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Personnel Security. Mike Mason, CPP, CFE, CPS Security Manager Lyondell/Equistar Chemical Companies. Three Components of Security. Personnel Security Physical Security Information Security. Personnel Security. Physical Security. Information Security. Personnel Security.

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Personnel security l.jpg

Personnel Security

Mike Mason, CPP, CFE, CPS

Security Manager

Lyondell/Equistar Chemical Companies

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Three Components of Security

  • Personnel Security

  • Physical Security

  • Information Security







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Personnel 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.

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Personnel 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.

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Interaction of Security Components

Alarms &

















Policy &


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Important 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.


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The Human Factor

  • FBI 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.


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  • Customers

  • Visitors

  • Employees

  • Executives

  • Contractors & Consultants

  • Unauthorized persons

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Customers 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.

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  • 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.

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Employee 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.

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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.

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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.

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Importance 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.

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Importance 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.

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Importance 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.

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Hiring 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.

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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.

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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.

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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.

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Hiring Practices (Cont.)

What to Look For? A Straw person Perhaps?




Stable Work History

Professional Certifications

Clear Criminal Record

Fiscal Responsibility

Background Continuity

Physical Fitness

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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.

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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.

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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;

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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…..

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Screening Techniques

  • Application or resume verification.

  • Honesty or integrity testing.

  • Physical and physical agility tests.

  • Personality testing.

  • Background checks.

  • Polygraph examination (when authorized)

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Security Awareness Programs

  • Initial orientation training for everyone when initially employed.

  • Annual security awareness training.

  • Training Documentation Requirements:


    Attendance roll

    Evaluation of comprehension

    Instructor(s) qualifications

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Personnel Disciplinary Action

  • Only for clearly defined and properly documented incidents.

  • Must follow the company’s disciplinary policy - dependent on severity:

    Verbal warning

    Written warning

    Decision-making leave


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Personnel Disciplinary Action

  • When 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.

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Executive Protection

The 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.).

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Company’s Duty To Protect

  • Manage 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.

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Executive Protection Management Program

  • 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.

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Specific Activities in Plan

  • Crisis 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.

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Specific Activities in Plan

  • Address 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.

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Vulnerability Assessment


  • Accessibility – take steps to harden target.

  • Prestige – respect & influence target enjoys.

  • Visibility – widely publicized target at risk.

  • Financial – company ability to pay motivates

  • Family – reputation for closeness attracts.

  • Medical Condition – healthy target is at risk.

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Due Diligence is Key


  • Assassination

  • Ambush

  • Kidnapping

  • Extortion

  • Harassment

  • Bombings

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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.