Personnel SecurityPersonnel Security

Mike Mason, CPP, CFE, CPS

Security Manager

Lyondell/Equistar Chemical Companies

Three Components of SecurityThree Components of Security

Personnel SecurityPhysical SecurityInformation Security

Personnel Security

PhysicalSecurity

InformationSecurity

Personnel SecurityPersonnel Security

Involves those measures taken to safeguard a company’s employees and those coming to a place of business either for business reasons or as a guests.

Can further include access control systems that control access in and out of specific premises.

Personnel SecurityPersonnel Security

Various identification card systems, passes, and permits used by com-panies are considered personnel control.

Probably the most recent concerns classified under personnel security are executive protection and back- ground investigations.

Interaction of Security Interaction of Security ComponentsComponents

Protective(Security)

Components

SecurityPersonnel

EmployeeSupport

Alarms &Hardware

SecurityPolicy &

Procedures

ComplianceContro

lsEnforcement

Safeguards

UtilizationReinforce

ment

Response

Important Points for SuccessImportant Points for Success

A Security program must become an integral part of both the operations and management systems of an organization.

Unlike most other components of an organization, security directly affects every other component and thus must be extraordinarily concern with the comprehensive quality of the programs it offers.

The Human FactorThe Human FactorFBI statistics indicate that 72% of all

thefts, fraud, sabotage, and accidents are caused by a company’s own employees.

Another 15 to 20% comes from contractors and consultants.

Only about 5%to 8% is external people.

FOR MORE INFO REFER TO CURRENT FBI STATISICS

PersonnelPersonnel

CustomersVisitorsEmployeesExecutivesContractors & ConsultantsUnauthorized persons

Customers and VisitorsCustomers and Visitors

“Due diligence” is the rule of thumb when it comes to protecting people who come to your premises.

History of security incidents where people have been the target.

Efforts to provide adequate security can prevent or reduce liability.

Workplace violence prevention plan.

EmployeesEmployees

Human factors, probably the greatest single source of risk, including both human error and failure.

An organization’s employees are now considered a corporate resource and asset, requiring constant care and management.

Employee Liability IssuesEmployee Liability Issues

A co. can be held liable for ignoring their prescribed duties when injury or loss could result.

A co. can suffer liability for damages resulting from its negligence in not providing enough security.

A co. is subject to liability for negligent hiring and failure to train personnel.

Employee Liability Issues (cont.)Employee Liability Issues (cont.)

A co. is liable for negligent actions of their employees.

A co. can be held vicariously liable for criminal acts of employees.

Discharged employees are entitled to view reports of investigation that caused termination.

Interrogation is not a coercive action.

Employee Liability Issues (cont.)Employee Liability Issues (cont.)

An employee can be terminated for refusing to cooperate in polygraph test

Results of a polygraph exam are admissible if both parties agree.

Employees have an obligation to assist in investigation and report loss.

Employees obligated to comply with policies as condition of employment.

Importance Personnel PracticesImportance Personnel Practices

A company’s existence could depend on the integrity of its employees.

Without security processes in place, an organization’s reputation could be destroyed.

The new employee’s ethical outlook is unknown to the company.

Importance Personnel PracticesImportance Personnel Practices

New employees may have access to extremely sensitive and confidential information.

Unauthorized release of sensitive information could destroy the corporation’s reputation or damage it financially.

Importance Personnel PracticesImportance Personnel Practices

An employee, who has just accepted a position with a major competitor, may have access to trade secrets that are the foundation of the corporation’s success.

Hiring PracticesHiring Practices

Corporations must take special care during the interview to determine each candidate’s level of personal and professional integrity.

The sensitive nature and value of the assets that employees will be handing require an in-depth screening process.

Hiring Practices (Cont.)Hiring Practices (Cont.)

At a minimum, the screening process should include a series of comprehen- sive interviews that emphasize integrity as well as technical qualifications.

References from former employers should be examined and verified.

This includes former teachers, friends, co-workers, & supervisors.

Hiring Practices (Cont.)Hiring Practices (Cont.)

Former employers are usually in the best position to rate the applicant accurately, providing a candid assess- ment of strengths and weaknesses, personal ethics, past earnings, etc.

Unfortunately many employers have become increasing cautious about releasing necessitating release forms.

Hiring Practices (Cont.)Hiring Practices (Cont.)

Use of a reference authorization and hold-harmless agreement oftentimes provides the necessary information.

Be sure reference authorizations have: signature of applicant, releases former & prospective employers, and clearly specifies the type of information that may be divulged.

Hiring Practices (Cont.)Hiring Practices (Cont.)What to Look For? A Straw person

Perhaps?Education

ExperienceTraining

Professional CertificationsStable Work History

Clear Criminal RecordFiscal Responsibility

Background ContinuityPhysical Fitness

Sample Security Officer Checklist Sample Security Officer Checklist Responsibility, honesty, conscientious-

ness: being morally, legally, & mentally accountable; being fair, objective & straightforward; being scrupulous & professional in the performance of his/ her job; concern for being to work on time, being of such moral character as to avoid involvement in theft, graft, bribery, or other dishonest activities.

Sample Security Officer Checklist Sample Security Officer Checklist

Concern for protecting confidential information; personal concern about avoiding absenteeism; concern for the safety of others; concern for reporting whole truth, and only the truth, about any incident involving employees; respect for the rights of others; and concern for appearance, demeanor and personal hygiene.

Sample Security Officer Checklist Sample Security Officer Checklist Reading & Writing Communicative

Skills: Ability to write a clear and concise incident report; communicate in a clear and concise manner; reading ability at a 12th grade level.

Leadership Skills - exercising respon- sible authority over people & property: ability & willingness to discharge duty without getting too close to employee;

Sample Security Officer Checklist Sample Security Officer Checklist

(i.e. without getting emotionally or per- sonally involved to the point of becom- ing ineffective; ability to take action decisively when necessary in emergen- cies, and making correct decisions; ability to recognize the development of a potentially dangerous or emergent situation; possession of alert mind…..

Screening TechniquesScreening Techniques

Application or resume verification.Honesty or integrity testing.Physical and physical agility tests.Personality testing.Background checks.Polygraph examination (when

authorized)

Security Awareness ProgramsSecurity Awareness ProgramsInitial orientation training for everyone

when initially employed.Annual security awareness training.Training Documentation Requirements:

Curriculum

Attendance roll

Evaluation of comprehension

Instructor(s) qualifications

Personnel Disciplinary ActionPersonnel Disciplinary ActionOnly for clearly defined and properly

documented incidents.Must follow the company’s disciplinary

policy - dependent on severity:

Verbal warning

Written warning

Decision-making leave

Termination

Personnel Disciplinary ActionPersonnel Disciplinary ActionWhen an employee leaves, even if on

excellent terms, certain precautions regarding employment terms in effect:

Return all documents, records, and other information regardless of media.

During exit interview, terms of original employment agreement reviewed (i.e. non-compete, wrongful disclosure, etc.

Executive ProtectionExecutive ProtectionThe threat to executives comes from

terrorists who perpetrate hostage- kidnapping incidents these reasons:

Worldwide recognition & publicity.Emphasize organization’s vulnerability.Value powerful psychological impact.Obtain benefit for cause (i.e. funds,

release of fellow terrorists, etc.).

Company’s Duty To ProtectCompany’s Duty To ProtectManage situations through preparation.Employees provided with the best risk

information about various overseas environments where they are assigned.

Employees should be advised on how to protect his/herself through planning and preparation.

Develops a plan to quickly respond to an incident and effectively operate to recover a kidnapped person.

Executive Protection Management Executive Protection Management ProgramProgram

Implement a county specific, pro-active plan that identifies detailed activities to be accomplished.

Threat situation procedures in place.Employees training to prevent or to

survive being kidnapped.Viable, ongoing risk assessment

activities.

Specific Activities in PlanSpecific Activities in PlanCrisis management team formation.Arrangements for logistical support.Command & control decisions (i.e.

who will participate/manage the effort.Make decisions regarding ransoms.Conduct risk assessment to

determine need for kidnap insurance.Send response team to be with family.

Specific Activities in PlanSpecific Activities in PlanAddress publicity issues.Establish government relations (U.S.

State Dept. & country of occurrence).Determine who will negotiate.Formulate victim recovery process.Make arrangements for victim post

event handling.

Vulnerability AssessmentVulnerability Assessment

WHEN SELECTING A TARGET, TERRORISTS EVALUATE FOR SUCCESS:

Accessibility – take steps to harden target.Prestige – respect & influence target enjoys.Visibility – widely publicized target at risk.Financial – company ability to pay motivatesFamily – reputation for closeness attracts.Medical Condition – healthy target is at risk.

Due Diligence is KeyDue Diligence is KeyEVERY COMPANY SHOULD TAKE

PRECAUTIONS TO PROTECT PERSONNEL & PROPERTY FROM THREATS:

AssassinationAmbushKidnappingExtortionHarassmentBombings

Company Policy Should Address:Company Policy Should Address:Establishment of a Crisis Management Plan.Formulation of a Crisis Management Team.Conduct of a threat analysis with updates.Procurement of Negotiating Team Support.Establishment of an Executive Protection

Committee.Establishment of an Onsite Command Post

Team.Development of an Evacuation Plan.