CHAPTER VII


          INTRODUCTION - INVESTIGATION OF PERSONNEL SECURITY



INTRODUCTION

     A definite concept with regard to security is that no person, merely
because of rank or position, has the right to know or possess classified
information or material; and that such material will be entrusted only to
those individuals whose official or governmental functions require knowledge;
and that all persona that require access must be authorized to received
classified information or material. These individuals must be of undisputable
loyalty, integrity and discretion; must posses excellent character and have
such habits and associations that leave no doubt at all of its good judgement
in the handling of classified information and material.

GENERAL:

A.   SECURITY is the responsibility of the Command:

     1.    The Commanders may delegate work and functions, but responsibility
cannot be delegated. One of the most important functions of Military
Intelligence is to assist the commander is establishing and maintaining
security. The Investigation of Personnel Security (IPS) is one of the methods
used to attain that security. The investigation is done of the individuals
occupying sensitive positions and are under the jurisdiction of the military
service, or of individuals considered for filling out positions of confidence
that require access to classified information or materials.

B.   SENSITIVE POSITION

     1.    A sensitive position is any post within the military services
whose occupant could cause an adverse effect to national security by virtue of
the nature of his responsibility.

     2.    All sensitive positions require an Investigation of Personnel
Security (IPS)

           a.   Any positions whose functions or responsibilities require
access to classified defense material.

           b.   Functions related to classified systems and cryptographic
equipment.

           c.   Functions related to studies and investigations and/or
classified development.


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LN324-91 d. Duties that encompass the approval or the process of cases of presumed disloyalty, subversive activities or disaffected personnel. e. Any other activity or position designated as sensitive post by the senior command chiefs. 3. Usually, we refer to those functions that require access to CONFIDENTIAL information or to higher security classification. In order to occupy a sensitive position it is not necessary for the individual to be involved in the creation of classified information , nor to act in making decisions related to it. For example, the typist that copies classified documents has access to the information and therefore, occupies a sensitive position. The keeper of files does not have to read the classified documents that he handles has access to classified information and also occupies a sensitive position. All positions of officers, NCO's, and enlisted men are considered sensitive by virtue of their rank. a. Up to this point, the sensitive positions that have been mentioned have something to do with classified information. However, it is possible to occupy a sensitive position or perform in a sensitive post without having anything to do with classified information. These functions or duties concern the teaching programs, briefing of personnel of the armed forces, including the training for such duties. b. In this case, the sensitivity of the position is not determined on the basis of access to classified information, but on the basis of the influence that the personnel of instruction programs may have on the military personnel and their ways of thinking. The sensitive classification is reserved to persons of the military personnel that produce or administer the program. The recipients, the military personnel receiving training are not considered participants of a sensitive function or position. c. Finally, the sensitive positions involve the process of investigation of allegations of disloyalty, subversion, and disaffection. Because of our duties and responsibilities, we, the intelligence personnel, are included in the category of sensitive positions. d. These are the sensitive functions that required a Security Certificate. The commander decides whom to authorize such certificate based on the information that we, as Agents, provide through our investigations of personnel security. 4. WHY ARE INVESTIGATIONS OF PERSONNEL SECURITY NECESSARY? ARE ALL MILITARY PERSONNEL CONSIDERED DISLOYAL? a. Senior chiefs of Military Intelligence have given some reasons for carrying out investigations of personnel security. Among them: 77
LN324-91 (1) Any intelligence agency that does not believe it could be penetrated any day, by any of its officials, from the concierge to the director, would be very complaisant and we would be criminally negligent if we do not function under such supposition. (2) We have to act under the supposition that our adversaries are as cunning as we are and that they will be able to enter every now and then. (3) The security of the nation demands constant vigilance in order to maintain our adversaries outside, and prevent them from obtaining information and to uncover and remove them as soon as possible. 4.[sic] How can we keep our adversaries from entering? (1) The proper authority will be the one who determines the need for a personnel investigation of an individual. This authority usually is the commander. (2) The request is sent to the Intelligence Officer of the Staff at national level, who in turn orders his control office to initiate an investigation and refer it to the CI unit for investigative action. 5. An investigation of personnel security is used to find out the following: 1. Loyalty 2. Discretion 3. Character 4. Integrity 5. Morale of an individual that will give information upon which a decision would be made on whether the individual will be posted to a specific position that requires access to classified material which is consistent with the interest of national security. 6. The action agency will be the same commander who made the request. The commander must take a decision in each investigation. The decision will be based on the information contained in the investigative reports provided by Counterintelligence. 7. The fact that the person enters voluntarily into one of the armed forces is no proof of loyalty, because: a. The individual could be intending to accomplish an illegal/nefarious act. b. Could be intending to gain access to classified military information. 78
LN324-91 c. Could be intending to deliver such information to an enemy agent, present or potential, to obtain military experience in order to be able to apply it against us when the occasion arises. 7.[sic] Acts like swearing allegiance (in writing), going to church, etc. are only manifestations of loyalty and respect that could be used to over up ulterior motives. These manifestations cannot be accepted as proof of loyalty, although they have much value as indicators of the right direction. D. INVESTIGATIVE REQUIREMENTS: 1. (How does an investigation start? EXAMPLE: a. Suppose a new typist will have to work with classified information, and therefore, needs access to same. Since he never had previous security authorization to work with classified material, the commander, responsible for the security of his command, requests a security investigation of personnel for the new typist. The request goes up to national level to the Staff Intelligence Officer whose function is to provide information on security. On the other hand, the counterintelligence of the unit directs the investigation of personnel security of the new typist. b. In order to establish the loyalty of a person, the lack of disloyalty has to be proven. In order to prove it, the qualities and weaknesses that might lead a person to commit a disloyal act are searched. c. Among the things looked for to prove disloyalty are: 1) Vengeance 2) Desire for material gains 3) Desire for more prestige 4) Friendship 5) Ideological tendencies d. Among the weaknesses that make a person susceptible to committing a disloyal act under pressure are: 1) Close relatives in foreign countries. 2) Big financial investments in foreign countries. 3) Jealousy 4) Credibility 5) Weak character 6) Serious guilty episodes in the past 7) Debts 79
LN324-91 8) Use of Narcotics e. Absence of the factors indicated above is an indication of loyalty and confidence on the individual under investigation. Only a small percentage of the investigations of personnel security show that an individual is disloyal. Our work as CI Agents is to find that small percentage of disloyal persons, and prevent them from getting access to the type of information that could be damaging to the national security. We discover the weak points within the national security, it is up to the commander and the agency to act, eliminating them from sensitive positions. f. Description of each one of the factors mentioned above, which could affect the loyalty of a person: 1) VENGEANCE: Could be one of the strongest motives. Hate corrupts the moral value in such a way that the person could do the utmost to betray his country in order to take revenge against a person or group he hates. 2) MATERIAL GAIN: Some people yearn so much for personal gains that do not stop at anything to attain their goals. We do not condemn ambition and the innate desire to advance in life, but we do condemn the persons that want to amass riches without taking into consideration the ethics of society. 3) PERSONAL PRESTIGE: This motivation applies to those persons whose main ambition is for power, power above all, to demonstrate the work their superiority as leaders. 4) FRIENDSHIP: Some persons of high integrity commit acts against national security because of friendship ties to another persons. 5) IDEOLOGICAL BELIEFS: A person that has hostile beliefs against its own country is very vulnerable to be approached by agents or subversive groups. 6) CLOSE RELATIVES IN FOREIGN LANDS: For a long time, threats of mistreatment against loved relatives who are under the regime of a threatening power have been used. The Soviets have widely applied similar techniques, currently, as a means to obtain support and cooperation. 7) INVESTMENTS IN FOREIGN COUNTRIES: Due to human nature, there are many persons who consider that material riches are more important than the integrity of moral principles. When these persons are in danger of losing their investments in foreign countries, they can be persuaded to betray their own country. 8) JEALOUSY: One of the strongest motivations used by cunning agents in order to induce loyal persons to commit hostile acts against their own country. 80
LN324-91 9) CREDIBILITY: In this category are classified those persons that believe in everything literally and do not find anything wrong in other persons. This type of person is almost always an idealist and sometimes could be used as an instrument by unscrupulous agents. Credulous persons by stupidity are not used frequently because of the poor quality of information that they might obtain, although in some occasions they could be used as "bait" for sabotage acts, strikes, and public disorder. 10) A person with a weak character can be easily dominated by another one and is an easy prey for subversive elements looking for a servile assistant. 11) DEBTS: The persons that have gotten into substantial debts always try ways to recover their losses quickly and easily. These persons constitute a definite security risk, and is very vulnerable because he can be persuaded by a considerable sum of money. We all know the saying: "EVERY ONE HAS A PRICE," therefore, the price of all persons in this category is relatively low. 12) USE OF NARCOTICS: This category does not need explanation. We all know that the drug addicted commit crimes in order to maintain their habit. 13) GUILTY COMPLEX: As human beings, many of us have experienced certain episodes in the past for which we may feel ashamed. The enemy agents that have the mission to recruit agents/sources, do not hesitate in taking advantage of such experiences to force the cooperation of the individuals for subversive conspiracy. The threats to divulge such episodes has always been a powerful wedge to force a person to commit illegal acts. g. These are some of the factors that we must look for during an investigation of a person to be employed in a confidence position. When we discover indications in any of them, the investigation is broadened in order to: 1) approve them 2) reject them. h. Looking for the bad side of a person might seems like a cynical act, but we are in a cynical occupation that has demonstrate throughout the years and by experience, that this is the only way to approach an investigation. i. The experienced investigator does not accept from the start any information that has not been checked. j. A very important part in the life of a CI agent is his behavior during an investigation of personnel security. The behavior of the agent ensures whether he will obtain the information or not. The interview is 81
LN324-91 a very emotional situation for many persons. Even though you identify yourself as am agent of Military Intelligence, they will take it as though you are an agent of criminal investigations (police). It depends on you and your behavior during the interview whether it will have positive results or not. 5. CERTIFICATE OF SECURITY AUTHORIZATION a. After the action agency (the commander) finishes with the study of the personnel security investigation results, he proceeds to carry out one of several lines of action: 1) He might ISSUE a certificate of security authorization 2) He might DENY the certificate of security authorization 3) He might REVALIDATE a certificate previously invalid. 4) He might INVALIDATE a security authorization previously issued. 6. TYPES OF INVESTIGATIONS OF PERSONNEL SECURITY a. Usually we are interested on two types of investigations of personnel security: 1) To check National Agencies (CNA) 2) Investigation of Personal History (IPH) b. The type of investigation required at any time depends on the category of the classification of the defense information to which access is required, and the citizenship of the individual concerned. c. CHECKING THE FILES OF NATIONAL AGENCIES 1) It consists on an examination of the files of those national agencies that might have information related to the loyalty and reliability of the individual. The Control Office determines which agencies shall be checked in all the cases: a) The Internal Security Agency (DNI) b) Index of Investigations of the Armed Forces 2) Internal Security Agency: The files of crimes and subversive activities will be checked during all the investigations. It should include fingerprints of each applicant. 3) National Level of the Army: a) Staff Intelligence Office b) Director of Personnel Administration (military) 82
LN324-91 c) Chief of the Military Police d) Index of Central Archives (Minister of Defense) These are checked when there are indicators that the individual is or have been employed by, or is owner of, a company that has had classified contracts with the Minister of Defense. 4) National Level of the Navy 5) National Level of the Air Force 6) Archives of the Government Ministries 7) Other Investigative Agencies. 7. CHECKING NATIONAL AGENCIES (CAN) AND INQUIRIES IN WRITING: a. We have already discussed CAN. Parts of the investigations of files include the Inquiries in Writing. This is done for the following agencies and individuals: 1) Local Agencies of Law Enforcement 2) Previous supervisors of the individual 3) References given by the individual 4) Learning schools and institutions b. The Written Inquiry is usually a mimeographed letter distributed to the character references and credit references given by the individual, requesting from them a written report on everything that they know about the individual. 8. INVESTIGATION OF PERSONAL BACKGROUND: The second type of investigation of personnel security is the investigation of personal background. This category constitutes the majority of the investigations that you will perform as CI Agents. a. Components of an investigation of Personal History (Background): 1) Checking with National Agencies (CAN) 2) Birth certificate 3) Education 83
LN324-91 4) Employment 5) References 6) Investigations in the neighborhood 7) Criminal background 8) Military service 9) Connections abroad 10) Citizenship 11) Credit Record 12) Organizations 13) Divorce record b. Checking National Agencies (CAN) is to verify the files of national agencies with regard to the loyalty, morality, discretion, character and integrity of the individual. c. Birth Record: Usually we do not check birth records, unless there is discrepancy in the birth dates of other recorded files. d. Education: The files of all the schools and learning institutions attended by the individual. Interviews can also be had with teachers and professors of the individual in order to get more personal and intimate information of the individual. e. Employment (occupation): We are interested in the degree of efficiency at his work and the reason why he terminated his employment. f. References: In the majority of the cases we must assume that the personal references given by the individual will be partially or totally in his favor. There are three reasons why we verify the references: 1) It is possible that the person indicated in the Personal History as a friend, might not be so friendly with the individual. 2) A friend might reveal damaging information without being conscious of it. 3) The references are a good source to obtain "developed sources." These are persons that have knowledge of the background of the individual but have not been given as references in his application. g. Investigations in the neighborhood: Valuable information is obtained of the personal life of the individual. Mainly what is done is a compilation of gossip (rumors). But if this gossip come up again in other agencies, they could be taken as valid. h. Record of criminal background: It could be requested by mail or through Liaison investigations. The information obtained from these records must be verified with the court register and judicial procedures. 84
LN324-91 i. Military Service: The type of leave or discharge is checked in order to verify if it was because of disloyalty, subversion, indiscretion, or moral perversion. j. Connections abroad: 1) Determine up to what point the individual has investments in foreign countries. What is the amount of money invested by the individual in these countries. 2) Another point that should be examined is whether the individual has relatives in those countries. It is possible that the foreign country may put pressure against the individual by using his relatives as an excuse. k. Citizenship. The citizenship of an individual and his parents could be verified through the records of the Immigration Service. 1. Travel abroad: 1) Dates of departure 2) Destination 3) Purpose of Travel. Activities that the individual was involved in during his stay in that country. It is possible for the individual to have been involved in some difficulties in that country. m. Credit Record: Credit agencies are contacted, credit loaners, where the individual has resided for considerable periods of time. Through these records the integrity of the individual can be determined. n. Organizations: Investigate whether the individual was a member or was affiliated or sympathizer, with any organization, association, movement, group or combination of foreigners or locals that have adopted or manifested a policy of defending or approving enactment of actions by force or violence in order to deprive other persons of their rights as dictated by the country' s constitution. o. Divorce records: It is used to prove or contradict the information already included in his Personal Background (history). 9. EVALUATION OF THE INFORMATION OBTAINED: a. It is the duty of the investigator to point out if the information obtained during the investigation are "Facts", "Opinions." or "Rumors." There are three ways to comply with this requirement: 1) Description in Words: Indicate by means of a description in words the degree of Reliability of the confidential informants, when submitting the information received from them. The description in words is used only to describe the information obtained from reliable sources. EXAMPLES: 85
LN324-91 a) The Source (So and so), who has submitted confidential information in the past informed the following: b) The Source (So and so), reliability unknown, who knew the Subject for the past ten years, informed the following: 2) Notes or Remarks by the Investigator (Agent): are remarks by the agent which can be included in the report to add validity to the information provided by the source, or else to detract validity to such information. EXAMPLE: a) " The source was very nervous during the interview. b) "His statements (the Source's) regarding dates and places were very generalized and sometimes gave the impression of not being sure of himself." 3) Appropriate phrases: Using certain appropriate phrases in the report will help the control agency to determine more accurately the validity of the information provided. EXAMPLES: a) "The Source said that ...." b) "The Source provided the following rumor... 10. ENDING THE INVESTIGATION: a. The action agency bases its determination regarding issuance of authorization certificates to classified material on the investigation carried out by the CI Special Agents: b. The investigation that you have carried out will determine the future of the individual, and therefore each investigation must be as complete as possible. c. In an effort to provide a superior investigation, the Agent should: 1) Obtain all possible information. 2) Support all the conclusions with facts. 3) Identify all the opinions as such in the investigation report (Agent's Report) 4) Explain all the leads that were not followed. 86
LN324-91 5) Obtain enough information during the course of the investigation in order to enable the Action Agency to adopt a final action upon receiving the results of the investigation. 11. AGENT'S ATTITUDE In order to combine all the desirable requirements of a CI Special Agent, while performing his functions in the field of intelligence, you should always have: a. Know the significance of the words loyalty, discretion and reputation in order to be able to gather the required information for the Action agency. b. Keep in mind the purpose of the investigation so that the findings will reflect the information required by the Action agency. c. Be impartial, absolutely, in order to do justice to all; to the SUBJECT of the investigation and to the national government. d. Be diplomatic while performing your duties as investigator, in order to obtain the information desired without wasting any time. e. Maintain a professional stance at all times because it will reflect your quality as an agent, the quality of the CI service and of the Army. f. Avoid accusing the interviewee because you need to obtain certain information from that person, and if he becomes scared, he will not be able to talk. 87