hazards is a good
– improper audible warning devices for practice.
backing up
– improper wheel chocking for parked
vehicles
– speeding violations
KEY FACTS IN ACCIDENTS
– improper preventive maintenance
Definition—an accident is an unexpected
procedures
event in which physical contact is made
– vehicles parked in fire lane or blocking
between a worker and some object or exposure
emergency exit
to a substance that interrupts work.
– vehicles without proper signaling devices
The protection officer must be knowledgeable
or lights
of the key facts in accidents. Whether or not all the
– improper tires for road conditions
key facts are present will depend upon the par-
5. Personal protective equipment
ticular case. Key facts are taken from “Accident
– improper personal protective equipment
Prevention Manual for Industrial Operations”
for the job
(National Safety Council 1980, p. 154):
– protective eye goggles not worn
– safety-toed boots not worn a. Nature of injury—the type of physical injury
– protective gloves not worn b. Part of body—the part of the injured
– hearing protection not utilized person’s body affected by the injury

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224 19. OCCUPATIONAL SAFETY AND HEALTH AND THE PROTECTION OFFICER

c. Source of injury—the object, substance, Accident Types

exposure, or bodily motion that directly
produced the injury Accidents normally involve physical con-
d. Accident type—the event which directly tact or exposure between the worker and some
resulted in the injury object or substance. With this in mind, accidents
e. Hazardous condition—the physical are categorized into the following basic types:
condition or circumstance that permitted the struck by example: struck by a fall-
occurrence of the accident type ing tool
f. Agency of accident—the object, substance, or contacted by example: contacted by
part of the premises in which the hazardous hot steam
condition existed struck against example: banging your
g. Agency of accident part—the specific head against a low beam
part of the agency of accident that was contact with example: touching a hot
hazardous pipe
h. Unsafe act—the violation of a commonly trapped in example: trapped in a tank
accepted safe procedure that directly caught on example: pant cuff caught
permitted the occurrence of the accident on a board, causing a fall
event caught between example: finger caught in
a car door
Other items of information closely related to different level fall example: falling down
the key facts that the protection officer should stairs
be aware of include age, sex, type of occupa- same level fall example: slipping or trip-
tion, and type of work. ping
Remember: The protection officer must be exposure example: exposure to toxic
knowledgeable of the eight basic elements of a gasses
safety program: overexertion example: back strain

1. Employer or client safety policy

Key Terminology
2. Safety rules
3. Safety committees Accident—an unplanned event that results
4. Safety audits or inspections in harm to people, damage to property, or loss
5. Safety training to process.
6. Safety awareness and motivation Accident causation—The many factors that
7. Motor vehicle or fleet safety act together to cause accidents. They include
8. Accident investigation personal factors, job factors, and lack of man-
agement control factors.
The protection officer should have some Personal factors:
basic knowledge of accident types and accident
causes because he may be involved in accident
● Inadequate capability
investigation.
● Lack of knowledge/skill
These are the three elements to remember
● Improper motivation
about accidents:
● Stress
Job factors:
a. An accident is an unexpected event.
b. Contact is made. ● Inadequate leadership or supervision
c. Work is stopped or delayed. ● Inadequate engineering

V. SAFETY AND FIRE PROTECTION

 KEY FACTS IN ACCIDENTS 225
● Inadequate purchasing to eliminate or minimize the hazard. Examples
● Inadequate maintenance of engineering controls include ventilation, iso-
● Inadequate work standards/procedures lation, elimination, enclosure, substitution, and
● Inadequate hazard controls design of the workplace or equipment.
Environment—The surrounding conditions,
Lack of management control factors:
influences, and forces to which an employee is
● Inadequate program exposed in the workplace.
● Inadequate program standards Ergonomics—An applied science that stud-
● Inadequate compliance with standards ies the interaction between people and the
● Inadequate hazard controls work environment. It focuses on matching the
job to the worker, incorporating biology and
Accident Investigation—The process of engineering into the process. Ergonomics helps
systematically gathering and analyzing infor- to prevent repetitive motion injuries such as
mation about an accident. This is done for the carpal tunnel syndrome.
purposes of identifying causes and making First Aid—The immediate care given to
recommendations to prevent the accident from a person who is injured or who suddenly
happening again. becomes ill. It can range from disinfecting a cut
Accident Prevention—The systematic appli- and applying a bandage to helping someone
cation of recognized principles to reduce inci- who is choking or having a heart attack.
dents, accidents, or the accident potential of a Hazard—The potential of any machine, equip-
system or organization. ment, process, material (including biological and
Administrative Controls—A category of haz- chemical) or physical factor that may cause harm
ard control that uses administrative/manage- to people, or damage to property or the environ-
ment involvement in order to minimize employee ment. A hazard is a dangerous condition, behav-
exposure to the hazard. Some examples are: ior, or object that can cause harm or injury.
● job enrichment Hazardous Material—Any substance that
● job rotation may produce adverse health and/or safety
● work/rest schedules effects to people or the environment.
● work rates Health and Safety Policy—A policy is a
● periods of adjustment statement of intent, and a commitment to plan
for coordinated management action. A policy
Danger Zone—An area or location where the should provide a clear indication of a compa-
probability of injury is high (e.g., in the vicinity ny’s health and safety objectives. This, in turn,
of saw blades). will provide direction for the health and safety
Due Diligence—The taking of every reason- program.
able precaution under the circumstances for the Health and Safety Program—A systematic
protection of the health and safety of workers. combination of activities, procedures, and facili-
Emergency Plan—Detailed procedures for ties designed to ensure and maintain a safe and
responding to an emergency, such as a fire or healthy workplace.
explosion, a chemical spill, or an uncontrolled Incident—An unwanted event that, in differ-
release of energy. An emergency plan is neces- ent circumstances, could have resulted in harm
sary to keep order and minimize the effects of to people, damage to property, or loss to a pro-
the disaster. cess. Also known as a near miss.
Engineering Controls—A category of hazard Incident Investigation—The process of sys-
control that uses physical/engineering methods tematically gathering and analyzing information

V. SAFETY AND FIRE PROTECTION

226 19. OCCUPATIONAL SAFETY AND HEALTH AND THE PROTECTION OFFICER

about an incident. This is done for the purposes mental, and emotional well-being of employees.
of identifying causes and making recommenda- These policies and programs strive to:
tions to prevent the incident from happening
again.
● Prevent harmful health effects because of the
Industrial Hygiene—A science that deals work environment
with the anticipation, recognition, evaluation,
● Protect employees from health hazards while
and control of hazards in the workplace. These on the job
hazards may cause sickness, harm to employee
● Place employees in work environments that
health, discomfort, and inefficient perfor- are suitable to their physical and mental
mance on the job. Also known as occupational make up
hygiene.
● Address other factors that may affect an
Job Design—The planning of a job and the employee’s health and well-being, such as:
establishment of procedures for performing that
● Ineffective organization of work
job so that the potential for injury and illness is
● Harassment and violence in the workplace
reduced or eliminated.
● The need to balance work and family
Job Enrichment—Adding one or more responsibilities (e.g., elder care, child care)
related tasks or functions to an existing job.
● Promote healthy lifestyles
These may include some managerial functions Occupational Illness—A harmful condition
(e.g., planning, organizing, controlling). or sickness that results from exposure in the
Loss Control—Measures taken to prevent workplace to a biological, chemical, or physical
and reduce loss. Loss may occur through injury agent or an ergonomic hazard.
and illness, property damage, poor work qual- Occupational Safety—The maintenance of a
ity, and so on. work environment that is relatively free from
Material Safety Data Sheet (MSDS)— actual or potential hazards that can injure
A form that contains detailed information about employees.
the possible health and safety hazards of a Personal Protective Equipment (PPE)—Any
product and how to safely store, use, and han- device worn by a worker to protect against haz-
dle the product. Under the federal Hazardous ards. Some examples are respirators, gloves,
Products Act, suppliers are required to provide ear plugs, hard hats, safety goggles, and safety
MSDSs for all hazardous materials as a condi- shoes.
tion of sale. Organizations that use hazardous Physical Agent—A source of energy (e.g.,
products are required to keep an MSDS onsite noise, radiation, vibration, heat) that affects the
for each product. This is a provision of the Right body, a part of the body, or any of its functions.
to Know Act. The effects may be beneficial or harmful.
Medical Surveillance—The systematic Preventive Maintenance—A system for
approach to monitoring health changes in work- preventing machinery and equipment failure
ers to identify and determine which effects may through:
be work-related.
Nature of Injury or Illness—The main phys- ● Scheduled regular maintenance
ical characteristics of a workplace injury or ill- ● Knowledge of reliability of parts
ness (e.g., burn, cut, sprain, dermatitis, hearing ● Maintenance of service records
loss). ● Scheduled replacement of parts
Occupational Health—The development, ● Maintenance of inventories of the least
promotion, and maintenance of workplace reliable parts and parts scheduled for
policies and programs that ensure the physical, replacement

V. SAFETY AND FIRE PROTECTION

 KEY FACTS IN ACCIDENTS 227

EMERGING TRENDS
Despite the fact that the basic role of most security and safety risks by packaging them
protection officers is currently somewhat lim- together into a single program. Such an approach
ited to physical and logical security, many pro- may be particularly helpful with international
tection officers already perform several duties operations: going into a foreign country presents
in OSH programs. This will be more common in a whole new host of risks. Convergence with
the future as the need for loss control, financial other risk management functions within the
austerity, and competition among organizations organization (health, environment, safety, and
grows. quality) is quickly gaining momentum.
Enterprise Risk Management is the assess- Laws and regulations vary greatly in different
ment and management of all risks that an orga- regions of the world; nevertheless, major efforts
nization faces. Business risks such as profit and are taking place to standardize procedures, train-
loss are being managed along with traditional ing, and risk management models globally.

Procedure—A step-by-step description of Threshold Limit Value (TLV)—A threshold

how to properly perform a task, job, or activity. limit value refers to the airborne concentration
Risk—The probability of a worker suffer- of a substance to which it is believed that nearly
ing an injury or health problem, or of damage all workers may be repeatedly exposed day
occurring to property or the environment as a after day (for 8 hours per day) without harmful
result of exposure to or contact with a hazard. effect. Because of individual susceptibility,
Root Cause—The real or underlying cause(s) however, a small percentage of workers may
of an event. Distinguished from immediate experience discomfort from substances in con-
cause(s) which are usually quite apparent. centrations at or below the threshold limit.
Task—A set of related steps that make up a A smaller percentage may be affected more
discrete part of a job. Every job is made up of seriously by aggravation of a preexisting condi-
a collection of tasks. For example, answering tion or by the development of an occupational
a phone or entering data into a computer are illness.
tasks of a secretary. Workplace Inspection—A regular and care-
Task Analysis—A technique used to identify, ful check of a workplace or part of a workplace
evaluate, and control health and safety hazards in order to identify health and safety hazards
linked to particular tasks. A task analysis sys- and to recommend corrective action. Workplace
tematically breaks tasks down into their basic factors that have the potential to cause injury
components. This allows each step of the pro- or illness to employees include equipment,
cess to be thoroughly evaluated. Also known as materials, processes or work activities, and the
job task analysis. environment.

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228 19. OCCUPATIONAL SAFETY AND HEALTH AND THE PROTECTION OFFICER

S E C URI T Y QU IZ 8. A safety program that initiates regular

safety inspections (audits) demonstrates to
1. The disciplines of safety and security are
employees:
dissimilar. They don’t share the same
a. Management’s concern for improved
common objectives in terms of the overall
productivity
protection process.
b. Management’s interest in accident
a. True
prevention
b. False
c. Management’s concern for the off-duty
2. The protection officer must take continuing
worker
education in HAZMAT and first aid.
d. Management’s concern for an unsafe
a. True
workplace
b. False
9. When a safety recommendation made by an
3. The World Health Organization has defined
employee is acted upon:
health as “more than just the absence of
a. Management recognizes the employee’s
disease.”
contribution to the safety program
a. True
b. The employee is likely to become a
b. False
member of the safety committee
4. One aspect of a formal safety policy is to
c. The employee is likely to become less
prevent accidents and illness on and off the
safety conscious
job.
d. Management perceives this kind of action
a. True
as interfering with the safety committee
b. False
10. A safety checklist is useful because (check
5. One of the main functions of a safety
best answers):
committee is to administer effective rescue
a. It makes employees aware of safety
training programs.
hazards
a. True
b. It can be used by various departments to
b. False
audit general safety procedures
6. The safety committee has the authority
c. It can be incorporated into security patrol
to make safety recommendations to
procedures
management.
d. All of the above
a. True
b. False
7. The protection officer should carefully inspect
the work habits of members of the workforce
and report deficiencies detected.
a. True
b. False

V. SAFETY AND FIRE PROTECTION

 C H A P T E R

20
An All Hazards Approach
to Hazardous Materials
Robert D. Jaffin

might never think of as hazardous can become

CHAPTER OBJECTIVES hazardous if released in the wrong place. For
● To define hazardous materials example, saline—or saltwater—is ordinarily
viewed as a benign substance, one that does
● Explore the role of the protection officer
not need special attention. However, if an orga-
in handling hazardous materials
nization is moving saline via tank car and a
● Explain how to respond to a hazardous derailment causes one of the tank cars to rup-
materials incident ture, pouring this saltwater into an upstream
● Provide response models and templates, freshwater fish spawning ground, it can create
as well as tools and resources an environmental disaster. In this case, that salt-
water has become an environmentally hazard-
ous material. The same is true for moving milk
in bulk using a tank truck or a tank car. Liquids
of any sort, including water, when released at
the wrong time or the wrong place, can create a
The concept of hazardous materials can be life-threatening or facility-threatening situation.
a difficult concept to grasp. There are literally Anything that moves in bulk that could be
millions of materials that could be classified as considered a raw material can meet the defini-
hazardous. In addition, some materials might tion of a hazardous material if improperly dis-
not be considered hazardous in their original charged. In 2002, the unofficial estimate was
state, but they become hazardous once they that there are 1.2 million movements of hazard-
are used or they become “waste.” For the pur- ous materials per day in the United States alone.
poses of this discussion, a hazardous mate- Note the implications—there are hazardous
rial is anything that has the potential to cause materials moving into and out of almost every
harm to people or the environment (plants, ani- industrial operation on a daily basis. Those
mals, and waterways) if released in an uncon- quantities could be as small as a few ounces
trolled manner. Beyond that, material that one or they could be as large as multiple tank cars.

229
230 20. AN ALL HAZARDS APPROACH TO HAZARDOUS MATERIALS

These movement estimates do not even take into occurring. That is the unglorious but real chal-
account pipelines, which distribute some of the lenge for the professional protection officer.
most hazardous, although not necessarily the Yet, in today’s world, where the “all hazards
deadliest, materials in use. From a practical stand- approach” has become the standard, weather-
point, it is important to understand the generally related incidents and hazardous materials inci-
accepted concepts and definitions for hazardous dents represent the majority of recurring serious
materials. The best, but extremely complex, defi- incidents in the workplace.
nition is in Federal Standard 313D of the Material Awareness of the evolving technologies and
Safety Data, Transportation Data and Disposal the inherent dangers of many new products is
Data for Hazardous Materials Furnished to an often overlooked part of this job. Today’s
Government Activities. That standard takes over products, including products carried and used
two pages to define a hazardous material and ref- by protection professionals, represent their own
erences multiple external documents. set of new and unique hazardous material chal-
On a practical level, hazardous materials lenges. Here are some examples of new, and in
have been internationally categorized into one some cases variations on older, products that
of nine hazard classes. Some of these classes are represent new and often times overlooked or
further divided into divisions. The most widely misunderstood hazards:
used and commonly understood classifica-
tion system includes 23 classes and divisions. 1. Ethanol-enhanced fuels. It requires a
Seven of these classes and divisions represent different kind of foam to fight an ethanol-
inherently hazardous materials that must be or alcohol-based fire than a gasoline- or
considered immediate and direct threats in petroleum-based fire. Knowing that ethanol
any quantity. Those include certain classes and is being moved may require a facility, and
divisions of explosives, mass explosion hazard, its protection force, to increase the type and
projection hazard, fire or incendiary hazard; number of both portable firefighting devices
dangerous when wet materials; toxic inhalation and fire suppression systems available.
hazards; and high-level radioactive materials. 2. Lithium ion batteries. These batteries are
one of the most dangerous products that
are used in everything from toys to oxygen-
ROLE OF THE PROTECTION generating vests, aircraft black boxes to
OFFICER computers and UPS backup power supplies.
These batteries present such a great risk
A proactive approach on the part of any in transportation, as distinct from their
business and every individual leads to minimi- individual use in consumer products, that
zation, if not elimination, of hazardous mate- the international community has assigned
rials incidents. Education and training that new identification numbers for them; and in
specifically include a full explanation of all the 2008 Emergency Response Guidebook
the materials that move through or are used (ERG), for the first time in over 12 years
within a facility is the first line of defense. the U.S. Department of Transportation (U.S.
Understanding the terminology and federally DOT) added a new guide number. That
mandated response framework is a critical is particularly significant because there
part of that training. The fact is, there is noth- are over five million different hazardous
ing heroic or exciting about maintaining good materials but there are only 66 guides in
and safe work practices, and proper site secu- the ERG. If lithium ion batteries are short-
rity, to eliminate the possibility of an incident circuited they will generate a tremendous

V. SAFETY AND FIRE PROTECTION

 HAZARDOUS MATERIAL INCIDENTS 231
amount of power, usually in the form of heat. the possibility of untoward events involving
There are very few satisfactory firefighting hazardous materials requires a full awareness of
techniques for lithium ion battery fires. the workplace environment, the products used,
Realistically, lithium ion batteries, like and the nature of all materials from janitorial
magnesium, burn at extremely high supplies to production processes to power gen-
temperatures and can break down water into eration and finished products of the business
oxygen and hydrogen, which is an explosive being protected.
mixture. While not always practical, the
most effective way to fight fires by what are
known as “refractory” substances, is to bury HAZARDOUS MATERIAL
them with sand and deny them the oxygen INCIDENTS
required to support continued combustion.
3. Compact fluorescent lights (CFLs). All The technological and social changes that
fluorescent lighting contains mercury and occurred at the beginning of the 21st century
it is illegal to dispose of such lightbulbs by have forced those in safety and security to
merely discarding them in the trash. If any reevaluate their roles and better define their
quantity of fluorescent lightbulbs are broken, responsibilities. Law enforcement, firefighters,
it would generate a surprisingly large release emergency medical personnel, and protection
of mercury requiring separate and specific officers are not expendable. These personnel
federally mandated cleanup activities. A form our first line of defense in case of an inci-
single broken lightbulb is not a cause for dent, regardless of that incident’s cause. While
alarm; however, it is still officially an “event” their overall objective is the protection of life
because mercury, which is extremely toxic, and property, a protection officer’s primary
has been released into the environment. objective must always be to survive so that they
4. Pressurized fire extinguishers. While fire can continue to provide that protection to the
extinguishers are important to have on hand for general public. That means the protection offi-
safety reasons, the heat generated from a fire cer must understand how to evaluate and take
can cause those fire extinguishers to explode. the action that will bring the correct resources
5. Aerosol lubricants and deicing materials. to bear for the many different types of incidents
These materials are not regulated for private that can occur. Rule number one with hazard-
use, so if a private individual has them in ous materials incidents is to always approach
a vehicle there are no federal safety “rules” from upwind, uphill, or upstream. Obviously,
that apply. However, under the U.S. DOT if one comes upon an incident in the course of
guideline 49 CFR 173.6, if one has those normal duties it may not be possible to observe
materials in a patrol vehicle, they become that rule. However, a HAZMAT response team
“materials of trade” and certain rules do will always observe that rule. It generally
apply. Those rules are based primarily on would be wrong for a protection officer to take
individual awareness of the inherent hazards direct action, but for small releases of the more
of such materials and the need to properly common and less lethal hazardous materials,
secure them. direct action is sometimes appropriate. Even for
the smallest of spills involving the most benign
The portable radio and the cell phone as well chemicals, no action should be taken until the
as the “green” vehicle being used for patrol material has been positively identified and
duties all might represent their own unique haz- appropriate actions confirmed. Knowing where
ards. Understanding, and therefore minimizing, to find the correct information and/or expertise

V. SAFETY AND FIRE PROTECTION

232 20. AN ALL HAZARDS APPROACH TO HAZARDOUS MATERIALS

is much more critical than being a “hero.” those recommendations and codify them into
Nowhere is that more important than when their own regulations. While hazardous mate-
dealing with hazardous materials. Mitigation rials fall under the Occupational Safety and
of danger in a hazardous materials release situ- Health Administration (OSHA), Environmental
ation should be left to those with proper train- Protection Agency (EPA), and DOT, the most
ing and experience. For protection officers, the comprehensive information available on the
first step is to self-protection, the next is mate- majority of these hazards comes from the fed-
rial identification, the next is to evacuate as eral DOT guideline 49 CFR parts 100 to 180
necessary and activate the appropriate contin- which is known as the “Hazardous Materials
gency or response plans, and the last step in Regulations” or HMR. The HMR are standard-
most circumstances is to provide containment. ized and harmonized with the rest of the world.
That may be as simple as maintaining a physi- Portions of the EPA and OSHA regulations
cal security perimeter or as complex as break- contain language and definitions that are not
ing out absorbent materials, turning off entire universally accepted and may be unique to the
HVAC plants, and preserving “crime scene” United States or North America. The HMR is
integrity. also one of the most difficult federal regulations
to read and understand. A good practical tool to
use is the most current version of the Emergency
TOOLS AND RESOURCES Response Guide; at the time of this writing that
would be the 2008 ERG. This guide is pub-
While protection officers should know some lished by the U.S. DOT in conjunction with
basic firefighting techniques and basic emer- other North and South American governments,
gency medical techniques including CPR and and has been updated on a 4-year cycle since
first aid, most security professionals recognize 1996. The next version is likely to be the 2012
that they are neither paramedics nor firefight- ERG, with a new ERG published again in 2016.
ers. The same concept is true for hazardous Copies of the regulations, as well as handy
materials response, containment, and mitiga- pocket-sized copies of the ERG, are available
tion. Small releases of less deadly materials can from a number of sources and the leading pro-
be handled by anyone with the right formal viders of this material have been included at the
training, basic knowledge of hazardous materi- end of this section. The single most valuable site
als response, an understanding of the risks and for obtaining additional HAZMAT information
protocols, and access to the Material Safety Data (although not emergency response information
Sheets (MSDS) to properly identify risks associ- in the face of a specific incident) is http://www
ated with each specific incident or material. .phmsa.dot.gov/hazmat.
The most universally accepted method to iden- The Emergency Response Guide is a tool that
tify and classify hazardous materials comes from should accompany the professional whenever
the world of transportation. The original work on duty; this author keeps one in the glove
was developed by the United Nations Committee compartment of his private vehicle. Learning
of Experts, who developed the “Orange Book” how to use the ERG is a key to minimizing and
of recommendations that is the basis for the mitigating the impact of hazardous materials
initial classification and identification of haz- releases. There are going to be times when the
ardous materials throughout the world; these most appropriate action is to turn and run! The
are not regulations but a set of recommenda- ERG is a quick response tool to initiate both
tions. Individual nations, as well as interna- protective and response/containment actions.
tional governing authorities, must recognize To paraphrase standardized training materials,

V. SAFETY AND FIRE PROTECTION

 RESPONSE MODELS AND TEMPLATES 233
“it is good for the first 30 seconds.” That state- There are a number of other federal guide-
ment is an oversimplification, but it goes to the lines, documents, and consensus standards
heart of the issue. It is better to spend more time that impact directly on actions and protocols
reading the ERG in case of a real release than to required in the case of an incident. Any incident
spend time taking any mediation action. There that can have an impact outside of the imme-
are cases when the only action might be some- diate workspace and/or requires response
thing as simple as “use a fire extinguisher or from public safety personnel or might escalate
cover with sand,” but there are other times when into a larger scale incident requires an appre-
the correct action is to “run the other way.” ciation for, and a basic understanding of, the
Remember that the professional protection offi- National Incident Management System (NIMS),
cer cannot help anyone or everyone else if that including the Incident Command System (ICS)
officer has already been harmed. structure and function, the National Response
One of the first things a professional should Framework, and the NFPA 1600 standard. The
do in a new job, or for that matter in a new protection officer may very well be the “first on
location, is to identify all the hazardous materi- scene” and the “first responder” and must be
als that enter, are used in, or leave, the facility. ready and able to communicate effectively with
OSHA, under 29 CFR 1910–1200, has defined a all the outside agencies that quickly become
“Hazard Communication Standard.” The two involved in such incidents. One does not need
key pieces that intersect the role of the protection to become an expert, but one does need to
professional are the requirement for the MSDS understand how municipal, or for that matter
and the requirement for a workplace Hazard private, response is governed and how such
Communication Program that includes easy incidents are managed.
accessibility to the MSDS in every workspace
that hazardous material might pass through.
A security professional should review all the
MSDS information for each worksite under their RESPONSE MODELS AND
protection and know exactly where to find that TEMPLATES
information in case an incident occurs.
For decades, hazardous materials have been
used with little or no training provided to the
end users or those individuals charged with
responding to a hazardous material release.
Diamond Designation Traditionally, the common point of view was
A standard, but not legally required, method
that “dilution is the solution to pollution.” This
to broadly identify hazards in facilities is the theory held that no matter how hazardous a
National Fire Protection Association (NFPA) substance was, if you were able to dilute it
704M consensus standard. Driving through enough (usually with water), it would be ren-
industrial areas, one can spot many buildings dered harmless. In the event of a hazard release,
and sheds with a large “diamond” on them. the common response was to call the local fire
That diamond is in four colors—blue, yellow, department or plant security team, who would
red, and white—and it conveys to emergency then wash the contaminated area down in an
responders the nature and severity, in very effort to decontaminate the area. In the process,
broad terms, of the materials contained within the contaminated water was usually washed
the structure. into the sewer systems and surrounding
ground, and ultimately into the environment.

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234 20. AN ALL HAZARDS APPROACH TO HAZARDOUS MATERIALS

To a limited degree this method worked for standard (29 CFR 1910–1200) and Hazardous
a while. The problem is that after diluting so Communications (49 CFR Part 172, subparts D,
many hazardous materials into the environment E, and F). In addition, the EPA’s 40 CFR specifi-
for so many years, the environment has become cally addresses use of transportation labeling
saturated and, as a result, traces of those same and identifications within workspaces. If mate-
substances are appearing in our food and water rial is being used or processed in a workspace
supplies today—to say nothing of the long-term those communication standards require easy
and short-term health hazards faced by unpro- access to the MSDS. Assuming compliance with
tected response personnel, using no or minimal those requirements, between the information on
Personal Protective Equipment (PPE). an MSDS and the information contained within
Today, government and industry agree that the ERG, specifically the information provided
just as firefighting requires specialized train- for each guide number, professional protection
ing, response to hazardous materials requires officers can identify spilled materials and begin
specialized knowledge, training protocols, and to take mitigating or corrective actions.
protective equipment to ensure minimal risk to
the workplace, the environment, and all indi-
Determine the Quantity
viduals. Today there are firms that specialize
of the Released Substance
in enhanced material incident response and
cleanup and both public and private safety and After identifying the substance, it is important
security organizations create and train their to determine how much of it has been released.
specialized HAZMAT response teams. The uncontrolled release of 8 oz. (1 cup) of ace-
tone, while requiring caution in cleanup, does not
necessitate response from a HAZMAT team. The
THE INITIAL RESPONSE same quantity of cyanide or an explosive would
require extraordinary measures to be taken.
Whether or not a facility has a HAZMAT Quickly determining what substance has been
response team in place, there are some basic released allows more time for the HAZMAT
steps that must be followed. team to decide what course of action they must
take.
If the release is a liquid or solid and has
Identify the Substance Released occurred in a more or less open area, it may
There are several ways to safely determine be possible to see where the substance is leak-
what has been released. But the most important ing from. Never go near the area unless prop-
thing to remember is the basic instruction pro- erly trained in the required level of PPE; this
vided in the ERG: always stay upwind, uphill, prevents the professional from inadvertently
and/or upstream of any hazardous materials becoming another victim of the incident.
release until able to identify it. One way to iden- It may be possible to read the placard on a
tify material at the workplace is to ask the person transport vehicle or a larger shipment, or the
who was using it. This may not always be pos- label which should appear on smaller packag-
sible, since the employee in question may have ing, from a safe distance with or without the
been injured. However, there are several other use of binoculars. The identifying labels or plac-
safe ways to determine what a released sub- ards may have a class, such as “Poison Gas,”
stance is. In the United States, under 29 CFR and and should have the class or division number
49 CFR, the OSHA and DOT regulations, there is or, on placards of large enough quantities, the
both a requirement for a hazard communication specific universally recognized “UN number.”

V. SAFETY AND FIRE PROTECTION

 THE INITIAL RESPONSE 235
That identifier is a four-digit number which caused. It is necessary to ascertain if there are
can be looked up in the ERG. When reading the any fires or fumes being spread by the release.
guide information in the ERG, be sure to read It is extremely important to keep clear of the
all the information on both pages for that guide area and to keep others clear until this deter-
number. Labels are the least accurate identifiers mination has been made. The smoke produced
and although recognizing the label allows one to by a fire can carry the contaminating substance
enter the emergency response guide to determine a considerable distance, sometimes for miles.
what to do in the “first 30 seconds,” identifying A classic example of this was a fuming sulfu-
the four-digit number unique to a spilled mate- ric acid release at a General Chemical com-
rial is always the best and most accurate way pany facility in Richmond, California. In that
to determine appropriate response actions. For case, fumes were carried over 20 miles up the
transportation, that number will appear on the Sacramento River Valley with the effects felt as
shipping papers. Within the facility, the number far away as Antioch in Contra Costa County. It
should appear in the appropriate section of the is important to determine what path the fumes
MSDS for that material. It takes knowledge of the or smoke might take, but that must be done
OSHA requirements and the DOT requirements from a safe distance. HAZMAT response teams,
to most effectively monitor and manage hazard- even if composed of employees, are often not
ous materials incidents. The more information familiar with areas of the facility outside of their
one can initially provide, the better prepared and normal work area. A protection officer is in the
equipped the responding organization and per- unique position of routinely patrolling all areas
sonnel will be once they arrive on scene. of a facility and that knowledge can be invalu-
able to the HAZMAT team in helping them
Activate the Appropriate Contingency Plan direct a proper response.
Any injured people should be treated by qual-
In many countries, facilities are required by ified first aid or medical personnel as soon as
law to have a HAZMAT contingency plan in they are safely removed from the contaminated
place that can be activated in the event of an area. Once again, the critical issue is proper iden-
uncontrolled release of a hazardous material. tification of the hazardous material; the injured
In the United States, this is addressed in part person, if contaminated, will need to be decon-
by OSHA’s Hazardous Waste Operations and taminated before treatment can be rendered.
Emergency Response (HAZWOPER) Standard.
If there is no legal requirement for a contingency
plan or for another reason the facility does not Perform Site Security
have one, notify the public agency involved In this context, site security simply means
in handling HAZMAT incidents for the area. keeping onlookers and bystanders out of the
Usually this will be the local fire department. contaminated area. This can be a bigger chal-
When they arrive on the scene, they will take lenge than it sounds. No matter how well
command and control of the situation. Everyone the safety and security staff communicate to
will then be directed by the incident commander. coworkers or to the general public that there
is a hazardous area and that they must keep
away for their own good, people seem to have
Determine the Extent of the Damage a strong belief that no matter what they do, no
After the material and amount released have harm will come to them. Invariably, people who
been determined, it is necessary to evaluate believe this eventually end up getting hurt.
the extent of any damage that may have been Often they are the ones who get seriously hurt

V. SAFETY AND FIRE PROTECTION

236 20. AN ALL HAZARDS APPROACH TO HAZARDOUS MATERIALS

and force rescue workers to jeopardize their own must be treated. This last concern increases
safety to save them. During the initial phases of the workload of response personnel who may
an incident, the risks of unauthorized personnel be overextended and understaffed initially.
interfering with or, worse, distracting response Another problem with the media intrusion is
personnel are very high. It is important to that their entry into restricted areas encour-
remember that initially the first protection pro- ages curiosity seekers to follow and go beyond
fessional on scene is the incident commander. safety barricades.
The media will take risks that most normal People like to watch others dealing with
citizens would never dream of. Reporters have problems. On a crowded highway, during rush
been known to cross barricades and sneak past hour, drivers will always slow down to take a
security to get a close shot of the incident area. closer look at any incident along their route,
This poses several problems: they interfere with even when that incident is on the other side of
the HAZMAT team’s operation by attempting the roadway. An accident, even on a divided
to talk to them and generally get in their way; highway, inevitably has the effect of drastically
they typically fail to follow safety precautions reducing traffic flow in both directions. That
and risk becoming exposed themselves; and same human curiosity draws onlookers to the
when they do become unintended victims, they scene of a hazardous materials incident.

EMERGING TRENDS
Hazardous materials will continue to evolve 9/11 attacks on the World Trade Center what jet
over time. As new chemicals, medicines, and fuel can add to the equation.
foodstuffs are manufactured, the potential for The Department of Homeland Security, as
dangerous concoctions escalates. Adding to the well as several state agencies, has placed regula-
danger is an increasingly crowded transporta- tions on chemical manufacturing plants. These
tion infrastructure. As highways and bridges are plants are being required to have security plans
more heavily traveled, the potential consequences and dedicated individuals in charge of the pro-
of a HAZMAT incident increase. A spill or release tection function. Such regulation is likely to
will affect more people in the future than at expand; new jobs and duties will evolve for pro-
present. tection officers at chemical facilities.
Hazardous materials management is a key Along with a more robust regulatory environ-
component of an anti-terrorism campaign. ment, the current concern with environmental pro-
Understanding the scope and nature of danger tection will undoubtedly play a role in hazardous
that surrounds different substances is a neces- materials manufacture and use. Organizations will
sary first step in protecting against terrorism. need to continually assess their risk of hazardous
Protection officers must appreciate the risks materials incidents in light of potential negative
associated with hazardous materials in and near publicity. They will also have to mount compre-
their work environment. Security measures must hensive media campaigns before, during, and
be enacted so that terrorists cannot divert or det- after a HAZMAT incident, likely making them
onate existing materials. We have seen with the more careful in hazardous material precautions.

V. SAFETY AND FIRE PROTECTION

 SECURITY QUIZ 237

Resources b. Activate the appropriate contingency

ALOHA (Area Locations of Hazardous Atmospheres). plan, determine the extent of the damage,
http://www.response.restoration.noaa.gov/aloha. identify the material
CAMEO (Computer-Aided Management of Emergency
Operations). http://www.epa.gov/oem/content/cameo/
c. Activate the appropriate contingency
index.htm. plan, identify the material, determine the
CHEMTREC. www.chemtrec.com. quantity of released material
CHRIS (Chemical Hazards Response Information System d. Identify the material, activate the
USCG). www.chrismanual.com/. appropriate contingency plan, determine
JJKELLER. A primary provider of publications and training
materials. www.JJKeller.com.
the quantity of released material
LabelMaster. A primary provider of publications and train- 6. There are several ways to determine what
ing materials. www.labelmaster.com. hazardous material has been released in an
National Response Center (NRC). www.nrc.uscg.mil/. employee-related spill, but the best way is to:
Pipeline & Hazardous Materials Safety Administration a. Ask bystanders and onlookers
(PHMSA). www.phmsa.dot.gov/hazmat.
b. Ask the person who was using it
c. Assemble members of the HAZMAT
S EC U RI T Y QU IZ Response team
d. Contact the local fire department as
1. Hazardous material is well defined and easily
quickly and practically as possible
identifiable.
7. There is a standard that should be used for
a. True
preparing an MSDS.
b. False
a. True
2. The emergency response guide is updated
b. False
and reprinted on a 5-year cycle.
8. The media present unique challenges for site
a. True
security personnel.
b. False
a. True
3. Always approach hazardous material
b. False
incidents from upwind, uphill, or upstream.
9. The most comprehensive and detailed
a. True
information concerning a specific hazard
b. False
would be found in the:
4. In a crisis involving the release of a
a. MSDS
hazardous material, the first thing that must
b. 49 CFR
be done is to identify what has been released
c. NIOSH handbook
and in what quantity.
d. Emergency Response Guide
a. True
10. The fumes from hazardous materials release
b. False
have been known to carry 20 miles or more.
5. The standard response protocol consists of
a. True
three consecutive steps. The correct order of
b. False
these steps is:
a. Identify the material, activate the
appropriate contingency plan, perform site
security

V. SAFETY AND FIRE PROTECTION

 U N I T VI

INFORMATION PROTECTION

21 Information Security and Counterintelligence

 C H A P T E R

21
Information Security and
Counterintelligence
Kevin E. Peterson

of terminology and definitions is essential when

CHAPTER OBJECTIVES discussing the topics of information security and
● Provide important definitions counterintelligence. The following discussion of
related to information security and some key terms serves as a solid foundation for
counterintelligence the concepts addressed in this chapter.
● Explain the difference between Information Assets—According to the
“counterintelligence” as used in the Protection of Assets Manual (POA), informa-
private sector versus the federal tion assets “consist of sensitive and proprietary
government sector information, privacy-protected data, intellec-
tual property, intangible assets and informa-
● Describe the primary threats to tion defined under international, federal, and
information and intangible assets in both state laws governing trade secrets, patents, and
the public and private sectors copyrights” (ASIS International, 2008, p. 2-I-1).
● Identify various types of information Although not all inclusive, some examples of
security vulnerabilities, reasonable risk information assets are:
mitigation, and security measures to ● Scientific and technical data
counter the threat ● Formulas
● Explore the role of the professional ● Knowledge
protection officer and security service ● Manufacturing and other business processes
providers in the protection of sensitive ● Organizational goodwill and reputation
information and intangible assets ● Brand
● Personnel data
● Medical records
KEY TERMINOLOGY ● Customer information
● Pricing data
More than any other discipline or aspect of the ● Business and marketing strategies
protection profession, a thorough understanding ● Testing procedures and results

241
242 21. INFORMATION SECURITY AND COUNTERINTELLIGENCE

● Engineering data and specifications Similarly, the U.S. Department of Defense

● Information protected under regulatory defines information security as “the system
requirements (e.g., health care, financial, and of policies, procedures, and requirements
grand jury information) established … to protect information that, if
subjected to unauthorized disclosure, could
Information assets can exist in a wide vari- reasonably be expected to cause damage. …”
ety of forms and formats such as hard copy, The same document defines information as
computer data (on systems, in transmission, or “Any knowledge that can be communicated or
on media), electromagnetic or electro-optical documentary material, regardless of its physical
signals, spoken word, individual knowledge, form or characteristics, that is owned by, pro-
prototypes, models, and processes. Protection duced by or for, or is under the control of [an
strategies should consider both the content of enterprise]…” (Department of Defense, 1997).
the information to be protected and the form or The emerging disciplines complement infor-
format in which it exists. mation security and include the conduct of
Information Assets Protection—This is an due diligence investigations as a vetting tool
overarching concept that integrates the subdis- (to establish an appropriate level of trust with
cipline of information security along with sev- potential partners, vendors, contractors, and
eral emerging disciplines that are focused on other third parties). They also include the prac-
protecting information and intangible assets tice of market entry planning and product secu-
under specific conditions. Figure 21-1 illustrates rity (ASIS International and IAP Council, 2009).
the concept. These topics will be discussed later in this
Information security includes traditional chapter.
information protection measures such as Information assets protection brings these
marking, storage, proper transmission, and disciplines and elements together in a concerted
destruction of information. It also encompasses way and provides a comprehensive approach to
information technology (or IT) security to pro- maintaining the value of information and intan-
tect automated information systems, hardware, gible assets.
software, and the data being stored, processed, Intangible Assets—These are assets of any
or transmitted through them. The third element organization (including companies and gov-
of information security involves the protection ernment agencies) that are not physical in
of intellectual property rights (IPR). nature. Examples of intangible assets are an
organization’s reputation, brand, relationships,
management style, knowledge, and processes.
Information Asset Intangible assets are generally very difficult to
Protection measure or quantify—and may often be over-
looked when determining where to apply secu-
Information Emerging rity or protection efforts.
Security Disciplines Competitive Intelligence versus Economic
Espionage—Although both of these methods
Traditional InfoSec Due Diligence involve collecting information for the ultimate
IT Security Market Entry Planning purpose of supporting business or government
Intellectual Property Product Security
Protection
objectives, they represent opposite ends of a
spectrum of “ethicalness.” Competitive intel-
FIGURE 21-1 Structure of information asset protection ligence is a normal business function which
functions. can include completely benign activities such

VI. INFORMATION PROTECTION

 THREATS TO INFORMATION AND INTANGIBLE ASSETS 243
as market research. As competitive intelligence Technical Security—Measures taken to iden-
measures become more aggressive, they may tify, prevent, or neutralize technical threats
approach a “gray area” in the center of the spec- including electronic or electro-optic eavesdrop-
trum that borders on unethical behavior. This ping, wiretapping, bugging, signal intercept,
includes activities like making pretext phone covert/illicit surveillance, and attacks on infor-
calls (or e-mails) to competitors to gather infor- mation technology or telecommunications sys-
mation, or sending individuals to pose as job tems (ASIS International, Information Asset
applicants. Industrial or economic espionage is Protection Guideline, 2007, p. 8).
on the other end of the spectrum and includes Technical Surveillance Countermeasures—
illegal activities such as electronic eavesdropping Also known as TSCM, they include services,
and hiring employees away from competitors equipment, and techniques designed to locate,
for the specific purpose of gaining confidential identify, and neutralize technical surveillance
information (Webster University, 2008). activities such as covert listening devices.
Compromise—Refers to a situation where Trade Secret—Trade secrets are defined by
sensitive, controlled, or classified information laws, such as the Economic Espionage Act, at
actually falls into the hands of an unauthorized the federal level, as well as by state and local
person or organization. This is contrasted with a laws. Generally, trade secrets are designated
security violation, for example, in which a policy by the owner, but must meet certain criteria in
or procedure was not followed but there is no order to qualify for applicable legal protections.
indication that any information was actually lost. Although the laws vary, most require that infor-
Counterintelligence—Any measures taken mation have demonstrable value to the owner,
to negate intelligence collection efforts against be specifically identified, and be adequately
an organization or its people. In the federal protected in order to qualify as a trade secret.
sector, counterintelligence relates to programs
designed to counteract foreign intelligence ser-
vices and recruited agents. In the private sector THREATS TO INFORMATION
it is often referred to as “countercompetitive AND INTANGIBLE ASSETS
intelligence” and may be focused on protect-
ing against actions ranging from simple market As with any asset protection issue, we must
research up to and including industrial espio- consider three categories of threats: intentional,
nage. The term is also used in the law enforce- natural, and inadvertent. Like any tangible
ment community to refer to actions taken to asset such as a building or piece of equipment,
protect sensitive information from falling into information will be subject to all three catego-
the hands of criminal organizations that may ries. Although our primary focus in informa-
be targeting law enforcement agencies, person- tion asset protection (IAP) is on intentional and
nel, or task forces. Counterintelligence activities inadvertent threats, some attention must also be
may be defensive or offensive in nature, and directed at natural threats. For example, in the
may also be primarily proactive or reactive. wake of Hurricane Katrina (2005), many small
Information Security—(see paragraph on businesses failed, not because their facility was
Information Assets Protection) destroyed or their people displaced, but because
Sensitive Information—Information or they lost the bulk of their critical business infor-
knowledge that might result in loss of an mation. It is not uncommon for organizations
advantage or level of security if disclosed to to prepare their facilities and people for the
others (ASIS International, Information Asset effects of a natural disaster, while neglecting to
Protection Guideline, 2007, p. 8). take prudent information protection measures.

VI. INFORMATION PROTECTION

244 21. INFORMATION SECURITY AND COUNTERINTELLIGENCE

Preparations such as geographically separated ● Misdirected e-mail or other electronic

off-site backup or data protection measures for communications
contingency remote computing can mean the ● Deliberate disclosure (e.g., by a disgruntled
difference between successful business recovery employee)
and catastrophic failure. ● Inadvertent disclosure through errors or by
The nature and extent of the threat to infor- accident
mation and intangible assets is concisely sum- ● Inadvertent disclosure through third parties
marized in the introduction to the economic who may not maintain the same security
espionage page on the Federal Bureau of standards that your organization does
Investigation’s (FBI) Web site:
(ASIS International/ASIS Foundation, August
The Cold War is not over, it has merely moved
into a new arena: the global marketplace. The FBI esti-
2007, p. 28)
mates that every year billions of U.S. dollars are lost to One specific threat that is worth mentioning
foreign competitors who deliberately target economic separately is that of laptop computer theft. A
intelligence in flourishing U.S. industries and technol- recent research report (for the ASIS Foundation)
ogies …(Federal Bureau of Investigation, 2009). by consultant Glenn Kitteringham, CPP, stud-
ied the theft of laptops. The report noted that a
The methods that comprise the threat to
2006 Ponemon Institute survey found that 81%
information assets cover the gamut from old,
of companies responding reported the loss of
time-tested techniques to new and innovative
one or more laptop computers in the preceding
collection measures. Among the commonly
12 months. Kitteringham’s study also mentioned
reported collection methods are:
that according to the FBI, 97% of stolen laptops
● Open source collection of public information are never recovered (Kitteringham, 2008, p. 5). In
● Data mining and/or the use of information a recent interview with the author, Kitteringham
brokers mentioned that the original intent of the lap-
● Social engineering and other elicitation top theft research study was to focus on theft of
techniques the hardware, but as he uncovered more infor-
● Co-opting/recruiting a current or former mation he realized that the real threat in stolen
employee (or trusted third party) laptops was the loss of the data (or information
● Hiring key employees away from the assets) they contained. This changed the direc-
targeted organization tion of his research and resulted in a conclusion
● Targeting meetings and conferences that information protection measures were a
● Electronic eavesdropping more immediate need than hardware theft pre-
● Theft of hardcopy information vention (Kitteringham, 2009).
● Ttheft of softcopy information/media (e.g., There is often a controversy over whether
thumb drives, laptop computers, mobile the primary source of the threat to informa-
devices, etc.) tion comes from outside the organization or
● Unauthorized penetration of information from insiders (employees and others with a
systems (e.g., hacking) trusted relationship). Several studies, including
● Unauthorized access to information systems a report by the U.S. Secret Service and another
by insiders one by the Defense Department’s Personnel
● Exploitation of joint venture partners or Security Research Center (PERSEREC), con-
other trusted third parties clude that a significant portion of the threat
● Unauthorized physical access to (or is attributable to insiders. Insiders have some
observation of) information level of authorized access, they know “the

VI. INFORMATION PROTECTION

 HOW TECHNOLOGY IS CHANGING THE THREAT 245
system,” and they know where to look for valu- productivity, and accomplishment, but it also
able information. According to the 2007 Trends represents a new paradigm for security risks. In
in Proprietary Information Loss Survey Report: some ways the threat remains unchanged, yet
“The largest threats to proprietary information in other ways things are very different. David
are from those with a trusted relationship with Drab sums it up this way in a white paper on
the organization—current and former employ- the Economic Espionage Act (EEA):
ees and those partners, outsourced providers,
The motives and tactics have remained constant
and customers …” (ASIS International/ASIS
over the years—economic gain, competition, career
Foundation, August 2007, p. 29). recognition, and vengeance. However, the methods
Beyond the question of insider versus used to collect and transmit information have sig-
outsider, we need to take a look at who our nificantly changed as a result of high technology, the
adversaries might be in terms to threats to World Wide Web, and worldwide telecommunica-
tions (Drab, August 2003, p. 2).
our information assets. The collectors (or per-
petrators) are fairly well defined by the list of One result of changing technology is that the
methods previously mentioned in this section. traditional reaction to an information compro-
However, we should also consider who the mise - containment - essentially becomes obsolete.
“customers” or end users of the information Previously, when a privileged hardcopy docu-
might be. Being able to distinguish between the ment was inadvertently (or intentionally) dissem-
collector and the end user allows security pro- inated to unauthorized recipients, the immediate
fessionals to develop more effective risk mitiga- reaction was to attempt to retrieve the copies—
tion strategies for information asset protection. and hopefully get them all back. This concept no
End users may be the same as the collectors, longer works in our 21st-century interconnected
but often are not. Among common end users for world. As the 2007 ASIS report on the Trends in
compromised information assets are: Proprietary Information Loss Survey puts it:
● Domestic and foreign competitors
[We need to recognize the] reality of “speed” at
● Foreign governments
which valuable information-based assets can be
● Organized criminal enterprises acquired and disseminated globally. Once the asset is
● Information brokers gone or compromised, containment—in the conven-
● Activist groups (environmental, animal tional sense—is seldom a realistic option.
rights, monetary rights, anticapitalist, etc.) The consequences in terms of lost economic/
competitive advantage can be extremely quick and
● Terrorist groups
long lasting (ASIS International/ASIS Foundation,
● Political advisors 2007, p. 41).
● Quasi-government groups
● Financial or business cartels In other words, once information is lost, it
● Product counterfeiting operations is lost permanently and globally—and that can
● Targets of law enforcement activities happen instantaneously! As security profession-
als, we need to recognize this fact.
Other technological factors affecting the risk
HOW TECHNOLOGY IS environment for information assets include:
CHANGING THE THREAT Miniaturization of Media—More and more
data is being stored on smaller and smaller
Today technology is moving and advanc- devices. Not only can huge amounts of data be
ing at an amazing pace. This results in won- stored, but today we can even build an entire
derful opportunities for information sharing, computing environment on a flash drive.

VI. INFORMATION PROTECTION

246 21. INFORMATION SECURITY AND COUNTERINTELLIGENCE

Social Networking Media—Sites such as participate in telecommuting and/or stay con-

Facebook, MySpace, and Twitter are grow- nected while away from the office.
ing in popularity each day. Although they are Security of Security Systems—is a growing
extremely popular among almost all demo- concern as security systems for surveillance,
graphics, they also have security risk implica- access control, facility management, intrusion
tions. For example, this type of media provides detection, and other functions increasingly ride
another outlet for instantly sharing information on the Internet and can be managed remotely
(including possibly sensitive/proprietary infor- (including on mobile devices). The following
mation or destructive false rumors) across wide quote from a research report on this topic is
audiences—and in some cases, anonymously. eye-opening to many protection professionals:
The threat of an unhappy employee posting
damaging information in an angry rage (before … a general trend to open architectures across
thinking about the implications or having the TCP/IP-enabled networks, has resulted in new, seri-
ous security risks that are often overlooked. Few
opportunity to calm down and regain a rational individuals realize, for example, that closed circuit
state) is a growing concern for organizations of cameras are misnamed in that they are no longer
all types—and as mentioned: once it’s gone … “closed” from a networking standpoint. When these
it’s gone. special systems and devices are connected to orga-
Volume and Dispersal of Data—The enormity nizations’ networks, they often introduce a multi-
tude of new, previously unanticipated security risks
of the current volume of data makes it far more (Alliance for Enterprise Security Risk Management,
difficult in many cases to identify a data breach 2006, pp. 9–10).
in real time or to determine if sensitive informa-
tion has been compromised.
Data Mining and Information Brokers—
Emerging threats to sensitive information A SUITE OF PROTECTIVE
worldwide. A cottage industry is growing up MEASURES
around the mass collection of data from a mul-
titude of sources and selling it to whoever is Effectively protecting information and intan-
willing to pay for it. Modern software tools are gible assets presents special challenges, but like
available to “mine” (search and collect) infor- any asset protection situation, warrants a well-
mation continuously from databases, reposi- thought-out strategy that comprises a suite of
tories, archives, Web sites, and other sources. countermeasures. The measures employed to
Additional software tools can sort, collate, and protect information assets fall into three catego-
analyze data to easily and quickly generate a ries: security, legal, and management.
useful—and very valuable—product on any
subject requested. In essence, this is automated
intelligence gathering—and it is happening Security Measures
every day and everywhere. It represents a sig-
The following list represents a sampling of
nificant threat to information assets in both the
security measures that are typically applied to
public and private sector.
the task of protecting information and intangi-
Wireless and Remote Computing
ble assets.
Environments—These expose new vulnerabili-
ties as sensitive information can be exchanged ● Assessment (possibly including penetration
through hot spots in public locations, hotel testing or “red teaming”)
networks, or even home networks. This issue ● Need-to-know controls
becomes increasingly relevant as more employees ● Information storage and handling

VI. INFORMATION PROTECTION

 A SUITE OF PROTECTIVE MEASURES 247
● Physical security (surveillance, access … where each individual entrusted with sensitive
control, intrusion detection) information takes prudent measures and personal
responsibility for protecting those assets, a robust
● Visitor control and escort procedures security environment should occur naturally (ASIS
● Design and layout of facility (controlled International, IAP Guideline, 2007, p. 14).
versus open/public areas)
● Security officers/response forces
● Information destruction Another strong recommendation for all orga-
● Technical security measures nizations is that elements of information asset
● TSCM protection be incorporated into due diligence
● Communications, emanations, and signals assessments (investigations) for mergers, acquisi-
security measures tions, joint ventures, partnerships, and other key
● Information systems security (IT security) business transactions. This will aid immeasurably
● Product security in anticipating risks that will or may present
● Travel security programs themselves after the fact.
● Training and awareness (for employees, Finally, product security technologies includ-
users, contractors, vendors, partners, and ing embedded electronic article surveillance,
trusted third parties) various packaging innovations, RFID, and seri-
● Investigation capabilities alization techniques are, by necessity, becoming
commonplace.
Many of these are standard security mea- Some measures will be reactive rather than
sures which are in place and protect all types proactive. When an information loss is known
of assets: people, property, and information. or suspected, conduct an investigation to sup-
Other measures are more specific to informa- port a damage assessment as well as any pos-
tion protection. Our challenge is to effectively sible law enforcement, litigation, or asset
leverage the standard security measures while recovery actions. The results of the investiga-
identifying and implementing those specific tion should also reveal the root cause of the
measures that support the information asset compromise and be used to implement cor-
protection strategy. While there are a variety of rective actions and prevent future occurrences
sources (including other chapters of this book) (ASIS International, 2008, p. 2-I-29).
for details on these countermeasures, a few of
the items listed above warrant some brief dis-
Legal Measures
cussion here.
Training and awareness are absolutely essen- Beyond their deterrent value, most legal
tial tools. They must be delivered using a variety measures are reactive in nature. Nonetheless,
of media (classroom programs, computer-based they are an important element of the informa-
training, computer screen banners, newsletters, tion asset protection strategy. Patents, copy-
intranet resources, and others) on a regular basis rights, and trademarks are common legal tools
in order to keep the subject in the forefront of in protecting highly valuable information.
protection officers’ minds. As the Information Another tool is that of a “trade secret,” which
Asset Protection Guideline mentions: is generally considered to be the most restric-
tive or protective measure. Trade secrets have
the advantage of not requiring registration but
… security awareness and training is one of the
most cost effective measures that can be employed
are subject to strict interpretation in court with
to protect corporate and organizational information respect to the need to identify, determine value,
assets. and adequately protect the information. The

VI. INFORMATION PROTECTION

248 21. INFORMATION SECURITY AND COUNTERINTELLIGENCE

high legal standard of “adequate protection” communicates, or conveys such information.”

often supports the use of robust security mea- A violator can also be someone who “[knowingly]
sures within an organization—which is a wel- receives, buys, [or] possesses” information
come situation from a security perspective. (Drab, August 2003, p. 4).
For these legal means to be useful, however, This is a very forward-thinking law that can
the organization must be willing to enforce and has been applied effectively to resolve trade
the tools in a court of law. This can be a very secret and intellectual property cases in many
resource-intensive ordeal, particularly in terms industry sectors.
of time, effort, and cost. These are decisions that
must be made at the executive level and shared
with key players in the organization such as the Management Measures
security and legal departments.
An interesting study by the U.S. Secret
Other legal measures include contract clauses,
Service looked at threats to information assets
third party agreements, and possibly even per-
by analyzing a number of specific cases. It focused
formance incentives for vendors, partners, and
on “insider” threats and reported some rel-
joint venture participants. Information and
evant results. In 80% of the cases studied, the
intellectual property protection is a highly spe-
perpetrator had come to the attention of man-
cialized discipline and organizations should
agement due to inappropriate behaviors before
obtain support from a qualified legal advisor/
the incident (e.g., tardiness, truancy, arguments
firm rather than relying on a generalist or local
with coworkers, or poor job performance) (U.S.
general counsel.
Secret Service, 2005, p. 15). This highlights the
An important tool in protecting informa-
importance of “management measures” as
tion assets is the 1996 Economic Espionage Act
part of an overall information asset protection
(EEA). This is a very relevant piece of legisla-
strategy.
tion as it makes the theft of intellectual property
Other management measures that should
a federal offense and allows the FBI to inves-
be considered, and generally be coordinated
tigate such cases even if a foreign intelligence
with the security program, include effective
service is not involved.
employee screening (preemployment and peri-
A Xerox white paper on the EEA reads:
odic), drug screening, establishing relevant poli-
cies and procedures, and offering a reporting
[Recognizing that] trade secrets are the lifeblood mechanism that allows employees and others
of most process-driven companies … it naturally fol- to provide information (and make allegations).
lows … that organizations that fail to safeguard their
When using a reporting mechanism such as an
intellectual assets lose ground.
The Economic Espionage Act … [prohibits] mis- employee hotline, be sure that the organization
conduct regarding trade secrets … [including anyone is responsive to calls and allegations. Otherwise,
who] steals or obtains [trade secret information] by the hotline will soon lose its effectiveness, and
fraud or deception. important reports will be missed.
The FBI offers some recommendations on
their economic espionage Web page. They pre-
The law includes the following as prohib- sent six steps to protect your business from espi-
ited activities with respect to trade secrets onage—and all are worth considering. They are:
and related information: anyone who “cop-
ies, duplicates, sketches, draws, photographs,
downloads, uploads, alters, destroys, photocop- 1. Recognize there is a real threat.
ies, replicates, transmits, delivers, sends, mails, 2. Identify and evaluate trade secrets.

VI. INFORMATION PROTECTION

 THE ROLE OF THE PROFESSIONAL PROTECTION OFFICER 249

LEGAL SECURITY
PROTECTIONS PROTECTIONS

Patents Physical Security

Trademarks/Service marks Security Officers
Copyrights Personnel Security
Trade Secrets Technical Security
Non-Disclosure Agreements IT Security
Non-Compete Agreements Information Protection
Non-Solicitation Agreements Investigations
Contract Clauses Training and Awareness
Performance Product Security
Penalties/Bonuses

FIGURE 21-2 Examples of legal protections and security protections.

3. Implement a definable plan for safeguarding back up the ones that were unsuccessful. As
trade secrets. Winkler puts it, when we apply defense in depth,
4. Secure physical trade secrets and limit access “security [isn’t] perfect, but it [is] prepared”
to trade secrets. (Winkler, 2005, p. 305). Examples of some of those
5. Confine intellectual knowledge. “layers” might be strong password protection,
6. Provide ongoing security training to encryption, biometric authentication, physical
employee security measures, personnel screening, attended
facility access (security officers), employee train-
(Federal Bureau of Investigation, 2009).
ing, and password-protected screensavers.
As indicated, it is important—in any private
or public sector setting—to find the proper bal-
ance between legal protections and security THE ROLE OF THE PROFESSIONAL
protections. Figure 21-2 shows some consider- PROTECTION OFFICER
ations for each.
To achieve protection objectives and ensure The most effective protection officers are those
they are consistent with the business or orga- who know their customer (the organization they
nization’s strategic goals, these two “commu- serve) and tailor the way they provide security
nities” of protection measures should work services to the customer’s mission and culture.
together to develop an integrated risk mitiga- In many organizations, information assets are
tion approach. Working in a vacuum can result absolutely crucial to the survival and success
in duplication of effort and significant waste as of the enterprise. Officers should recognize
well as poor results due to internal conflicts. this aspect of the organization and factor it into
Finally, according to well-respected consul- the performance of their protection duties. It
tant and author Ira Winkler, the best approach to should be noted that many contemporary com-
addressing risks to information assets is to apply panies are centered on information as their core
defense in depth (layered security) by incorporat- business function, hence our “information-based
ing both IT and traditional protection measures. society.” It is our responsibility to remember that
Even if one or a few layers fail, other layers will a key objective of information asset protection is

VI. INFORMATION PROTECTION

250 21. INFORMATION SECURITY AND COUNTERINTELLIGENCE

EMERGING TRENDS
Three emerging issues that are relevant to the and home settings. As such use and popularity
protection of information and intangible assets increases, systems and the data residing on them
are the increasingly interconnected global busi- become more attractive targets for a variety of
ness environment, the rapid advances in infor- adversaries.
mation technology, and the fact that we now These new technology tools can also be
have to consider—in a different way—the secu- exploited by adversaries to support their illicit
rity of security systems. These issues are dis- activities. The best examples at the moment are
cussed in this chapter, but need to be constantly the new cottage industry of information bro-
reviewed due to the unprecedented pace of kers and the use of sophisticated data-mining
change in today’s security environment. tools and techniques to target sensitive informa-
The advances in information technology tion. This trend will expand in the future and
have a number of implications. One is the new newly introduced business tools such as cloud
family of risks that are introduced by drasti- computing and wireless technologies will
cally increased use of information technol- likely be “abused” by bad actors for nefarious
ogy in business, organization, government, activities.

to enable core business functions, rather than SUMMARY

present obstacles. As the past Chairman of the
ASIS Information Asset Protection Council puts Studies have concluded that as much as 75%
it, “The ultimate objective is to enable business. or more of a company’s value may lie in infor-
Security’s role is to help organizations assess mation and intangible assets (Moberly, 2007).
and address risk to enable ‘smart’ business trans- Since these assets are the most difficult to iden-
actions” (Heffernan, 2007). tify, measure, and control, they deserve a great
In general, professional protection officers deal of attention from a risk management per-
place most of their emphasis on protecting peo- spective. Following a thorough risk assessment,
ple and property, but it is important to support an orchestrated suite of security, legal, and
the third asset category as well: information. management solutions should be applied to the
Elements of information asset and intellectual identified organizational risks. The mission and
property protection should be included in offi- culture of the organization (customer) should be
cer and supervisor training, as well as quality factored in to the services provided and the man-
assurance standards for security programs. ner in which they are delivered and managed.
Security service providers should consider Protection officers play a key role in the pro-
adding information asset protection services to tection of information and intangible assets. In
their suite of protective service offerings. This fact, they can even influence the reputation of an
might include conducting information protec- organization by presenting a highly competent
tion assessments, specialized protection ser- and professional image and by acknowledging
vices, courier services, or other tools focused on the nature of the assets (including information
this category of asset. assets) they are responsible for protecting.

VI. INFORMATION PROTECTION

 SECURITY QUIZ 251
Through conscientious IAP practices, organiza-
tions will be better prepared to deal with today’s S E CURI TY QU I Z
broad array of threats ranging from competitive 1. Computer security, information security, and
intelligence and industrial espionage, to cyber information technology (IT) security all mean
attacks, to counterfeiting and product piracy the same thing and are interchangeable terms.
(ASIS International and IAP Council, 2009). a. True
b. False
2. Counterintelligence is an important function
References and can be applied in private sector
Alliance for Enterprise Security Risk Management (AESRM). companies as well as in government agencies.
(2006). Convergent security risks in physical security a. True
systems and IT infrastructures.
b. False
ASIS International. (2008). Protection of assets manual, Volume
III, Chapter 2, Part 1. Alexandria, VA: Information Asset 3. Legal measures are generally “reactive”
Protection. rather than “proactive” in nature.
ASIS International. (2007). Information Asset Protection Guideline. a. True
ASIS International/Information Asset Protection Council, b. False
Fact Sheet—“What Is” Series: “What Is Information Asset
4. According to consultant Michael Moberly,
Protection?” “What Is Information Risk Management?”
“What Is Market Entry Planning?” 2009. approximately what percentage of a
ASIS International/ASIS Foundation. (August, 2007). Trends company’s value generally lies in information
in proprietary information loss-survey report. and intangible assets?
Drab, D. (August, 2003). Protection under the law: Under- a. 90%
standing the economic espionage act of 1996. A White Paper
b. 50%
by Xerox Global Services.
Federal Bureau of Investigation (FBI). “Focus on Economic c. 10%
Espionage,” Investigative Programs-Counterintelligence d. 75%
Website: http://www.fbi.gov/hq/ci/economic, accessed 5. The practice of asset protection focuses on
November 10, 2009. which categories of “assets”?
Heffernan, R., President, R. J. Heffernan and Associates, 2007.
(Circle all that apply.)
Keeney, M., & Kowalski, E. (2005). Insider threat study: Computer
system sabotage in critical infrastructure sectors. Washington, a. Information
DC: National Threat Assessment Center, U.S. Secret Service; b. Physical
and Cappelli, D., Moore, A., Shimeall, T., & Rogers, S. c. People
(2005). Insider threat study: Computer system sabotage in critical d. Property
infrastructure sectors. Carnegie Mellon University, Pittsburgh,
6. Which of the following is NOT a characteristic
PA: CERT Program, Software Engineering Institute.
Kitteringham, G. (2008). Lost laptops  lost data: Connection
of the Economic Espionage Act of 1996?
research in security to practice (crisp) report. Alexandria, a. It makes it a federal crime to steal trade secrets
VA: ASIS International/ASIS Foundation. b. It is a forward-looking piece of legislation
Kitteringham, G. (September 2009). Personal communication. c. It includes “altering” information as a
Kramer, L., Heuer, R. J., Jr., & Crawford, K. S. (May 2005). prohibited act
Technological, social, and economic trends that are increas-
ing U.S. vulnerability to insider espionage. Montercy, CA:
d. It must be updated every 5 years
Defense Personnel Security Research Center. 7. According to this chapter, the field of
Moberly, M., President, Knowledge Protection Strategies, 2007. “information security” includes:
U.S., Department of Defense, DoD 5200.1-R, “Information a. Competitive intelligence
Security Program,” January 1997. b. IT security
Webster University, National Capital Region, “Business
Intelligence,” course materials, 2008.
c. Intellectual property protection
Winkler, I. (2005). Spies among US. Indianapolis, IN: Wiley d. Traditional information security
Publishing.

VI. INFORMATION PROTECTION

252 21. INFORMATION SECURITY AND COUNTERINTELLIGENCE

8. When an information loss is known or 10. An important tool in protecting information

suspected, the following actions should assets is the Economic Espionage Act (EEA)
be taken: of 1996
a. Corrective actions a. True
b. Damage assessment b. False
c. Containment
d. Determine root cause
9. Information that is lost is not permanently lost
a. True
b. False

VI. INFORMATION PROTECTION

 U N I T VII

DEVIANCE CRIME AND

VIOLENCE

22 Workplace Crime and Deviance

23 Substance Abuse
24 Workplace Violence
25 Crisis Intervention
26 Strikes, Lockouts, and Labor Relations
 C H A P T E R

22
Workplace Crime and Deviance
Norman R. Bottom and
Whitney D. Gunter

to strike at management may damage equip-

CHAPTER OBJECTIVES ment or interrupt processes. So too may man-
● Identify theories of workplace crime agers who harbor some resentment toward the
● Provide ways to minimize theft employer engage in deliberate work interrup-
tions. While not nearly as common as stealing,
● Identify the process for responding to sabotage is sometimes interwoven with theft.
theft Both may occur together.
This information should not make a protec-
tion officer pessimistic, as most people are hon-
In any organization, some employees will est (at least to a degree). The problem is not that
steal. The more opportunity allowed for theft, everyone steals or does damage; the problem is
the more theft there will be. Dishonest employ- that everyone has the potential to. As a result,
ees tend to steal what is most available to them. no one is beyond reasonable suspicion.
Office personnel steal office supplies, computer
users steal technology, cashiers steal cash, and
warehouse employees steal merchandise pass- THEORIES OF WORKPLACE CRIME
ing through their hands.
Managers, supervisors, and line employees Criminology is the study of the causes of
can all steal. Protection officers have been known crime. There are dozens of mainstream crimi-
to steal, too. Many times, dishonest employees nological theories that explain theft. However,
use external accomplices, such as family mem- many of these theories focus on social influ-
bers and friends, to help them steal. An individ- ences that long precede actual crime (e.g., lack
ual employee can steal, or several employees may of social bond, poor parenting, lack of legiti-
conspire to commit theft for their mutual benefit. mate opportunity, etc.). For the purposes of
In addition to theft of products, materials, preventing workplace crime, there are a few
tools, or information, there may be acts of sabo- theories that are particularly relevant to theft
tage committed. Hourly employees who wish prevention.

255
256 22. WORKPLACE CRIME AND DEVIANCE

General Deterrence itself. Once the punishment clearly outweighs

the crime, additional severity will not further
Deterrence is perhaps the most well-known deter.
theory of criminal behavior. It actually dates The overall implication of this theory is prob-
back to Cesare Beccaria’s Essay on Crimes and ably already the policy of most loss prevention
Punishments (1764). Beccaria lived in a time efforts: catch and punish. It is the subtleties of
when crime was typically attributed to evil influ- these efforts that can be improved by under-
ence, and punishment was extremely severe. standing this theory. Punishment severity is
In an attempt to give guidance to the leaders of often easiest to increase. As a result, although
the time, Beccaria provided a logical rationale punishment certainty is not ignored, severity
for punishment: to decrease crime. He argued is more of a focus. Beccaria argued that this is
that two possible benefits arise from punish- backward. As long as the severity of punish-
ing someone caught committing a crime. First, ment exceeds the benefit of the crime, it is suffi-
that person might learn his or her lesson and cient. Rather, it is punishment certainty that can
not commit the crime again. This is called spe- be improved upon to increase a deterrent effect.
cific deterrence. Second, others might witness the
punishment and learn that committing the crime
is not worth the consequences. This more wide-
Routine Activity
spread result is called general deterrence. Both Although general deterrence is valuable for
are important benefits of punishing, although understanding the importance of detection and
general deterrence is certainly more so. punishment, it does not speak very well to spe-
This, however, only describes why we pun- cific circumstances. For looking beyond the gen-
ish. It is in the specifics of punishment that we eralities and probabilities that deterrence theory
learn how to punish properly. Three concepts uses, a more recent theory is appropriate. In an
influence the effectiveness of punishment. First, attempt to explain increases in crime several
punishment certainty is the likelihood of getting decades ago, Lawrence Cohen and Marcus Felson
caught. The more often a crime is committed (1979) developed their theory of routine activity.
without the perpetrator getting caught, the less It should be noted that this theory applies only to
punishment certainty there is, and the less of a “direct-contact predatory violations,” which sim-
deterrent there will be. Second, punishment celer- ply means it is a theory of theft.
ity refers to the swiftness of the punishment. According to the theory, crime (theft) is a prod-
The quicker a punishment occurs, the more of uct of three circumstances happening at the same
a deterrent it will create. This aspect of deter- time and in the same place. The first requirement
rence is less obvious than the others. Think for crime is the presence of a motivated offender.
of it like this: if someone is stealing on a regu- For the purposes of this theory, it is assumed
lar basis and gets away with it for a year, then that everyone is a motivated offender, or at least
gets caught, but does not go to court for another that such potential offenders are not scarce. The
10 months, the cause and effect of crime and second requirement for crime to occur is the
punishment are not as obvious to the public as presence of a suitable target. In determining how
they would have been if the entire process was suitable a target is, four aspects of the potential
quicker. The final element of deterrence is pun- target should be considered: the financial value,
ishment severity. The more severe a punishment, inertia (ease in moving the item), accessibility,
the more deterrence it will cause. However, and visibility. Because one would not want to
this is only true up to the amount of punish- decrease the financial value of something, it is
ment that outweighs the benefit of the crime the other three aspects of a potential target that

VII. DEVIANCE CRIME AND VIOLENCE

 THEORIES OF WORKPLACE CRIME 257
should be addressed. Making an item harder to peers (or other sources) how to commit crimes.
move, limiting access to only those who need Some crimes, such as pretty theft, require little
access, and keeping it out of sight are all actions technical ability to commit. Learning better ways
that would make a target less suitable. to commit these crimes, however, may improve
The third and final requirement for theft to one’s technique, and therefore make it easier to
occur is the absence of capable guardianship. This commit the crime, or make it less likely that one
concept is the one that ties routine activity the- will get caught.
ory to deterrence theory. If a guardian is pres- The other form of learning, and the one that
ent, punishment certainty is increased to near is more useful to address, is learning to perceive
certainty, and therefore, the crime is less likely crime, or certain types of crimes in certain situa-
to occur. A capable guardian need not necessar- tions, as acceptable behavior. If someone notices
ily be a protection officer, loss prevention spe- that other employees are stealing, they are more
cialist, or other such person. It can be anyone likely to do it themselves. Not only because it
who might report the theft, or even an inani- makes it more obvious that it is possible to get
mate object, such as a noticeable security cam- away with the crime, but because it makes them
era, that could result in the perpetrator getting feel like it is not taboo. The more often someone
caught. Many standard practices of the security is exposed to this message, the more accepted it
industry already address this theory, including becomes.
target hardening, CPTED, situational crime pre- Unfortunately, this theory in and of itself does
vention, and other such strategies. not contribute policy that might be useful beyond
what is already obvious: that employees who
Social Learning Theory steal should be removed to prevent them from
tainting other employees (and for other obvious
Both of the theories discussed so far make a reasons, of course). However, it does imply that
common assumption: that all people are will- efforts could be made to highlight why it is not
ing to commit a crime if they think they can acceptable to steal or engage in other workplace
get away with it. While this is at least par- crimes. Such positive messages can counteract
tially true, there are other factors involved. messages that favor crime. To get some specific
Specifically, even in the same situation, different ideas for what messages to counteract, the tech-
people would be more or less likely to commit niques of neutralization may be useful.
a crime than others might be. There are many
criminological theories that address this issue.
However, most are not particularly useful from
Techniques of Neutralization
a security and loss prevention standpoint. One The techniques of neutralization were first
of the few theories that has potential application described by Sykes and Matza (1957). They listed
to workplace crime is social learning theory. five categories by which an offender might neu-
Generally, social learning theory (Sutherland & tralize his or her behavior to make it seem accept-
Cressey, 1960/2003; Burgess & Akers, 1966) is able, thus preventing guilt (Table 22-1).
applied most often to describe how children learn In a workplace setting, it’s more often denial
from their parents and peers, and how that influ- of injury and denial of victim that are used.
ences their decision of whether crime is an accept- For example, if an employee can in some way
able behavior. However, this same model can be attribute blame for some personal problem on
applied to the workplace. In its broadest sense, the employer or even coworkers, whether such
social learning theory describes two categories of blame is deserved or not, that person could
learning that can occur. First, one may learn from convince him- or herself that the company or

VII. DEVIANCE CRIME AND VIOLENCE

258 22. WORKPLACE CRIME AND DEVIANCE

TABLE 22-1 in-depth analysis of preventing the most com-

mon crime at the workplace: theft.
Techniques of Sample Usages
Neutralization

Denial of Responsibility It was an accident. It wasn’t my THEFT PREVENTION

fault.

Denial of Injury It didn’t hurt anyone. I was just Not all internal (employee) theft is prevent-
borrowing it. able. This section will provide some ways to
Denial of Victim He deserved it. His kind minimize, moderate, and control this crimi-
deserve it. nal activity, but not stop it entirely. Protection
offers can have an impact by preventing, deter-
Condemnation of the The police are corrupt. That
Condemners teacher plays favorites anyway. ring, and displacing theft. When security is
He would have done it too. tight, thieves look for another place to steal.
Making theft so difficult and so much trouble
Appeals to Higher I was just following orders.
Loyalties I was doing God’s work. that the would-be thief will decide against it is
a reasonable goal for a loss prevention officer.
Preventing theft can save many jobs, and that
coworkers deserve whatever the crime costs includes one’s own.
them. Denial of injury is even easier to apply, as Opportunities for employee theft come about
it is not difficult for an individual to fail to rec- because of waste, accident, error, crime, and
ognize that their actions hurt a “faceless” corpo- unethical or unprofessional practices. The first
ration. This is especially true if they realize that letters of these opportunities (which are really
an insurance provider will cover losses. threats) come together to form the acronym
Note that other crimes, in addition to theft “WAECUP” (pronounced “wake up”). Below
may be neutralized by workplace criminals. is a list of WAECUP loss threats, with several
Condemnation of the condemners and appeals examples of each.
to higher loyalties may be used by those who
commit acts of sabotage or espionage. Labor A. Waste
union extremists, terrorists, and spies may 1. Protection officers who waste time create
focus on the employer, criticizing and blam- opportunity for employees to steal.
ing them for some perceived wrongdoing. 2. Waste containers are favorite stash places for
Terrorists involved in religiously based extrem- employees who steal.
ism may choose to believe that God has granted 3. Discarding usable items causes loss, as does
them the right to commit acts of sabotage. So, deliberately putting them in trash to be
too, may those who steal information and give stolen later on.
it to an adversary organization.
B. Accident
1. The confusion that surrounds an accident
Summary for Theories of
scene may be used to screen employee theft.
Workplace Crime
2. Arson has been used by employees to cover
These theories provide some ideas for how up theft. (What seems to be an accident can
criminological theories might be applied to actually be a crime.)
workplace crime and the prevention of such 3. Workman’s Compensation fraud may
crimes. Moving toward more specific strategies occur after an accident where the employee
and actions, the next section will provide an exaggerates the extent of the injury.

VII. DEVIANCE CRIME AND VIOLENCE

 THEFT PREVENTION 259
C. Error This will give you some tips on observation.
1. Protection officers who err in following For example, employees who bring in empty
procedures, such as failing to make an or almost empty shopping bags and then leave
assigned round, create opportunity for with bags bulging should be viewed with suspi-
undetected theft. cion. Those bulging bags may contain company
2. Other (nonsecurity) employees who fail to property. As a general rule, always look for
follow security-related instructions, such as the unusual and out-of-place, and then inves-
failing to lock up storage areas or exterior tigate discreetly. Also, this section will explain
doors, create opportunity for theft. some things about reporting, and discuss what
to report and to whom. For example, doors
D. Crime propped open (that are normally locked) may
1. If protection officers allow employee theft, be used by thieves as access points to sneak
other employees will get the idea that it is company property outside. Such things should
okay to steal and commit other crimes. be reported and written up. This will also be
2. Failure to recognize valuable merchandise a discussion of actions to take and not to take.
allows more crime (protection staff and For example, managers and other executives
management will not be watching the often work at home during the evening. They
correct items). are usually permitted to take company property
home to do this. Hourly workers (shift workers)
E. Unethical/Unprofessional Practices seldom have the right to take company prop-
1. A general feeling among employees that it is erty home. Know company rules before you act
okay to pilfer (steal) will result in more theft. or accuse.
This is sometimes called the “rolling ball effect.”
It is similar to the “broken windows” theory. Definition of Employee Dishonesty
2. Unprofessional practices by management
create resentment among other employees, Employee dishonesty is theft. It is cheating
leading to deviant acts like theft. customers. It is committing industrial espionage.
It is lying on employment applications and fal-
sifying time records. It is claiming sick leave
Objective when there is no sickness. Anything that can be
Protection officers must reduce employee moved, or taken apart and the pieces moved, is
theft. This section focuses on practical methods a candidate for employee theft. Protection offi-
to reduce theft. However, it takes more than cers can reduce the theft of visible items of com-
your presence, standing around in a sharp uni- pany property. They can catch thieves, of course,
form, or strutting through an area. You must but it is better to reduce opportunity for theft.
know what to look for, what to report, and Each organization has its own types of prop-
what actions to take. You must also know what erty, including personal (movable property) and
actions not to take. fixed (real property). Real property, such as per-
Thieves can be clever, and new opportunities manent buildings and land, cannot be carried
for employee theft will develop. This chapter is off. In these strategies, only personal property
only a beginning. You must continue to study will be addressed. Personal property, in business
employee theft prevention as long as you are a usage, is not “personal effects.” Business tries to
protection officer. The objective of this section is protect the machinery or means of production.
to whet your appetite on the scope of employee The materials or equipment used for production
theft prevention and widen your knowledge. (or sale) of goods and services need protection,

VII. DEVIANCE CRIME AND VIOLENCE

260 22. WORKPLACE CRIME AND DEVIANCE

and those goods, services, products, and so on

offered to the public must be guarded. S A M P L E L I S T — RE TA I L
Business wants to protect and keep its reward: E S TA B L I S HM E NT
the income received for selling its products, of
Office Area
course. Those categories are what we mean by
1. Paper products
business personal property. Some business is
2. Typewriters, calculators, computers,
devoted to manufacturing. Here, the threat of
telephones
employee theft takes place at several stages.
3. Desks, chairs, bookcase, file cabinets
Those stages occur from the time that machines
4. Rugs, paintings
are installed and raw materials purchased
5. Petty cash
through the entire production process—and until
the finished goods are delivered. Stock Room
Other companies specialize in storage and 1. Sales merchandise of various types
transportation. They warehouse and distrib- 2. Shelving
ute manufactured products. These companies 3. Materials, handling equipment
worry while goods are stored. Each time goods 4. Some office supplies
are handled by employees causes theft concern,
Sales Area
too. Goods in transit present additional possi-
1. Merchandise to be sold
bilities for theft.
2. Shelving and cabinets
We all shop at malls and other retail stores.
3. Cash registers/computerized sales terminals
Retail is certainly a familiar business to all. There
4. Product displays
are also wholesale outlets that specialize in sell-
5. Sales receipts (cash, checks, etc.)
ing quantities to the trade. Each retail store, and
each wholesaler, worries about losing the prop- Parking Areas and Outbuildings
erty they hope to sell. Employee theft is one way 1. Exterior merchandise displays
the property can be lost to these owners. 2. Equipment stored outside (in the open or in
Institutions like hospitals have special outbuildings)
employee theft problems. These include the 3. Company vehicles
unauthorized use or taking of narcotics, and 4. Trash and refuse containers
theft of patients’ property. Banking institutions
worry about their cash, naturally. The point
to remember is that all business needs protec- master list available. And if there is no master
tion against employee theft, and that necessity list, suggest to your supervisor that an official
demands proper security and loss control effort one be created. Test your powers of observa-
by protection officers. tion by comparing your list with those of other
protection officers. Update your list as new
property arrives and old property is replaced. It
First Steps is good to know as much as possible about all
The first step in employee theft prevention company property, including value. More valu-
is to learn what can be stolen. A list of property able items, especially if easily moved (portable),
categories is useful for reference. All protection deserve a special theft prevention effort.
officers can use such a list to help them identify
company property.
Markings
A similar list of categories can be drawn up
for any work environment. Buy a notebook and Life becomes difficult if company property is
make your own list, especially if there is no not marked to indicate ownership. Learn what

VII. DEVIANCE CRIME AND VIOLENCE

 THEFT PREVENTION 261
marking system, if any, is used to mark all equip- Periodically, check all garbage cans, dump-
ment. This includes office typewriters, computer sters, and sealed garbage bags for stolen mer-
equipment, and so on. Sale merchandise should chandise. Be especially alert to those employees
be marked, too, with special tags. Some mark- who take garbage and trash outside. That activ-
ing systems use stick-on labels. Other marking ity is a critical junction. It is critical because sto-
systems involve stamping numbers on metal. len merchandise can be hidden in the trash. It
Paint and stencil are used by some companies is a junction because the merchandise is leav-
for identification purposes. There are chemical ing the premises. Normally, only a few trusted
compounds that can be painted (or sprayed) on. employees are allowed to take trash outside.
These compounds leave markings visible only Know who these employees are.
in certain light. Another trick of the employee thief is to take
If valuable items are not marked, you should a particular item and hide it for later pickup.
ask “Why not?” Your supervisor might give you Remember that everything has its place, and
a good explanation. He may commend you for an everything should be in its place. Be alert to
idea that’s time has come. A good protection offi- the out-of-place item concealed in a strange or
cer learns how to recognize company property. unusual location. This may be an indication
A general reminder: Learn, learn, learn— of employee theft in progress. Look behind
continue to ask good questions. Keep written shelved merchandise. Examine storage rooms
records of the answers. In that way, you will and broom closets.
not have to ask the same question twice. And
you will have a ready reference when there is
no supervisor available. Examples
● Valuables, like watches, normally under
Concealment lock and key, found on open shelves, tucked
behind cheap items.
Hide and seek is a children’s game, famil- ● Office equipment and/or office supplies
iar to most of us. The basic instructions call stashed in an area where there is no desk or
for someone blindfolded to count while other clerical work performed.
children hide. The counter then opens his eyes ● Valuable merchandise found in areas set
and tries to find the others. It may help to think aside for employees to leave their purses and
of employee thieves as the other children who other personal belongings. The same goes for
have the time to take and hide your company’s employee locker areas.
property. The protection officer should not, of ● Sheds, lean-tos, truck courts, and other
course, have his eyes closed while this theft and locations outside main buildings, but on
concealment go on. company property. Company property
Trash and garbage containers are time- found at these locations should be
honored hiding places for employee thieves. appropriate to the area. For example, office
Plastic garbage bags are another useful item for computers do not belong in a garden shed.
thieves. Modern garbage bags are sturdy and
unaffected by moisture, and they are opaque—- Briefcases, lunchboxes, purses, shopping bags,
that is, you cannot see through them. The pro- and other containers will be carried to work
tection officer should look for garbage bags in by employees. Thieves use these containers to
containers, both inside and outside the build- remove company property from the site. The
ing. Garbage bags will be found in corners and officer must realize, of course, that such personal
adjacent to doorways. items are entitled to reasonable privacy. Always

VII. DEVIANCE CRIME AND VIOLENCE

262 22. WORKPLACE CRIME AND DEVIANCE

remember this, or your search will only cause is a second thing to remember. Get report results
trouble to you. Always check with a supervisor to the right individual(s). The right person or per-
before searching an employee or his property. sons will be able to take the necessary action.
Many companies have rules about what types So far, there are three main points to remem-
of items can be brought onto company property. ber. First, reporting must follow observation.
Know these rules. You may prevent a theft by Observation may involve sighting suspicious
advising an employee that the gunny sack in his activity by employees. Observation includes
hand cannot be brought in. threat potential, such as open doors. Or the pro-
Vehicle parking is another factor in conceal- tection officer may discover concealed company
ment. The personal vehicle of an employee property. First observe; then report.
should not be parked next to the storeroom The second main point is timely reporting. If
door, for example. In fact, employee parking you wait too long to report suspicious activity, the
should be at some distance from buildings and theft will take place. If you wait too long to report
doorways. Company policy establishes the a suspicious open door, stolen items will exit
parking rules, but you should point out parking through that door. If you wait too long to report a
hazards that make employee theft easier. concealed item, it will be removed by the thief.
Employee thieves may use their own car or The third main point is reporting to the right
truck. They may also use a company vehicle to person. The right person will react properly to
haul away the stolen merchandise. For example, a the threat you observed. The right person will
driver may load a few extra cases onto the truck, authorize or take corrective action in a timely
cases not listed on the manifest. These will be sold fashion. The right person will see that your work
for his personal profit and the company’s loss. is not wasted. Who is the right person(s)? Your
Some thieves are very bold. They will attempt supervisor, if available, is the right person. The
to walk out with stolen merchandise in their nonsecurity supervisor in the hazard area is
hands. Employees who attempt to remove com- another. Each company and each business will
pany property from the premises should have have a chain of command or leadership tree.
a pass or other authorizing document. Since Protection officers must know the responsibilities
pass forms may be stolen or counterfeited, it is of various managers. They must know how to
important to know and recognize authorized reach managers in case of an emergency, which
signatures. When in doubt, check with your can include a serious threat of employee theft.
supervisor. And make sure that the pass cov- Reports about employee theft should be both
ers each and every item. If the pass says “six” verbal and written. The need for verbal reporting
items, do not let the employee remove seven. often increases with rapidly unfolding events. The
need for written reports is twofold. First is clarity.
Verbal information often becomes distorted when
RESPONSE TO THEFT relayed from one person to another. Second is
record keeping. Written reports serve as the basis
for planning by the security and loss control staff.
Reporting
History tends to repeat itself, and hazards repeat
All observed suspicious activity, and espe- unless records are kept and used.
cially that involving employees, should be Written reports from protection officers are
immediately reported. Remember that all obser- sometimes hastily read by management, if read
vations and concealment findings are a waste of at all. This is especially true of shift reports. It is
time unless your results are promptly reported. hard to say why these reports are not properly
Along with the need for timely reporting, there used. Sometimes, it is the protection officer’s

VII. DEVIANCE CRIME AND VIOLENCE

 RESPONSE TO THEFT 263
fault. Reports are not valuable if poorly writ- careful in conducting searches. Search actions are
ten or have illegible handwriting. Other prob- the most troublesome preventive actions.
lems relate to forms that are poorly designed. Preventive actions do not always mean trou-
At other times, the boss means well, but just ble. Many preventive actions are pleasant. They
cannot seem to get around to reading activity involve heading off employee theft at an early
reports until they are stale. stage. Never forget, the essence of protection is
A protection officer may develop a nega- prevention of employee theft. Cultivate a good
tive attitude about reporting his observations liaison with as many senior employees as you
(to include employee theft hazards). Perhaps can. Let these employees be additional eyes and
nobody asked for an explanation of important ears.
observations. No pats on the back or positive
feedback. Or nothing seems to have been done
to reduce the reported threat. Many protection
Search Policy
officers, especially those working the night Occasionally, you may feel it necessary to
shift, never see the protection boss or his depu- search a lunch bucket or purse. Or you may
ties. That shift, especially, may wonder if their decide an employee locker contains stolen mer-
reports are ever read. chandise. There may be an excellent reason to
What can be done? Verbally report sus- suspect company property is in an employee’s
picious activity and other employee theft personal vehicle. However, before you take
potentials. Discuss your written reports with action, before you search, know your company
supervisors whenever you can. Once in a while, policy and always follow it.
take some initiative and call the protection Do not take actions in conflict with company
office when you are off-duty and the boss is in. policy. Policy may state that employee packages
Show your concern for your duties and for your or vehicles can be inspected on demand, or pol-
reports. Such dedication is often rewarded. The icy may instead authorize periodic and random
protection officer bears responsibility for his searches of employee parcels, briefcases, and
observations on employee theft or the potential purses. A company without a written and well-
for theft. Your observations must be understood communicated policy is buying trouble for itself
by the top ranks. No excuses or moaning about and the protection staff. When in doubt about
lack of communication will help the situation. search policy, ask your supervisor. Remember
that an error on your part could result in your
termination or court action.
Preventive Actions Searching a company vehicle is less hazard-
Observation and reporting are crucial in ous, but company policy still rules. It may be
employee theft prevention, as already addressed. necessary to break a door seal. A search could
Preventive action is also important, but actions delay delivery of overdue merchandise. The
can be hazardous. The wrong action can bring union contract may set limitations or require-
unnecessary embarrassment to an employee, the ments. For example, rules may require the pres-
protection manager, and the individual protection ence of a union steward or a supervisor during
officer. Wrongful action can expose you and your the search. Know the rules and follow them.
company to civil suit. For example, an employee Searching other areas, such as storage sheds,
falsely accused of theft can bring suit for monetary or checking trash containers and garbage bags is
damages. Some wrongful actions lead to criminal normally simple, but it is wise to ask your super-
prosecution and jailing of the protection officer. visor if such routine checks can be done without
Be careful when facing accusations. Be especially giving prior notice to the protection office or some

VII. DEVIANCE CRIME AND VIOLENCE

264 22. WORKPLACE CRIME AND DEVIANCE

supervisor. Routine searches should be done at know an area or the activities taking place as
different times, of course. If officers always check well as employees who work there. Changes
a trash container at 4:00 P.M., employee thieves in the workplace—for example, getting a ship-
will wait until 4:10 P.M. to stash the stolen goods. ment of new, valuable items, opening a formerly
Protection officers may not be allowed in sealed door, or hiring temporary help—can raise
some areas unless invited. Such areas often the potential for employee theft. New merchan-
include the research laboratory and executive dise represents something additional to observe.
offices. Barging into a research laboratory could Opening a previously sealed door means another
ruin experiments in progress. It is important access route to remove stolen merchandise.
to remember that company executives do not Temporary staff may themselves steal or be
want protection officers poking around when blamed as regular employees attempt theft.
important business is under way.
Public relations are the key to almost every-
thing the protection officer does. This is never SUMMARY
truer than in searching an employee’s bag,
briefcase, or vehicle. Your attitude during a This chapter presented some lessons about
search must be professional and nonthreaten- controlling employee dishonesty. Employees at
ing. Remember that you must work tomorrow all levels may steal from their employers. Most
with the same employees you search today. An employees steal what is immediately available
overbearing or nasty attitude will make ene- to them. Opportunities for theft come about
mies you cannot afford. because of WAECUP. Protection officers cannot
prevent all employee theft, but they can have a
positive impact. Theft prevention is a good idea
Employee Liaison at any time. Today, it is especially important
No protection officer can be successful with- because of the economic climate.
out help. Help will come from the protection Practical methods to prevent theft have been
staff, of course, but you can also get help from provided. These include tips on what to look
nonsecurity employees. It is necessary to cul- for, what to report, and what actions to take. As
tivate the respect of those employees who can a general rule, always look for the unusual and
assist you to estimate employee theft threats. out of place, but be prudent in taking action. An
Morale is a good indicator of theft potential. employee may have permission to take com-
When overall morale is high, there tends to be pany property off premises.
less employee theft. When moral is low, theft Protection officers can reduce theft of vis-
is more likely. The protection officer needs to ible items, but it is best to reduce opportunity
keep his or her finger on the pulse of employee for theft. Theft reduction requires knowledge
morale. This can best be done through contacts of company property, how it is marked, and its
in the workplace. value. Make a property list to aid one’s memory.
Often, nonsecurity employees will witness Concealment often comes before removal of
an employee theft, but fail to report it. This company property by the employee thief. Trash,
can continue for a long time. A protection offi- garbage containers, and garbage bags are favor-
cer who has the respect of key employees may ite hiding places. The thief may conceal valu-
receive valuable hints about the deviant activi- able merchandise behind less valuable items.
ties of employees. Everything should be in its place. Look behind
Liaison with nonsecurity employees has other shelved merchandise; examine storage rooms
benefits. A roving protection officer will never and broom closets.

VII. DEVIANCE CRIME AND VIOLENCE

 SUMMARY 265
Know the rules about what employees may Search of trash or storage areas is usually with-
bring onto company property. You may be out complication. These searches should be done
able to prevent a theft simply by advising an at staggered times. Some areas, such as research
employee not to bring in a container. Vehicle labs and executive offices, need prior permission
parking is another factor. Point out parking to enter, even by the protection officer. There are
hazards that make employee theft easier. valid reasons for these restrictions.
Report suspicious activity, both verbally and Public relations are important, especially
in writing. Timely observation is critical to the during any search involving an employee. An
right person or persons. Know who the right officer must work tomorrow with the employee
person is. Follow up on the reporting in discus- who is being searched today. Cultivate the
sions with protection supervisors. respect of senior employees. These people can
Preventive actions are important to employee help the officer recognize employee theft poten-
theft prevention. Wrongful actions by protection tial. As a general rule, morale is a good indica-
officers can lead to civil and criminal problems. tor of theft potential. Low morale is likely to
Considerable care is needed in making searches mean more employee theft problems.
and in making accusations. Some preventive Sometimes employees witness theft, but do
actions are pleasant. Employee liaison is an excel- not report it. If the protection officer develops
lent way to prevent employee theft. Liaison with the respect of key employees, hints to employee
senior employees means additional eyes and ears. deviancy may be given. Liaison with non-
Company search policy must be understood security employees has other benefits. Changes
and applied. Know whether policy allows ran- in the workplace environment can raise the
dom searches or searches on demand. A written potential for employee theft. Good liaison will
search policy is essential. Search of company keep you up-to-date on such changes.
vehicles may be easier, but complications can The protection officer can do a good job in
arise with respect to seals, delays, or contract preventing employee theft, but only if he fol-
provisions. Always follow the rules. lows the methods outlined and company policy.

EMERGING TRENDS
Losses caused by employees have been a con- loyalty and commitment to the employer are also
cern throughout history. At one time, employ- critical if theft, sabotage, espionage, and so on are
ers in England and the United States forbade to be controlled.
employees to talk during working hours. This Workplace crime is not limited to theft; sabotage
was to ensure that there was no loss due to by employees can also occur. There are various
wasted time. A more contemporary approach types of sabotage, from total or near total destruc-
to this issue is the use of temporary employees. tion of equipment and facilities (planting explo-
Contract service firms provide employees to cli- sives or incendiaries), to damaging equipment,
ent organizations on an as-needed basis. to deliberate work slowdowns. Sabotage may be
Such an approach cuts waste, but may create motivated by a variety of reasons. In construction
the potential for theft, espionage, and other crimes. and other industries, sabotage may be conducted
Obviously, all employees with access to assets must to prolong the work; damage slows completion of
be properly screened and supervised. Employee the project and keeps hourly workers employed.

VII. DEVIANCE CRIME AND VIOLENCE

266 22. WORKPLACE CRIME AND DEVIANCE

Conversely, acts of sabotage may be motivated by to address the crime problem. Intelligence ana-
labor unrest during contract negotiations or strikes. lysts help to spot and track the activity of orga-
Sabotage may be committed by those advancing nized crime groups, terrorists, and embezzlers.
political or social agendas (terrorism), or it may The effective use of intelligence analysts helps to
be the work of foreign agents during times of war. detect crime or loss problems that are forming.
Regardless of the motivation, sabotage is a type of Intelligence analysts can also direct investigation
workplace crime. The control of sabotage is similar into crime or loss situations. Exception reporting
to the control of theft in most cases. systems, which spot deviations from the norm,
Organized crime has been involved in some such as an unusual amount of voided sales at a
workplaces for many years. Infiltration of busi- cash register, are part of a theft intelligence sys-
nesses, with the goal of exploiting their assets, is tem. Simply put, intelligence directs internal theft
a common occurrence. Organized crime groups investigations. It tells us where to start looking.
are now becoming involved with identity theft/ The individual protection officer plays a key
fraud. Exploitation of an insider who provides role in reducing workplace crime and deviance.
confidential customer or employee information Unfortunately, many organizations do not fully rec-
is a key concern. As information becomes a more ognize this, relying instead on accountants, audi-
valuable and accessible asset, such scenarios will tors, and human resources personnel to manage
likely increase. internal losses. This perspective is most often seen
Intelligence and crime analysis positions are with uniformed security personnel; plainclothes
becoming more common. In public sector organi- personnel, such as retail loss prevention officers,
zations, there are often crime analysts employed by tend to be more involved in internal loss problems.
police departments. Intelligence analysts may be In retail, loss prevention agents do various forms
employed within law enforcement or investigative of auditing, interviewing, and surveillance. In
organizations. Major corporations are also using many cases, retail loss prevention officers also are
the services of those who can conduct applied involved in educational programs for employees.
research on an organization’s loss problems. Crime Coordinating and delivering awareness programs
analysts help pinpoint where crime is occurring on internal loss, organized retail crime (ORC),
by day, time, and location. They aid in more effec- safety, and related topics are functions that are
tively deploying personnel and other resources often performed below the managerial level.

References Criminological theory: Past to present: Essential readings

(2nd ed.) (pp. 131–134). Los Angeles: Roxbury. (Reprinted
Beccaria, C. (1764). Essay on crimes and punishments. Retrieved from Principles of criminology, 6th ed., 1960.)
August 16, 2007, from http://www.crimetheory.com/ Sykes, G. M., & Matza, D. (1957). Techniques of neutral-
Archive/Beccaria/. ization: A theory of delinquency. American Sociological
Burgess, R. L., & Akers, R. L. (1966). A differential association– Review, 22, 664–670.
reinforcement theory of criminal behavior. Social Problems,
14, 128–147.
Cohen, L. E., & Felson, M. (1979). Social change and crime
rate trends: A routine activity approach. American
Resources
Sociological Review, 44, 588–608. The Association of Certified Fraud Examiners has over
Sutherland, E. H., & Cressey, D. R. (2003). A theory of dif- 45,000 members. Membership is open to students. There
ferential association. In F. T. Cullen & R. Agnew (Eds.), is a series of substantial discounts available to educators

VII. DEVIANCE CRIME AND VIOLENCE

 SECURITY QUIZ 267
who join the Association. The Association sponsors the
Certified Fraud Examiner (CFE) designation and has a 3. Social learning theory is only about learning
database of articles on fraud. Visit /www.acfe.com. how to commit a crime, not why crime might
Business Controls Inc. offers investigation, consultation, be acceptable.
and employee hotline services for employers and edu-
a. True
cational institutions. In addition, Business Controls pro-
vides both online and instructor-led training in fraud b. False
investigation, workplace violence, employee handbooks, 4. Which of the following is an example of a
substance abuse, theft investigation, and related topics technique of neutralization that would be
at http://www.businesscontrols.com. used if the employee believed the company
Dr. Richard Hollinger’s column in Loss Prevention maga-
would get insurance money to replace the
zine is an outstanding discussion on employee theft.
Loss Prevention also has articles on inventory control, loss?
shrinkage reduction, etc. Visit the site at http://www a. Denial of responsibility
.losspreventionmagazine.com/. b. Denial of injury
The International Foundation for Protection Officers offers a c. Appeals to higher loyalties
certificate program in Crime and Loss Investigation. The
d. Condemning the condemners
Crime and Loss Investigation Program consists of texts
and a series of online papers. The online papers deal 5. Which step must immediately follow
with intelligence, background investigation, and inter- observation of suspicious activity?
viewing. They can be located in the Foundation’s Article a. Marking
Archives at www.ifpo.org. b. Concealment
The University of Leicester’s Department of Criminology
c. Reporting
conducts a wide range of research on workplace crime,
shrinkage control, and related topics. The University d. Liaison
is one of the leading research institutions in the United 6. Liaison with nonsecurity employees has
Kingdom and offers a variety of certificate and degree many benefits for the protection officer.
programs online at http://www.le.ac.uk/criminology/ a. True
researchmain.html.
b. False
7. Protection officers may visit any office or
activity without notice and at the officer’s
convenience.
a. True
b. False
S EC U RI T Y QU IZ
8. Employee package policies usually include:
1. Which of the following is not relevant to a. Search on demand
general deterrence? b. Periodic or random search
a. Punishment certainty c. Neither of the above
b. Punishment celerity d. Either a or b
c. Punishment carnality 9. Suspicious activity should be reported only
d. Punishment severity in writing.
2. Routine activity theory states that crime will a. True
only happen when a motivated offender, a b. False
suitable target, and the absence of _________ 10. Reporting observations to the right person or
_________occur at the same place and time. persons is vital.
a. Suitable guardians a. True
b. Capable guardians b. False
c. Protection officers
d. Probation officers

VII. DEVIANCE CRIME AND VIOLENCE

 C H A P T E R

23
Substance Abuse
Francis J. Elliott, Glen Kitteringham, and
Terence M. Gibbs

and child abuse. According to the World Health

CHAPTER OBJECTIVES Organization, the abuse of psychoactive sub-
● Provide an overview of the impact of stances is estimated at 2 billion alcohol users,
various types of substance abuse 1.3 billion smokers, and 185 million illicit drug
● Elevate the protection officer’s awareness users. It was estimated to be responsible for
about substance abuse in the workplace 12.4% of all annual deaths worldwide (World
Health Organization: Substance Abuse Facts).
● Discuss psychoactive drugs and the Substance abuse adversely affects our schools
behaviors resulting from their use and/ and the education of our children; it divides
or abuse and destroys families, drains the economy of
● Identify the risks that these behaviors entire communities, and jeopardizes the abil-
pose for employees and the employer ity of business and industry to be competitive.
● Prepare security professionals to deal Substance abuse is a threat to our society and
with substance abuse on the job and public safety. It destroys the human will and
effectively communicate observations denies dreams. Substance abuse does not dis-
and information to supervisors criminate. It favors no race, age group, intel-
● Identify conditions that may point to a ligence level, social or economic status, or sex.
security risk or vulnerability It consumes anyone who dares to embrace its
false promises for perpetual self-gratification
and well-being.
This chapter is aimed at elevating the pro-
Today, we live and work in a society in which tection officer’s awareness about substance
substance abuse is omnipresent. It is a major abuse in the workplace, and about psychoactive
problem confronting Canada, the United States, drugs and the behaviors resulting from their
and other countries around the world and is use and/or abuse. This chapter also identifies
the leading cause of crime, health problems, the risks these behaviors pose for employees

269
270 23. SUBSTANCE ABUSE

and the employer, and the methods by which Green, 2008) and 90% of alcoholics are
to prevent or confront these risks. As a security employed in the workplace. Many of these
professional, you must be prepared to deal with employees are poly-drug abusers. That is,
substance abuse on the job and effectively com- they abuse more than one drug in the course
municate your observations and information of their drug-taking behavior. Employees with
to your supervisor. Because of your daily inter- alcohol and other drug problems represent
action with employees and others who visit 10–20% of any given workforce. Within this
your workplace, you must be able to recognize workforce, the highest concentration of abus-
conditions that may point to a security risk or ers is within the 18- to 25-year-old age group.
vulnerability A 2007 U.S. Department of Health and Human
For the purposes of this chapter, the phrase Services study shows that 20% of work-
“substance abuse” refers to the use, usually ers age 18 to 25 use drugs on the job, while
self-administered, of any psychoactive drug, the rate for 27- to 34-year-olds is 10%, 35- to
in a manner that deviates from the approved 49-year-olds is 7%, and 50- to 64-year-olds is
legal, medical, or social patterns within a given 2.6% (Larson, Eyerman, Foster, & Gfroerer,
culture. A drug is defined as any substance 2007). The Canadian Centre for Occupational
that by its chemical nature alters the structure Health and Safety put the 2002 economic cost
or function of the living organism. A psycho- of substance abuse to the Canadian workplace
active drug is one which alters the structure or at $39.8 billion (www.ccohs.ca/oshanswers/
function of the brain. Psychoactive drugs alter psychosocial/substance.html). U.S. government
mood, perception, or consciousness. Examples data suggests that the economic cost of the
include nicotine, alcohol, marijuana, cocaine, United States’ extensive involvement with mind-
amphetamines, and LSD. altering drugs and alcohol may be close to $400
Because our focus is on drugs that directly billion annually to the American business
affect performance and behavior on the job, community (U.S. Department of Health and
nicotine will not be a focus of this chapter. Human Services, 2009). The annual cost for a
However, it is important to note that nicotine single employee with a substance abuse prob-
consumption produces classic drug depen- lem is reported to be between 5% and 15% of
dence characteristics. Along with alcohol, it is a company’s health care budget (Fischer et al.,
considered a gateway drug for those who ulti- 2008). The European Monitoring Centre for
mately use other dependence-producing drugs, Drugs and Drug Addiction (2009) estimates
such as marijuana and cocaine. Finally, nicotine that at least 100 million Europeans, or 32% of
has been clearly identified as an insidious sub- the population, have a lifetime prevalence for
stance responsible for approximately 5.4 million using such drugs as cannabis, cocaine, ecstasy,
deaths worldwide and is referred to the big- amphetamines, and opioids. It is safe to assume
gest “killer in the world” by the World Health that their workforce is also directly impacted
Organization (United Nations Press Briefings/ by substance abuse. Aside from the substance
Tobacco). abuser population, there exist an unspecified
number of employees who are codependent.
These employees do not abuse drugs. However,
IMPACT ON BUSINESS AND they share a common thread. They are the
INDUSTRY spouses, children, and significant others who
arrive for work each day preoccupied with the
In the United States, recent studies reveal that physical and emotional condition of their loved
75% of illicit drug users (Fischer, Halibozek, & ones.

VII. DEVIANCE CRIME AND VIOLENCE

 SUBSTANCE ABUSE: WHAT IS THE MOTIVATION? 271
These are some of the tangible costs gener- components that complement a company’s par-
ated by the substance abuser: ticular philosophy and culture. These compo-
nents include policy development, training and
1. Decreased productivity—they are 25% less
education, employee assistance programs, the
productive.
security function, and drug testing measures.
2. Accidents—they are three to four times
more likely to have an accident on the job.
Fifty percent of all accidents are attributable SUBSTANCE ABUSE: WHAT IS
to substance abusers. Forty percent of THE MOTIVATION?
industrial accidents resulting in fatality
are linked to alcohol consumption and Time and again the question is asked, “Why
alcoholism. do people abuse drugs?” The reasons are usu-
3. Absenteeism—they are absent four times ally complex. Early drug use, at any age, may
more often. Also, they are more likely to be be a result of peer pressure, low self-esteem,
away from their assigned locations during insecurity, boredom, or various other social,
regular work hours. environmental, psychological, and biologi-
4. Theft—they are responsible for 50 to 80% of cal factors that induce stress and anxiety. In all
employee thefts. likelihood, some combination of these variables
5. Worker ’s compensation—they are stimulates the initial use and abuse of psycho-
five times more likely to file a worker ’s active drugs. Initial use is usually reinforced as
compensation claim. a result of (1) pleasant effects, (2) a perceived
6. Health care costs—they use medical benefits control over the drug, (3) peer acceptance and
five times more often, and the family members recognition, and (4) myth and misinforma-
of substance abusers generally have higher- tion. What we know is that drugs can quickly
than-average health care claims (Protection of relieve unpleasant feelings. Mind-altering drugs
Assets Manual, 2007, Vol. I, Ch. 8). quickly affect the pleasure centers of the brain
so that the user who is feeling good feels better,
Aside from the tangible costs of substance
and those feeling bad will feel good. The result
abuse, many hidden costs exist for which a
is nearly immediate self-gratification, but it is
dollar figure cannot be assigned, such as the
only temporary. In reality, sooner or later, the
following:
user and others always pay the price.
● Morale problems Continued use of a psychoactive drug will
● Intimidation of managers and employees most often result in problematic behavior such
● Wasted supervisory time as drinking and driving, job jeopardy, or split-
● Overtime costs ting with the family. Ultimately, repeated use
● Grievance costs can lead to physical and/or psychological
● Training and replacement costs dependence. As use continues, there are usually
● Decreased quality of products and services three anticipated outcomes:
To successfully address the adverse conse- 1. Return to a drug-free lifestyle.
quences of substance abuse in the workplace, 2. Continue to abuse drugs, avoiding
we must elevate awareness and change existing dependence but exhibiting problematic
attitudes and procedures that enable perpetu- behavior at work, home, or the community.
ation of the problem. There is no single solu- 3. Continue to abuse drugs to the point of
tion. The greatest success will come through the dependence and most likely death from his/
selection of various prevention and remedial her disease.

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272 23. SUBSTANCE ABUSE

How each substance abuser will land is unpre- person. We also know that there are not enough
dictable, and is often guided by circumstance of these programs to meet the needs of the
beyond anyone’s control. afflicted. According to the U.S. government,
the cost offset is tremendous. For every $1.00
spent on treatment, $7.00 is saved on crime and
HOW PROBLEMATIC BEHAVIOR criminal justice costs. When factoring in health
AND DEPENDENCE DEVELOP care savings, a total of $12.00 is saved (U.S.
Department of Health and Human Services,
Today, drug dependency is viewed as a dis- 2009). In spite of the various programs and mod-
ease with identifiable causes, signs, and symp- els, we know that recidivism rates are high. So,
toms. As such, in many jurisdictions people for all that is known, the experts still have much
with addiction issues are protected by human to learn and continue to do so each day. There is,
rights councils. Dependency follows a predict- however, a solid body of evidence pertaining to
able course and outcome, and it is treatable. the stages of dependency and associated behav-
The disease of drug dependence can be the iors which the protection officer should know.
following: An understanding of the process is critical to
prevention and rehabilitation efforts.
● Primary—it is not simply the symptom
Drug dependence follows a predictable
of some other problem(s); it is in itself the
course of action which, most often, begins with
problem.
experimentation. This may be the result of curi-
● Contagious—it attracts others who are
osity, peer pressure, or a variety of other vari-
vulnerable.
ables or combination of variables. Everyone
● A family disease—it affects entire families,
is susceptible to the abuse of drugs and some
not just the individual abuser.
more so than others due to a host of social, envi-
● Chronic—it is difficult to control, is quite
ronmental, psychological, and biological issues
often recurring, and although treatable, it is
or, in some cases, heredity. What is significant is
incurable.
that each incidence of use makes the user more
● Fatal—it takes hundreds of thousands of
susceptible to continued use, up to and includ-
lives annually.
ing dependence. Further, the earlier drug use
Drug dependence may be physical or psy- begins, the more likely it is to progress to abuse
chological, and it represents an individual’s loss and dependence.
of control. Physical dependence occurs when a Another facet of dependence is recovery. The
person cannot function normally without the individual user has a greater opportunity for a
repeated use of a drug. If drug use is abruptly full recovery if treatment begins before depen-
discontinued, the person experiences severe dence sets in. The longer one uses a drug(s),
physical and psychic disturbance, known as the more complex the physical and psychologi-
withdrawal. Psychological dependence pro- cal symptoms become. As a result, recovery for
vides a strong psychological desire to continue the dependent person, or daily user, is a greater
the self-administration of drugs for a sense of challenge in most instances than recovery from
improved well-being. occasional use or experimentation. This is why
A great number of programs and treatment early intervention is significant.
approaches exist for the treatment of drug Whether an intervention occurs at home,
dependencies. What we do know about these work, school, or in the community, it is certain
various programs is that no single approach or that the earlier the intervention takes place the
program is effective for every drug dependent greater the opportunity is for recovery.

VII. DEVIANCE CRIME AND VIOLENCE

 HOW IS SUBSTANCE ABUSE PERPETUATED? 273

HOW IS SUBSTANCE ABUSE dangerous combinations, such as barbiturates

PERPETUATED? and alcohol. Some drugs, like over-the-counter
(OTC) medications, can be harmful in therapeu-
There are essentially five reasons why sub- tic doses if alertness is diminished or drowsi-
stance abuse continues to be a problem in the ness results. Finally, certain drugs taken by
workplace. hypersensitive people can be lethal—for exam-
ple, penicillin. Given the potential harmfulness
1. Denial
of some legal, prescription, and OTC drugs, one
2. Mixed messages
must realize the increased potential for harm,
3. The “harmless” theory
impairment, and death with illegal street drugs,
4. Drug use is controllable by the user
whose composition is never truly known.
5. The problem is viewed as controllable
Controllable use is some people’s belief that
through attrition
drug use can be “recreational,” provided one
Denial provides the biggest single road- controls his/her intake of a given psychoactive
block to successfully addressing the problem drug. However, this arrangement is academic
of substance abuse in society or the workplace. because even so-called social, “recreational,” or
Parents, teachers, husbands, wives, managers, “controlled use” of psychoactive drugs on the
and users themselves all tend to deny the prob- job often leads to impairment, which in turn
lem exists, even in light of hard evidence. Some leads to diminished performance, accidents,
familiar phrases illustrate the point: “Not my and other adverse consequences. Everyone pays
kid,” “What is wrong with a few drinks?” “Not a price for his/her drug use. Some pay earlier
in my company,” “Not Joe—he’s just a good- than others, and all too often innocent people
natured guy,” “It must have been entrapment.” suffer first.
Mixed messages are heard daily, and are con- Attrition in industry is often seen as a solu-
fusing to the layperson. Some insist the use of tion to the drug problem. Unfortunately, tomor-
certain drugs for “recreational” purposes is row’s workforce is intimately involved with
harmless. Others say that the same drugs con- drugs today. Consider the following:
tribute to many individual, social, and occu-
pational ills. For instance, some marijuana In 1975, 55 percent of high-school-aged children
had tried illicit drugs. This increased to 66 percent by
advocates say that this drug is harmless and 1981. In 2008 the rate of abuse in the United States for
does not interfere with one’s work. Others 12- to 17-year-olds is 47 percent (D.A.R.E. America
claim that the drug has a negative impact Annual Report, 2008, p. 8). Similar statistics from the
on education, motivation, and the ability to United Kingdom for 16–24 year olds were reported
remember and perform complex or new tasks. in the Annual 2002/2003 British Crime Survey. Those
who have tried illicit drugs in this age category, at
Hence, marijuana use may contribute to indus- least once were reported at 47 percent. (Condon &
trial accidents. Smith, 2003)
The “harmless” theory contends that the use
of drugs such as marijuana, cocaine, and alco- The data clearly show that tomorrow’s work-
hol is considered by many to be an innocuous force is intimately involved with the use and
activity, on or off the job. In fact, some forces are abuse of alcohol and other drugs today. It is
aggressively moving to legalize all psychoactive evident that business and government will con-
drugs. In reality, no drug can ever be consid- stantly be confronted with a new generation of
ered harmless. Any drug is harmful when taken young people predisposed to tolerating the use
in excess, even aspirin and, of course, alcohol. and abuse of psychoactive drugs. For this rea-
Some drugs can also be harmful if taken in son, the business community must gather its

VII. DEVIANCE CRIME AND VIOLENCE

274 23. SUBSTANCE ABUSE

resources to establish sound drug-free work- by the layperson. These signs include the
place programs that will meet this challenge. following:
1. Observation of drugs and/or drug
paraphernalia in the workplace.
CONDITIONS ADVERSELY 2. Observation of suspicious activity, especially
AFFECTING THE WORKPLACE in secluded areas of the facility or parking
lots. Whenever suspicious activity is
As substance abusers arrive for work each
observed, you should immediately contact
day, they generally fit into one or more of these
your supervisor and request backup before
categories that present threatening conditions
approaching. However, immediate action
for employees and their employer:
may be necessary if a threat to personal
1. Appear for work under the influence of safety exists.
drugs and will be openly and obviously 3. Scent of chemical odors not commonly
impaired, or intoxicated and unfit for duty. present in the workplace.
2. Possess and use drugs on the job. Although 4. Observation of abnormal behavior, including
they are impaired, it will not be evident. the signs of intoxication. Keep in mind that
3. Sell or otherwise distribute, or transfer not all abnormal behavior is an indication
illegal drugs or legal drugs illegally, while of substance abuse. Some employees may
on the job. have legitimate medical problems that can
4. Display impairment due to the residual result in behavior similar to intoxication.
effects of drugs taken hours or even days Regardless of the cause, immediate action is
prior to coming to work. These effects may required to protect the employee, coworkers,
include emotional outbursts, personality and the company’s property and interest.
changes, irritability, combativeness, memory
problems, and the inability to complete
assignments.
5. Have codependent loved ones working at
HOW MUST INDUSTRY
jobs where they will be less productive.
RESPOND?
Keeping in mind that the protection officer The workplace plays an integral part in the
is not a diagnostician, recognizing impairment fight against substance abuse. When continued
due to sustained low dosages and residual employment is conditional upon being drug-
effects, or codependence, will be unlikely unless free, then employment becomes a powerful
he/she is informed of this by a third party. If incentive in support of a drug-free workplace.
third-party information is received, then the When a company demonstrates commitment
protection officer should bring this intelligence to a comprehensive program in support of a
to his/her supervisors immediately. These con- drug-free workplace, then the opportunity to
ditions are best left to supervisors and manag- affect attitudes, behavior, and the lifestyles of
ers who can evaluate these issues as a matter employees is significant. Through the influ-
of job performance and make the necessary ence of these programs, employees are likely
referrals, or take disciplinary action when per- to make healthier choices. Employees who are
formance is considered to be deteriorating. educated and committed to a drug-free life-
However, the protection officer should be alert style convey this attitude to their families and
for the outward signs of drug possession, use, friends. In effect, the employee not only serves
and distribution, which are often overlooked to reduce substance abuse at work, but he/she

VII. DEVIANCE CRIME AND VIOLENCE

 HOW MUST INDUSTRY RESPOND? 275
serves to improve the health of his/her family on matters pertaining to troubled employ-
and community. ees, assess employee problems, make refer-
Historically, “private enterprise has pio- rals for treatment and counseling, and in some
neered most of the programs in drug detection, instances, oversee drug testing programs.
rehabilitation, and prevention” (Fischer et al., Current data reveals that each dollar invested
2008, p. 357). To respond effectively, a multidi- in an EAP can save a company $5.00–16.00 in
mensional approach is necessary. A company the long run. Where an EAP is not available, a
should consider five components in the devel- company may provide insurance coverage that
opment of a comprehensive drug-free work- will allow an employee to seek community
place program. resources.
Drug testing programs like those provided
1. Policy development
by the EAP have traditionally been employed
2. Training and education
by large companies. One of the restrictive fac-
3. Employee assistance
tors for a small company is, of course, cost. As
4. Drug testing
with EAPs, smaller companies are banding
5. Security measures
together to form consortiums in order to make
A company policy is the first step on which drug testing more cost-effective. This momen-
to build an effective drug-free workplace pro- tum for testing is being pushed:
gram. It must clearly state the company’s pur- ● By legislation that all workers in safety-
pose, what will and will not be tolerated, how
sensitive positions are subject to mandatory
the company will respond to violations, and
testing;
what training and treatment support are avail- ● By insurance companies who threaten to
able. It should also describe the company’s
increase rates if drug testing is not carried
drug testing policy, if they choose to conduct
out; and
these tests. ● By the resurgence of background checks,
Training and education should be pro-
partly precipitated by the events of
vided at all levels of employment, especially
September 11, 2001 (Gips, 2006, p. 54).
supervisors and managers, for they represent
a company’s first line of defense. Training and The purpose of drug testing is to deter sub-
education should focus on a review of the com- stance abuse, prevent the hiring of substance
pany’s policy, and provide a clear understand- abusers, and provide for the early identification
ing of the nature and scope of substance abuse and referral to treatment of employees with a
and the required response to prevent and prop- substance abuse problem.
erly address the problem. Several types of testing can be performed by
Employee assistance programs (EAPs) are a company, depending on their needs and col-
most often a resource offered by large com- lective bargaining or legal restrictions. These
panies. However, more and more smaller- include preemployment, postaccident, follow-
sized companies are forming consortiums and up to treatment or counseling, reasonable sus-
thereby making the availability of EAP services picion, and random. Urinalysis has been the
cost-effective. An EAP may be an in-house func- predominant method used to test for the pres-
tion or contracted out through an independent ence of controlled substances. However, other
service. These programs assist employees and testing materials being evaluated and/or used
their families in addressing a wide range of per- include blood, hair, pupillometry, and saliva.
sonal problems, including substance abuse. In Each of the components discussed above
addition, they offer training programs, consult plays an integral part in a drug-free workplace

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276 23. SUBSTANCE ABUSE

strategy. However, these components cannot drugs can effectively supplement their income
address all situations. Sometimes a security by removing valuable equipment or money
response is required. This is true when reck- from the employer or other employees.
less and wanton behavior places the safety To counteract the activities of drug dealers,
of employees and the interest of the com- the company’s security department or inde-
pany at great risk. Protection officers should pendent contractor may have to employ certain
clearly understand why and when the security investigative techniques. For the most part, these
response is necessary. techniques include interviews with employees,
There is a small percentage of substance undercover operations, covert surveillance, or
abusing employees, perhaps 4–10%, who will searches conducted by drug-sniffing dogs or
not accept or benefit from an offer of assis- chemical process.
tance in the way of treatment or counseling. Interviews are conducted for the purpose of
These individuals include drug dealers who gathering intelligence that may dictate future
may or may not use drugs on the job, and users action, such as policy changes or the selection
who are not interested in or ready for recovery of an investigative technique. Employees quite
because they are in denial. Employees who deal often possess critical information, but may not
drugs are engaged in criminal activity that can- recognize its significance unless questioned by
not be tolerated. They make available the sup- a trained investigator.
plies on which troubled employees depend and An undercover operation is a specialized
they establish new opportunities for other types investigative technique. It is employed for the
of criminal activity such as gambling, pros- purpose of covertly infiltrating a workforce in
titution, and theft. A survey conducted with order to identify violations of company policies
substance abusing employees revealed that or law. These investigations are usually initiated
44% had sold drugs on the job. They sell their when there is a suspicion or clear knowledge
drugs in bathrooms, parking lots, vehicles, and that drug dealing is taking place, but the source
secluded areas. and the degree are unknown. Even if a source
In some cases, major drug trafficking orga- was identified, in many instances an undercover
nizations have directed dealers to secure jobs operation may be necessary to gather the evi-
in industry and to develop a clientele. Why? dence required for disciplinary or legal action.
Because (1) there is low police visibility, (2) Covert surveillance or hidden cameras are
security forces are well known and predictable, used when the activity in question is confined
and (3) there is a ready-made clientele. These to an individual or specific location. When this
types of employees create morale and safety is the case, a special surveillance camera can
problems and, in many cases, create a great be covertly secreted inside a ceiling, wall, fix-
deal of intimidation for employees and manag- ture, or a variety of other areas restricted only
ers alike. by one’s imagination. The greatest advantage to
Theft is a major problem for both employers the hidden camera is the undisputed nature of
and employees. Employees who use drugs on the evidence, a picture of the event, and those
or off the job need to support that use. In many responsible.
cases the cost of drugs is very high, costing The act of searching a work area or entire
thousands of dollars a month. To support this workplace is not a common practice in most
need, employees have been guilty of the theft industries. When a search is performed it is
of valuables such as equipment, money, and usually carried out by drug-sniffing dogs or by
trade secrets. By contrast, a person who spends chemical analysis. Most employers reject searches
$20.00–40.00 a week for marijuana and/or other by dogs, based on the perceived negative impact

VII. DEVIANCE CRIME AND VIOLENCE

 DRUGS OF ABUSE, PARAPHERNALIA, AND DEFINITIONS 277
it would have on employee morale. However, Tolerance: Refers to a state in which the
these searches can and do detect the presence body’s tissue cells become accustomed to the
of controlled substances. Once detected, a host presence of a drug at a given dosage and even-
of questions are raised regarding what legal or tually fail to respond to this ordinarily effective
disciplinary action may be justified or taken. The dosage. Hence, increasingly larger dosages are
action to be taken can only be determined on a necessary to produce the desired effect.
case-by-case basis, after analyzing a variety of Physical dependence: Often referred to as
factors. addiction, this occurs when a person cannot
The second type of search is less intrusive function normally without the repeated use of
and much more discrete. The chemical analysis a drug. If the drug is withdrawn, the person
search involves sweeping an area and analyz- has mild to severe physical and psychic distur-
ing the contents for the presence of a controlled bance, known as withdrawal.
substance. The chemical analysis is, however, Withdrawal: This is characterized by symp-
restricted to the identification of a limited num- toms that occur after drug use is abruptly dis-
ber of drugs. The same legal and disciplinary continued. Symptoms may be mild or severe
issues apply, as mentioned above. and include seizures, restlessness, irritability,
nausea, depression, and more. In some cases, as
with alcohol and other depressants, withdrawal
DRUGS OF ABUSE, can be life-threatening.
PARAPHERNALIA, AND Psychological dependence: This is the result
DEFINITIONS of repeated consumption of a drug that produces
psychological but not physical dependence.
Although there are many drugs that will Psychological dependence produces a strong
fall within the psychoactive classification, it desire to continue taking drugs for the sense of
is important that protection officers have an improved well-being, but the body is not physi-
awareness of those that are most prevalent in cally dependent on the drug. Psychological
the workplace. The following are in order of dependence is the most difficult to treat.
significance: Potentiation: This is concurrent use of two
or more depressant drugs with the same action
1. Alcohol
that produce a multiple effect greater than the
2. Cannabis
sum of either drug when taken alone. For exam-
3. Stimulants
ple, use of barbiturates and alcohol. Potentiation
4. Depressants (other than alcohol)
can result in unexpected lethal overdose.
5. Narcotics
Lookalike drugs: Drugs (tablets, capsules,
6. Hallucinogens
and powders) that are manufactured to closely
To facilitate a review of the most popular resemble the appearance of well-known, brand
drugs of abuse within each class, a controlled name drugs, such as Dexedrine (dexies), and
substance chart is provided that identifies spe- Biphetamine (black beauties). They generally
cific drugs, trade or other names, medical uses contain drugs found in OTC medications, but
if any, its potential for producing dependence usually in larger amounts to provide greater
and tolerance, duration of effects, routes of potency.
administration, and possible effects of abuse,
overdoses, and withdrawal. A word of CAUTION: You should never taste,
Before continuing, it will be helpful to review smell, or directly touch an unknown substance. IT
the following definitions: COULD BE HAZARDOUS TO YOUR HEALTH!

VII. DEVIANCE CRIME AND VIOLENCE

278 23. SUBSTANCE ABUSE

INDICATORS AND COMMON 2. Pupils may be dilated and the eyes

SIGNS OF ABUSE bloodshot.
3. Use results in distortion of depth and time
There are various indicators that suggest or perception, making driving or the operation
positively identify drug involvement in any of machinery hazardous.
environment, including the following: 4. Smokers may be impaired for as long as
24 hours following intoxication, which may
● Presence of a drug and/or drug last 1–2 hours.
paraphernalia 5. Short-term memory is impaired.
● Physical signs (needle marks, dilated pupils) 6. Long-term use of marijuana is associated
● Behavioral signs (slurred speech, irritability, with mental deterioration in some users
personality changes) and presents a significant health risk to
● Analytical tests (saliva, urine, blood, hair) adolescents, the unborn, diabetics, the
There are many signs of substance abuse emotionally disturbed, and those with
that can be identified by the protection officer. respiratory problems.
However, keep in mind that some people have
legitimate reasons for possessing a syringe Marijuana is the most commonly used illicit
and needle (diabetics), or having capsules and drug in the workplace, because it is easily con-
tablets (valid prescriptions). Having the snif- cealed and use can be accomplished quickly.
fles and running eyes and nose may be due This drug is often a brown, herbaceous sub-
to a head cold or allergy and not cocaine use. stance, but may be shades of brown, red, green,
Unusual and odd behavior may not be con- or yellow depending on its origins. Marijuana is
nected in any way with drug use. For these rea- smoked as a “joint” (cigarette) or through vari-
sons protection officers cannot and should not ous types of pipes. When the joint is reduced to
view themselves as diagnosticians. The protec- a butt and can no longer be held with the fin-
tion officer’s role is to observe and report sus- gers, it is referred to as a “roach” and held with
picious conduct or behavior to the appropriate a “roach clip” for continued smoking. Another
supervisory contact within the company, so method used to smoke marijuana is to hollow
that they can evaluate each incident and follow out a cigar and fill it with the marijuana. This
through in the appropriate manner. preparation is referred to as a “blunt.”
Marijuana may also be taken orally when
used in the preparation of food or drink.
SIGNS AND SYMPTOMS: However, smoking is the preferred route of
CONTROLLED SUBSTANCES administration.
Cost is based in large degree on availability
The following are specific characteristics and/or its potency, which is determined by the
attributable to each drug class: percentage content of the psychoactive chemi-
cal called THC (Delta 9 Tetrahydrocannabinol).
It is often packaged in clear plastic baggies, but
Cannabis: Marijuana, Hashish, any type of container may be used.
Hashish Oil Marijuana users attempt to avoid detection
on the job by smoking small amounts of mari-
1. Initially, the person may appear animated juana, called “sustained low dosages,” through-
with rapid loud talking and bursts of laughter. out the workday. This enables the user to avoid
In later stages, he/she may be sleepy. intoxication and therefore detection, because the

VII. DEVIANCE CRIME AND VIOLENCE

 SIGNS AND SYMPTOMS: CONTROLLED SUBSTANCES 279
euphoria or impairment is not outwardly obvi- route), injection, and smoked as crack. On-the-
ous. The user experiences mild effects along job use is usually confined to snorting, which
with a level of impairment that can adversely can be accomplished quickly and surreptitiously.
affect one’s fitness for duty and safety on the job. Cocaine can be snorted with the use of a
Hashish and hashish oil contain concen- coke spoon, a straw, the corner of a matchbook
trated levels of THC, which result in increased cover, or the tip of a long fingernail. When
potency over marijuana. These forms of canna- using a straw, which might be a rolled-up piece
bis are generally not consumed at work because of currency, the user refers to this as “snorting
of the preparation required, but they are readily a line” of cocaine. In addition, there is para-
distributed. phernalia available today that is disguised as
common sinus inhalers but is used to dupe
unsuspecting employers into believing the user
Stimulants: Cocaine, Amphetamines,
is treating a cold. In some cases employees have
Crystal Meth, Lookalikes
been dismissed on sick leave to address their
symptoms!
1. The user may be excessively active, irritable,
Although traces of cocaine remain in the
argumentative, nervous, or restless.
body for up to a week, its mind-altering effects,
2. The user generally shows signs of excitation,
which users seek, last only 15–30 minutes.
euphoria, talkativeness, and hyperactivity.
This is important because following this brief
3. May perform the same tasks repeatedly.
drugged state, the user experiences varying
4. Dilated pupils and dry mouth are common.
degrees of depression, exhaustion, and dull-
5. Regular users can go long periods without
ness, due to chemical disturbances in the brain
sleeping or eating. This can result in fatigue,
that reinforce readministration of the drug.
depression, and weight loss.
This may lead to continued or compulsive use
6. Long-term heavy use can produce delusions,
and quite often to new routes of administra-
psychosis, paranoia, or death.
tion to achieve a more potent effect. The high
7. Specific to cocaine—the user may exhibit
cost is a powerful force that can lead to theft,
runny nose, sniffles, watery eyes (symptoms
drug dealing, and other criminal activity in the
similar to the common cold), and ulcerations
workplace.
of the nasal passage.
Amphetamines are produced by both legiti-
8. Paraphernalia consists of razor blades
mate pharmaceutical companies for medical
and mirrors for chopping cocaine into fine
purposes and by clandestine laboratory opera-
particles. Straws and small spoons are then
tors (drug traffickers) in makeshift laboratories
used for snorting.
located in bathrooms or garages, or in elabo-
Cocaine is a drug produced by chemically rate facilities including workplace laborato-
processing the leaves of the coca bush, which is ries. Their effects are similar to cocaine with
indigenous to South America. one important exception: They last for hours
Cocaine is usually a white, crystalline sub- rather than minutes. When these drugs are
stance that looks like snow. When sold and used for nonmedical reasons, they are com-
used as “crack,” it takes the form of solid matter monly obtained through (1) pharmacy theft,
and resembles small rocks or pebbles. Various (2) clandestine manufacturers, or (3) unscrupu-
containers are used to conceal or store the drug, lous doctors who write illegal prescriptions for
such as tin foil, paper, and small glass vials. monetary gain.
Cocaine is taken by various routes of admin- Some of the more popular amphetamines
istration, including snorting (the most popular are methamphetamine (Speed), Biphetamine

VII. DEVIANCE CRIME AND VIOLENCE

280 23. SUBSTANCE ABUSE

(Black Beauties), Dexedrine (Dexies), and Ben- drugs. This not only creates an image problem,
zedrine (Pink Hearts). Ritalin and Preludin but also a safety problem, because many of the
are amphetamine-like substances that are also necessary precursor chemicals are highly flam-
popular. mable and/or explosive.
Amphetamines are taken orally as tablets
or capsules that vary in color, shape, and size.
Some, like methamphetamine or methcathinone Depressants: Alcohol, Barbiturates,
(CAT), are available in powder form and are Tranquilizers, Rohypnol
injected, snorted, or taken orally.
1. Behavior like that of alcohol intoxication, but
In addition to the drugs listed above, a whole
without the odor of alcohol on the breath
new class of substances referred to as “looka-
2. Staggering, stumbling, or decreased reaction
like” drugs have become problematic. Initially
time
utilized by truck drivers and students, these
3. Falling asleep while at work
substances have now infiltrated the workplace
4. Slurred speech
and are taking their toll. These substances can
5. Constricted pupils
be distributed legally. They consist of capsules,
6. Difficulty concentrating and impaired
tablets, and powders that contain legal, OTC
thinking
stimulants such as caffeine and ephedrine. They
7. Limited attention span
are marketed as “stay awake” and “stay alert”
drugs. However, their use can cause irritabil- These drugs, with the exception of alcohol,
ity and fatigue that in turn has contributed to are produced and obtained in the same manner
morale problems within the workforce. as amphetamines.
The use of stimulants, often referred to as The most commonly abused drugs in this
“uppers” or “speed,” on the job poses three group, aside from alcohol, are the barbiturates,
serious problems. First, being under the influ- such as Secondal (Red Devils), Tuinal (Rainbows),
ence of these drugs gives one a false sense and Nembutal (Yellow Jackets), and the benzodi-
that they are capable of achieving any task or azepines, such as Valium and Librium. Another
conquering any challenge. In this condition, popular drug in this classification is Rohypnol.
employees may use poor judgment or attempt The depressants possess two important char-
tasks that are beyond their training and knowl- acteristics that bear mentioning. First, as stated
edge, resulting in wasted time, property or per- in the definitions at the beginning of this sec-
sonal damage, safety infractions, and accidents. tion, they are potentiating when combined with
Second, in a stimulated, talkative, and hyperac- other depressant drugs. Second, withdrawal
tive condition, users often disrupt coworkers, from alcohol and other depressants is life-
thereby creating employee morale problems. threatening, and should always be done under
Finally, stimulant users tend to repeat tasks. medically supervised conditions.
This reduces productivity and quality control, Valium and Librium are the most widely pre-
and can affect morale in an environment depen- scribed and abused tranquilizers. They are also
dent upon a team effort. potentiating when combined with alcohol, bar-
Note: Many precursor chemicals necessary biturates, or other tranquilizers.
to manufacture illegal drugs are legitimately “Lookalike” substances containing antihis-
used in private industry. To avoid theft of tamines and analgesics like acetaminophen are
these chemicals by drug traffickers, a company also available as described for the stimulants.
should establish safeguards. Also, the work- Rohypnol is one of the latest fad drugs of the
place has been used to manufacture illegal 1990s, and is becoming increasingly popular

VII. DEVIANCE CRIME AND VIOLENCE

 SIGNS AND SYMPTOMS: CONTROLLED SUBSTANCES 281
with young people. It has Valium-like effects and Dilaudid, and synthetics like Demerol,
and is referred to as “Roofies.” Percodan, and Fentanyl, are popular.
Depressants are taken orally and no specific Narcotics are usually available in tablet,
form of packaging is outstanding. capsule, or powder form, and can be injected,
The use of depressants diminishes alert- smoked, snorted, or taken orally. In addition,
ness and impairs judgment, making the opera- capsules may be used to conceal heroin in pow-
tion of machinery difficult. Manipulative skills der form to produce a legitimate appearance.
and coordination are also affected. This type Heroin is generally packaged much like cocaine
of impairment can lead to accidents and poor in tin foil, paper, balloons, baggies, and vials.
quality control, as well as diminished work Heroin is usually white, brown, or black (“black
performance. tar”), or in shades of these colors. Synthetic and
Depressants are frequently referred to as semisynthetic tablets and capsules appear in
dry alcohol, and alcoholics routinely substitute various colors, shapes, and sizes.
these drugs for alcohol during the workday in The narcotics are not popular drugs of abuse
order to avoid detection from alcohol’s odor. in the workplace, because their use suggests
a long history of abuse, which contributes to
unemployment and criminal careers. The time
Narcotics: Heroin, Dilaudid, Percodan required to prepare an injection is another factor
discouraging heroin use on the job. However, the
1. Scars (tracks) on the arms or on the backs of
administration of heroin via snorting is becom-
the hands, caused by repeated injections
ing more popular. If this trend continues, then
2. Pupils constricted and fixed
heroin may become as popular as cocaine. Aside
3. Scratches oneself frequently
from the issue of use, narcotics are quite often
4. Loss of appetite
encountered for sale and distribution on the job.
5. May have sniffles, red watering eyes, and a
cough that disappears when the user gets a
“fix” (injection) Hallucinogens: LSD, PCP, DMT
6. User often leaves paraphernalia such as 1. Behavior and mood vary widely. The user
syringes, bent spoons, cotton balls, needles, may sit or recline quietly in a trancelike state
metal bottle caps, eye droppers, and glassine or may appear fearful or even terrified.
bags in lockers or desk drawers. They may 2. Rapid eye movement, drooling, flushed and
also be discarded in stairwells, remote areas sweaty appearance, trembling hands, and
of a parking lot, or a secluded location dizziness.
within the workplace. 3. There may be changes in sense of light,
7. Users, when under the influence, may hearing, touch, smell, and time.
appear lethargic, drowsy, and may go on the
“nod” (i.e., an alternating cycle of dosing Hallucinogens are rarely utilized by employ-
and awakening). ees on the job because of their long duration
of effects (2–12 hours) and their unpredict-
Natural narcotics (opium, morphine, codeine) able nature. Also, impairment is total, there-
are a product of the opium poppy, which is fore obviating any degree of productivity.
cultivated for the purpose of extracting these Hallucinogenic drugs are especially popular
powerful drugs for medical use. Major grow- with 18- to 25-year-olds, and are frequently
ing areas include Southeast Asia, Southwest available at the workplace for distribution in
Asia, the Middle East, South America, and their various forms. The most popular halluci-
Mexico. In addition, semisynthetics like heroin nogens include LSD and PCP.

VII. DEVIANCE CRIME AND VIOLENCE

282 23. SUBSTANCE ABUSE

Hallucinogens, often called “psychedelics,” 5. Presence of plastic or paper bags or rags

are a group of drugs that alter perception and containing saturated quantities of the
awareness. Their effects are generally unpre- inhalant
dictable and in some cases, bizarre. The nature 6. Slurred speech
and intensity of the drug experience are deter-
Inhalants represent a diverse group of psy-
mined by the potency and amount taken, the
choactive chemicals composed of organic sol-
user’s personality, mood expectation, and the
vents and volatile substances. These chemicals
social and environmental setting.
like glues, paint products, gasoline, and white
The LSD experience is labeled a “trip” that is
erasing fluid, can be readily found in the home
characterized as “good” or “bad.” The nature of
and workplace. Their easy accessibility, low
the trip can only be determined after ingestion,
cost, and ease of concealment make inhalants,
and can last as long as 10–12 hours. The “good
for many, one of the first substances abused.
trip” is characterized by a passive trancelike
Inhalants are usually sniffed directly from
state with pleasant hallucinations, perhaps a
an open container or from a rag soaked in the
kaleidoscope of colors and altered sensations.
substance and held to the face. This is usually
Senses sometimes cross so that the user sees
referred to as “huffing.” Some users have been
sounds and hears colors. These characteris-
known to place open containers or soaked rags
tics result in the hallucinations being touted as
inside a bag, where the vapors can concentrate,
mind-expanding drugs. The “bad trip” is char-
before being inhaled. These substances are rap-
acterized by unpleasant experiences including
idly transported to the brain, and can result in
terrifying hallucinations, panic, and irrational
unconsciousness or death.
acts, which have resulted in injury and death.
These substances are not widely abused in the
LSD is sold on the street in tablet and blotter
workplace. However, incidents of workplace inhal-
form. As tablets, they are commonly referred to as
ant abuse have been reported. Many of the chemi-
“microdot acid,” and are sold in variety of colors,
cals used by some businesses can and are diverted
shapes, and sizes. When liquid LSD is dabbed on
for the purpose of inhalation. In some cases, the
blotter paper, it is called “blotter acid.” Because
diversion and subsequent use have resulted in
of LSD’s negative reputation as an unpredictable
death on company property (Figure 23-1).
and bizarre drug, it is commonly sold to unsus-
For further information on drugs of abuse, a
pecting buyers as THC or Mescaline.
comprehensive description and photographic
Mescaline (Mesc), PCP, Psilocybin (mush-
collection of drugs and paraphernalia can be
rooms), and DMT (Dimethyltryptamine) are
found in “Drugs of Abuse,” published by the
other commonly used hallucinogens.
U.S. Department of Justice, Drug Enforcement
Administration (2005 Edition).

INHALANTS: GLUE, GASOLINE, PROTECTING PEOPLE AND

ERASING FLUID ASSETS

1. Odor of substance inhaled on breath and The role of any protection officer is that of
clothes protecting people and assets. The protection offi-
2. Excessive nasal secretions and watering of cer accomplishes this responsibility by observing
the eyes and reporting incidents or situations which pre-
3. Poor muscular control sent a threat to the people and assets he or she
4. Drowsiness or unconsciousness has a duty to protect. Substance abuse is one such

VII. DEVIANCE CRIME AND VIOLENCE

 Duration of Effects Usual Method of
Drugs Trade or Other Names Medical Use Dependence Potential Tolerance (in hours) Administration Possible Effects of Abuse Effects of Overdose Withdrawal Symptoms
Physical Psychological

Fentanyl Innovar, Sublimaze Analgesic, High High Yes 10 to 72 Injected

anesthetic
N
a Morphine Morphine Analgesic High High Yes 3 to 6 Oral, Smoked,
r Injected
c Codeine Codeine Analgesic, Moderate Moderate Yes 3 to 6 Oral, Injected
o antitussive Watery eyes, runny noses,
Euphoria, drowsiness, Slow and shallow breathing,
t yawning, loss of appetite,
Heroin Diacetylmorphine, None in U.S. High High Yes 3 to 6 Injected, Snorted respiratory depression, clammy skin, convulsions,
i irritability, tremors, panic, chills,
Horse, Smack constricted pupils, nausea coma, possible death
c and sweating, cramps, nausea
s Methadone Dolophine, Methadone, Analgesic, Heroin
Methadose substitute, High High Yes 12 to 24 Oral, Injected
analgesic,
Dilaudid, Darvon, antidiarrheal,
Other Narcotics Demerol, Percodan antitussive High High Yes 3 to 6 Oral, Injected

Chloral Hydrate Noctec, Sommos Hypnotic Moderate Moderate Yes 5 to 8 Oral

Amytal, Nembutal, anesthetic, anti-
D Phenobarbital, Seconal convulsant,
e Barbiturates Tuinal sedation, sleep High-Moderate High-Moderate Yes 1 to 16 Oral, Injected
p
r Glutethimide Doriden Sedation, sleep High Moderate Yes 4 to 8 Oral
VII. DEVIANCE CRIME AND VIOLENCE

Shallow respiration, cold and

e Alcohol Ethyl Alcohol, Ethanol Ingredient in some Moderate Moderate Yes 2 to 8 Oral Slurred speech, disorientation, clammy skin, dilated pupils, Anxiety, insomnia, tremors,
s medicines
drunken behavior, stumbling weak and rapid pulse, coma, delirium, convulsions, possible
s Ativan, Halcion, Equanil, possible death death
a Librium, Miltown, Serax,

PROTECTING PEOPLE AND ASSETS

n Tranxene, Valium, Anti-anxiety,
t Benzodiazepines Verstran sedation, sleep Moderate Moderate Yes 4 to 8 Oral, Injected
s
Equanil, Dormate, Anti-anxiety,
Other Depressants Noludar, Placidyl, Falmid sedation, sleep Moderate Moderate Yes 4 to 8 Oral

Coke, Snow, Flake, Injected, Snorted,

S Cocaine Local anesthetic Possible High Yes 1 to 2 Smoked
Crack
t
i Biphetamine, Ice, Narcolepsy, weight Oral, Injected,
Amphetamines Desoxyn, Dexedrine, control Possible High Yes 2 to 4 Smoked Increased alertness, excitation,
m euphoria, dilated pupils, Agitation, Increase in body Apathy, long periods of sleep,
u increased pulse rate and blood temperature, hallucinations, irritability, depression,
l Phenmetrazine Preludin Weight control Possible High Yes 2 to 4 Oral pressure, insomnia, loss of convulsions, possible death disorientation
a Hyperkinesis, appetite
n Methylphenidate Ritalin narcolepsy Possible High Yes 2 to 4 Oral, Injected
t Plegine, Sadorex,
s Other Stimulants Adipex Weight control Possible High Yes 2 to 4 Oral, Injected

H
a LSD Acid, Microdot None None Degree Unknown Yes 8 to 12 Oral
l
l
u Mescaline and Peyote Mescal, Buttons, Mesc None None Degree Unknown Yes 8 to 12 Oral
c Illusions and hallucinations (with Longer and more intense “trip”
Withdrawal symptoms not
i MDA STP, Ecstasy, exception of MDA); poor episodes, psychosis, possible
Amphetamine Variants Yes Variable reported
COM, MDMA None Degree Unknown Degree Unknown Oral, Injected perception of time and distance death
n
o
Oral, Smoked,
g Phencyclidine PCP, Hog, Angel Dust None Degree Unknown High Yes Days Injected
e
n Oral, Injected,
s Other Hallucinogens DMT, DET, Psilocybin None None Degree Unknown Possible Variable Smoked, Snorted

C
a Pot, Frass, Sinsemilla,
n Thai Sticks, Marinol Marijuana - None,
Marijuana, THC Degree Unknown Moderate Yes 2 to 4 Oral, Smoked Euphoria, relaxed inhibitions,
n (Synthetic THC) THC - Antiemetic Fatigue, paranoia, possible Insomnia, nervousness, and
increased appetite, depth and
a psychosis decreased appetite
time perception distorted
b
i
s Hashish and Hashish Oil Hash, Hash Oil Hashish - None Degree Unknown Moderate Yes 2 to 4 Oral, Smoked

S Depo-Testosterone,
t Testosterone Delatestryl Hypogonadism Degree Unknown Degree Unknown Degree Unknown 14 to 28 days Injected
e Virilization, acne, edema,
r Anemia, Breast aggressive behavior, testicular Unknown Possible depression
o Nandrolone Nortestosterone, DECA Cancer Degree Unknown Degree Unknown Degree Unknown 14 to 21 days Injected atrphy, gynecomastia
i
d
s Oxymetholone Adadrol - 50 Anemia Degree Unknown Degree Unknown Degree Unknown 24 Oral

FIGURE 23-1 Controlled substances: Uses and effects. (Source: National Drug Institute.)

283
284 23. SUBSTANCE ABUSE

threat, and the protection officer represents a crit- Finally, every protection officer should com-
ical component in a company’s effort to combat municate his/her knowledge about the causes
this threat and maintain a drug-free workplace. and effects of substance abuse beyond the con-
By understanding the scope and nature of this fines of the workplace. By sharing this vital
problem, along with the specific security-related information about the perils of abuse, the pro-
concerns, the protection officer will be prepared tection officer can influence his/her family and
to recognize and report substance abuse situa- community in a most positive way.
tions that undermine safety and security.

EMERGING TRENDS
As we have seen in this chapter, substance prescription painkillers is safer than abusing
abuse is nothing new in our society. In recent “street” drugs (www.usdoj.gov/dea/
years, however, a new face of this menace emerged concern/prescription_drug_fact_sheet.html.
on the scene, presenting an immediate and future Retrieved on October 5, 2009).
threat to our well-being. It is the face of pre-
The ready accessibility of prescription drugs
scription drug abuse. Even children are abusing
subject to abuse and the misperception that they
prescription drugs.
are safer than street drugs must be addressed
Prescription drug diversion and abuse are
and corrected. The Substance Abuse and Mental
rapidly growing phenomena in our population.
Health Services Administration (SAMHSA),
The U.S. Drug Enforcement Administration’s
in its 2006 National Survey on Drug Use and
“Fact Sheet: Prescription Drug Abuse—a DEA
Health (September 2007), reports that 70% of
Focus,” presents sobering data regarding this
pain relievers, both prescription and OTC drugs,
emerging trend, including:
are obtained from friends or relatives (www
● The number of Americans abusing .usdoj.gov/dea/concern/prescription_drug_
prescription drugs increased from 3.8 million fact_sheet.html. Retrieved on October 5, 2009).
in 2000 to nearly 7 million in 2006, a startling The implications of this growing trend are
increase of 80%, more than the number who of great concern to security professionals. The
are abusing cocaine, heroin, hallucinogens, teenagers of today who are abusing prescription
Ecstasy, and inhalants combined. drugs are the adults of tomorrow who may very
● Prescription pain relievers are new drug well continue that abuse. Entering the work-
users’ drug of choice, vs. marijuana or place, they will bring with them the yoke of drug
cocaine, with hydrocodone being the most abuse and addiction that can lead to numerous
commonly diverted and abused controlled security threats, including employee theft and
pharmaceutical in the United States. workplace injury and violence.
● Opioid painkillers now cause more drug To rise up and effectively defeat this challeng-
overdose deaths than cocaine and heroin ing trend, we must develop and deliver to all
combined. stakeholders in our society a competent training
● Nearly 1 in 10 high school seniors admits to program that will raise their awareness level and
abusing powerful prescription painkillers. enable them to promptly and adequately iden-
A shocking 40% of teens and an almost tify the telltale signs of prescription drug abuse.
equal number of their parents think abusing This training must include the requisite steps

VII. DEVIANCE CRIME AND VIOLENCE

 SECURITY QUIZ 285

to be taken to restrict teen access to these drugs to grow and develop into healthy adults who
and encourage them in their lawful, proper, and will contribute to communal safety and security
responsible use, thereby enabling our children rather than threaten and undermine it.

References 2. Which of the following applies to drug

Condon, J., & Smith, N. (2003). Prevalence of drug use: Key dependence?
findings from the 2002/2003 British Crime Survey. London: a. It is fatal
Home Office.
Fischer, R. J., Halibozek, E., & Green, G. (2008). Introduction to
b. It is a family disease
security (8th ed.). Boston, MA: Butterworth Heinemann. c. It is contagious
Gips, M. A. (February 2006). High on the job. Security d. All of the above
Management, 50(2), 50–58. 3. The biggest single roadblock to addressing
Joseph, D. E. (Ed.). (2005). Drugs of abuse. Washington, DC: a person’s substance abuse problem is their
Government Printing Office. U.S. Department of Justice,
Drug Enforcement Administration.
drug of choice.
Larson, S. L., Eyerman, J., Foster, M. S., & Gfroerer, a. True
J. C. (2007). Worker substance use and workplace poli- b. False
cies and programs. Department of Health and Human 4. A company can effectively fight substance
Services: Substance Abuse and Mental Health Services abuse by just starting a drug testing program.
Administration Office of Applied Studies. Rockview,
MD: SAMHSA Office of Applied Studies.
a. True
Protection of Assets Manual Vol. I, Chapter 8, Part II. (2007). b. False
Workplace substance abuse: Prevention and intervention. 5. A person who does not use drugs, but is
Alexandria: ASIS International. preoccupied with a loved one who does, is
25 Years “D.A.R.E. America” Annual Report. (2008). said to be codependent.
Inglewood, CA: D.A.R.E. America U.S. Department of
Health and Human Services (June 2009). Cost offset of
a. True
treatment services, Substance Abuse and Mental Health b. False
Services Administration, Center for Substance Abuse 6. The first step in developing a Drug-Free
Treatment. Rockview, MD: SAMHSA Office of Applied Workplace Program is to:
Studies. a. Provide education
b. Start an employee assistance program
c. Write a policy
d. Start drug testing
7. The most widely used drug testing material
in use today is:
S EC U RI T Y QU IZ a. Blood
1. Drug dependence is a primary disease. b. Saliva
a. True c. Urine
b. False d. Hair

VII. DEVIANCE CRIME AND VIOLENCE

286 23. SUBSTANCE ABUSE

8. Psychoactive drugs affect which of the 10. The protection officer is to take which of the
following: following actions in reference to substance
a. Brain abuse behavior in the workplace:
b. Blood a. Set up an undercover operation
c. Lungs b. Arrest the perpetrators
d. None of above c. Observe and report to your up line
9. Nicotine and marijuana are referred to as d. None of the above
which of the following:
a. Equal in terms of habit forming drugs
b. A harmless recreational drug
c. The most dangerous drug
d. Gateway drugs

VII. DEVIANCE CRIME AND VIOLENCE

 C H A P T E R

24
Workplace Violence
Timothy A. Pritchard and Roger Maslen

“Workplace violence is violence or the threat of

CHAPTER OBJECTIVES violence against workers. Violence can occur at
● Define the parameters of workplace the physical workplace or outside the workplace
violence (such as a taxi cab driver) and can range from
● List levels of workplace violence threats and verbal abuse to physical assaults
and homicide, one of the leading causes of job-
● List violent actions in each level of related deaths [in the United States]” (OSHA,
workplace violence http://www.osha.gov/OshDoc/data_General_
● Explain the basic role of a security officer Facts/factsheet-workplace-violence.pdf).
in a workplace violence situation Categorizing the types of incidents can be help-
● List the components of a workplace ful in understanding the scope of workplace vio-
violence prevention plan lence. There are three levels of workplace violence.
These incidents may be subtle, and a situation can
move from one level to another very quickly or
slowly.
Violence is pervasive in our world and
has been part of human society since its earli-
est recorded time. Violence in society, in one Level 1—Least Injurious
form or another, is unfortunate and is simply ● Refusal to cooperate with immediate supervisor
unavoidable. Workplace violence is a special- ● Spreads rumors and gossip to harm others
ized problem, one that security professionals ● Argues with coworkers
must deal with in their day-to-day work lives. ● Belligerent toward customers/clients
Whether it is at a large governmental facility, ● Swears at others
a retail store, or a small, privately owned pro- ● Makes unwanted sexual comments
fessional business, there is no industry, profes- ● Minor violations of company policy
sion, or organization that is immune from the ● Pranks
threat of workplace violence. There are many Level 2—Moderately Injurious
definitions of workplace violence. The U.S. ● Argues increasingly with customers, vendors,
Department of Labor, Occupational Safety coworkers, and management
and Health Administration (OSHA), states, ● Refuses to obey company policy and procedures

287
288 24. WORKPLACE VIOLENCE

● Sabotages equipment and steals property for revenge However it manifests itself, “workplace vio-
● Verbalizes wishes to hurt coworkers and/or lence is a growing concern for employers and
management employees nationwide” (OSHA, 2002). While
● Sends sexual or violent notes to coworkers and/or we intuitively know that workplace violence has
management occurred in organizations for as long as organi-
● Sees self as victimized by management (me against zations have existed, only in recent decades has
them) the U.S. government measured and statistically
Level 3—Highly Injurious reported on the topic. One of the first work-
● Physical attacks and assaults shops held on the topic was on occupational
● Psychological trauma homicide prevention in 1990 in Washington,
● Anger-related accidents DC. This workshop, which was sponsored by
● Rape, arson, murder the National Institute for Occupational Safety
and Health (NIOSH), concluded, in part, that “it
is clear from the available data that workplace
Once you understand the types of work- violence is a public health problem of signifi-
place violence, you must also understand their cant proportion” (Bell & Jenkins, 1992). In that
sources. There are generally four sources of report, which covered the years 1980–1985, it
workplace violence: was reported that homicide was the third larg-
Criminal acts. A perpetrator has no relation- est cause of occupational injury death in the
ship to the business and commits a violent act at workplace. The statistics gathered in this study
a worksite in the course of committing another speak specifically to homicides. Today’s work-
crime. For instance, a homicide or assault occur- place violence analysis has a much better view
ring in the course of a robbery. of the problem.
Customer/client/patient violence. The per- In a 2006 survey conducted by the Bureau of
petrator is not an employee, but has a relation- Labor Statistics, U.S. Department of Labor, for the
ship with the business as a customer, client, or National Institute for Occupational Safety and
patient, and becomes violent while receiving Health, Centers for Disease Control, for the per-
services, or for reasons engendered by the busi- iod from September 2004 to June 2006, shows a
ness relationship. For instance, when a psychiat- broader and more detailed outlook of the perva-
ric patient assaults a physician, or a disgruntled siveness of workplace violence. From that survey,
client or customer threatens a company or one we learn that nearly 5% of the 7.1 million private
of its employees. industry businesses in the United States had a
Worker-on-worker violence. Stems from an workplace violence incident in the 12 months
employment relationship; this includes inci- prior to the survey. The survey found for employ-
dents in which a current or former employee ers with over 1000 employees:
(or independent contractor) harms or threatens
to harm another employee.
Workplace Violence Experience
Violence stemming from a personal relation-
ship. They occur in the workplace, but arise from Have Had an Incident 49.9%
a personal, or intimate, relationship between Criminal 17.2%
the perpetrator and victim. Someone may be
harassed, threatened, or harmed at their work- Customer/Client 28.3%
place by an abusive partner. This may occur in Co-worker 34.1%
instances where the abused partner, the abuser, or Domestic Violence 24.1%
both are employed at the workplace in question.

VII. DEVIANCE CRIME AND VIOLENCE

 WORKPLACE VIOLENCE 289
Some practical conclusions can be deduced hierarchy, is the protection of people, property,
from these statistics. First, a workplace violence and information. Of this protection hierarchy,
incident can be perpetrated by either an internal people always come first, and a workplace vio-
or external source, as evidenced by the “crimi- lence incident always affects the people in the
nal” and “coworker” numbers. An “external organization, including friends and family, in
source” typically refers to those individuals who one way or another. The cost of a workplace
are not employed with an organization, whereas violence incident is, at minimum, exorbitant.
“internal source” is most often used to identify In the survey conducted by NIOSH, the effects
an employee of a particular organization. We of a workplace violence incident are reported
have seen a shift in the statistics, whereas in the by the respondents. In this survey, for employ-
past, most workplace violence incidents were ers with over 1000 employees, the effects were
committed by individuals who are external to reported as:
the organization (nonemployees). The most
recent statistics show the threats are from inter-
Effects of Workplace Violence
nal sources. An example of an external source
would be an armed robbery of a convenience No Effect 51.4%
store clerk and an example of a workplace vio- Absenteeism 12.2%
lence incident committed by an internal source
Turn Over 6.3%
would be one employee physically assaulting
another employee while at work. Second, most Fear Levels 29.7%
workplace violence incidents occur in occupa- Productivity 14.2%
tions that are somewhat predictable, such as taxi
Morale 22
driving and retail work. This means that if a
security officer works in any of the known “high
probability of violence occurring” professions, These impacts can have a profound effect on
then he or she knows that there is an inherently the overall business success. Should an orga-
greater probability of an incident occurring than nization ignore this phenomenon within their
in a profession with reduced exposure to work- environment, they could be placing themselves
place violence incidents. Third, when we have in a very precarious position. Workplace vio-
an idea of what workplace violence threats our lence affects many aspects of the business:
workers are likely to encounter, we can imple- Interruption of business. This can happen
ment precautions that reduce the probability of in many forms within all three levels of vio-
incidents occurring. Finally, just because most lence. An employee may be effected by anoth-
workplace violence incidents occur in occupa- er’s actions as stated in Level One, and may
tions that are somewhat predictable, this does be required to take sick leave or seek counsel-
not mean that a workplace violence incident ing, affecting their performance. Customers
cannot occur in any business or organization may develop a negative feeling toward the
at any time. It is imperative that both security organization.
managers and security officers understand Increased legal and medical fees. Should
this and are prepared for such an incident, a traumatic event occur within the workplace,
should one occur. The other key stakeholders in the additional costs incurred by an increase in
addressing workplace violence are the human counseling services would be borne by the com-
resources and legal departments. pany or their insurance carriers. There could
The generally recognized primary objec- also be additional, significant costs for legal
tive of a security program, and the priority services, as the potential for lawsuits would be

VII. DEVIANCE CRIME AND VIOLENCE

290 24. WORKPLACE VIOLENCE

very real. Costs for losses could also be incurred officers will likely be among the first on the
over and above any insurance the organization scene if an incident occurs. Thus, it is essen-
may have. tial that security officers possess the personal
Loss of productivity. Employees placed in demeanor and professional skills necessary to
stressful situations and faced with traumatic respond to and successfully manage a work-
events of varying levels will quite probably place violence incident. Security personnel can
experience a reduction in productivity. For com- provide valuable assistance to law enforcement
panies already doing more with less, as a result officers who respond to a threat or violent inci-
of current financial realities, this could have sig- dent. A good, positive relationship with local
nificant impact on projects and core business. police agencies should expedite police response
Repair or replacement of equipment and to an incident. Each sector of our workforce
facilities. Vandalism, theft, damages caused by requires different skills from the security officer
an event of any level, could incur unnecessary (i.e., a security officer working at an industrial
costs to the corporation. site requires different skills from one working
Therefore, it is incumbent on the organiza- at a mall or hospital). However, the following
tional leadership to do all they can, at all lev- skills and attributes can considerably add to the
els, to prevent a workplace violence incident individual’s ability to have a positive impact on
from occurring. All individuals in the security the workplace violence prevention plan:
department, including all security officers, must ● Sound powers of observation
be an integral part of this prevention process to ● Vigilance of the activities in the workplace
achieve the maximum level of success. ● Ability to identify signs of potential violence
A successful workplace violence preven-
and effectively communicate them
tion program requires participation of several ● Strong skills in dealing with difficult people
departments inside an organization, including ● Ability to respond in a crisis
security, human resources, risk management, ● Verbal communication skills
and trade unions. This list is only an example; ● Clear understanding of the policies,
each organization may include or exclude cer-
procedures, and plans
tain departments as makes sense for their busi-
ness. The key is that the plan requires active Preparation for a likely incident, especially
participation by many. The plan consists of sev- one involving an external threat, is much easier
eral components, including: than preparing for any eventuality involving
an internal incident. Of all the workplace vio-
● A general workplace violence policy which
lence threats, there is little question that internal
is supported by the highest level of the
workplace violence threats cause organizational
organization and clearly supports a zero-
leaders the most significant level of anxiety.
tolerance position
This is due to the uncertainty of when and how
● Identification of organizational risks
a threat can emerge within the organization.
● A prevention plan
Upon investigation of incidents after they
● A response plan to workplace violence
occurred, it became apparent that people who
incidents (including testing of the plan)
perpetrated workplace violence displayed warn-
● An employee communication and awareness
ing signs prior to the incident. The good news is
program, which includes training for all
that only a very small percentage of employees
levels of staff and plan-active participants
who have violent propensities will actually per-
The security department is a key component form a violent crime. Employees who commit-
of the workplace violence plan, and security ted workplace violence often started out at the

VII. DEVIANCE CRIME AND VIOLENCE

 WORKPLACE VIOLENCE 291
very first levels of workplace violence, being Even though they may appear normal or
rude to coworkers. There was an escalation that somewhat normal, security officers should
then occurred, culminating in homicide. remember that individuals who commit a work-
It is crucial for security professionals to know place violence incident are not mentally stable.
the warning signs of a person who is a potential The reality is that there is not one distinguish-
workplace violence threat. These are some gen- ing warning sign or clue that indicates mental
eral warning signs and clues: instability. Thus, it is important to “read the big
picture” and not focus on specific actions, draw-
● Has little tolerance of others ing broad-based conclusions from those actions.
● Intimidates others around them, including The list of warning signs above provides a very
through verbal threats large scope for assessing an individual’s poten-
● Gets away with overinflated and unearned tial for workplace violence, some of which would
performance evaluations not necessarily be known by the security staff.
● Has a history of family problems For this reason, cooperation between depart-
● Has a history of alcohol and/or drug abuse ments is imperative. When security, human
● Frequently talks about or is obsessed with resources, and operations can share information,
violence or killings the pieces of a puzzle come together to create
● Is fond of violent films and television shows a picture that leads to an intervention with the
● Has a fascination with weapons employee or the implementation of protective
● Has a history of job losses measures. The security officer’s contribution to
● Is depressed, feels desperate; has mood this is most likely the proper and timely report-
swings ing of incidents that seem out of the “ordinary.”
● Displays feelings of job dissatisfaction It is also essential that every organization
● Frequently complains and appeals—always provide meaningful training on the topic of
seems to be the victim workplace violence to all employees. If employ-
● Has a history of violent episodes or ees are not educated about workplace vio-
criminal acts lence warning signs, then the probability is
● Does not have a communicative personality greater that management will find out about
● Has a chemical imbalance a workplace violence incident as it is occur-
● Known as “crazy,” “wound tightly,” ring or after it occurs. According to the U.S.
“strange,” or “a time bomb” Office of Personnel Management’s Office of
● Has extreme reactions to new policies or Workforce Relations, “[Employee] training is a
procedures critical component of any prevention strategy.
● Has a hard time with persons of authority Training is necessary for employees, supervi-
and may challenge authority sors, and the staff members of each office that
● Is very neat or very sloppy may be involved in responding to an incident
● Has a history of lying or exaggerating of workplace violence” (United States Office
● Is self-centered of Personnel Management, 1998, February).
● Seems aloof, distant, and detached Employee training is one of the best and least
● Lacks little or no social skills expensive measures organizations can take to
● Overreacts to small changes on a regular basis help combat workplace violence. All organiza-
● Tolerates attitudes of violence tions should have a zero-tolerance policy for
● Has a history of continuous stressors in life violence and threats of violence.
● Ties their self-esteem and self-worth to The purpose of this chapter has been to iden-
their job tify what workplace violence is, to identify steps

VII. DEVIANCE CRIME AND VIOLENCE

292 24. WORKPLACE VIOLENCE

EMERGING TRENDS
In recent years, the Internet has had an effect There is also more legislation, both in place
on workplace violence. There is much informa- and being written, to reduce the risk of work-
tion on the Internet about weapons, bomb mak- place violence. In some jurisdictions, Working
ing, and other strategies, and yet, there is also Alone Legislation either prevents employees
a lot of information on workplace violence and from working alone, or ensures that if they are
how to prevent it. Naturally, this has lead to working alone, they must be checked on at regu-
more public awareness of the issue. lar intervals.

that an organization can take to prevent a work- fact, the opposite is true. Every organization
place violence incident from occurring, and to has its inherent risks, and those risks must be
better prepare the security officer to recognize identified and mitigated by the organization’s
a potential threat and take appropriate preven- leadership. The security team should be a sig-
tive action, or properly react to an incident as it nificant part of this planning and mitigation
occurs. There is not one response plan or pro- effort. If an organization fails to plan, then it is
gram that fits the needs of all organizations. In planning to fail.

References
Bell, C. A., & Jenkins, E. L. (1992). Homicide in U.S. work-
S E CURI TY QU I Z
places: A strategy for prevention and research. Morgantown, 1. Workplace violence is broadly defined as the
WV: United States Department of Health and Human use of violence against workers.
Services.
a. True
Duhart, D. T. (2001). Violence in the workplace 1993–99. NCJ
Publication No. 190076. Washington, DC: United States b. False
Department of Justice. 2. Workplace violence can be categorized into
Occupational Safety and Health Administration. (2002). three levels. Fill in the blank for each level, and
Workplace violence fact sheet. United States Department of cross reference with the examples of each level.
Labor.
___________ Injurious (A)______ Argues with
United States Office of Personnel Management. (1998).
Dealing with workplace violence (OWR-09). customers
Sygnatur, E. F., & Toscano, G. A. (2000). Work-related homi- ______ Swears at others
cides: The facts. United States Bureau of Justice Statistics. ___________ Injurious (B)______ Physical
Bureau of Labor Statistics, U.S. Department of Labor, for the attacks
National Institute for Occupational Safety and Health,
______ Pranks
Centers for Disease Control. (2006). Survey of workplace
violence prevention, 2005. http://www.bls.gov/iif/oshwc/ ___________ Injurious (C)______ Verbalizes
osnr0026.txt . desire to hurt coworkers
ASIS International. (2005). Workplace violence prevention and ______ Causes psychological trauma
response guideline. ASIS International.

VII. DEVIANCE CRIME AND VIOLENCE

 SECURITY QUIZ 293

3. Workplace violence can occur in almost 7. Although the 2006 survey discussed in this
every workplace: small businesses, large section indicated that 51.4% of respondents
companies, government facilities. reported that workplace violence events had
a. True no effect on their workplace, 29.7% reported
b. False that this effect was observed:
4. An employee who exhibits rude manners a. Absenteeism
toward his or her fellow workers is a definite b. Turnover
workplace violence threat. c. Fear levels
a. True d. Productivity
b. False e. Morale
5. In a 2006 survey conducted by the Bureau of 8. Examples of workplace violence
Labor Statistics, U.S. Department of Labor, for situations are
the National Institute for Occupational Safety a. One worker’s aggression toward his or
and Health, Centers for Disease Control, what her fellow employees in the workplace
percentage of workplace violence events were b. An armed robbery of a taxicab driver
perpetrated by coworkers? c. Criminal activity involving personal
a. 22.7% injury to a worker
b. 34.1% d. All of the above
c. 24.1% 9. According to this chapter, the generally
d. 12.5% recognized primary objective of a security
6. There are many effects of workplace violence program is the protection of:
on an organization. Find the most correct a. Property and the organization’s
group of effects below. employees
a. Interruption to sales, Increased wages, b. People, property, and information
Loss of management, Repair/replacement c. Fire, property, and information
of equipment/facilities d. People, property, and money
b. Interruption to business, Increased 10. According to this chapter, a very small
legal/wages, Loss of machines, Repair/ percentage of employees who have violent
replacement of equipment/facilities propensities will actually perform a violent
c. Interruption to business, Increased legal/ crime.
medical fees, Loss of productivity, Repair/ a. True
replacement of equipment/facilities b. False
d. Complete organizational failure

VII. DEVIANCE CRIME AND VIOLENCE