CPP Review

Part III Personnel Security

Prepared by Randy Warner

I. Purpose and Function

A. Personnel security’s primary function is to insure that organizations hire

those candidates best suited to assist the organization in achieving its
goals. After hired, assist in providing the necessary security to the
employees while they are carrying out their functions.

B. Of the three basic security processes (Information, Physical,

Personnel), personnel security is considered to be the most critical,
because the potential risk (theft, embezzlement, release of sensitive
information) could be caused by an employee.

C. The key functions of the personnel security process are:

1. Screening
2. Background investigations
3. Investigation of current employees suspected in violation of
organization’s rules and regulations
4. Security awareness and educational programs
5. Protection of employees from discriminatory practices or
termination procedures

D. In screening an applicant for a potential position, the most expensive

technique should be conducted last.

E. A comprehensive personnel security program should include the following

elements:

1. Adequate job specifications which are documented in the form of

a job description (Blueprint)
2. Criteria for employee conduct and performance standards
3. Appropriate applicant screening procedures and standards
4. Background investigative standards
5. Investigation process for questionable workplace conduct
6. Disciplinary or corrective action procedures
7. Procedures for employee discharge

F. The concept of “security awareness” is primarily a state of mind. It is

not the same as either training or education but is definitely related to
both.
G. One well-known honesty test is the “Reid Report.” This is a written
honesty test designed to reveal a person’s trustworthiness and attitude
toward honesty.

H. A popular psychological test used by employers in the personnel screening

process is the Minnesota Multiphasic Personality Inventory (MMPI). This
test shows habits, fears, sexual attitudes, depression, and evidence of
social introversion.

I. Prior to an organization engaging in the recruitment for employment, the

organization must define the job specifications. The key tools are the job
analysis and the job description.

1. Job Analysis
a. The relationship the job has with other jobs within the
organization
b. The personal qualifications necessary to perform the job
c. The condition under which the work or tasks are performed

2. Job Description – Elements within the job description

a. General purpose of the job
b. Duties and responsibilities
c. Knowledge, skills and abilities
d. Education and/or training

J. The job description can be used for: recruiting and screening, test design,
hiring and placement, orientation, developing procedures, training and
development

K. The two major tools used in employee selection procedures are: the
application and the interview.

L. Applicant Screening

1. Verifies accuracy and completeness of applicant’s statements and

develops additional relevant information.
2. Screen out candidates who might pose a risk to the organization.
3. Deliberate misstatements or material omissions.
4. Candidate’s background is weighed using the “whole man” rule.
This rule gives consideration for the totality of the person.
5. The governing standards should be the needs of the organization
and fairness to the applicant.
6. Rejection should be on the basis of standards, which have been
clearly defined.
7. Federal Law
a. Title VII of the Civil Rights Act of 1964
 b. Age Discrimination Employment Act of 1967
c. Title I of the Americans with Disability Act of 1990
d. Equal Pay Act of 1963

M. Key points in the screening process:

1. Signs of instability in job/career

2. Candidate under or overqualified for position
3. Declining salary history
4. No referencing of former supervisors
5. Gaps in residence or unexplained moves
6. Inadequate or no personal references

N. Common Omissions and Falsifications

1. Applicant failed to sign application

2. Application Date
3. Education – Approximately 5% of all professional applicants
falsify some aspect of their education
a. List schools, but omit dates and degrees
b. Diploma mills
c. Fictitious schools
d. Schools that applicant never attended
e. Claim graduation from schools which applicant attended
for a short period of time
f. Assume the name of an other person that did graduate
4. Criminal records
5. Employment gaps
6. Former employers
7. Once an offer of employment has been made, there are almost no
restriction on what can be asked
8. Resume – never accept a resume in lieu of an application

O. Focus of the background investigation

1. Verify accuracy and completeness of candidate’s statements

2. Develop relevant information concerning the candidate
3. Determine the candidate’s suitability for employment
4. The most important information-gathering tool in a background
investigation is the completed application form.
5. The background investigation should be completed prior to
allowing the applicant to start employment.
 6. Application forms reveal substantial information pertinent to the
investigation:
a. Name and variations
b. Citizenship
c. Military record
d. References
e. Any security clearances
f. Previous education
g. Employment history
h. Convictions
i. Organizational affiliations
j. Previous residences

7. Background Investigations should include all or part of the

following:
a. Check any available local security indices and police files
to ascertain derogatory information. This information must
be publicly available and lawfully obtained.
b. Criminal history
c. Fives years of consecutive work history
d. Any gaps in employment more than 30 days
e. Claimed residence
f. Criminal court records should be checked
g. Listed and developed personal references are interviewed
h. All education for the position should be verified
i. Interview former employees and work associates
j. Personal contact rather than telephone or mail queries is the
most desirable method of investigation

P. Investigative Standards

1. Relevant to the hiring decision

2. Be reliable
3. If unfavorable, be confirmed by at least one other source

Q. Investigative review – all completed investigations are reviewed by a

responsible supervisory employee.

R. Contract Investigative Agency – should be advised in writing:

 1. The reason for the reports, the nature of the investigations, the
basis for pricing reports and the time service periods.
2. That the agency is not to represent itself as the organization.
3. The identity, telephone number and mailing address of the
person that will receive the reports.

R. Government background investigation – 4 stages:

1. Personal history statement

2. Evaluation of personal history statement
3. A national agency check
4. A full field investigation

S. Employment testing – employment testing such as psychological

assessment must be a valid, reliable, job- related predictor. These
assessments must comply with ADA and related state statutes relative to
employment tests.

1. Performance or work sample tests

2. Ability tests (typing)
3. Aptitude tests
4. Personality inventories tests (MMP II, Myers-Briggs Test)
5. Honesty/Integrity tests
6. Medical examinations – under ADA the medical exam cannot be
performed until after the job offer has been made.
7. Drug testing
8. Polygraph testing – (NOTE) Will explain

T. Orientation for new employees – The program should be designed to

familiarize the new employee with the organization’s culture, goals,
objectives, procedures and rules. This process also identifies requirements
for employees to protect assets and to play a role in loss prevention.

U. Financial and Lifestyle Inquiry – have a signed release from employee

before background check is started:

1. To gather basic information on income and mode of living

2. All employees are advised of the organization’s policy
3. Considered:
a. On promotion to a significantly more responsible position
b. On assignment to significantly more sensitive duties
c. On a cyclical basis for persons in sensitive positions
4. Subject selection:
 a. Select specific position titles
b. Ask senior executive management to submit a confidential
list
c. Schedule on specific events (garnishment notices)
5. Sources to check:
a. Security/law enforcement agency files
b. Civil litigation
c. Personnel/payroll department records
d. Bank/credit agency files/sources
e. Inspection of residence
f. Real property records
6. Any anomalies found should be investigated, including
interviewing the subject of the inquiry.
7. Re-investigations usually occur every 18 months.

V. Security Awareness – security awareness is a state of mind. The

purposes of security awareness are:

1. To understand the relationship between security and a successful

operation
2. To know one’s personal obligation under the security program
3. To comply with legal and regulatory requirements
4. To comply with any contractual obligations

W. Exit interview – an exit interview is a valuable tool for the following

reasons:

1. Gives the employees an opportunity to list grievances and/or

issues
2. Management often learns of problems not previously known
3. Helps to reduce loss when a checklist is used
4. Is used to remind departing employee of legal obligations

X. Workplace violence – a protection method is to have a “Threat

Management” approach which involves:

1. Pre-employment screening
2. Access control and other physical security measures
3. A fully disseminated written policy statement and reporting
procedures
4. An Incident Management Team (IMT)
5. Guidelines for threat and incident management
 Executive Protection
Prevention and defense are the common elements to mitigate terrorist acts and risk to
potential targets. With this understanding, there are certain efforts that perpetrators of
such criminal acts have to undertake:

 Identify probable targets and venues for attack

 Develop a plan
 Gather intelligence

In the planning stages, the activities are separated into:

 “Contingency event” – Potential act (Terrorism)

 “Crisis” – specific situation that arises from the act (kidnapping,
assassination, sabotage)

The focus of any planning should include:

 Threat assessment
 Resources allocation
 Education and training

Potential targets of terrorists’ interest should maintain a low profile and avoid public
communication of their address, telephone number, personal worth or any data that might
be utilized by a terrorist organization. Certain general protection strategies include:

 Defensive plan and reaction

 Be alert
 Recognition of terrorist methods and operations
 Protection at residence
 Protection at the office
 Avoidance of attacks while traveling

Corporations sometimes purchase “Kidnap Ransom” insurance.

Professionals should manage the situation regardless of the kidnapers’ demands. The
emphasis should be on the safety of the hostage first and the capture of the offenders
second.

Thank you,
Randy
Questions?