STUDY MANUAL COUNTER INTELLIGENCE PROLOGUELN324-91
The purpose of this booklet is to present basic information on the
mission and activities of Counter Intelligence. But, with the understanding
that the primary mission is to support the commanders of the armed forces.
This booklet is dedicated to the concepts of Counter Intelligence in relation
with its functional areas, the application of these functions, and a specific
dedication and instructions on how to apply these functions. The terms
"special agent of Counter Intelligence" (SA) refers to all those persons who
conduct and contribute to the handling and gathering of information of the
multi-disciplinary intelligence of the hostile services. This booklet is
primarily oriented at those persons involved in the control and execution of
the operations of CI. In like manner, this booklet has a very significant
value for other members of the armed forces that function in the areas and
services of security and other departments of intelligence.
LN324-91 COUNTER INTELLIGENCE
TABLE OF CONTENTS
Prologue
Chapter 1 Introduction to Counter Intelligence
Chapter 2 Operations Security (OP SEC)
Chapter 3 General OP SEC
Chapter 4 Document Security
Chapter 5 Liaison
Chapter 6 Operation of Report on Contact of Liaison
Chapter 7 Introduction - Investigation of Personal Security
Chapter 8 Interrogatory/Technical Phase of Questioning
Chapter 9 Investigation and Interviews of Personal Security
Chapter 10 How to Obtain a Sworn Statement
Chapter 11 Unexpected Interviews
Chapter 12 Witness Interview
Chapter 13 Subject Interview (personal)
Chapter 14 Introduction to Subversion and Espionage
Chapter 15 Interviews of Subversion and Espionage
Chapter 16 Espionage Investigation
Chapter 17 Sabotage Investigation
Chapter 18 Preparing Agent Reports
Chapter 19 Reports/Information for Investigation
Chapter 20 Preparing Summary Information
Chapter 21 Scrutiny of CI of Interrogation
Chapter 22 Interrogation of CI Suspects
Chapter 23 Abstracting Information of CI
Chapter 24 Protecting Targets of CI
Chapter 25 Neutralizing Targets of CI
Chapter 26 Observation and description
Chapter 27 Planning and conduct of a mobile (PIE),
Chapter 28 Terrorism
Chapter 29 Counter-terrorism
Chapter 30 Physical Security
Annex A Prepare Report on Physical Security
CHAPTER 1 LN324-91
CHAPTER 1
INTRODUCTION TO COUNTER INTELLIGENCE
INTRODUCTION
Imagine a circle representing the effort of a total intelligence
conducted by all the agencies of the Armed Forces. Inside this overall field,
we find that counterintelligence is an integral part of the total intelligence
effort.
DEVELOPMENT
DEFINITION OF COUNTERINTELLIGENCE:
Counterintelligence is defined as the activity or activities
collectively organized by an intelligence service dedicated to obstruct the
enemy's source of information by means of concealment, codes, crypto,
censorship and other measures to deceive the enemy by using disinformation,
trickery, etc.
The two measures used by Counterintelligence are DEFENSIVE or OFFENSIVE:
Defensive measures vary normally with the mission of the unit. An
example of these measures are:
Counter-espionage
Counter-sabotage
Counter-subversion
Antiterrorism
Counter-terrorism
Intelligence consists of collection, transmission and dissemination of
military data referring to possible or real enemy and/or to an area of
operations. The military commander uses this intelligence in order to
formulate his possible course of action and to select a course of action in
particular in order to achieve the mission. Thus, the intelligence obtained is
of vital importance to the commander and for the conduct of his mission.
Intelligence is also essential for the enemy as it is for us. The enemy
also uses all sorts of measures at its disposal to become informed about our
capabilities, vulnerabilities and probable cause of action, and also
information about the meteorological conditions of the terrain.
Military Counter Intelligence is that part of Intelligence intended to
deprive the enemy of this knowledge, and in this manner prevent the enemy
activities of espionage, sabotage and subversion, as well as discover possible
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acts of an adverse nature, treason, or sedition among our own military forces.
Counter Intelligence is a significant aspect in both the strategic
intelligence and combat, and is essential for the favorable application of two
of the nine basic principles of war: security and surprise. The principles of
war are:
Mass
Objective
Security
Surprise
Command
Offensive
Maneuver
Force economy
Simplicity.
Effective Counter Intelligence enhances the security and helps achieve
surprise. Surprise depends not only on the intelligence obtained and the speed
of movement, but also on the effective counter intelligence. Effort to prevent
the enemy from obtaining data, reducing the risk that the command can suffer,
provided it diminishes the enemy's capability of utilizing effectively its
potential of combat against our Armed Forces. Thus, effective counter
intelligence allows security of the unit.
DECEPTION:
Deception in combat is a military operation designed to conceal our
dispositions, capabilities and intentions and deceive the enemy in such a way
that it would be to his disadvantage and to our advantage.
Deception is designed to derail or deceive the enemy through
manipulation, disinformation, or falsifying of evidence in order to induce a
reaction in a way that is detrimental to his own interest.
In order for a deception operation to be successful, the enemy has to
have the capability of collecting information that we would like him to get,
so that we can react according to the information.
The enemy is given the opportunity to obtain information, and thus
creating a deceptive picture. At the same time, counter intelligence goes into
action in order to prevent the enemy from discovering the true purpose of the
operation of deception and to avoid recognition of the true technical
operation or the principle one, which is being supported by the deceptive
operation mainly security.
QUESTION: Why can we consider a soldier as a counter intelligence
agency?
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ANSWER: An individual solder is an agent of the CI, since he can provide
information on the activities of the intelligence of the enemy, including
subversion. Much of the CI operations depends on the individual soldiers
ability to adequately fulfill the security procedures, camouflage, observation
and information system.
As a prisoner of war, the individual soldier is a soldier of operational
information of the enemy. Therefore, the individual soldier receives training
in the measures of escape and invasion, in case he is taken prisoner or that
he finds himself behind enemy lines. Also he receives training to resist the
interrogations of the enemy and adhere to his rights as a prisoner of war
under the Geneva Convention.
All the units are agents of the CI and they too take measures of CI in
order to deprive the enemy intelligence on our activities, operations and
locations of this positions.
Every officer of the high command and every subordinate command in
effect acts as a Counter Intelligence officer of the Joint High Command. For
example, the transport officer aids the command with the Counter Intelligence
aspects regarding the movement of transport; the health chief accesses the
Counter Intelligence aspect regarding the location of the health
installations.
Some units, such as the units of the censure, have special function of
CI because of the nature of their assigned missions. The CI agent of the Army
has the personal training as specialist in CI and is available for providing
support in all the military operations.
Other government agencies, such as the agencies of intelligence of the
Navy, the Air Force and the Defense Ministry, also use certain functions of CI
that support the CI operations of the Army.
Keep in mind that kind of intelligence is necessary in both times of
peace and war, since espionage, subversion and occasion sabotage are not only
limited to conditions of time of war. All foreign countries, both enemy and
friends, wish to obtain information regarding the Armed Forces, their assets,
disposition, weapons, level of training and future plans for operations peace
time as well as in time of war.
The range of the CI operation extends in proportion to the level of
command.
At the division level the measure of CI generally have to do with
military security.
CI operations at higher levels are similar to those of the inferior
levels. Nevertheless, the operations have a broader range thanks to the
greater number of units in the scope of their areas with a great volume of
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advance planning. The CI operations at superior levels include:
MILITARY SECURITY
SECURITY OF PORTS, BORDERS AND TRAVEL
CENSORSHIP
SPECIAL OPERATIONS
CIVILIAN SECURITY
Generally speaking, Counter Intelligence is a main part of the
intelligence operation in the theater of operations.
Depriving the enemy of information regarding supplies, installations,
nuclear weapon systems, means of transport, communications is vital in
fulfillment of the mission in the zone of the theater of operations. The great
territorial responsibility of this zone require extensive operation of the CI
of all types.
COMMANDERS' RESPONSIBILITIES:
QUESTION: IN THE MILITARY UNIT, WHAT ARE THE THINGS THAT INTEREST THE
ENEMY?
ANSWER: Military information.
Personnel.
Equipment and installations.
As in all aspects of the military unit, the commanders are responsible
for the implementation and execution of all the measures of military Counter
Intelligence to protect military information, personnel, material and
installation within the unit.
The commander has his high command which can delegate the authority to
carry out these functions; nevertheless, the responsibility rests with the
commander.
The Counter Intelligence officer:
The auxiliary chief of the high command, C-2, is the officer of the high
command responsible for the military information which also includes Counter
Intelligence. This delegation of authority is given to the auxiliary chief of
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the high command, C-2, who has under his charge and responsibility of the high
command regarding Central Intelligence and CI. The C-2 is responsible for the
implementation and direction of all the measures of CI inside the command.
The planning of military Counter Intelligence is based on ability or
capability of the enemy to obtain information regarding friendly activities.
This planning includes adequate CI countermeasures to prevent the enemy from
discovering the dispositions and activities that can reveal the intentions of
the command or, if interrupted, could endanger the accomplishment of the
mission.
According to the organization and the size of the command, there may be
a CI official of the high command of the C-2. At the division or brigade
level, the official of the CI normally is the chief of the section of security
or the detachment of military intelligence that supports the division of the
brigade. In other words, he wears two hats, as chief of the security section,
and as the CI officer of the joint high command of the C-2.
CATEGORIES OF CI OPERATION
Generally, there are five categories of operations of CI conducted
inside the theater of operation at which the C-2 is responsible or has direct
interest. The categories are:
MILITARY SECURITY
CIVILIAN SECURITY
HARBOR, BORDER AND TRAVEL SECURITY
CENSORSHIP
SPECIAL OPERATION
MILITARY SECURITY
The military security encompasses measures taken by the command to
protect itself from espionage, enemy civilians, supervision and sabotage and
surprise. These include passive CI measures and active ones inside the Armed
Forces and directly pertaining to the same and for specific military
operations. Examples of military securities are:
SECRECY DISCIPLINE: This is the indoctrination/training on a continuous
basis of all personnel against divulging of classified information that is not
authorized or unclassified regarding military activities, and the use of
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patrol of security in areas frequented by military personnel.
SPECIAL PROTECTION OF CLASSIFIED MILITARY AND EQUIPMENT INFORMATION:
This is the observation of the security measures, such as the security
necessary inside the areas that contain information and classified equipment;
introduction of a system of passes for entering critical areas; the conduct of
studies in inspection of security to determine the strict observation of
prescribed security measures.
SECURITY OF TROOP MOVEMENT: This keeps a certain connection with the
secrecy discipline, preventing inappropriate comments by personnel in the unit
given an order for movement; in returning mail dispatches of the unit in a
certain period of time before the departure of the troops, and restricting all
personnel in the area of the unit.
COUNTER SUBVERSION INSIDE THE ARMED FORCES: This is the overcoming of
suppression of rumors and propaganda and the apprehension of subversive
agents.
THE TECHNICAL MEASURES AS REQUIRED IN THE COMBAT ZONES: This is the use
of the technical troops for the apprehension of the resistance groups, to help
reduce the intelligence subjective and the mop up operations of the guerilla
units.
TRANSMISSION SECURITY: Listening to the administration communication
networks, command operation of intelligence.
SPECIAL HANDLING OF ESCAPEES AND EVADERS: This type of person needs to
be debriefed to obtain the immediate intelligence information. It is of great
importance to make sure that the escapee or evader is not an enemy agent.
CIVILIAN SECURITY: In all cases the mission of the military forces has
priority over the well being of the civilians in the area. Examples of the
civilian security measures are:
Systematic registering of the civilian personnel, including the neutral
foreigners and enemies: This is done by the civilian affairs agency and
includes the distribution of rationing cards, work permits, travel permits and
permits for crossing borders.
Control of the circulation of the civilian personnel and refugees: This
is a very important matter: All civilian personnel must be kept away from the
advance combat zones, which will help prevent their easily finding out about
our forces and inform enemy agents of espionage or sabotage. Also, all
civilian personnel is to be kept at a distance from the major route of supply
to make it easier for the military transport and prevent enemy agents from
infiltrating the military zone.
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Curfew: Keeping the public away from the streets and routes after certain
hours, thus restricting the movements of enemy agents.
Surveillance of suspect political groups: One should find out whether
other groups are sympathetic to enemy cause. Such groups must always be
considered potential agents.
Investigation of workers security: Local workers employed by the Armed
Forces should be investigated to avoid infiltration of enemy agents in areas
and military units. This include the service personnel of the countryside,
truck drivers and current workers, and interpreters, translators, etc.
Distribution of passes and permits. Passes and permits should be
strictly controlled and reviewed frequently to avoid forgery. Passes and
permits for travel are normally distributed to government functionaries,
political agencies, doctors and workers of public services.
Control of international commerce: Control of commerce in neutral
states. Experience has proven that many commercial companies are in effect spy
agencies that use the company as a cover or front of their operation. The
profits from the trade of these companies can be and is used to pay for the
expenses of espionage operations.
Surveillance of consuls and neutral/high command diplomats: It is
possible that people of this category are using their diplomatic immunity to
act as couriers for an enemy country.
SECURITY OF HARBORS, BORDERS AND TRAVEL: Consists of special
applications of both the neutral security measures as well as civilians for
the control of Counter Intelligence in entry ports and ports of departure for
borders and international lines; all movements of. a non-military character,
of entry and departure in the theater of operations.
SECURITY CONTROL OF MARITIME HARBORS: This is the responsibility of the
Navy and control should be coordinated with the Navy.
SECURITY CONTROL OF AIRPORTS: This is the responsibility of the Air
Force and control should be coordinated with the Air Force.
ESTABLISHMENT OF CROSSING POINTS ON THE BORDER: Normal routes of
movement should be directed to points of crossing located strategically. These
points of crossing should be controlled by military personnel with the help of
local and national agencies as necessary.
SECURITY CONTROL OF THE MERCHANT MARINE AND THE CREWS OF COMMERCIAL
AIRCRAFT: This is important due to such individuals who by virtue of their
occupation can enter and depart legally and frequently from the country and
such individuals can be used as pretext for carrying out fraud operations
(diplomatic pouch).
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INVESTIGATION OF SECURITY AND CONTROL OF PERSONS WHO LIVE AT THE
BORDERS: Personnel in this category, for example, the farmers who live at the
border and the entire front can be on the border, personnel living on one side
of the border and working on the other side.
CONTROL OF DISEMBARKATION PASSES AND PASSES FOR LANDING, AND FISHING
PERMITS: The fishing boats and small craft of a similar nature that operate in
very shallow water and thus have the capability of landing enemy agents at any
point on the coast of the country where the military operations take place.
CENSORSHIP: Censorship is the control and elimination of communication
with a double purposes: First, to avoid the transmission of information that
can be of interest in helping the enemy; and secondly, to collect and
propagate valuable information in the service of intelligence that helps the
war effort. The term communication includes all types of postal material,
regardless of class;, means of electrical communication and any other tangible
form of communication that can be carried by a person, carried in luggage, or
among personal effects or in any other way can be transmitted from the area
where the censorship is taking place.
THERE ARE FOUR TYPES OF CENSORSHIP IMPLEMENTED DURING WAR CONDITIONS
WHICH ARE:
Censorship of the Armed Forces: This censorship is the control and
examination of all communications sent and received by personnel under the
jurisdiction of the Armed Forces, which include assigned military personnel,
the civilians that can be employed and added to the same. This includes all
war correspondents, representatives of the Red Cross and technical
representatives of the factories.
Civilian Censorship: The civilian censorship is the control and
examination of all communication of the national and civilian population of
the common goal and transit or circulate in a territory which cannot be
liberated, occupied or controlled by the Armed Forces.
Press Censorship: Press censorship is a division of the security of the
news material and other media that are used, including maintenance of
security. This applies primarily to the work that is done by the war
correspondents, radio commentators and press photographers, and also includes
any material prepared on a possible location by the personnel under the
jurisdiction of the Armed Forces.
Censorship of Prisoners or War: Censorship of prisoners of war is
control and examination of the political communication of the prisoners of war
and the civilian detainees under the jurisdiction of the Armed Forces.
SPECIAL OPERATIONS: The final category is the special operations.
Operations that come under this category will be discussed and planned
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CHAPTER 2 LN324-91
according to the specifications of the commander in keeping with the planning
within the SOP of CI.
OPERATIONS SECURITY [OPSEC]
INTRODUCTION
Operations security is one of the keys for achieving the two war
principles: surprise and security. A military force has the advantage when he
can surprise the enemy. In order to achieve this goal, those military forces
must protect their operations and activities with a continuous implementation
of a security plan that is healthy and effective. The purpose of OPSEC is to
protect the military operations and their activities by negating the
indicators military forces plans and their intentions vis-a-vis the enemy
forces. In other words, the enemy commander should not know or recognize how,
when, where, why and what operations our forces are about to undertake, until
it is too late for the enemy to react effectively against our operations.
OPSEC is the duty of the commander, together with each individual at all
levels of command. The commander determines which are the measures of OPSEC
which should be implemented and the duration of each event. Equally, they
should determine the level of risk that they should be willing to accept. The
elements of intelligence (SD) provide information about enemy threat. The
operation elements (S3) direct the program of OPSEC and recommend measures for
OPSEC. The units of each individual implement those OPSEC procedures. In order
to attain a good OPSEC program, commanders and the members of the joint
command, and each individual should be trained in the proper use of the
procedures and techniques of OPSEC.
This teaching plan provides a guide for the procedures to be used by the
technical units in the OPSEC program. Described OPSEC and provides doctrinaire
direction for the future instructors and trainers.
What is OPSEC?
GENERAL
In order for our military forces to be successful against enemy forces,
information about the activities of our units or plans and operations should
be denied to the enemy until it is too late for him to react effectively.
OPSEC does not occur by itself. Our military forces have to create the
right condition for a good OPSEC program since OPSEC is an integral part of
all the operations and activities. The OPSEC program can be good because it
was implemented effectively in each unit; or it can be a program without
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effectiveness because the members of the unit did not know the importance of
the program and does not know what it requires.
OPSEC IS ALL ACTION TAKEN BY THE COMMAND TO
DENY INFORMATION TO THE ENEMY ON OUR ACTIVITIES
OR MILITARY OPERATIONS
Generally, OPSEC includes coordination of various techniques and
procedures that deny information to the enemy. It is the common sense applied
systematically to the situation of a unit or a mission. The result is the
security of the military forces. This requires a total effort of integration
by all commanders, and the members of the team, and the units and each
individual. Under the umbrella of OPSEC, there exist basically three types of
action.
COUNTER SURVEILLANCE - These activities are taken to protect the true
purpose of our operations and activities.
COUNTER MEASURES - Those actions taken to eliminate and reduce the enemy
threat and its capability of intelligence and electronic warfare against our
military forces.
DECEPTION - Those actions taken to create the false image of our
activities and operations.
COUNTERSURVEILLANCE
SIGNAL SECURITY (SIGSEC)
The signal security includes communication security (COMSEC) and
electronic security (ELESEC).
COMSEC includes those measures taken to deny the enemy information on our
telecommunications. This includes the cryptographic security, transmissions
security, physical security of COMSEC information, and measures to assure the
authenticity of the communications.
ELESEC is the protection of the electromagnetic transmission, which
includes the communication apparatus. This includes such measures as standard
operations procedures which have been approved, appropriate search,
maintenance procedures, and training programs.
ELECTRONIC COUNTER COUNTERMEASURES
Electronic counter countermeasures (ECCM) are various measures taken to
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protect the electronic transmissions of our military forces and the detection
capacity, recognizing and identifying the enemy. This includes the proper use
of the command post of the motor, situating the antennas, concealing and
distancing the antennas, a check of the equipment to secure and make sure that
there is no radioactive radiation, and training.
A good electronic counter countermeasure program must ensure the
effective use of the electromagnetic systems of our military forces.
INFORMATION SECURITY (DOCUMENTS)
Information security INFSEC is the protection of information of value
for the enemy forces. This includes two types of information, classified and
unclassified. Some examples are the dispatch documents, requisitions (orders),
plans, orders (directives), reports, charts (maps), map covering material, and
dissemination of verbal information, and the press that may have an adverse
effect on national security and the operation of friendly military forces.
PHYSICAL SECURITY
Physical security (PHYSEC) is the protection of the installations,
command post and their activities, etc., by the members of the Armed Forces,
dogs, and other necessary measures for the restriction and protection of the
area. Some measures include barriers of the perimeters, detective lights,
marked copies of the keys or combinations, bolting mechanism, alarm systems
for the control of intrusion, personal identification, controlled access, and
controlled movement. The PHYSEC also allows the protection against espionage,
sabotage and robbery.
STANDARD OPERATION PROCEDURES (SOP)
As a general rule, the countersurveillance procedures such as
camouflage, concealing and the use of color, light and noise, are concealment
measures discussed in the SOP. The SOP also covers the manner in which the
unit utilizes buildings, roofs, highways and its equipment.
COUNTER MEASURES
Counter measures are selected, recommended and planned in order to
overcome the specific aspects for the operation of intelligence of the enemy.
Once a vulnerability has been identified and the risk is determined to exist,
a counter measure is designed specifically for this threat in order to avoid
exploitation of said vulnerability by the enemy. The counter measures can be
anything from deception to the destruction of the capability of the enemy's
means. The counter measures also include appropriate measures to discover the
vulnerability of the friendly force. For example, the use of smoke, or the
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use of flak in critical moments. The deception operation also can be planned.
DECEPTION OPERATIONS
Deception operations (DECOP) are carried out in order to deceive the
enemy. These operations include:
Handling of Electronic signatures
Distortion of the friendly activities in order not to make the real
objective known.
Falsifying material, and placed wherever it can be captured or
photographed by the enemy.
Simulated maneuvers
Demonstrations
Simulated equipment
Deception operations can be conducted when the commander sees an
opportunity to deceive the enemy.
? 2
Also, deception can be required when the countersurvei1lance operations are
not sufficient to disorient the enemy so that the operation may be successful.
In any case, knowledge of the friendly military forces provided by security
analysis is necessary in order to create a credible deception plan.
SECURITY ANALYSIS
Security analysis is done in order to support the countersurveillance
and counter measures. OPSEC depends on the commander and his personnel being
informed of a threat that they will confront, in the patterns, weaknesses and
profiles of the friendly force. Intelligence analysts provides information on
the enemy; the analyst assigned to OPSEC section determine which unit or
activity of the friendly forces are vulnerable, and why. The OPSEC analyst
provides the commander and the operators with a risk estimate; this is based
on the efforts of the aggregate of intelligence of the enemy and the
activities of the friendly forces that are known. They can recommend
procedures or procedures of countersurveillance and counter measures.
OPSEC is a condition.
Generally, OPSEC is a condition that seeks to attain security or safety
of the friendly forces. It involves a variety of activities for concealing the
friendly units, or to deceive the capabilities of the enemy analyst and
commander in regard to intelligence gathering. These activities (under the
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category of countersurveillance, counter measures and deception) can be
accomplished independently by members of each unit. But it is the integration
of these activities by the commanders and the operation officer, which
transforms the OPSEC program for a unit and provides security for the
operations. The elements of security such as SIGSEC, counter intelligence,
military police, and the personnel of each unit, provide the necessary support
to create good conditions for OPSEC in the installations.
THE THREAT
COLLECTIVE CAPABILITIES OF THE ENEMY
HUMAN RESOURCES ELECTRONIC RESOURCES IMAGE RESOURCES
Agents INTELSEN/GE Photography
Infiltrators -- Radio interception Infrared (close and
distant)
Reconnaissance Unit --Radar interception Night vision
equipment
Combat Unit --Interference equipment Image
amplifiers
Patrol --Radar surveillance Visual
Prisoners of war--Telesensors SLAR
Refugees --Acoustics
Figure 1
The intelligence threat against our Armed Forces vary from place to
place, according to operations, missions, contingency plan and the level of
sophistication of the enemy. Therefore, the units to receive information about
the threat in specific situations in the local sections of intelligence. It is
expected that the enemy units will utilize all of their capabilities of
collecting information, as is shown in Figure 1, when they confront our
forces.
The enemy is particularly interested in the different echelons of our
military forces: which are the capabilities of the unit; such as, their fire
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power, communications, detection capabilities, logistic support, but in the
same way are interested in the location, movements, and intentions of our
military forces. The capability of the threat that is discussed in the
classrooms and the practical exercises of the units should be based on the
capabilities of the enemy and the ones that can have be a fundamental threat
in the operation activities of the unit involved. In other words, the OPSEC
program was developed in order to counteract the specific threats against the
military unit involved.
OPERATIONAL GUIDE
GENERAL
The OPSEC program is conducted by the commander and led by the
operations officer as part of the operations of each unit. Each unit can have
an effective OPSEC program with only the coordinated forces of the commander,
members of the task force and the troops, and the use of various activities of
security and intelligence.
NUCLEUS OF THE OPSEC OPERATIONS
Operations Officer
G1/S1 G3/S3
SIGSEC Commander Troops
Counter espionage G3/S3
MILITARY INTELLIGENCE
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The OPSEC program is designed to function with the characteristics of
the technical operations, and the requirements of each organization. Each unit
takes the necessary steps to provide the security and maintain the surprise -
keep the enemy without knowledge of what our military forces are doing. For
this reason, OPSEC should be taught in all the military schools at all levels,
and established in the doctrinaire literature of each organization and its
operations. Each manual should describe how military forces can improve the
security of their operations.
In order for the OPSEC program to be effective, the tactical units
should:
Be established by the commander, and led by the operations officer of
the support of the local intelligence officer.
Be based on the operational requirements of the unit.
Be imaginative and adaptable for certain changes.
Be designed to deny valuable information to the enemy regarding
activities and operation.
Be compelled at all levels by the commander in the plans and training,
so that the program can function in operations situations.
OPSEC SUPPORT
The OPSEC support is provided by the unit or sections of the OPSEC which
are found in the organizations of military intelligence. The OPSEC teams are
specialists in security signals in the counter intelligence and should be put
in direct support of the combat brigade, support division commands and the
artillery units. These teams support the unit determining the vulnerability of
each unit, to assist the subordinate units and maintaining the most current
data regarding enemy threats and evaluation of vulnerabilities of such
threats. The support units of OPSEC participate in the conduct of evaluation
of OPSEC. They also recommend certain ways of protecting the procedures which
could provide indicators to the enemy.
The security specialists help in the development of the plans and
procedures of OPSEC, maintaining the archives of OPSEC, and recommending the
deception measures. Commanders can also obtain the support of the units of
OPSEC at the highest echelons of the high command of the Armed Forces. This
support includes services such as the signal security, computerization
security, counter measures of technical surveillance, counter intelligence
investigations and inspection of cryptographic installations.
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THE OPSEC PROCESS
OPSEC is a continuous process of planning, collecting information,
analyzing and forming, changing data base, issuing orders and instructions and
execution.
OPSEC PROCESS
Planning the gathering --->Information gathering--->Analyzing
Report on Report
results
Executing orders <----Issuing orders <-----Revising the
and instructionsdata Base
NOTE: Once started, the OPSEC process is continuous and more than one
section can do it at any moment.
The OPSEC process is done in a sequence of planning, execution and
reporting the results. The process begins with information already known of
the data base and continues in a logical way resulting from the assessment,
recommendation and operation plan. The plan is carried out by the units. The
OPSEC measures are monitored by members of the different unit and by elements
of the CI to verify the effectiveness of the OPSEC measures. The commander and
the operations officer take action to correct the vulnerabilities based on the
different reports. The process can be illustrated as follows:
THE OPSEC PROCESS
S3/D3 S2/D2
Based on OPSEC profile Estimate of the enemy
Data base or intelligence threat
Condition of
our forces
------------
and
Commander countersurveillance
guideline in effect
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The Concept of the Commander
of the mission or operation
P --Determine the sensitive aspects of the operation
L --Develop the essential elements of friendly information (EEFI)
A --Advise on our vulnerabilities
N --Analyze the risk
N --Determine countermeasures and requirements of deception
I --Estimate of OPSEC (written or orally)
N --OPSEC plan (written or orally)
G --Deception plan (written or orally)
I
M
P --Units implement Operational Plan (With the OPSEC plan as an Annex)
L --Counterintelligence elements supervise the OPSEC plan
E
M --Inform on indicators that can influence the operations
E
N --Effectiveness of OPSEC program is evaluated
T
A
T
I
0
N
R
E
S --Counterintelligence elements inform the commander and the
U operations officer orally or in a written report.
L
T
S
Figure 1
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THE DATA BASE
Data base for the planning of OPSEC is maintained by the CI section.
This information on our units and enemy capability for gathering information
is always in the process of evaluation and change.
The intelligence section informs the CI element regarding the capability
of the element to collect information. This information about the enemy is
important because:
Time is not wasted advising an erroneous threat.
Counter measures are not assigned to indicators which the enemy does not
have the capability to collect.
Counter measures are assigned to counteract the capabilities of the
enemy to collect information on our activities.
The CI section establishes the data base to develop the indicators, the
signatures, the patterns and the profile of our forces. This information
indicates how our units appear in the battlefield -- the way they operate, how
they communicate, how they are supplied, etc. The information about our own
unit is important for the planning of our operations because:
It determines the essential elements of information on our forces and
our vulnerabilities.
Counter measures are applicable to the units which need them. In
carrying out and providing advice for OPSEC measures.
Deception can be done effectively. The use of deception depends on
common sense, precise information about enemy intelligence and our
involved units. For example, the units which use deception have to
demonstrate indicators, signatures, patterns and profiles showing the
same characteristics as the type of unit they are trying to imitate.
COMMANDER GUIDE
The concept of the operation and the mission of the commander provides
the direction and guideline for the OPSEC plan. The commander can order
certain general measures of OPSEC or perceive specific procedures of security
during operation. For example, it can establish measures for protecting the
revealing of unit movement, supplies and use of radio. The commander should
announce which part of the operation should be protected for the operation to
succeed.
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PLANNING
The C3/S3 is assisted by the CI section and other high staff and general
staff officers, realizing the plan described in Figure 1. Although the
different aspects of the planning might not be completed in detail, each one
should be completed as much as possible in a given time.
Determine the Sensitive Aspects of the Operation
Take note of the information which if known by the enemy provides
indicators that reveal our operation. Operational indicators and physical
characteristics are compared constantly with the operation. Once this is done
the planners can --
Determine the Essential Elements of the Elements of
Friendly Information (EEFI)
The essential element of friendly information is information that if it
falls in the hands of the enemy, our operations will fail. The EEFI reflect
the concern of the commander regarding areas that need security. The CI agents
use the EEFI to identify and inform regarding vulnerabilities. The unit uses
the EEFI to plan operations of countersurveillance.
Advice on Our Vulnerabilities
Noting the EEFIs, the CI sections begin to advise on our
vulnerabilities. The CI agents identify the units and activities that are most
vulnerable and detectable by enemy intelligence. This step is necessary for --
Risk Analysis
Risk analysis is a process that compares our vulnerabilities with the
enemy capabilities for gathering of collect.
The CI agent identifies indicators that if detected would result in the
divulging of important combat intelligence regarding our operations. The
purpose is to identify the risk and determine what can be done to reduce them.
This includes an evaluation of the operation of countersurveillance and
counter measures actually in effect for determining what more needs to be
done. The units always employ procedures of counter surveillance. The units
separate and evaluate the effectiveness of countersurveillance as they receive
new information. Based on the new information, they can decide and adjust the
measures for countersurveillance in order to focus on certain techniques and
procedures. This process continues throughout the CI agents structure.
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Determine the Counter Measures
Counter measures are used to protecting these indicators and EEFI which
are most vulnerable for enemy detection, as a result the counter surveillance
measures which are not adequate. Generally there are five options:
Counter measures are not necessary
Applying a counter measure
Stop the activity
Employ deception operations
Change the operation
Counter measures are not necessary under the following conditions:
A indicator cannot be detected by the enemy
If it is detected, the indicator supports the deception plan.
The commander decides to accept the risk.
The use of counter measures in deception requires common sense,
information over our units and knowledge of the capabilities of the enemy to
gather intelligence. The specific counter measures are directed towards the
capabilities of the enemy in order to collect information.
Counter measures may include the physical destruction of the enemy -s
collection measures. If this is the case, the S3, in accordance with the
commander, has to react quickly in order to counteract the enemy's gathering
capability. For example, it is known that an enemy reconnaissance patrol is
collecting enough information regarding our operation, the 53 can recommend
the increase of combat patrols to destroy the reconnaissance element.
Deception
The planning of deception is integral in the planning operations. A
deception plan can be done because it is a good idea for a specific operation;
because it is a requirement to support a plan of deception at a higher level
as part of the measure against the enemy intelligence threat. In any case,
deception and the OPSEC are inseparable. In order to use deception
successfully, a unit as o have a good knowledge of all of the aspects of
OPSEC.
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Deception is designed to deceive the enemy by means of manipulation,
distortion, making him react in a way that is detrimental to his interest. In
order for a plan of deception to function, certain conditions have to exist:
-- The plan of deception should be credible. The concept of deception
should be carried out in conjunction with the concepts of operation. Whenever
possible, the operation activities should support the plan of deception.
-- The deception should be part of the technical situation.
-- The enemy should be given the opportunity to react to deception.
-- One should consider all the information gathering capabilities of the
enemy. There is no point in deceiving an enemy resource if it is detected by
another resource. The success depends on the good knowledge of the
characteristics, capabilities and the use of intelligence systems of the
enemy.
-- The units involved in the deception have to accomplish their different
missions. This may not require anything special if the unit is doing its
normal mission. It is possible that it may have enough information and
equipment to project a false image. The subordinate units have to support the
plan of deception of the superior units.
Deception requires good intelligence, OPSEC and an operational
implementation in order for it to be successful. Intelligence units inform
regarding information gathering capabilities of the enemy and possible
reactions. The CI section informs regarding indicators, signatures, patterns
and profiles of the units involving deception; and the operations sections
applies the deception plan of the combat operations. A satisfactory OPSEC
program needs to be established in order for the deception to be successful.
INDICATORS, SIGNATURES, PATTERNS AND PROFILES
General
All the armies have their ways of operating. The normal operating
procedures, the field manuals, the training instructions, and other local
instructions result in similar units functioning in a similar way. The effort
of maintaining the similarities and functioning adds to the effectiveness and
efficiencies of the units. Its weakness is that the units become stereotypical
units, and consequently more predictable. This causes that the analyst of any
intelligence can interpret more easily the indicators, signatures, patterns
and profiles of our military forces.
The commanders and the operation officers should examine and study
carefully how to conduct their military operations. They need to know if they
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are conducting operations in the same way each time there is an operation, and
advise on the manner the operation should be conducted. This means that they
should revise the actions that occur during the planning phase, execution and
the debriefing after the combat drills. It could be that a comparison of the
activities of various combat drills is necessary.
INDICATORS
Indicators are activities that may contribute to determine a course of
action of our military forces. When preparing combat operations, it is
virtually impossible for a military unit to hide or avoid giving out
indicators. Certain activities must be conducted. Some of these activities are
essential for the operations -- others can be directed by the commander or by
standard operational procedures of the operations. In many cases, these
activities might be detected by the enemy and used to predict possible courses
of action.
Identifying and interpreting specific indicators is a critical task for
the intelligence operations, either for the enemy of for our own armed forces.
The intelligence personnel looks for indicators, analyze the, and make an
estimate of the capabilities, vulnerabilities and intentions. These analyses
have become a requirement for information, plans, and eventually provide the
basis for directives and orders.
Identifying the critical activities of the military forces could
indicate the existence of specific capabilities or vulnerabilities, or the
adjustment of a particular course of action. Determining which indicator is
important, could be the result of previous action analysis. The lack of action
is as important, in certain cases, as actions already taken. For example, if a
unit does nor normally deploy its attack artillery equipment, this information
is important for the analysts to include it in their estimate. In any case,
the indicators that arise requires a concrete knowledge of the organization,
equipment, doctrine of the tactics, the command personalities, and the
logistic methods, as well as the characteristics of the operations. Indicators
are not abstract events. The indicators are activities that result from the
military operations.
Indicators are potential tools for each commander. The indicators are
probabilities in nature, which represent activities that might occur in the
military operations. The interpretations of the indicators require knowledge
of the enemy and the current situation. Some indicators are mentioned below.
It is not intended to be a complete list, or applicable to all situations.
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Possible Attack Indicators
-- Concentration of mechanized elements, tanks, artillery, and logistic
support.
-- Delivery of combat elements (mechanized, tanks, anti-tank) in echelons.
-- Deployment of tanks, guns, cars to the front units.
-- Extensive preparation of artillery.
-- Artillery positions very much to the front and in concentration.
-- Extensive patrol activity.
-- Change in the level of communications, crypto, codes and frequency.
-- Placement of the air defense forces beyond the normal front.
-- Logistics activities, reinforcement and extensive replacement.
-- Relocation of support unit at the front.
Possible Defense Indicators
-- Withdrawal of defense positions before onset of battle.
-- Successive local counterattacks with limited objective.
-- Counterattack is suppressed before regaining positions.
-- Extensive preparation of field fortifications and mined fields.
-- Firing positions in the front are used; the long-range firing is
started.
-- Movement to the rear of long-range artillery equipment and logistics
echelons.
-- Destruction of bridges, communication facilities and other military
equipment.
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SIGNATURES
The signatures are a result of the presence of a unit or activity in the
battlefield. The signatures are detected because several units have different
equipment, vary in size, emit different electronic signals, and have different
noises and heat sources. The detection of the individual signatures could be
grouped by analysts to point out the installations, units, or activities.
In general, these are the categories applied to the units: visual,
acoustic, infrared, and electromagnetic. Each one of these areas are discussed
individually. Have in mind, however, that the enemy will try to exploit
several individual signatures grouping them in order to determine a signature
for the unit. Usually, action is not undertaken as a result of the detecting
only one signature. With exception of the detection of critical areas, which
can result of the detection, identification and location of a signature. The
critical areas are key activities such as command posts, communications
facilities and systems, some equipment and its surveillance systems. The
detection of these areas reduces the ability of a military force to conduct
military operations. However, the longer the critical areas are exposed, the
easier would be for the enemy to detect, identify, locate, attack and destroy
these critical areas.
VISUAL
Visual signatures are detected through light photography and by human
eyesight, assisted or unassisted. Visual signatures are equipment, location of
personnel, activity patters, and the frequency of these activities. Also, some
of these visual signatures include vehicle movement, tanks, vehicle marking,
uniform markings, etc. Theoretically, a target is detected when it is seen by
a human eye. The targets might be detected and identified by using photography
by --
-- Its distinct form, or recognizable patters, form, style, size,
design, shadow, and its dimensions of height and depth.
-- A distinct deployment system, possibly involving other targets.
-- The color, hue, shine, tone and texture of the target.
It is possible to detect a target without having to identify it.
Detection is the discovery of a target or activity, while identification
requires an additional step - to establish what the target is, what it does,
or the capabilities of such target. The violence, confusion, and the darkness
in the battlefield introduces variables that might prevent identification or
detection of military targets.
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Some studies point out that the visual detection is affected by the
following:
-- The size of the target and the time it has been exposed to sight.
-- The degree to which the target has been camouflaged or covered.
-- Light variation, visibility and weather.
-- Number of targets - the more targets there are, it is more
difficult to identify them correctly.
-- Target distance - the longer the distance the more difficult to
identify the target correctly.
-- The contrast of the target against the background -- the less
contrast there is, the more difficult it is to identify the
target.
Some factors help the probability of visual detection. For example, the
probability of detection is increased by knowing previously that a target is
in a particular area. The probability of detection and identification is also
augmented if the target detected in a particular area is associated with other
targets in the vicinity, in other words, find a known target and search for
similar ones in the area. For example, if a tank repair vehicle is detected in
an area, look for tank units or mechanized units in the vicinity.
The identification and visual detection can be enhanced with the use of
photography. Visual location of ground and air observers, of which there is no
specific identification, can be used to lead photographic reconnaissance
missions. Unlike the location in one site only, or having a short view of the
target, photographs provide the opportunity to enlarge and study specific
areas and equipment. Photography is limited mainly because it provides the
record of an area as it was at the moment the photograph was taken.
ACOUSTIC (SOUND)
The acoustic signatures come in two types: The first are noises produced
during battle by explosives and rifle firing. The second sound is associated
with the noise of certain military functions - such as vehicles, equipment and
the activities of the installation. The acoustic signatures are detected by
human hearing, sound detection equipment, or special devices that magnify the
sound.
Acoustic sounds could be very significant because different equipment
and guns have a unique sound. These signatures have considerable importance
for planning countersurveillance, countermeasures and deception. The forces
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try to prevent escape of signatures in order to reinforce security; a
deception plan must sound as if it were an actual unit.
The noises produced by operations are affected by the weather
conditions, terrain, atmospheric conditions, and the propagation of sound. The
relative direction of wind, the amount of wind, the temperature and humidity
influence the quality of sound. In general, the sound travels better when
projected by the wind, when humidity is relatively high, and during nighttime.
The enemy is not expected to react only to what he hears. The sound only
serves to alert us on what is happening. The acoustic signature, unlike the
visual signature that can stand by itself, normally is used to support other
sensors.
The acoustic sounds are integrated with other information to enhance
intelligence. But have in mind that under certain circumstances, the sound can
travel long distances. While the enemy cannot distinguish between an M-60 tank
and an APC, the sound can alert him that there is movement in the vicinity.
INFRARED (IR)
The infrared signatures are those not visible by the eye. It is the
heat, or light, produced by equipment, person, unit or activity. The infrared
signatures can be detected with the use of several specialized equipment.
The infrared surveillance equipment vary from the individual optical
device to sophisticated aerial systems. Under favorable conditions, the
systems that have been improved will be able to produce images that
distinguish between the equipment of the same quality and type.
The tactical infrared equipment come in two categories -- active and
passive. The active equipment require that the potential target be illuminated
by infrared sources -- light sent in infrared frequencies. These devices are
susceptible of being detected because they emit a distinct and identifiable
signature. The enemy sensors can locate the active sources. The passive
devices detect the infrared radiation of any of these two sources: emissions
created by the target or solar energy reflected by the target. These devices
are more applicable to play the role of surveillance because the equipment
does not produce an identifiable signature. The passive devices are vulnerable
to detection at the level at which their power sources are detectable.
The majority of the military equipment emit an infrared signature of
some type. The equipment more vulnerable to infrared detection are those that
produce a high degree of heat, such as, tanks, trucks, long guns, generators,
air conditioners, furnaces, aircraft, maintenance facilities, artillery fire,
kitchen areas, landing areas and assembly points.
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Infrared surveillance has limitations. Humidity, fog, and clouds can
cause serious limitations, while smoke and fog can degrade the operations of
some systems. The clouds present a more serious problem because the radiations
emitted can be enough to prevent the operations of the system itself.
Clouds also telltale the infrared radiation of the objects being
targeted by the system.
ELECTROMAGNETIC
The electromagnetic signatures are caused by electronic radiation of
communication and non-communication emitters. In other words, the detection of
specific electromagnetic signatures can disclose the present of an activity in
the area. This allows us to direct our sensors to that area in order to detect
other signatures.
The communication signatures are generally direct -- use a radio and a
signature will be provided. The battalions have certain communication systems;
the brigades have other communication systems, and the elements of higher
echelons also have different communication elements and other additional
systems. To find the bigger units, to which a transmitter belongs, it is the
duty to:
-- detect other transmitters in the area.
-- Use radio-goniometry to determine the location.
-- Categorize signals by a signal analysis.
-- Locate the type of transmitter in the vicinity of the area.
From this type of information, the intelligence can determine the location of
a unit or command, supply point, weapons units, and assembly areas. This is
particularly true when some radios or radars are used exclusively by a
specific unit or weapons system. The movement, information of the order of
battle, the structure of the radio network, tactical deployment, and, in a
lesser degree, the intentions could be derived from the interception of the
communications systems. All these could be detected and identified by knowing
the location of communication equipment, without reading the messages.
The signatures produced by radars are considered from two viewpoints.
First, when radar systems are activated they transmit signals and create
signatures.
This makes our forces vulnerable when we use radar against the enemy.
Secondly, the equipment, buildings and mountains have identifiable
characteristics which the radar can be used to detect and identify. Therefore,
the forces exposed are vulnerable to the detection by radar.
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The military equipment have a great number of protuberances, angles and
corners which the radar could detect. This refers to what is called the radar
cross-section (RCS). Modern radar surveillance equipment can do more than
solely detect the RCS of a target. Aerial radars with lateral view (SLAR) have
enough resolution to identify certain weapons systems by detailed imagery or
by its pattern. The radar systems can penetrate the fog, cloud and moderate
rain. The surveillance radars are active systems and can operate against
mobile or fixed targets.
The radar systems are limited in that they require an uninterrupted
passage, or visibility points, towards the target area. However, have in mind
that these systems cannot penetrate forests or heavy rain. The radar systems
are susceptible to enemy interception and can become targets because of their
distinctive signature.
PATTERNS
A pattern is the manner in which we do things. Patterns that can be
predicted are developed by commanders, planners and operators. The different
classes of patterns are as numerous as the different procedures in military
operations. Some examples of patterns are:
-- Command and Operations Posts
-- Artillery fire before an attack
-- Command posts located in the same position relative to the
location of the combat units.
-- Reconnaissance patrols repeatedly on a zone before an operation.
The officers need to examine their operations and activities in their
zones of responsibility and reduce the established patterns whenever possible.
PROFILES
The profiles are a result of the actions taken by military units and
individual soldiers. The profile analysis of a unit could reveal signatures
and patterns on the procedures, and, eventually, the intentions of the unit
could be determined, collectively, the profiles could be used by the enemy to
find out our various courses of action. Our counterintelligence units develop
profiles of our units in order to determine our vulnerabilities and thus
recommend the commanders on the correction measures. In order to achieve this,
all activity of the unit has to be identified to see if it presents indicators
to the enemy.
Usually, profiles are developed by means of the gathering of information
on the electromagnetic equipment and on physical actions and deployments.
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Electromagnetic information identifies the activities of the units by
associating the different signals with the equipment. Physical actions and
deployments are things that the unit does: how a unit appears while it is
performing; how it moves; its configuration during march or when it deploys.
These different factors identify the different units.
In the majority of units, the electromagnetic and physical information
is applicable to 5 areas of importance in order to complete an entire profile.
The five profiles are:
-- Communications and command post
-- Intelligence
-- Operations and maneuvers
-- Logistics
-- Administration and other support
COMMUNICATIONS AND COMMAND POST
Some factors to be considered when developing and profile:
Where are the command posts located with regard to other units -
particularly subordinate units?
-- How does the command post look like?
-- When is it transferred with regard to the other command elements?
-- Is the post surrounded by antennas - thus creating a very visible
target?
-- What type of communications equipment is used and where is it located?
-- What is the amount of communications traffic with regard to the
activities and operations?
-- Are there any road signs that might help the enemy units or agents to
located the command post?
-- Do the logistics and administration communications compromised the
operation?
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INTELLIGENCE
Profiles on intelligence, surveillance, reconnaissance and elements
identifying targets are developed in order to determine whether our activities
indicate our intentions. Some considerations:
-- How frequently and to which zones have the land and air elements been
assigned for information gathering?
-- Where are the information gathering elements located? (Which
communication methods are used to report? Which are the information channels?
Which are the security measures?)
-- How are the radars used? (For how long are they used before transferring
them?)
-- Are there sensors in the target zone?
-- Have the reconnaissance vehicles (land and air) compromised the location
of future operations?
-- Are the patrol levels been varied?
-- Can the different gathering activities relate to the different stages of
operation - planning, preparation, execution?
OPERATIONS AND MANEUVERS
Activities during the preparation and execution of combat operations can
be identified. Many activities are hard to cover due to the number of men
involved, the noise, dust, tracks of vehicles, heat emitted, etc. However, the
activities for combat operation have to be examined.
-- Can the drilling and instruction of men be easily detected?
-- If there is special training required for the operation, are there any
special security measures?
-- Where are the units located before the operation? Artillery? Aviation?
Reserves? Maintenance and supply? Is the movement indicated towards the front
or the rear during their course of action?
-- How are the same actions carried out for preparation of offensive or
defense operations? Do they indicate intentions?
LOGISTICS
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Supply, maintenance, transportation and services and facilities
indicating an operation have to be examined.
-- Which movements indicate the starting of an operation?
-- Are material and special equipment visible?
-- Where is the material being stored? When?
-- Is the change of schedule for vehicle and weapons maintenance indicating
the start of an operation?
-- Are new roads being built?
-- Are special munitions being delivered secretly?
ADMINISTRATION AND OTHER SUPPORT
Activities seemingly completely innocent individually could provide
valuable information for the enemy analyst. The administration and support
profile could identify these actions which become obvious because they are
different from what is normal. Some examples follow:
-- Things change before an operation:
* Getting up and meals schedules?
* Directions
* Larger mail volume?
* Frequency of reports:
* Entry of licensed personnel?
-- There is a special request for:
* Personnel?
* Equipment?
* Supplies of all types?
-- How is trash, paper, etc. being destroyed? Can enemy agents locate and
use the waste?
-- Expecting wounded personnel by medical units, do they indicate a pending
operation?
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THE OPSEC PROCEDURE
1) To identify the enemy capability to gather intelligence (D-II/S-II).
2) Identify our EEFI and profiles.
Profiles + Patterns and signatures
Profile: All the characteristics pertaining a unit.
Patterns: Repeated activities established by SOP or by doctrine.
Signatures: Field actions of a unit.
-- visual
-- sound
-- infrared
-- electromagnetic
Profiles: Command Post
-- Communications
-- Operations
-- Logistics
3) Identify the vulnerable profiles that indicate our intentions.
4) Implement a risk analysis and make note of the EEFI.
-- Profiles \
-- Patterns > Indicators
-- Signature /
5) Recommend OPSEC measures
-- Countersurveillance
-- countermeasures
-- Deception
6) Select the OPSEC measures.
7) Apply the OPSEC measures.
8) Apply efforts to monitor OPSEC.
9) Monitor the effectiveness of OPSEC.
10) Recommend OPSEC adjustments.
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Step (1) --- OPSEC estimates
Step (2) --- OPSEC estimates
Step (3) -- Planning estimates/guidelines
Step (4) --- Estimate/guidelines
Step (5) --- Estimate/guidelines
Step (6) --- Estimate/guidelines
Step (7) --- OPSEC Annex
Step (8) --- OPSEC Annex
Step (9) --- OPSEC Annex
Step (10) --- OPSEC Annex
ESTIMATE --> GUIDELINE --> ANNEX
EVALUATION:YEARLY REPORT
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OPSEC ANNEX
Item 1): Mission of the unit. (From the Plan of Operation)
Item 2): Summarize the enemy situation in terms of intelligence gathering,
sabotage, and subversion. Discuss the situation with regard to
recent enemy activities and their potential capability. This item
is designed to indicate their capability for intelligence
gathering; while item 3 include the measures to counteract those
efforts. The following factors should be analyzed:
A. Indicate the effect of weather on the enemy's capability to gather
intelligence on our OPSEC measures.
B. Indicate the effect of the terrain on the enemy's capability to
gather intelligence on our OPSEC measures.
C. Resume the enemy's capability to gather intelligence and carry out
sabotage and subversive actions. This includes:
1) Intelligence
A) Ground Observation and Reconnaissance
1) Eye observation
2) Patrols
3) Ground radars
4) Infrared surveillance
5) Long-range ground sensors
6) Other
B) Air Surveillance and Reconnaissance
1) Penetration flights
2) Long-distance flights
3) Reconnaissance satellites
C) Signal Intelligence
1) Communications Intelligence
2) Electronic Intelligence
D) Electronic Warfare
1) Interception and radio goniometry
2) Interruption
3) Destruction
E) Guerrilla, insurgents, agents
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F) Other: infiltrators, refugees, prisoners of war, etc.
2) Sabotage
A) Military
B) Economic
3) Subversion
A) Propaganda
B) Terrorism
C) Political
D. Summarize the enemy's intelligence and security weaknesses.
Summarize its intelligence gathering weaknesses, for committing
sabotage and subversion sabotage. Discuss its internal security
posture.
Item 3): Implementation
A: Make a list of all the countersurveillance measures taken by the
field SOP. Emphasize new countersurveillance measures or changing
of measures that are part of the SOP.
B. In this section, make a list of all the additional countermeasures
that are not included in the SOP and are applicable to all the
units. These countermeasures are designed to counteract a specific
threat by the enemy counterintelligence.
Item 4): Miscellany
A. Summarize the threat to internal security. Discuss the problems of
internal security detected in the command post.
B. Establish any special instructions not covered previously as
targets of interest for counterintelligence (with priorities and
locations).
C. Establish the chain of command for counterintelligence.
Item 5): Command
This item deals with instructions on where counterintelligence is
sent to, the link between the various units, location of counter-
intelligence personnel, the different dissemination channels,
types of reports required, frequency and priorities.
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OPSEC ESTIMATION
Item 1): The Mission of the Unit. (From the Plan of Operations)
Item 2): Area of Operations. (Discuss the influence of the area of
operations on the enemy capabilities to gather intelligence and
commit acts of sabotage and subversion).
A. Time/weather. (From the Intelligence Annex)
-- The enemy's capabilities for surveillance and ground and air
reconnaissance.
-- The time/weather is or is not favorable to the enemy's
gathering efforts.
-- The impact of time/weather on our countermeasures.
B. Terrain. (From the Intelligence Annex)
-- Surveillance
-- Coverage
-- Natural and artificial obstacles
-- Key Terrain
(How the terrain affects the enemy's capability to gather
information/intelligence and how it affects our countermeasures).
C. Other factors of the zone.
-- Political
-- Economic
-- Sociological
-- Psychological
-- Transportation
Item 3): Current Enemy situation on intelligence, sabotage and subversion
activities.
A) Intelligence
1) Ground surveillance and reconnaissance.
-- Eye observation
-- Patrols
-- Ground radars
-- Infrared surveillance
-- Long-range ground sensors
-- Other
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2) Air surveillance and reconnaissance
-- Penetration flights
-- Distance flights
-- Air Sensors
-- Reconnaissance satellites
3) Signal Intelligence
-- Communication intelligence
-- Electronic intelligence
4) Guerrillas and Insurgents
5) Espionage
6) Other: infiltrators
refugees, displaced persons,
prisoners of war, etc.
B) Sabotage
1) Military (installations, line of communication)
2) Economic
C) Subversion
1) Propaganda
2) Terrorism
3) Political
Item 4: Enemy capability for intelligence gathering and to commit sabotage
and subversive actions.
A) Intelligence
1) Ground surveillance and reconnaissance.
-- Eye observation
-- Patrols
-- Ground radar
-- Infrared surveillance
-- Long-range ground sensors
-- Other
2) Air surveillance and reconnaissance
-- Penetration flights
-- Distance flights
-- Air Sensors
-- Reconnaissance satellites
3) Signal Intelligence
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-- Communication intelligence
-- Electronic intelligence
4) Guerrillas and Insurgents
5) Espionage
6) Other: infiltrators
refugees, displaced persons,
prisoners of war, etc.
B) Sabotage
1) Military
2) Economic
C) Subversion
1) Propaganda
2) Terrorism
3) Political
Item 5): Conclusions
A) Indicate how the enemy will use its capability to gather
intelligence and to commit sabotage and subversion actions.
B) Indicate the effects of the enemy capability on our course of
action.
C) Indicate the effectiveness of our current countersurveillance
measures.
D) Indicate the effectiveness of our current countermeasures.
E). Recommend additional countersurveillance measures.
F). Recommend additional countermeasures.
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OPSEC PLANNING GUIDELINES
UNIT ______________________________ COMMANDER: __________________________
G3/S2: ______________________ NAME OF OPSEC OFFICER: ____________________
CONTENTS DISCUSSED WITH: ________________________________________________
NAME RANK
PERSON COMPLETING REVISION: ____________________________________________
YES
NO
CAMOUFLAGE
A.
B.
DOCUMENT SECURITY (INFORMATION)
A.
B.
COMMAND POST
A.
B.
COMSEC
SIGSEC
TRANSSEC
Back to Top 44
CHAPTER 3 LN324-91 OPSEC EVALUATION
INTRODUCTION:
OPSEC means Operations Security. It is the duty of the Intelligence/
Counterintelligence Agent to determine the extent to which the security
measures are being followed within the OPSEC program. If the measures have not
been carried out, then nothing has been accomplished and the security of the
command is in serious danger. When the OPSEC measures, developed from the
OPSEC Procedures, are applied to an operation or activity (Commando) there are
several methods to evaluate its effectiveness. All are included under the
subject of "OPSEC Evaluation." The phrase OPSEC EVALUATION is applied to two
different concepts:
a. One concept refers to an evaluation or study of the activity,
unit, or project, using the OPSEC Procedure in order to recommend the OPSEC
measures and create a Data base for Counterintelligence (CI).
b. The second concept is an evaluation of the effectiveness of the
OPSEC measures already recommended. This evaluation might result in
modification or suppression of measures, or the identification of new OPSEC
measures.
OVERVIEW:
1. The OPSEC Evaluations vary, as already mentioned, depending on the
units needs.
2. All evaluations have in common the characteristics of examining
the effectiveness, the failure or the lack of OPSEC measures in a unit.
3. All evaluations are structured in a way that can provide complete
and detailed information as to how the units and agencies are implementing the
OPSEC measures.
4. THE OPSEC EVALUATIONS ARE NOT INSPECTIONS. The evaluations are
presented and must be considered as data finding and/or failure finding.
5. The Evaluation is used to identify those areas of the security
procedure of a unit that need to be improved.
6. When a team of agents carries out an OPSEC evaluation, it must be
done sensibly and not overlook or ignore something, having always in mind that
the evaluation results will be used to improve the system.
7. EVALUATIONS IN PEACE TIME AND IN WARTIME:
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a. During peacetime the OPSEC Evaluations can be prepared
several months in advance. An OPSEC evaluation of each command (unit) within a
Division or Brigade, must be carried out annually.
b. In addition to a yearly evaluation, a commander may request
it, through the G3/S3, that an OPSEC special evaluation be made of his unit.
c. During wartime, as vulnerabilities and threats are
identified, the evaluations are carried out in response to an emergency
request or urgency by the affected agencies.
8. Each evaluation is unique, since each one reflects the operation
or activity being evaluated. However, there are certain common procedures for
all evaluations, and these are as follows:
a. Planning
b. Evaluation
c. Report/Information
9. Planning of Evaluation:
The main factor in the planning stage of an evaluation is detail.
It must be prepared in detail to carry out an evaluation. Normally, the
planning stage includes the following:
a. Development of the purpose and scope of the evaluation:
The purpose/scope of the evaluation is prepared by the
analysis section of CI, and by the OPSEC element, for approval by G3/S3.
SAMPLES OF POSSIBLE PURPOSES AND SCOPES OF AN EVALUATION:
(1) "This OPSEC Evaluation will discuss the vulnerability of
the Division or Brigade to the multi-disciplinary threats of the enemy. These
threats include Human Intelligence (HUMINT) and Signal Intelligence (SIGINT),
etc.
b. Selection of the team that will carry out the Evaluation:
The team shall be selected by G3/S3, who will request its
units to assign expert personnel in the areas of operations, intelligence,
communications, logistics and administration. The team can be re-structured
according to the type of evaluation to be made.
c. Establish the contacts (link) in the area to be evaluated:
One of the initial steps before evaluation is to contact the
security chief of the installation to be evaluated. He can provide access to
the necessary files needed for an evaluation.
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d. Compilation of the reference materials:
The team must review the Standard Operations Procedures
(SOP) of the unit to be evaluated. This will make the team familiar with the
mission and the operational procedures of that installation.
e. Review the Essential Elements of Friendly Information
(EEFI):
By reviewing the EEFI, the team may identify the valuable
intelligence data which the commander deems important for the security of the
installation. This information may include any information, classified or not,
which, if revealed to enemy intelligence agent, could result in serious damage
to the installation.
f. Review the threat of hostile intelligence:
The team must be familiar with possible espionage threats,
activities of intelligence gathering by the enemy, by using all the sources in
the area of operations.
g. Become familiar with the activity or installation to be
evaluated:
Members of the evaluation team shall review all the
directives of the installation. The evaluation team leader should be briefed
by the commander of the installation.
h. Prepare organizational charts:
Preparation of organizational charts for evaluation purposes
will facilitate the evaluator's work. The chart should be prepared according
to the area to be evaluated. The charts should include the areas to be
reviewed by the agents and specific notes that might be useful for the
individual evaluator to carry out his duties.
i. Give notice of evaluation:
The final step in the preparation of an OPSEC evaluation is
to notify it. The G3/S3 notifies the installations that will be evaluated by
means of an amendment. The information that might appear in the message is as
follows:
(1) The purpose and scope of the evaluation.
(2) The members of the evaluating team and its access to
classified information.
(3) Necessary briefings and familiarity.
(4) Date and time that will be spent in the evaluation.
(5) Support required from Signal Security (SIGSEC)
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10. The Evaluation:
After completing the planning stage, the evaluation will be
performed. The following steps, in order, must be carried out at the onset of
the evaluation.
a. Beginning briefing:
This briefing could be formal or informal. It must be given
by the evaluating team leader. The areas to be covered during this briefing
are:
(1) Purpose and scope of the evaluation.
(2) How the evaluation will be conducted.
(3) Summary of the enemy threats and the vulnerability of
the installations to these threats.
(4) Previous OPSEC evaluations, if any, will be discussed.
b. Briefing by the Commander:
This briefing will give the Evaluating Team an opportunity
to receive information on the operations from the viewpoint of the commander
of the installation.
c. The Evaluation: (Information that will be covered later on
by this chapter).
d. Final Briefing:
The purpose of the final briefing is to inform the Commander
of the results of the evaluation and the findings during the evaluation with
regard to the OPSEC system of his installation. Also, the outgoing briefing
could be an informal one.
e. Report:
During this period, the evaluating team, the analysis
section of CI and the OPSEC section, shall evaluate all the information
obtained during the evaluation. The product of this effort shall provide a
data base that can be used to identify the vulnerabilities of the installation
in the OPSEC areas. The evaluation results of the information obtained by the
team will be the basis for recommendations of new OPSEC measures, if
necessary.
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OPSEC EVALUATION
BROCHURE: TECHNIQUES AND AREAS TO BE COVERED DURING AN OPSEC
EVALUATION.
OPSEC EVALUATION
HUMAN INTELLIGENCE
A. Security of Information:
1. Reproduction machines (copiers):
a. How many machines are there?
b. What is the control on the reproduction of classified
material?
c. Who is authorized to reproduce classified material?
d. Who authorizes reproduction?
e. Has the personnel been instructed that when a document is
copied in a copier, the image of the document remains latent in the crystal
and could emerge if a blank paper goes through.
2. Destruction of classified information:
a. Who does the destruction of classified information?
b. Where is destruction carried out?
c. When and how often is classified information destroyed?
d. How is it destroyed?
e. What security measures exist during the destruction process
of classified material?
3. Emergency Evacuation and Destruction Plan:
a. Obtain a copy of the plan and review it to determine whether
it is effective:
b. How is the plan carried out?
c. Do they have the necessary materials on hand to implement
the plan?
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d. Has the plan been rehearsed (drilled)?
4. Sensitive unclassified Trash:
a. Is there a procedure with regard to the handling of
sensitive unclassified trash?
b. Is there any mention of it in the SOP?
c. Is the SOP specification carried out?
d. How can they be sure that the command instructions are
carried out with regard to sensitive unclassified material?
e. Is all the personnel aware of the importance of controlling
the sensitive unclassified trash? How were they instructed?
5. Requests for information:
a. How are requests for information processed?
b. What is the procedure if the request originates from another
military or civilian command, or foreign country?
c. How do they control publication of information on activities
evaluated by other sources?
d. Is there an Officer for Public Relations (PRO)?
e. What are the responsibilities of the PRO in this program?
f. How is unsolicited mail handled?
6. Open Publications:
a. Which are the open publications of the installation? (A
publication which is unclassified and anybody can have access to it.)
b. Obtain copies and determine whether the publication has any
EEFI information.
c. How are open publications controlled?
7. EEFI:
a. Obtain copy of the current EEFI list.
b. On what was this list based?
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c. Is all the necessary personnel aware of what is included in
the EEFI list? Is this information denied to some personnel?
d. Is the EEFI list realistic, does it in fact contain
everything that the unit wants to protect?
8. Reports of Previous Inspections/evaluations or Studies:
a. Obtain copies of all the inspections, evaluations, studies,
of physical security, personnel, OPSEC, that has pertain to the installation.
b. Review all the reports and determined which measures have
been taken to correct problems identified previously.
9. Special Access Material:
a. Which materials requiring special access are used by the
installation?
b. What security measures are enforces to protect and safeguard
the material?
10. Classification guidelines:
a. Obtain copy of the classification guidelines for classified
material of the installation.
b. Are these guidelines effective?
c. Are they written in an efficient way, providing the
necessary information?
d. Is the personnel knowledgeable of this classification
guideline?
11. Casual Conversation.
a. During the evaluation of the installation, try to listen to
conversation carried out in areas where classified or sensitive matters should
not be discussed; also be on the alert to conversation between persons that
have access and the need to know certain information with persons that do not
have the need to know nor the access.
b. Which is the procedure of the unit/installation regarding
casual conversation?
c. Does the installation have an instruction program to brief
its personnel with regard to the danger of casual conversation?
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12. Security Education Program:
a. Which is the level of security education of the evaluated
installation?
b. Is there an education program in the areas of sabotage and
espionage against the armed forces, OPSEC, SigSec, Humint, and imagery
intelligence?
c. If there is a program, is it effective? (Does the personnel
respond to the teachings?)
d. Has the installation informed on any attempt of sabotage and
espionage or incident to the SEAAF?
e. Is the personnel contacted aware of the purpose of OPSEC?
Could they identify an approach to SEAAF if it would happen to them?
B. Physical Security
1. Inspections after working hours:
a. Are inspections of the installation carried out after
working hours?
b. If they do, what do they look for?
c. How often are these inspections performed?
d. What happens if they find loose classified material or any
other security violation?
2. Effectiveness of Physical Security:
a. What is the concrete effectiveness of the physical security
of the installation?
b. Are the current physical security measures adequate?
c. Examine doors, gates, fences, barriers, etc. and determine
its weakness and strong points.
3. Inspection Program of the Security Inspector:
a. Does the installation have an inspection program by the
Security Supervisor?
b. When the security supervisor carries out an inspection, is
it announced or unannounced?
c. Is the personnel performing the physical security
inspection, assigned to the same installation which they are inspecting?
d. What do they look for when inspecting?
e. What happens when they discover a vulnerability?
4. Access Control:
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a. Pretend you are a hostile intelligence agent and determine
how could you manage to enter the installation. Plan it from the outside to
the inside and how far could you penetrate. Try to obtain classified material
or try to listen to casual classified conversation. Use your imagination. The
enemy will do the same.
b. Are the gates adequate?
c. Is there a cleared zone beyond the perimetry fences?
d. Is there an adequate number of guards? Are they duly
trained? (How do they communicate among themselves?
e. Are the fences adequate?
f. Are the outer doors adequate?
g. Is the alarm system adequate? (Do they have an alarm
system?)
h. Is there a control of visitors and their vehicles?
i. Do the guards have an established routine of movement that
will make them vulnerable to an attack?
j. Is there a reserve/support group that could assist in case
of a surprise attack?
k. Prepare a scenario of how you could penetrate the
installation, include a detailed account of the weak and strong points of the
security program of the installation.
5. Pass system:
a. Is it adequate?
b. Can the passes be reproduced easily?
c. Is there another system that could be used in case the first
one is compromised?
d. How are passes destroyed?
e. What happens when they are informed that a pass has been
lost?
f. Do they allow for one pass to have access to the entire
installation, or are there restrictions?
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g. If the pass is not shown, is he made aware by the other
individuals, or is he allowed to walk without problem or question?
h. Are all the passes always visible?
i. How is the access to classified information certified or
verified of an individual visiting the installation?
j. Are visitors escorted through the installation?
k. Is there a record of the passes?
l. How many times a year is the pass system changed?
6. Visitors control:
a. What kind of access is authorized to visitors?
b. How are their level of access to classified information
verified?
c. Are the visitors required to sign at the entrance? What
information are they required to provide?
d. What other controls are applied for visitors?
7. Foreign Liaison Visitors
a. Are their access or authority for visiting verified?
b. Who is notified of their visit to the installation?
c. Which areas are they allowed to access?
d. What type of information is exchanged?
e. Is a briefing offered to the personnel that will have
contact with the foreign visitors?
8. OPSEC Support - Physical Security Plan:
a. Review and determine whether the plan is effective,.
b. Does this plan provide the support/information/guidelines
needed?
c. Can a Study of Physical Security be carried out?
d. What do the personnel know of the Physical Security Plan?
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e. Is it reviewed and updated frequently?
9. Instructions for the Guards
a. Are the instructions to guards adequate?
b. Do the instructions to guards indicate which are their
responsibilities?
c. Are emergency plans included in the instructions?
d. What do the guards know about the plan?
e. Do the instructions include how to proceed in case of a bomb
threat, sabotage, espionage, events of interest for the CI, and the
destruction of government property?
f. Do the guards understand what they have to do if they are
involved in an incident that concerns the military intelligence?
C. Personnel Security
1. Human Reliability Program: (This program is used to determine the
reliability of persons in sensitive posts. The subject is discussed in the
Chapter entitled "Security Investigation of Personnel")
a. Does the installation have such a program?
b. If it does, how is it checked?
c. What has this program offered to the Commander?
d. How is access to classified information validated?
e. Where do personnel whose access has not been approved yet
work?
2. Travel Abroad by Staff Personnel:
a. Where to and when do these individuals travel to foreign
countries?
b. What is the procedure to notify the commander of these
trips?
c. Are the travel schedules controlled/evaluated?
d. Is the personnel travelling abroad briefed?
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e. What kind of information do they carry and what kind of
information can they exchange?
f. Are trips abroad reported to military intelligence?
3. List of Accesses to Classified Information:
a. Is there a list of all the persons who have access to
classified information?
b. Do the personnel have access to the necessary information to
carry out their tasks?
c. Revise the access list and determine whether there is any
individual with access to information who should not be allowed.
d. How does the command verify the access to classified
information of other agencies?
4. OPSEC Program:
OPSEC SOP:
a. Does the installation have an OPSEC SOP?
b. Is it adequate?
c. Does the SOP of OPSEC describe the responsibilities of
everybody down to the individual level?
OPSEC Officer
a. Does the officer in charge of OPSEC working full-time for
OPSEC, or does he have other primary functions?
b. Which are the responsibilities of the OPSEC officer?
c. What kind of support is given to him?
d. Does he have the experience/education/reference material
necessary to carry out his tasks?
e. What importance does the Commander bestow on the OPSEC
program?
OPSEC Analyst
a. Is the command aware of what is an OPSEC analyst?
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b. Does the command know what an Analyst can do for them?
c. Have they requested support by the OPSEC Analyst, and what
kind of support was requested?
d. Have they received in the past any support by an OPSEC
Analyst?
e. Is the OPSEC Analyst effective?
4. OPSEC Consciousness:
a. Does the personnel know what OPSEC means, what OPSEC can do
for them to protect their mission and work material?
b. Is OPSEC considered a daily routine in this installation?
c. Is OPSEC considered before, after and during a military
exercise?
d. What kind of OPSEC training have been given to the
personnel?
e. Does the personnel believe in the importance of OPSEC?
f. Which is your (the agent's) opinion of the total
consciousness of OPSEC in the installation?
D. Signal Intelligence
1. SOP:
a. Obtain and review all the SOP's of SIGSEC. (are they
adequate?)
b. Are they reviewed and updated periodically?
2. Support by Signal Intelligence:
a. What kind of support has the installation received from
Signal Intelligence?
b. What kind of signal intelligence support does the
installation need?
3. Safe Communication:
a. What are the means for safe communication?
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b. Are they adequate?
c. Is there a backup system in case the primary one stops
working?
4. Inspections of Safe Communications and Signal Security:
a. When was the last SIGSEC/COMSEC inspection done and what
were the results?
b. Does the system need to be improved? (Were the improvement
measures carried out?)
c. Is there a need currently to improve the SIGSEC and COMSEC
systems?
5. Security Education:
a. Is the installation personnel trained on communications
security?
b. If they are trained, how is instruction given, is it
accepted or rejected?
c. Is there a need to improve the security education program?
6. ADP Security:
(ADP: is a security system used to protect the computer communication)
a. Is the personnel trained on COMSEC?
b. Is a key code used? How can an unauthorized person be
prevented to access the computer system?
c. Do unauthorized persons use the system?
d. What is the software used? What classification does it have?
e. What is the procedure for controlling the computer output?
f. What physical security measures are used to protect the
computer terminals that are outside the computer room?
g. Which procedure is used for the necessary maintenance?
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h. If the system contains classified information, how can they
get the cleared personnel to carry out the computer maintenance?
i. Is there a Security Officer assigned for the computer room?
j. Are the computer operators trained on the need to protect
the systems security?
k. Can classified information be obtained through the
terminals?
l. Are visitors escorted while visiting the computers area?
m. Is there a pass system for the computers area?
n. Does the installation share the use of computers with other
installations or agencies?
E. Imagery Intelligence
1. Aerial Photography:
a. Is the personnel conscious of the existence/threat of aerial
photography?
b. Is the installation vulnerable to this threat?
c. What precautions are taken for protection against this
threat?
d. What kind of written information do they have to protect
themselves against this threat?
2. Manual Photography by an Agent:
a. Is the personnel conscious of this kind of threat?
b. What physical security precautions are taken to protect
themselves against this threat?
c. How vulnerable is the installation?
d. Are the guards aware of this threat and know how to prevent
it?
3. Outside Tryouts
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a. Does the installation conduct tryouts outside the building
that could be vulnerable to the threat of imagery intelligence?
b. Has the command considered using camouflage before the
tryouts are carried out?
c. Does the SOP contain something with regard to the protection
against this threat?
F. Vulnerabilities/Recommendations of Signal Intelligence
G. Imagery Intelligence
1. Local threat:
2. Vulnerabilities/Recommendations:
H. Other Vulnerabilities and recommendations as appropriate:
I. Remarks:
(General remarks are included which are not qualified as
vulnerabilities.)
J. Conclusions
(Support to be given to the installation in the future.)
I. ANNEXES:
a. Data on Threats in general.
b. Results of the COMSEC evaluation.
c. Study of Signal Security
d. Essential Elements of the Enemy
e. Report of ADP Security
f. BEFI - Evaluation
g. Inspection of Technical Support
h. Other information or reports that might backup the OPSEC
Evaluation.
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NOTE: Not all the Annexes mentioned above are required in all the reports of
an OPSEC evaluation.
Back to Top 61
CHAPTER 4 CHAPTER IV
DOCUMENTS SECURITY
INTRODUCTION:
The application of this chapter will be based on the following main
principles:
1. It is essential that some official information be given top
protection in order to safeguard the capability of the nation to protect
itself against all hostile and destructive actions.
2. It is also essential that the citizens of the nation be informed
as much as possible on the activities of the government.
3. This chapter should not be interpreted in any way as trying to
withhold information that otherwise could be publicly disseminated.
GENERAL:
A. DEFINITION OF DOCUMENT SECURITY: The degree of protection given to
certain official information for the safekeeping of the nation's capability to
protect itself against hostile or destructive actions.
B. All personnel must be aware that the above-mentioned principles are the
fundamental factors that govern military security and must be deeply
indoctrinated so as to be inherent with the routine performance of their
tasks.
C. ORGANIZATION:
1. Categories of Classification
a. The official information requiring protection in the
interest of national defense will be limited to three categories of
classification, which are, in order of importance, TOP SECRET, SECRET and
CONFIDENTIAL. No other designations shall be used to classify information of
national defense.
2. Other Definitions
a. Information of Defense. It pertains the official information
that requires protection in the interest of national defense that is not of
common knowledge, y which could be valuable military information for a
potential enemy, to plan or sustain war or insurgency against us or our
allies.
b. Classified Material. It is the official information which
has been classified and marked with one of the categories mentioned above.
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c. Access to Classified Material. It allows access to
classified material only to those persons authorized to work with classified
information and need to know such information to be able to accomplish their
official duties.
d. Custody. Is the person in possession or that has the
responsibility of protecting and accounting for classified material.
e. Inventory. It is the procedure used to account for
classified material by control of entry and record of the document, or entry
of destruction record, or by signed receipts.
f. Document. Is any recorded information, without considering
its form or characteristics, and includes, without being limited to, the
following:
(1) Handwritten, typewritten or printed material.
(2) All drawn, painted or engraved material.
(3) All sound recordings, voices, tapes or records.
(4) All types of photographs and films, in negatives or
processed, fixed or in motion.
g. Authority for Derived Classification: It is the authority to
classify material as a result of being connected to, or in response to other
material related to the same subject of an already classified material.
h. Material: Means any document, product or substance, on or
within which information can be recorded or included.
i. Properly authorized person: It is a person who has been
authorized to work with classified information, according to the established
norms.
3. TOP SECRET Information. Top Secret classification is limited to
the information of defense or material that require the highest degree of
protection. TOP SECRET information will be applicable only to that kind of
information or material that is extremely important for defense, and the
unauthorized disclosure of which would result in serious danger for the
nation, as for example:
a. Definite severance of diplomatic relationships, that would
damage the defense of the nation; [leading) to an armed attack against them or
their allies or to a war.
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b. Compromise the military defense plans, or the operations of
military intelligence, or technical or scientific developments vital for the
national defense.
c. As examples of this type of information, there are:
(1) A strategic plan that documents the complete
operations of war.
(2) The documents for war planning.
(3) Plan of operations for an independent operation, or
for a series of coordinated operations.
(4) Documents of military intelligence containing complete
information of a nature that would reveal a big effort of military
intelligence activities by the nation, and that would enable unauthorized
persons to evaluate the success obtained by the military intelligence services
of the nation.
(5) Plans or programs to carry out operations of military
intelligence, or other special operations, when the knowledge of a particular
plan, program or operation would result extremely damaging for the nation.
(6) Important information regarding equipment (war
materiel) extremely important and radically new, whose technical development
constitute vital information for the defense of the nation.
4. SECRET Information. The use of SECRET classification will be
limited to defense or material information whose unauthorized dissemination
could result in serious damage for the nation, such as:
a. Jeopardize international relations of the country.
b. Endanger the effectiveness of a program or policy vitally
important for the national defense.
c. Compromises important military plans for the defense or the
technical development for the national defense.
d. Reveals important operations of military intelligence.
e. Examples of this type of information are:
(1) A war plan or a complete plan for a future war
operation not included under the TOP SECRET classification, and documents that
indicate the disposition of our forces, whose unauthorized publication, by
itself, could compromise such secret plans.
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(2) Defense plans and other military plans not included
under the TOP SECRET classification, or in the previous paragraph, that
contain plans and development programs or acquisitions, although they do not
necessary include all the emergency plans.
(3) Specific intelligence that, by itself, could reveal
the military capability of degree of preparation of the Armed Forces, but does
not include information whose unauthorized disclosure could compromise a TOP
SECRET plan.
(4) Intelligence that reveals the strength of our forces
involved in war operations; quantity or quality of equipment, or the quantity
or composition of the units in a theater of operations or other geographic
area where our forces might be involved in war operations. During peacetime,
the information that would reveal the strength, identify, composition or
situation of units usually would not require SECRET classification.
(5) Military intelligence or other information whose value
depends on concealing the fact that the nations possesses it.
(6) Details or specific information related to new
material, or modification of material that reveal important military advances,
or new technical development that has direct application of vital importance
for the national defense.
(7) Security measure for communication or cryptographic
material that reveals vitally important information for the national defense.
(8) Intelligence of vital importance for the national
defense, with regard to amounts of war reserves.
f. CONFIDENTIAL INFORMATION. The use of CONFIDENTIAL
classification will be limited to defense information and to the material
whose unauthorized disclosure could be damaging to the interests of the
national defense. As examples of this type of material, there are:
(1) Reports of operations and battles that might have
valuable information for the enemy (The Essential Elements of Friendly
Information).
(2) Reports that contain military intelligence, no matter
what type of information.
(3) Frequencies of military radios and call signals that
have special meaning assigned, or those that are frequently changed because of
security reasons.
(4) Devices and material related to the communications
security.
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(5) Information that indicates the assets of our ground,
sea and air forces in national territory or abroad, or the composition of the
units, or que quantity of specific equipment units that belong to them. During
peace time a defense classification is not necessary unless such information
reflects the numbers of the total assets or quantity of weapons whose
characteristics are themselves classified.
(6) The documents or manuals that contain technical
information used for training, maintenance or inspection of classified war
material.
(7) Doctrine of tactical or technical operations.
(8) The investigation, development, production and
acquisition of war materiel.
f. Handling of classified documents
(1) Protection of classified material in the hands of
persons that are travelling.
(a) A person receiving travel orders, and who is
authorized to carry classified material, will protect such material by the
following methods:
1- He will contact his commander in order to
obtain, if available, the corresponding means of protection, according to the
particular classification of the material, or;
2- Will keep the material under his personal
control continuously. It is the responsibility of the carrier of classified
material to use his best judgement for his actions, in order to avoid risky
situations that might compromise the classified material.
(b) The personnel on travel mission will not carry
classified material when crossing international borders where the classified
material might be subject to scrutiny by Customs inspectors or other
"unauthorized" persons. Such material, when forwarded previously by diplomatic
pouch or by mail, will not encounter any obstacles on its way.
(2) Covers of classified material.
The cover of classified material is used to call the
attention of the personnel handling it, to the fact that it is a classified
document, and to protect it against unauthorized scrutiny. The cover shall
have the stamp identifying the classification of the document.
(3) Destruction in case of emergency.
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(a) Plans
The commanders and chiefs that are responsible
for the protection of classified material will make formal plans for the
destruction or safe transfer of all classified material under its
jurisdiction, in case of civilian disturbance, disaster, or enemy action.
(b) On board aircraft or ships
If the aircraft carrying classified material is
forced to land, or a ship runs aground in unfriendly or neutral territory
where capture seems imminent, or in other circumstances when it appears that
the material should be destroyed so as not to be recognized, it is preferable
to burn it or destroy it in a way that will not be recognizable.
(4) Security of the typewriter ribbons: The typewriter
ribbons, whether made of cotton, rayon, paper, or silk, which are used to
write classified information are not safe until they have been written over
twice. Presently, many of the ribbons for typewriter machines can only be used
once, therefore have in mind that the impression of letters remain in the
ribbons and these are significantly valuable for the enemy as is the paper in
which the information was typed. These ribbons should be protected
accordingly.
(5) Classified trash: Trash such as drafts, minutes,
notes, dictaphone recordings, or other recordings, typewriter ribbons, carbon
paper, rolls of film, and similar articles, containing information of national
defense, shall be protected by a responsible person, according to their
classification, until they can be destroyed in an orderly fashion the same as
for material of similar classification. It is necessary to have a certificate
of destruction.
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CHAPTER 5 LN324-91
CHAPTER V
LIAISON
INTRODUCTION:
The purpose of this chapter is to enable you to plan and carry out
Liaison with Government and civilian Agencies for collection of
information/intelligence required, in compliance with the commanders
requirements, without losing a mutual confidence with the Source.
GENERAL:
A. Before carrying out a Liaison, it has to be determined first which
agency or source will be contacted and the purpose for the contact:
1. Liaison could be carried out with the following sources or
agencies:
a. Government agencies
b. Military units or agencies
c. Civilian agencies and industry
2. The purposes for carrying out the liaison are:
a. To establish a relationship of mutual confidence between the
various government agencies.
b. To develop sources of information for immediate or future
exploitation.
c. To collect and exchange information that might be useful for
future investigation.
d. To obtain assistance in investigations or CI operations.
B. With this in mind, there are two forms or types of Liaison that
can be carried out:
FORMAL LIAISON and INFORMAL LIAISON
1. Formal liaison is carried out to obtain:
a. Specific information for an ongoing investigation.
b. Information related to security violations.
c. Information of threats to the national security.
2. Informal Liaison is carried out to:
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a. Establish a relationship of mutual confidence.
b. Develop Sources.
c. Obtain information related to specific investigations.
d. Obtain information that has not been requested
specifically but is related to one or more incidents or investigations.
e. Maintain friendly relationship among the Sources of
information and the CI agents.
C. Before starting a liaison, you should review the SOP of the unit to
determine the proper Liaison procedure in your area of operations.
D. Upon reviewing the SOP you should determine the requirements and
establish priorities according to the SOP. Some of these areas are:
1. The priority of intelligence requirements are selected by the
Commander, higher authority or by the mission.
2. The requirements are generated by the direction taken by the
investigation.
3. The priorities that have been established based on the
recommendations by the Commander or the urgency of the mission.
E. Once the requirements have been reviewed, you can establish the liaison
contact.
1. There are three basic methods to establish a contact, and these
are:
a. Personal Approach: This is done by the person (Agent)
actually carrying out the liaison with the Source. This individual (Agent)
introduces personally the new Agent to the Source. This method is preferred
because it has the advantage of transferring the credibility and confidence of
the old Agent directly to the new Agent or contact.
b. Introductory letter: In this method the new Agent obtains a
letter of introduction from a person or old Agent that knows the Source. This
letter is presented to the Source during the first contact. The other method
of introduction letter is to send a letter to the Source indicating that you
wish to visit him.
c. Cold Approach. This is the least effective method since it
involved making the initial contact with a strange person. The first visit of
this approach should always be on a social level and must be a short one.
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2. When you have not done any personal contact with the Source, you
must take into consideration the following:
a. The Agent must introduce himself and present his official
credentials identifying him as a Special Agent of Officer of Military
Intelligence.
b. Indicate the purpose of the visit.
c. Based on your personal observation of the Source's reaction,
determine if a casual conversation is appropriate.
d. As the Agent you must be alert all the time to the signals
by the Source that might indicate what kind of approach is better to use with
the Source.
e. The Agent must be cordial, professional and sincere.
f. Must show respect for the position or profession of the
Source.
3. If there has been a previous personal contact with the Source, the
actions of the Agent could be more relaxed (calm) according to the
relationship established by previous contacts.
F. During the liaison, you must establish a Relationship of Mutual
Confidence in order to:
1. Establish cooperation between you and the Source. A great deal of
precaution should be used to develop the Source's willingness to cooperate,
because you do not want to compromise the Source.
2. Have in mind that you can obtain information from previous liaison
reports and other documentation that may assist you in determining the type of
approach that would be best for the Source in particular in order to:
a. Adopt the proper attitude.
b. Be ready to change attitude if it is necessary. As the
Source calms down and starts to cooperate, a more relaxed attitude could be
helpful.
3. One of the techniques that you can use is to deal with subjects of
mutual interest.
EXAMPLE: "If a person is a football fanatic, he would very
receptive to talk about that sport instead of another sport that he does not
know, or does not care to about."
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4. During the liaison contact you must show sincere interest in the
Source's opinions. If the Agent shows that his (Agent's) opinion is better
than the Source's, you might lose the Source's confidence.
5. It is important, also, that you study well the capabilities of the
Source before asking him for information. This might embarrass the Source if a
request is made that he cannot fulfill.
6. You must always be aware of the jealousy existing among the
various Agencies. And remember always that you do not have to compare the
effectiveness of one Agency against the other, this could cause a serious
problem because the Source could also be providing information to other
agencies where you might also have another contact.
7. During the Liaison contact, maintain always your position as a CI
Special Agent and do not fall into discussion of military ranking; this is
very important because you are a direct representative of the government.
8. If you do not have any previous knowledge of the Source, establish
the contact and mutual confidence in the manner already discussed. In this
situation, maintain flexibility and allow the circumstances to dictate on the
approach that can be used with the Source.
G. During the liaison contact there will be instances when information of
mutual interest will be exchanged.
1. Before exchanging such information, first determine if that
information can be divulged. Consider the following points as basis for such
exchange:
a. Whether the information does not violate the SOP
stipulations.
b. Whether it is classified and cannot be divulged among other
agencies, even if they are part of the Government.
NOTE: The exchange of information is important because if you only
obtain information and does not offer certain information in return there is
the possibility of losing the Source's confidence.
2. The Liaison contact can be considered successful when:
a. both parts involved in the Liaison decide or discuss the
exchange of information.
b. both parts can use the information exchanged to their
advantage.
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CHAPTER 6 LN324-91
PREPARATION OF THE LIAISON REPORT
INTRODUCTION:
Upon conclusion of a liaison contact, a report of the liaison has to be
prepare to include all the identification data of the Source; all the
information on previous contact reports; a description of the circumstances of
the contact and operational matters; data of the Source's background; a list
of all the other reports prepared in relation to this contact; all the
information related to the financial and logistic support, remarks (if
applicable) and the signature of the Agent.
GENERAL:
A. First determine whether the liaison report is necessary or
allowed/authorized (Some countries prohibit the documentation of information
by the citizens of the same country).
1. Prepare the liaison report after the contact has been completed.
B. Complete the heading of the report (See Figure No. 1)
1. TOPIC/SUBJECT: Write down the name, position, organization, and
other data that identifies the Source, as requested by the local SOP. If a
code number has been assigned to the Source, use only this number for
identification.
2. REFERENCES:
a. Write the date and control number of the last Liaison Report
prepared in regard to this Source.
b. If there are no previous reports on this Source, make a note
of it in the Report you are preparing.
c. Note down all the documents and material that were
originated by, or related to, the Source.
3. DATE: Note down the date of preparation of the report.
4. NUMBER OF THE REPORT: Write down the number of the report, it
depends on the SOP of the unit. Usually, the CI section keeps a record of all
the sequential numbers used for Liaison Reports.
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Figure #1
(CLASSIFICATION)
LIAISON REPORT
SUBJECT: DATE:
REFERENCES: REPORT NO.:
PROJECT NO.:
----------------------------------------------------------------------
(WRITE A WARNING NOTE IF NECESSARY)
1. ( ) CIRCUMSTANCES OF THE CONTACT:
a. Purpose
b. Date, Hour, Place of contact
c. Persons present
2. ( ) OPERATIONAL MATTERS
3. ( ) INFORMATION OF PERSONALITY
4. ( ) PRODUCTION
5. ( ) FINANCE/LOGISTICS
6. ( ) COMMENTS:
(NAME OF THE AGENT)
(ORGANIZATION/UNIT)
(COUNTRY)
REMARKS BY THE REVIEWER:
(CLASSIFICATION)
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5. NUMBER OF THE PROJECT: In the CI cases, usually, each
investigation or project has a number assigned to it. The unit's SOP assigns
those numbers if applicable.
C. WARNING NOTE: If necessary, include in this section of the Report a note
that will indicate the sensitivity of the investigation or the contact, as
shown in the following example:
"WARNING: SOURCES AND SENSITIVE METHODS INVOLVED"
D. COMPLETE PARAGRAPH 11: "CIRCUMSTANCES OF THE CONTACT" (SEE FIG.#1)
Describe the circumstances of the contact including:
1. Purpose
2. Date, hour: use the expression: "from ... to ... of May 19.."
3. Place where the contact occurred.
4. Persons present: Whether there were other persons present during
the contact, note down their complete physical description and other pertinent
details.
E. COMPLETE PARAGRAPH #2 (OPERATIONAL MATTERS)
1. List in chronological order all the events and subjects discussed
during the contact.
2. Mention briefly any operational information that has not been
included in other reports.
3. Write down all additional information and the identification of
new leads or Sources with as much detail as possible.
F. COMPLETE PARAGRAPH #3 (INFORMATION OF PERSONALITY)
Give information related to the Source as completely as possible. This
will include, but not limited to, the following:
1. Personality or personality traits.
2. Idiosyncracies, peculiarities of the Source.
3. Sense of humor, or lack of it.
4. Type of information that the Source is willing to discuss.
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5. Topics that must be pursued or disregarded.
6. Background information on the Source that has not been reported
before.
NOTE: If a code number has been used to identify a Source in this report do
not give information of personality that might compromise or identify the
Source.
G. COMPLETE PARAGRAPH #4 (PRODUCTION):
List, according to the report's number, all the documents that were
produced as a consequence of the contact with the Source.
H. COMPLETE PARAGRAPH #5 (FINANCES AND LOGISTICS): If applicable, include a
list of:
1. Incentives used
2. Amount of expenses:
a. Official funds
b. Personal funds
I. COMPLETE PARAGRAPH #6 (COMMENTS)
1. Write down comments that the Agent believes are applicable but
cannot be confirmed (personal opinions, intuition, etc.)
EXAMPLE: "During this contact the Source appeared to be very
nervous. In previous contacts the Source never showed to be nervous."
2. Explain the specific purpose of all the expenses paid in cash by
the Agent, disregarding "when", "where" or "why"
J. FILL OUT THE SIGNATURE BLOCK
1. Name of the Agent
2. Official title or position
3. Office to which Agent belongs
4. Country where the Agent's office is located
K. CLASSIFY THE REPORT
L. PREPARE THE REPORT IN TWO COPIES:
1. Sign both copies
2. Forward one copy to the Higher Control Office
3. Keep a copy for your office files.
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CHAPTER 7
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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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:
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(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.
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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
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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.
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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
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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)
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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
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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.
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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:
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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.
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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.
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CHAPTER VIII
INTERROGATION PHASE/TECHNIQUES
INTRODUCTION:
The interrogation phase/techniques for questioning have a very unique
value because they will cover all the interrogatives. The ability to ask
questions is as important as the investigation that is being carried out.
Without a good knowledge of how to address his questions, many times valuable
intelligence information could be lost or answers are given that are contrary
to what the source provided.
GENERAL:
a. Usually, the interrogation phase/questioning techniques starts
when the source starts answering questions pertinent to the specific
objectives of the interrogation/interview.
b. The questions must be sufficiently comprehensive to ensure that
the subject of interest has been completely exploited.
c. All the answers obtained from the Source must established the
basic interrogatives which are:
(1) Who
(2) What
(3) When
(4) Where
(5) Why
(6) How
d. All your questions must be presented in a logical sequence in
order to be sure that the significant topics or objectives have not been
neglected.
e. Frequently a series of questions are used, following a
chronological sequence of events, but it is by no means the only logical
method of making an interrogation.
(one page missing from the original)
(3) Non Pertinent Questions:
(a) Non pertinent questions are those that have nothing to
do the with objectives of the interrogation/interview. When pertinent que non-
pertinent questions are carefully mixed, the Special Agent [SA] could hide
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the real purpose of the investigation and make the Source believe that a
relatively insignificant matter is the basis for the interrogation/interview
by asking pertinent questions in a casual manner. For example:
* Emphasizing questions and details that are not important.
* Dwelling on non-pertinent topics that the Source seems unwilling
to discuss.
(b) One of the techniques for which non-pertinent
questions are used is to make the source relax, and then go back to pertinent
questions in order to obtain the information desired.
(c) Another use for non-pertinent questions is to break
the "train of thought" of the source. This is particularly important if there
is suspicion that the source is lying.
Always have in mind that the Train of Though is an effort by the
Source to concentrate possibly to come up with a lie. The SA could break the
concentration by introducing suddenly a completely unrelated question, and
afterwards returning to the pertinent topic.
(4) Repeated Questions:
(a) The repeated questions are used as a means to ensure
precision, particularly when the SA suspects that the Source is lying.
(b) One of the techniques is to repeat the same question
in another way or disguised.
(c) The repeated questions also are useful to ensure
precision in the details, such as places, names, dates, team components and
similar topics.
(5) Direct or tricky questions:
(a) The way you express the questions have a direct
relationship with the response of the Source. A question can be made in
different ways. Example:
"Where did you go last night?"
"Did you go last night to general headquarters?"
"You did go to general headquarters last night?"
"Didn't you go to general headquarters last night?"
(b) The first example (where did you go last night?) is a
direct and simple question that requires a narrative answer. This type of
question usually produces the maximum amount of information and provides a
great number of leads that can be followed or exploited by the SA.
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(c) The other three examples are tricky questions in that
they are suggesting the answer.
(d) Tricky questions tend to suggest the source the
response that he thinks the SA wants to know, and also limits the number of-
details given in the answer.
(e) As a general rule, the tricky questions are not good
for the purpose of interrogation/interview, but could be used efficiently as a
means of verification, means of strategy, or as a means of pointing out with
precision at specific details.
(6) Combined Questions:
(a) Combined questions are those that contain more than
one question. This type of questions should be avoided because they could be
evaded easily and sometimes are difficult to understand. For example:
"What kind of training did you receive at the basic training
center of the enemy forces, and what kind of training did you receive
afterwards at the advanced training center of the enemy forces?"
(b) As you have noted in the above example, the source may
answer only one, both or none of the questions, and the answer given may be
ambiguous, incomplete or both.
(7) Negative Questions:
(a) Negative questions are those that confuse and give
deceiving or false answers. This type of question could suggest two answers.
For example:
"Don't you know whether Col¢n went to General Headquarters last
night?
(b) If the SA is not aware of the negative question, with
all probability he will extract an answer that the source never wanted to
give.
(8) Precise and Brief Questions:
(a) All questions should be precise, brief and to the
point. There should be no doubt in the mind of the source of what the SA wants
to know. This type of question is identical to the direct question and limit
the level of the Train of Thought of the Source since it should require a
narrative response.
(9) Questions Expressed Simply:
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(a) The SA must use simple questions. Avoid convoluted
words (words whose meaning other persons might not know).
(10) Reinforcement Questions:
(a) The reinforcement questions are those used to impart
emphasis at a certain point of the interrogation/interview. During the
interrogation/interview the SA must remain alert to detect and exploit the
statements by the Source that indicate that he has valuable intelligence
information, besides the one which is pursued in the present
interrogation/interview.
3. Information from Rumors:
(1) Rumors can provide valuable information. However, rumor must
be classified as rumors.
4. Conclusions:
(1) The last step of the interrogation/interview is to obtain
any additional conclusions, statements, remarks or evaluations of a specially
qualified source.
(2) When the SA receives such information, he must also obtain
the facts on which the source based his conclusions and/or evaluations.
5. Interrogation/questioning techniques Phase
a. The interrogation/questioning techniques phase is what
"truly makes a Special Agent" since it would be worthless to have an excellent
"planning and preparation" and a wonderful "approach plan" if the
"Interrogation/Questioning Techniques Phase" is not exploited to the maximum
advantage in order to obtain the greatest intelligence information possible.
b. Types of Interrogations/Interviews:
The SA usually follows two general rules (the direct or indirect
interrogatory/interview). The essential difference between the two lies on
whether the source knows or does not know that he is being
interrogated/interviewed.
c. The Direct Interrogation/Interview:
When we use the direct interrogation/interview, the source is
conscious of being interrogated/interviewed, but knows or does not know the
real objective of the interrogation/interview.
d. Advantages of the Direct Method:
(1) Consumes less time.
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(2) Easier to carry out (nothing to hide)
(3) Allows the SA to make continuous verifications of the
information that he is receiving from the source.
e. Disadvantages
(1) The source does not want to be a stool pigeon.
(2) He is afraid for his life (or his comrades')
(3) Thinks that he can obtain something in exchange for
the information offered (his own benefit).
f. Indirect Interrogatory/Interview:
This form of interrogation/interview is characterized by getting
information through deceit and trickery without the source knowing that he is
being interrogated.
g. Advantages:
(1) The information extracted is almost always true (no
reason to lie.)
(2) It is useful for extracting information (even) from
the most difficult sources.
(3) It serves for exploiting a big human weakness (the
desire to talk).
h. Disadvantages
(1) A great deal of skill is needed.
(2) It consumes too much time and personnel.
(3) We do not know really whether the source really wants
to cooperate/confess everything.
5. Use of techniques:
a. Have in mind that both types of interrogation/interview can
be used at the tactical as well as strategic level.
b. Determining factors for the direct interrogation/interview:
(1) Very limited time (TACTICAL LEVEL)
(2) To use for immediate operation
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(3) SA does not have much training
c. Determining factors for indirect interrogation/interview:
(1) Said operation/mission does not have immediate
tactical importance.
(2) The goal to be attained is at strategic level.
Example: To know the enemy capabilities to sustain
hostilities for long periods of time.
6. Selection of the Source:
a) The criteria for the selection of personnel to be
interrogated/interviewed could vary for innumerable reasons:
1) Time limitations
2) SA availability
3) Skills of the Ae (who in general serve as selecting
officers).
4) Quality and quantity of information that the sources
could have.
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CHAPTER 9 LN324-91
INVESTIGATION OF PERSONNEL SECURITY INTERVIEWS
INTRODUCTION:
The interviews of personnel security enables us to obtain truthful
information to help us in our determination to offer a person access to
classified information that might affect national security. These interviews
are done normally with a person that has known the SUBJECT being investigated.
GENERAL:
l. Before beginning the interview we have to do good planning and
preparation for the interview. The following steps must be taken if at all
possible:
a. Identify the individual that will be interviewed.
NOTE: FOR THIS KIND OF INTERVIEW, A PRELIMINARY DATA SHEET WILL GIVE
US THE
CHARACTER THAT WILL BE GIVEN TO THE INTERVIEW.
b. Prepare the questions that will be made.
1) Develop questions que will extract information
regarding the following matters related to the SUBJECT:
a) His loyalty
b) His character
c) His reliability
d) If he is or is not adequate to fill a position
of confidence.
c. Prepare questions that will allow the source to answer in an
open and spontaneous manner (narrative form).
d. Avoid questions that only require "YES" or "NO" as an
answer. Examples: Is your name Miguel?
e. Prepare your questions using the basic interrogations
(always have in mind the basic interrogations during the interview):
1) How
2) When
3) Who
4) What
5) Where
6) Why
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f. Obtain the required forms, such as Sworn Statement, signed.
2. Once planning and preparation have been completed CONTACT THE
INDIVIDUAL TO BE INTERVIEWED.
a. Try to make contact and carry out the interview during
working hours at the individuals work place (or where appropriate depending on
the situation, if necessary make an appointment with the Source).
3. Once the meeting has been arranged and you meet the Source, carry
out the interview.
a. Identify yourself and show your official credential (always
remember that you are the representative of a national government and that you
are a Special Agent).
b. Ensure/certify that the Source himself knows the SUBJECT (if
necessary ask him for an identification card).
c. Inform the Source of the purpose of the interview (Example:
the purpose of this meeting is to obtain information onwho is considered
for a confidence and responsibility position with the national
government.......)
d. Obtain positive identification from the Source.
e. Try to gain and keep the confidence of the Source in such a
way that he will feel at ease with you.
f. Make the arrangements for the interview to take place in a
quiet place and free of distractions.
NOTE: IF YOU HAVE A RECORDER AVAILABLE AND THE SOURCE DOES NOT
OBJECT, EXPLAIN
TO ;HIM THAT YOU WANT TO USE TO PREPARE YOUR REPORT OF THE
INTERVIEW IN THE
MOST ADEQUATE WAY.
g. Obtain and make notes of the information of the
identification of the Source, including:
1) Name and rank
2) Position
3) The complete designation of the unit and its location
or place of work and position.
h. Inform the source that the interview is considered official
business and warn him that he cannot discuss its content with strange persons
to Military Intelligence.
i. Ask questions to obtain information from the Source
regarding:
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1) Day, time, place and circumstances when he met the
SUBJECT.
2) Day, time, place and circumstances when he last saw or
communicated with the SUBJECT:
3) Frequency of contact between him and the SUBJECT:
1) professional contact
2) social contact
4) Any length of time over 30 days when he did not have
contact with the SUBJECT:
5) Number of times and frequency of contact since he saw
the SUBJECT last and method of communication.
j. Ask the Source questions to determine his knowledge of the
following regarding the SUBJECT:
1) Date of birth
2) Place of birth
3) Use of nicknames
4) Military units to which he belonged (if applicable).
5) Residences
6) Education (where did he study and to what level).
7) Civilian employment
8) Family
9) Hobbies/interests
10) Partners/business associates
k. Questions asked to obtain the Source's opinion regarding:
1) The honesty of the SUBJECT
2) The confidence on the SUBJECT.
3) Can de SUBJECT be depended on?
4) Maturity of the SUBJECT
5) Morality of the SUBJECT
6) Mental and emotional stability of the SUBJECT.
l. as the Source if he has knowledge of any problem that the
SUBJECT might have had with police authorities.
m. Ask the Source if he has knowledge of:
1) whether the SUBJECT uses or has used illegal drugs
2) whether the SUBJECT abuses prescription drugs
3) whether the SUBJECT has the habit of gambling.
4) The financial stability of the SUBJECT.
5) Use or abuse of alcoholic beverages
6) If he is member, goes to meetings or support any
organization that intents to overthrow the national government.
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7) If he is a member, or support any organization that
tries to deny civil rights to a person or group of persons.
8) What is the professional reputation of the SUBJECT.
9) Whether the SUBJECT has made previous trips or long
trips abroad.
10) Social reputation
11) Relatives living abroad
12) Business contacts in foreign countries.
n. Ask the Source if the SUBJECT is loyal to the government.
o. As the Source if he would recommend the SUBJECT for any
position of confidence and responsibility with the national government.
p. THE SOURCE SHOULD BE ASKED TO PREPARE A SIGNED, SWORN
STATEMENT; .sworn statements are required when:
1) The source does not recommend the SUBJECT for a
confidence position.
2) The source gives negative or derogatory information on
the SUBJECT.
3) The information given by the Source does not conform
with the negative information previously received.
q. Obtain leads (additional contacts). Determine whether the
Source knows other persons that know the SUBJECT and his activities.
r. Determine whether the Source wishes his name to arise as
provider of this information in case the SUBJECT requests it.
s. End the interview.
1) The Source has to be reminded that none of the
contents of the Interview should be commented with anybody else.
2) Thank the Source for his cooperation and bid good-by.
4. Prepare the required reports.
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CHAPTER 10
HOW TO OBTAIN A SWORN DECLARATION
INTRODUCTION:
During its functions as a Counter Intelligence Special Agent you must
get a sworn declaration from the persons whom you have interviewed. These
sworn declarations will help you determine the truth of the persons
interviewed as well as recognizing if the information that they have given has
any connection with your investigations.
DEVELOPMENT:
A. Definition of a Sworn Declaration:
A Sworn Declaration is a written statement about facts, given
voluntarily by a competent person who is a witness, who states under oath that
the content of the statement is true.
B. The Sworn Declarations must be obtained from the following
categories of interviews:
1. Witnesses with direct or personal knowledge of the incident.
2. Sources who provide credible unfavorable information. Credible
unfavorable information is defined as: Information related to loyalty and
attitude of a person, who appears to be honest, and so who could make a
probable base to take adverse action.
e. The sources who refuse credible unfavorable information.
Information that has been refused its defined as: That information that was
refused (without validity).
4. SUBJECTS of an interview.
5. Suspicious persons who are citizens of the country.
6. Persons who have been accused and that are not citizens of the
country.
C. You may obtain this information during the interviews using the
interrogation basic techniques in an efficient way.
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5. The next four blocks will note the complete information about a
person who is making a sworn declaration. The following information is
included in block E.
a. Complete name of the person
b. Personal identity number
c. Grade or civil rank
d. Military unit or civil residence
F. You must aid the interviewee to write a declaration using one of
the following methods:
1. Narrative method
a. The narrative method allows the interviewee making a declaration
to write the information in his own words. This method is normally used when
preparing the declarations of Sources, Witnesses, or Unscheduled persons.
b. The Sworn Declarations made by a source must have a summary
declaration explaining the social degree or professional association between
the source and the subject. This must have the facts and circumstances of the
facts that support or contradict the unfavorable credible information and
answer all the basic interrogations.
2. Question and Answer Method
a. When you are preparing a sworn declaration for a subject, accused
or suspicious person use the question and answer method so as to ensure the
verbal file in the interview. The question and answer method has both
questions that you make and answers from the interviewee. This method allows
you to limit to just the information contained in the declaration that is
pertinent.
b. The sworn declarations made by a subject, source or accused
persons must contain, in addition to the facts and circumstance the following
information:
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1. An explanation of the purpose of the interview.
2. A declaration of recognition of the provisions of privacy
according with the national government and these provisions must be explained.
3. A declaration of recognition that the SUBJECT was advised of his
constitutional rights and that he denied these rights in writing noted in the
certified text of the SWORN DECLARATION/LEGAL RIGHTS/USE OF A LAWYER.
4. A petition to have an interview under oath and the answer.
5. A complete personal identification of the interviewee.
6. A final question to find out if the interviewee wishes to add or
change the declaration.
3. A combination of the two methods mentioned above normally provides
the best result. The person interviewed is allowed to express himself and
afterwards you may use the method of questions and answers to obtain specific
information that has been omitted previously. This method also allows you to
clarify the areas where the interviewee has not been clear in the declaration.
G. All sworn declarations will be written in first person. The
vocabulary and the grammar of the interviewee must be used during the entire
process, including vulgarities if they are pertinent or provided as part of
the actual interviewee's appointment. Expressions written in parenthesis,
abbreviations, facts in military style and investigative jargon or the use of
capital letters only used by the counter intelligence agents must not be used.
H. Use additional pages to complete the body of the declaration. The
additional pages are used when the sworn declaration does not fit in the
second page of the document.
I. When typing the sworn declaration, write the declaration as close
as possible to the margins of the document, or write a line towards the margin
when the declaration or sentence does not reach the margin.
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J. At the end of the sentence of the sworn declaration, include the
phrase, "Declaration Finished".
K. In a sworn declaration that has been typewritten, have the
interviewee put his initials at the beginning of the first sentence and in the
last sentence of each page, as well as putting his initials on the side of any
correction or errors. The sworn declarations made in handwriting do not need
the initials unless there are corrections. Corrections made to the sworn
declarations must be done in ink and ball point pen preferably in black ink,
but keep in mind that the interviewee must put his initials next to the
corrections.
L. Complete the section under the page including the number of the
page and the total of pages (page from page) and then you must make the person
making the declaration put his initials in the upper part of each page in
block F.
M. Complete the section of the declaration writing down the name of
the interviewee in blank sections in block H.
N. Make the interviewee read the sworn declaration and make sure that
he understands it.
0. Make the interviewee repeat the oral oath. If the interviewee does
not wish to take the oath, you must not try to persuade him to change his
mind. But, you must explain that a declaration that is not under oath could be
used as evidence as well as you must explain that the meaning of the oath, and
the penalties for submitting a false declaration.
P. Make the interviewee to sign the sworn declaration. If the
interviewee took the oral oath but does not wish to sign the sworn
declaration, do not try to change his mind. Explain to him that the oral oath
and not his signature is what makes this document a sworn declaration and that
such document will be sent to the appropriate destination. Allow him the
opportunity of making any changes to his first declaration. But, never destroy
the original declaration.
Q. Write down the place and the date where the oral oath was obtained
in block J.
R. Sign the document in block K, and typewrite the complete name of
the counter intelligence agent in block L.
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S. Write down the authority that the counter intelligence agent has
in block M.
T. Make the witness (if it applies) sign the sworn declaration. The
witness signs the sworn declaration affirming that the interviewee understands
the content of the sworn declaration and that the interviewee signed such
declaration in your presence. THE WITNESS DOES NOT HAVE TO BE PRESENT DURING
THE INTERVIEW, ONLY ONE WITNESS IS REQUIRED DURING A SWORN
DECLARATION, UNLESS
THE INTERVIEWEE WISHES A WITNESS TO BE PRESENT DURING THE INTERVIEW.
U. If the interviewee wishes a copy of the sworn declaration provide
him with a copy under the conditions that the sworn declaration is not
classified.
NOTE: If the sworn declaration is classified make sure that it is classified
according to the SOP.
V. Complete the appropriate reports, write down and add all the
details.
NOTE: When a sworn declaration is taken from a person that does not speak the
national language, copies of the declaration must be prepared in the language
spoken by the person. If necessary, use an interpreter for this purpose. Both
declarations must have a statement indicating that the content of the
declaration is complete and without errors. The person who transfers the
document must sign the declaration and indicate that he is competent. The
counter intelligence agent must supply the oath to the interpreter before the
interpreter signs the declaration.
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CHAPTER 11 UNSCHEDULED INTERVIEWS
INTRODUCTION:
Frequently you will find an interview in which the person comes to the
counter intelligence office to give information. This interview is not
prepared beforehand, but it must be professional at the moment it takes place.
GENERAL FACTS:
1. Once the person comes into the office you must:
a. Be courteous and professional.
b. Show your official badge (credentials).
c. Obtain any personal identification.
NOTE: GAIN THE PERSON'S CONFIDENCE AND BE NICE AND ALERT. THE EFFORT
TO WIN
THE PERSON'S CONFIDENCE MUST COME FROM THE MOMENT THE PERSON
ENTERS AND
CONTINUE THROUGH THE INTERVIEW.
d. Determine the purpose of the source's visit.
1. Definition of an unscheduled interview
An unscheduled interview is that in which the person comes voluntarily
to the Counter Intelligence office and offers information that he thinks has
value to the military intelligence. Frequently the person has some personal
interest (money) in giving this information to the Counter Intelligence.
2. Some persons that fall within this category (unscheduled
interviews) are:
a. Native persons (residents of the same area where the incident
occurred).
b. Deserters
c. Refugees or displaced persons
d. Tourists and other persons visiting the area.
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e. Participants in international conferences.
f. Enemy agents under low rank, or importance.
g. Persons who are only a nuisance to military intelligence. That is
those who give constant information that is useless to the CI.
2. Once the person has come to your office start a Review of Files
(the review is done normally when a person is busy and this review is done
normally by his assistant):
a. Determine if the name of the person appears in the list of persons
that are only nuisances to the CI.
b. Determine if the National Police, Military or Treasury has a file
about this person.
3. If the review of the files indicate that the person is a nuisance
to military intelligence:
a. Thank the person for his information.
b. Close the interview and walk out the person, be polite when doing
it.
4. If the review of files does not indicate anything negative
regarding the person, continue with the interview.
5. Once the assistant gives you the results of the review of files
you may carry on with the interview:
a. Ask the person permission to use a tape recorder during the
interview. Explain to the person that this will help you prepare the report
for this interview, and obtain all the information that he brings without
making mistakes.
b. Turn on the tape recorder only if the person allows you to.
c. Take the oath of truth from the person (Example: You pledge or
swear to tell the truth, the whole truth and nothing but the truth). The oath
of truth must be taken standing up (if applicable) and with the right hand
raised (if applicable).
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d. Ask the person to tell you the whole incident, or whatever
information he has.
1. Encourage the person to give you information in his own words.
2. Listen carefully and take mental notes of the areas of interest
from the information given by the person.
3. Don't take written notes while the person is telling you the
incident.
4. Don't interrupt the person.
NOTE: IF THE PERSON GOES OFF THE SUBJECT, TACTFULLY LEAD HIM TO THE
MAIN
THEME.
e. Go over the story the person has given you:
1. Assure the person that the information he brought will be kept in
strict confidentiality.
2. Go over the story the person has given you covering all the points
of emphasis and to clarify all discrepancies or contradictions.
3. Write down all leads that come up.
f. Obtain information from person's history to help in the evaluation
of the information. This information of history must include:
1. Identity (complete name, rank, and personal identity number.)
2. Date and place of birth
3. Citizenship
4. Present and past addresses
5. Occupation
6. What motivation he had to come to report the information
g. Develop the secondary information: Frequently the story and
history of the Source indicate that it is possible that he would have
additional information of interest to military intelligence.
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NOTE: IF DURING THE INTERVIEW, THE SOURCE OF INFORMATION IS NOT
WITHIN
JURISDICTION OF THE MILITARY INTELLIGENCE, PUT THE SOURCE IN CONTACT
WITH THE
AGENCIES OF GOVERNMENT THAT COULD BE INTERESTED IN SUCH
INFORMATION. IF THE
SOURCE DOES NOT WISH TO TALK TO ANYONE ELSE, MAKE NOTE OF THE
INFORMATION AND
PASS IT ON TO THE INTERESTED AGENCY.
h. Obtain a sworn declaration, signed by the source.
i. Explain to the person the official nature of the interview and
caution him not to talk with anyone about what happened during the interview.
6. Close the interview:
a. Advise the Source that it is possible that he may me interviewed
again. Determine if he is willing to participate in another interview.
b. Make arrangements for the new contact.
c. Close the interview in a nice manner.
d. Walk with the Source to exit the office.
7. Prepare the reports/necessary reports.
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CHAPTER 12 WITNESS INTERVIEW
INTRODUCTION:
Interviewing the witnesses of an incident offers the CI agent the
opportunity of verifying information that is provided by another source. It
helps us clarify doubts that we may have about the truth of the information
collected.
GENERAL FACTS:
1. DETERMINE THE NEED TO HAVE A WITNESS INTERVIEW:
a. You must answer the incidents/activities and interview all the
existing witnesses, who were in the area where the incident occurred.
b. You must answer the tasks that are presented by the preliminary
sheet.
2. You must determine if the witness had personal knowledge of the
incident.
3. Plan to carry out the interview in a quiet place, free of
interruptions.
4. Identify yourself to the witness and show the Official badge.
5. Identify the witness examining his badge and any other identity
card that he may have.
6. Try to win his trust and make him feel secure.
7. ASK PERMISSION FROM THE WITNESS TO USE A TAPE RECORDER DURING
THE
INTERVIEW. EXPLAIN THAT THE TAPE RECORDER WILL HELP YOU TO COMPLETE
THE
REPORTS MORE ADEQUATELY.
8. Turn on the tape recorder if the witness allows you.
9. Ask the witness to tell you his story.
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a. Take general (mental) notes about the information brought by the
witness.
b. Take detailed notes of the unclear or doubtful areas to develop
them later in more fully.
10. GO OVER THE STORY WITH THE WITNESS:
a. Discuss the story with the source in detail, covering all
outstanding points.
b. Ask questions in detail (use the basic interrogations) about
specific areas that you noted while the witness told the story.
c. Clarify any doubtful area
d. Take detailed notes.
e. Use drawings, sketches, charts as supplements if these may help to
clarify any information, or to interpret the incident as it happened.
11. OBTAIN ADDITIONAL LEADS:
a. Determine if the witness knows any other person that might have
knowledge of the same incident. Obtain names, addresses, if possible,
telephone number of these persons.
b. Determine if the witness know any other person or persons that
were present in the area of the incident and get a complete description of
these persons.
12. OBTAIN A SWORN DECLARATION, SIGNED BY THE WITNESS.
13. ASSURE THE WITNESS THAT THE INFORMATION THAT HE HAS BROUGHT
WILL
BE KEPT IN STRICT CONFIDENTIALITY AND THAT HE WILL NOT DISCUSS IT WITH
ANYONE
ELSE.
14. MAKE ARRANGEMENTS FOR ANOTHER CONTACT OR INTERVIEW IN THE
FUTURE
WITH THE WITNESS.
a. Advise the witness that you may need to contact him again.
b. Obtain address and telephone number of the witness and determine
where you may be in contact with him if you cannot find him at home.
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c. Determine if there is any hour in which the witness may not be
available for an interview.
15. CLOSE THE INTERVIEW:
a. Explain to the witness that the interview that was just over is
considered as an official matter of the government and that he must not
discuss it with anyone.
b. Bid the witness goodbye.
16. MAKE THE Review OF FILES.
17. WRITE THE NECESSARY REPORTS.
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CHAPTER 13 LN324-91
PERSONAL INTERVIEW WITH THE SUBJECT
INTRODUCTION:
An interview of the SUBJECT takes place after having completed an
history investigation. The office of personal security provides us a
preliminary sheet (see example #1), which indicates the purpose of the
interview, the type of interview or investigation that is taking place, leads
we must follow or develop, history information of the SUBJECT (person to be
interviewed), and other special instructions.
GENERAL FACTS:
A. The first thing we must do upon receiving the preliminary sheet is
to read it and study it carefully.
The following is the order in which we must carry out the preparation
and how to conduct the interview of the SUBJECT:
1. Determine if the information in the preliminary sheet is a valid
requirement. To do that, we must:
a. Verify if the preliminary sheet has a pardon date.
b. Look up in the sheet, the identification of the unit that sent the
same, the name of the person who signed it and if such person is authorized.
2. Identify the requirements of the interview:
a. Determine what type of interview will take place.
[page missing in original document]
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e. Use or abuse of drugs.
f. Abnormal sexual contact.
g. Criminal behavior.
h. Hostage situation.
i. Security matters.
c. Subject interview, in complaint style:
1. This type of interview allows the person to deny, tone down or
explain any accusation or allegation against him.
2. These interviews take place to respond to the requirements of the
preliminary sheet.
3. These interviews are required when information is obtained that
the SUBJECT participates in, or is in a position which he is exposed to
blackmail or coercion to participate in:
a. Sabotage
b. Espionage
c. Treason
d. Insurrection
e. Subversive activities
3. Review the personal file of the SUBJECT to identify areas or
affairs that will develop during the interview.
4. Develop questions that will be used during the interview:
a. EIA/ES [missing translation): For these interviews use the
subject's HP [missing translation] and obtain the areas (affairs) to be
develop during the interview.
b. Interviews about specific affairs/and complaints: Use the
preliminary sheet and the subject's file to develop the questions that could
fulfill the requirements.
c. Use the basic interrogative words: who, what, when, why, where,
and how. Make sure that all areas of interest are exploited.
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5. Make arrangements for the interview:
a. Call the SUBJECT to arrange a date.
b. Try to find someone that could act as witness during the
interview, if necessary.
6. Select and prepare the interview place:
a. Select a room that provides privacy and eliminates distractions
during the interview.
b. Select a room that allows the interviewer to control the physical
environment.
c. Select a room where you could keep a nice temperature during the
interview.
d. Arrange the furniture in the room. The furniture must be just a
small table, and three chairs.
e. Select a room that does not have a telephone and if it does, lift
the receiver
f. Install and test recording equipment.
7. Greet and Identify the SUBJECT:
a. Greet the SUBJECT in a professional manner and try to win his
trust.
b. Identify the SUBJECT orally and take him to the interview room.
8. During the interview:
a. Verify the SUBJECT'S identity examining his identification card.
b. Identify yourself and your position as representative of military
intelligence.
c. If the SUBJECT is of the opposite sex, determine if he/she wishes
to have a witness of the same sex present during the interview.
NOTE: IF THE SUBJECT IS OF THE OPPOSITE SEX YOU MAY ADVISE THAT A
WITNESS OF THE SAME SEX MAY BE PRESENT DURING THE INTERVIEW.
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d. If the SUBJECT is of the opposite sex and wishes to have a witness
of the same sex present during the interview we must do the following:
1. Call the witness
2. Introduce the witness and the SUBJECT and explain the
responsibility of the witness to the SUBJECT.
e. If the subject does not wish a witness, write this in your Agent's
Report.
NOTE: EVEN THOUGH IT IS NOT REALLY A REQUIREMENT TO HAVE A WITNESS OF THE
SAME SEX PRESENT DURING THE INTERVIEW, IT IS ADVISABLE TO USE ONE, SINCE WE
PROTECT OURSELVES FROM BEING ACCUSED BY THE SUBJECT OF USING ABUSE, COERCION
AND THREATS.
f. Inform the SUBJECT of the purpose of the interview.
g. Ask the SUBJECT if he will allow to use a tape recorder during the
interview. Explain that the tape recorder will help you in preparing the final
report.
h. Turn on the tape recorder only if the SUBJECT has given permission
to use it.
i. Advise the SUBJECT of the civil rights that he has: (See example
#2)
1. Advise the SUBJECT of his civil rights when:
a. A specific matter of complaint is the subject of the interview.
b. At any time during the interview, the SUBJECT says incriminating
things.
2. Make sure that the SUBJECT understands all his rights.
NOTE: IF THE SUBJECT DOES NOT UNDERSTAND HIS RIGHTS, DETERMINE WHAT HE DOES
NOT UNDERSTAND AND CLARIFY HIS DOUBTS.
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NOTE: YOU MUST NOT INTERVIEW THE SUBJECT UNDER ANY CIRCUMSTANCE IF HE DOES
NOT UNDERSTAND HIS RIGHTS.
3. Ask the SUBJECT if he does not wish to contact a lawyer.
a. If the SUBJECT wishes to talk with a lawyer, do not continue the
interview until he has the opportunity to talk with his lawyer.
b. If the SUBJECT does not have a lawyer, obtain a sworn declaration
from the SUBJECT indicating that he wishes to continue the interview.
NOTE: IF THE SUBJECT DECLARES THAT HE DOES NOT WISH TO HAVE A LAWYER BUT THAT
HE DOES NOT WANT TO SIGN A SWORN DECLARATION, CONTINUE WITH THE INTERVIEW AND
INDICATE THIS IN THE AGENTS REPORT.
c. After establishing if the SUBJECT wishes or not to have a lawyer,
before starting to question, give the SUBJECT the oath to truth. If the
SUBJECT refuses to swear ask him if he is willing to continue with the
questions.
4. Inform the SUBJECT of the following privacy rights in regards with
the interview:
a. The authority you have to carry out the investigation and obtain
the information desired.
b. The main purpose of the obtaining such information.
c. How you will use that information.
d. Why it is obligatory or voluntary to give that information.
5. Have the SUBJECT sign a sworn declaration or document that
indicates his understanding of these privacy rights in regards with the
interview and the search for information.
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j. Ask the SUBJECT about information concerning history information.
k. Ask the SUBJECT about the matters under investigation:
a. Use the questions developed during the preparatory phase.
b. Use the control questions, non-pertinent, repeated and follow-up
questions.
c. Examine carefully all the new areas presented by the SUBJECT.
d. Follow a logical sequence of questions to avoid overlooking
significant themes.
1. Concentrate in recognizing and interpreting the non-verbal
communication of the subject.
a. Listen to how the SUBJECT talks. Audio leads include changes in
tone, speed of the voice.
b. Be alert of visual leads, such as facial expressions, body
position, hand, legs and head movement.
c. Interpret the subject's non-verbal leads with the verbal leads to
obtain a clear idea of the real message.
NOTE: EXPLOIT ALL THE DISCREPANCIES IN THE SUBJECT'S ANSWERS UNTIL EVERYTHING
IS CLEARED UP.
d. Use your own non-verbal communications to gain and keep the
control during the entire interview.
m. Review the entire matter and affairs discussed up to that point
during various intervals of an interview.
1. Identify the areas of interest that have not been discussed.
2. Identify and bring up the inconsistencies and discrepancies in his
answering to the SUBJECT .
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n. Obtain a sworn declaration:
Make the SUBJECT sign a sworn declaration with all the information he
brought during the interview.
o. Close the interview. The interview could end by any of the
following reasons:
1. The SUBJECT is sick and requires medical attention.
2. You need more interviews to cover all the areas of interest.
3. The SUBJECT refuses to cooperate with you.
4. All the requirements have been met and the SUBJECT has answered
all the questions.
5. You lost the initiative and decide to postpone the interview.
p. Use the closing phase to obtain facts that perhaps were not able
to discuss during the interview. The SUBJECT perhaps will calm down more when
you end the questioning and turn of f the tape recorder or put your notebook
away. It is possible that he could bring additional information if he believes
that you are not going to record or write down.
8. Say goodbye to the SUBJECT.
9. Prepare the reports/corresponding reports necessary.
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EXAMPLE #1
PRELIMINARY SHEET FOR SUBJECT INTERVIEW
__________________________________________________________________________
PRELIMINARY SHEET DATE/START OF THE INVESTIGATION
__________________________________________________________________________
1. Subject 2. Date
Name:
Rank, personal identity number:3. Control number
__________________________________________________________________________
4. Type and purpose of investigation:
5. Leads to be verified:
6. PAST HISTORY INFORMATION:
7. SPECIAL INSTRUCTIONS:
________________________________________________________7. Agency
requesting investigation|Agency preparing investigation
__________________________________________________________________________
OFFICE OFFICE
__________________________________________________________________________
ADDRESS ADDRESS
__________________________________________________________________________
SIGNATURE (AUTHORIZATION) SIGNATURE (AUTHORIZATION)
__________________________________________________________________________
NAME OF AUTHORIZED PERSON NAME OF AUTHORIZED PERSON
__________________________________________________________________________
ADDITIONAL DOCUMENTS ENCLOSEDADDITIONAL DOCUMENTS ENCLOSED
__________________________________________________________________________
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EXAMPLE # 1 CONTINUED
PRELIMINARY SHEET FOR SUBJECT INTERVIEW
____________________________________________________________PRELIMINARY
SHEET DATE/START OF INVESTIGATION
____________________________________________________________
1. SUBJECT 2. DATE: May 15, 1988
QUINTANILLA, Roberto A.
CPT, PPP-00-000 3. CONTROL NUMBER
Chalatenango, 10 Dec. 54
____________________________________________________________
4. TYPE AND PURPOSE OF INVESTIGATION:
INVESTIGATION TO DETERMINE IF THE PERSON IS STILL SUITABLE TO HAVE
ACCESS TO CLASSIFIED INFORMATION. The SUBJECT at present is assigned to the
4th Infantry Brigade and has access to classified information up to the level
SECRET.
5. LEADS TO BE VERIFIED:
Interview Mr. Quintanilla to give him the opportunity to deny, mitigate,
or explain the negative information that was obtained during the present
investigation.
6. INFORMATION ABOUT PAST HISTORY:
(See the SUBJECT'S personal history)
7. SPECIAL INSTRUCTIONS:
a. Determine the circumstances of subject's arrest by the National
Police on 9 April 1980, for driving a vehicle while intoxicated.
b. Determine the financial stability of the SUBJECT.
c. Determine how much he participates in extramarital relationships.
d. Determine if the SUBJECT has used, owned, or traffic illegal drugs
including marihuana and hashish.
e. Determine his present and past use of alcoholic beverages.
f. Determine the SUBJECT'S mental and emotional stability.
g. Inform the SUBJECT of his legal rights.
h. Carry out the interview under the SUBJECT'S oath.
i. Send a copy of the interview report to our offices not later than
30 May 1988.
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_______________________________________________________7.Agency
requesting investigation|Agency preparing investigation
______________________________________________________________________
OFFICE OFFICE
_______________________________________________________
ADDRESS ADDRESS
_______________________________________________________
SIGNATURE (AUTHORIZATION) SIGNATURE (AUTHORIZATION)
_______________________________________________________
NAME OF AUTHORIZED PERSON NAME OF AUTHORIZED PERSON
_______________________________________________________
ADDITIONAL DOCUMENTS ENCLOSEDADDITIONAL DOCUMENTS ENCLOSED
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EXAMPLE #2
HOW TO INFORM THE SUBJECT OF HIS LEGAL RIGHTS
NOTE:THE LEGAL RIGHTS OF A SUBJECT ARE INFORMED IN THE FOLLOWING
MANNER:
1. "BEFORE STARTING TO MAKE QUESTION, YOU MUST UNDERSTAND HIS LEGAL
RIGHTS".
a. "You are not under obligation to answer my questions or anything
else".
b. "Anything you say or do could be used against you in a court or
criminal court of law".
c. "You have the right to talk privately with a lawyer before, during
and after an interview. You also have the right to have a lawyer present
during the interview. Although you will have to make your own arrangements to
obtain a lawyer, and this will not be at any cost to the national government.
d. "If you decide to discuss the charges under investigation, with or
without a lawyer present, you have the right to finish the interview at any
time, or to take privately with your lawyer before continuing to answer,
unless you sign a sworn statement testifying that you do not wish a lawyer".
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EXAMPLE #3
SWORN STATEMENT/LEGAL RIGHTS/USE OF LAWYER
_____________________________________________________________PLACE OF
INTERVIEW DATE TIME FILE NO.
_____________________________________________________________
NAME UNIT OR ADDRESS
_____________________________________________________________
IDENTITY NUMBER RANK
_____________________________________________________________
THE INVESTIGATOR WHOSE NAME APPEARS IN THIS DECLARATION INFORMED ME THAT
HE WORKS IN MILITARY INTELLIGENCE OF THE ARMED FORCES OF EL SALVADOR AND
WANTED TO QUESTION ME ABOUT THE FOLLOWING ACCUSATIONS/OFFENSES TO WHICH I AM
ACCUSED OR SUSPECT:__________________________________________________
BEFORE STARTING TO QUESTION ME ABOUT THE OFFENSES, HE INFORMED ME THAT I HAVE
THE FOLLOWING LEGAL RIGHTS:
1. I DO NOT HAVE TO ANSWER OR SAY ANYTHING
2. EVERYTHING I SAY COULD BE USED AGAINST ME IN A COURT OF LAW.
3. I HAVE THE RIGHT TO SPEAK PRIVATELY TO A LAWYER BEFORE, DURING AND AFTER
THE INTERVIEW AND TO HAVE A LAWYER PRESENT DURING THE INTERVIEW. NEVERTHELESS
I UNDERSTAND THAT IF I DESIRE A LAWYER PRESENT I HAVE TO PROCURE HIM AND PAY
HIM ON MY OWN. THE GOVERNMENT WILL NOT PAY THE EXPENSES.
4. IF I AM NOW WILLING TO ANSWER QUESTIONS UNDER INVESTIGATION, WITH OR
WITHOUT A LAWYER PRESENT, I HAVE THE RIGHT TO REFUSE TO ANSWER QUESTIONS OR TO
SPEAK PRIVATELY WITH A LAWYER, EVEN WHEN I HAVE DECIDED NOT TO USE A LAWYER
COMMENTS:
_______________________________________________________________________
I UNDERSTAND MY RIGHTS MENTIONED ABOVE. I AM WILLING TO DISCUSS THE OFFENSES
UNDER INVESTIGATION AND TO MAKE A DECLARATION WITHOUT SPEAKING TO A LAWYER
BEFORE AND WITHOUT THE PRESENCE OF A LAWYER DURING THE INTERVIEW.
___________________
WITNESSES SIGNATURE OF INTERVIEWEE (SUBJECT)
1. NAME: ___________________________________
2. UNIT: SIGNATURE OF AGENT (INTERVIEWER)
1. NAME: ___________________________________
2. UNIT: SIGNATURE OF INVESTIGATOR
___________________________________
INVESTIGATOR'S UNIT
___________________________________________________________________
I DO NOT WISH TO RELINQUISH MY LEGAL RIGHTS:
_______ WISH TO HAVE _______DO NOT WITH TO BE INTERVIEWED
A LAWYER. NOR TO ANSWER ANYTHING.
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CHAPTER 14 LN324-91
INTRODUCTION TO SUBVERSION AND ESPIONAGE AGAINST
THE ARMED FORCES (SEAAF)
INTRODUCTION:
The knowledge about subversion and espionage against the Armed Forces
(SEAAF) has a very important role for counter intelligence agents. The counter
intelligence agent must recognize the weaknesses generally sought by a hostile
agent and use these weaknesses to get valuable information about the Armed
Forces. When the espionage agent of the counter intelligence does not identify
these weaknesses he has lost the first battle which is to avoid the collection
of intelligence information. (COUNTER-INTELLIGENCE).
GENERAL FACTS:
a. The term "SEAAF" means subversion and espionage against the Armed
Forces. A SEAAF incident or a contact is an effort by a foreign intelligence
agent to get information, classified or non-classified, using you as the
source to obtain the information.
b. First we must have knowledge of the two key SEAAF words which are
espionage and subversion.
1. Espionage. Generally, espionage is the act to obtain, give,
transmit, communicate or receive information regarding the national defense
with the intent or purpose to believe that this information will be used to
harm the national government and to the benefit or advantage of the foreign
country. Likewise we must keep in mind the following when we talk about
espionage terms:
a. Any person or persons in legal, illegal possession, access or
control over or he is receiving information regarding the national defense
which the person in possession believes such information could be used to harm
the national defense and to the benefit or advantage of a foreign country,
voluntarily communicates, transmits, or intents to communicate or transmit
such information to any non-authorized person, is guilty of the act of
espionage.
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b. Any person or persons in charge of having legal possession and
control over national defense information who by their own negligence allows
the same to be lost, stolen, misplaced, destroyed, or removed from the
safekeeping place or gives such information in violation of faith, trust, and
responsibility, is guilty of an espionage act.
2. Subversion. Generally, the elements of subversion are:
(a) Actively induce the military and civilian personnel of the defense
forces to violate laws, disobey legal orders or rules and behavior regulations
or to interrupt military activities.
NOTE: "To actively induce" is defined as advising, alerting or requesting in
any manner that causes or intents to cause the acts mentioned above. This
includes the distribution or intent to distribute the written material that
alerts, advises, or requests.
(b) The voluntary intent to intercept, or diminish the loyalty, moral
or discipline of the defense forces.
(c) The subversion acts occur during war time or during peace time.
(d) The subversion includes all the voluntary acts with the intent to
harm the interest of the national government and that do not fit the
categories of treason, insurrection, sabotage or espionage.
c. Having knowledge of the two SEAAF key words, we must recognize
also the importance of the insurrection acts.
1. Insurrection. There are four types of specific activities which
are taken place with the intention of overthrowing the government through
force or violence are acts of insurrection. These four types are:
(a) Training about the need to overthrow the government.
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(b) The publication, sale or distribution of written material plotting
or training to overthrow a government.
(c) Organizing a society or group with the purpose of plotting or
training to overthrow a government.
(d) Members or initiation members or affiliation with this type of
society knowing the purpose of such organization.
d. An agent looks for weaknesses to trap, to see if you could be
convinced, bribed, threatened, or trapped in a difficult or embarrassing
situation so to make you work for him. He must realize some general weaknesses
looked for by an agent. These are:
(1) Doubts, financial problems and bad credit.
(2) A criminal file or present criminal activities.
(3) Homosexuality.
(4) Immoral behavior, past or present.
(5) Abuse of drugs or alcohol.
(6) Marriage infidelity.
(7) Routinely boasts and brags.
(8) Mentally or emotionally unstable.
(9) Going with persons of weak character.
(10) Relatives or foreign friends.
e. SEAAF/SAEDA incidents and situations you must report:
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(1) Intents of non-authorized personnel to obtain classified or non-
classified information about the facilities, activities, personnel or materiel
of the armed forces using questioning techniques, seduction, threats, bribe or
trapping a person in an embarrassing or difficult situation by personal
contact, direct or indirect or by correspondence.
(2) Intent of non-authorized personnel to obtain classified or non-
classified information by photography, observation, collection of material or
documents or any other means.
(3) Intent by known persons, suspicious persons or with possible
foreign intelligence history or associations. Intent to establish any type of
friendship, association or business relationship.
(4) Every incident where members of the defense forces, his relatives,
travel by or to a foreign area of special consideration (figure 1) who are
exposed to:
(a) Questioning regarding their work.
(b) Provide military information.
(c) Bribe, threats or trapped in a difficult or embarrassing situation
of any type so as to cooperate with the foreign intelligence services.
(5) Incidents known, suspicious, or possible acts of espionage that
result or resulted in danger to documents, information or classified material.
(6) Other acts by members of the armed forces to involve, intent or
consider the communication of classified information, documents or material to
a non-authorized person.
(7) Non-official contact by members of the defense force with:
a. Personnel they know or suspect are members of a security service
or foreign intelligence.
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b. Foreign political or military organization.
c. Any member of the countries mentioned in figure #1.
(8) Official contact with personnel mentioned in paragraph #7 when
these persons:
a. Show knowledge or curiosity about members of the defense forces.
b. Intent to obtain classified or non-classified information from a
member of the defense forces.
c. Intent to establish any type of friendship or business
relationship with members of the defense forces outside the official tasks of
the defense forces.
(9) Information regarding with international terrorism plans which
present a direct threat to personnel, activities, facilities or material.
(10) Known acts or suspicious acts to harm or destroy property of the
armed forces by sabotage acts.
f. What you must do if you suspect to have come in contact or someone
made contact to obtain information:
(1) Do not deny or accept to cooperate. Ask for some time to think
about the proposition.
(2) Remember the person's details. Try to remember things as the
description of the person, the place and circumstances of the meeting,
identification or description of the vehicle.
NOTE: Do not try to ask the suspect for more information or suggest another
meeting in the future. This, may surprise the agent.
(3) Report the contact to the counter intelligence agency. If you
cannot contact them, contact the S2 or an intelligence official and tell them
about the details of the contact. If you are travelling to another country or
abroad, report the contact to the closest consulate of your country or to the
office of the Defense (military) Attache.
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(4) Do not investigate the matter by your own efforts. Let the
investigation up to the qualified counter intelligence agents. Do not tell the
contact events to anyone except the departments mentioned above.
Figure 1
GEOGRAPHIC AREAS OF SPECIFIC CONSIDERATION
Afghanistan
Albania
Angola
Bulgaria
Cambodia
Republic of China and its adjacent islands
Cuba
Czechoslovakia
Ethiopia
German Democratic Republic (Communist Germany)
Hungary
Iran
Iraq
Laos
Lebanon
Arab Republic of Libya
North Korea and adjacent demilitarized zones
Nicaragua
Republic of Mongolia
Poland
Democratic Republic of Yemen
Romania
Soviet Sector of Berlin
Syria
Soviet Union
Vietnam
Yugoslavia
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CHAPTER 15 LN324-91
INSURRECTION AND ESPIONAGE INTERVIEWS AGAINST
THE ARMED FORCES (SEAAF)
INTRODUCTION:
In criminal cases, the identity and the capture of the person is the
main objective. In espionage cases the identity of the person is only the
first step. The most important thing is the knowledge of his contacts,
objectives, information sources and communication methods. The capture and
public news of the incident must be the last resource used by the counter
intelligence agencies. It is better to identify these persons, what they are
doing, and stop the movement of their efforts than to expose them to the
public and then try to find out who are their successors.
GENERAL FACTS:
A. Receiving the source.
1. The counter intelligence agent must be professional and courteous
with the source.
2. Identify yourself and show your badge.
3. Obtain identification facts about the source.
NOTE: Establish harmony, be friendly and alert, this will help the source to
feel confident. Once the harmony has been established with the source, you
must be able to hold this confidence during the interview.
4. Determine the purpose and intention of the source.
a. An unscheduled source is a person who comes to a counter
intelligence agency to offer information he believes is of interest to
military intelligence.
b. The information the source provides must fall within the
intentions of SEAAF.
5. Once you obtain the identify data from the source you must start
the review of files to:
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a. Determine if the source appears in the nuisance files.
b. Determine if the Military Police or other agencies have
information about the source.
6. If the review of files reveal that the source is in the nuisance
files you must:
a. Thank the source for the information.
b. Close the interview and say goodbye to the source.
7. If the files do not have information about the source, continue
the interview.
B. Carry out the interview.
1. First ask permission to the source to use a tape recorder to
record the content of the interview. Explain that the tape recorder will help
you to prepare the final report as a verbal transcription which the source
will have the opportunity to review, correct and sign.
2. Turn on the tape recorder "only" if the source agrees to let you
use it.
3. Give the source the oath of truth.
4. Have the source tell you the incident.
a. Encourage the source to tell you the incident in their own words.
b. Be alert and listen to the source and take mental notes of
important points to explore these points during the review of the incident
with the source.
c. DO NOT write notes while the story of the incident is told.
d. DO NOT interrupt the source while telling the incident.
NOTE: If the source goes of f the incident theme he is telling, tactfully
make the source return to the main theme.
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NOTE: If during the interview the source tells you information outside your
jurisdiction, ask the source to go to the appropriate agency. If the source
does not wish to go to that agency, continue the interview and collect the
information and send it to the proper agency.
C. Carrying out the review of the incident.
1. Assure the source that the information will be kept in strict
confidentiality.
2. Review the incident with the source point by point to clarify
discrepancies, contradictions, and holes in the information.
3. Write with precision the additional sources.
D. Obtain history information about the source to help you evaluate
the information of the source. The history information must include:
1. Identify
2. Date and place of birth
3. Citizenship
4. Addresses (past and present)
5. Occupation
6. Reasons that motivated the source to provide information
E. Develop secondary information. Frequently the information and the
source's history could indicate that he could have more significant
information and it could be of value or interest to military intelligence.
F. Obtain a sworn declaration.
G. Advice the source that the interview has an official nature and
that he must not tell about the incident or nature of the incident to any
other person.
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H. Closing the interview.
1. Notify the source that the investigation could require a
subsequent interview and new contacts with him.
2. Make arrangements to have new contact with the source.
3. Again notify the source about the official nature of the
interview.
4. Close the interview in a friendly note.
5. Exit or say goodbye to the source.
I. Start the evaluation of the incident to make sure that it is in
your jurisdiction.
J. Prepare the appropriate reports.
1. Prepare an initial report for SEAAF.
NOTE: Make an effort to send a detailed complete report. If a detailed report
takes much time, submit an intermediate report with the available information.
Afterwards submit the complete report.
2. Classify the SEAAF report according to the Normal Operation
Procedures.
NOTE: All SEAAF reports will receive limited distribution.
3. Write down the unit that will receive the SEAAF report.
4. Write down the unit that sent the report.
5. Write down the instructions to send the report.
NOTE: All the SEAAF reports require one of the following sending
instructions: "Required Night Actions" or "Hand during the first hours of the
day".
6. Complete paragraph A and 1-6 of the SEAAF report.
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a. Write down the references in A.
b. Write down the date of the incident in paragraph 1.
c. Write down the place of the incident in paragraph 2.
d. Write down the following information from all the involved persons
in paragraph 3:
1. Complete name (father's last name, mother's last name, first name
and initial)
2. Date of birth
3. Place of birth
4. Identity card
5. Unit assignation
6. Position
7. Day when separated from the Armed Forces
8. Type of access to classified information
e. Write down in the subsequent paragraphs to paragraph 3:
1. All the sources
2. All the witnesses
3. All persons who have knowledge about the SEAAF incident.
NOTE: If there is more than one person written down in any of the categories
mentioned above, write down as #1, #2, etc. (Example: Source 1, Source 2).
NOTE: If the data identification from the witnesses or suspects are not
known, write down a physical description available.
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4. The description must include:
a. Age
b. Sex
c. Nationality/citizenship
d. Complexion
f. Height
g. Weight
i. Hair color
j. Eye color
k. Appearance
1. Physical built
m. Outstanding characteristics.
f. Write down in paragraph 4, a detailed description of the incident
as described by the source(s). Start the paragraph with details in regard to
as how the source came to the attention of your agency.
g. In paragraph 5, write down all actions taken, such as review of
files or interviews.
NOTE: You will not carry out more actions except as directed by a proper
higher agency.
h. In paragraph 8, write down any commentary or pertinent
recommendation about the source, suspect or the incident.
K. If applicable prepare the Agent Report with the appropriate
exhibits.
1. Send copy or the original and a copy directly to the appropriate
higher agency.
2. Send copy of the information, when instructed by the higher
investigation elements to the chain of command.
3. Do not do anything else, nor spread information unless it is
addressed to the appropriate higher agency.
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CLASSIFICATION
REPORT ABOUT INCIDENTS
____________________________________________________________________
PAGE______FROM_____ DATE AND TIME_______PRECEDENT_______________________
___________________________________________________
FROM:
TO:
INFO:
INSTRUCTIONS FOR SENDING:
(CLASSIFICATION)
TITLE OF REPORT:
REFERENCES:
1. ( ) DATE OF INCIDENT:
2. ( ) PLACE OF INCIDENT:
3. ( ) PERSON(S) INVOLVED:
A. ( ) SOURCE(S):
B. ( ) WITNESS(SES):
C. ( ) OTHERS WHO HAVE KNOWLEDGE:
D. ( ) SUSPECT(S):
4. ( ) NARRATION:
5. ( ) ACTIONS TO BE TAKEN:
6. ( ) COMMENTARIES:
7. ( ) POINT OF CONTACT:
____________________________________________________________________NAME,
ORGANIZATION SPECIAL INSTRUCTIONS
AND TITLE OF ORIGINATOR
_____________________________________________________________
NAME, ORG., REVIEWER'S TITLE, TELEPHONE NUMBER
_____________________________________________________________
SIGNATURE OF REVIEWER REVIEW DATE
_____________________________________________________________
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CLASSIFICATION
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( )
REPORT ABOUT INCIDENTS
____________________________________________________________________
PAGE______FROM______ DATE AND TIME__________PRECEDENT_______________
____________________________________________________________________
FROM:
TO:
INFO:
___________________________________________________________________NAME,
ORGANIZATION SPECIAL INSTRUCTIONS
AND TITLE OF ORIGINATOR
_____________________________________________________________NAME, ORG.,
REVIEWER'S TITLE, TELEPHONE NUMBER
_____________________________________________________________
SIGNATURE OF REVIEWER REVIEW DATE
_____________________________________________________________
( )
Back to Top 136
CHAPTER 16 LN324-91
ESPIONAGE INVESTIGATIONS
INTRODUCTION:
As counter intelligence special agent you must have specific knowledge
of the aspects of an espionage investigation to get security information for a
Commander of the Armed Forces responsible for the safety of his command. You
as espionage agent must always have in mind that all information must be
developed in detail, even though the information is favorable or unfavorable
for the SUBJECT.
GENERAL FACTS:
A. Preliminary Sheet (Figure 1).
1. Review the preliminary sheet (PS), found in the control office for
the investigation requirements. The PS has specific leads or leads that must
be investigated.
a. A PS has collected information during an investigation and could:
(1) Require a development of more investigative leads.
(2) Identify a source that will provide additional information about
the case or leads about additional sources that could have information.
b. Areas of interest in the PS are: (Figure 2)
(1) Block 1, SUBJECT: Contains information about the identity of the
SUBJECT of the investigation.
(2) Block 4, TYPE AND REASON FOR THE INVESTIGATION: Contains the
specific leads or the leads that must be developed. This block also contains
information of history and special instructions that will help the special
agent in the requirements to develop the leads.
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(c) SIGNATURE BLOCK: Make sure that each PS is signed with the
signature of the official in charge of the case or authorized person.
(d) BLOCK 8, CONVINCING DOCUMENTS: Identify all convincing documents
that are not considered necessary to the development of the required leads.
2. Review the initial report prepared by the personnel of the Armed
Forces (AF) involved or who have knowledge of the incident or situation.
NOTE: With the exception of obtaining the initial details of the incident and
submitting the priority report, only elements of counter intelligence are
authorized to investigate SEAAF cases without the approval of the higher
department.
3. Start the espionage investigation when you have the approval from
the higher control office, based on the leads originated from various
information sources, including:
a. Reports from confidential sources.
b. Reports from other intelligence agencies, security, or police
agencies or national guard.
c. OPSEC evaluations, CI technical inspections or reviews.
d. The review of refugees, border crossers, displaced persons, PGE
and other similar groups.
e. Routine security personnel investigations.
B. Identify the type of security investigation that you will conduct.
1. Incident investigations
a. These are activities or specific actions.
b. Implications are suspected from acts of espionage.
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c. This case will be kept as Type of Incident during the
investigation, although, the identity of the person implied will be
established at a later date.
2. The Personal SUBJECT investigations.
a. Imply one or more known person.
b. They originate allegations about the specific activities of the
person.
c. This case will be kept as personal SUBJECT investigation, although
information has developed about an act or specific activity.
3. Investigative jurisdiction. The jurisdiction for the CI section
will take place according to the SOP laws.
C. Review of legal statutes which applied to the espionage acts.
1. Espionage - Is the act of obtaining, giving, transmitting,
communicating or receiving information regarding the national defense with the
intention or reason to believe that the information is going to be used to
harm a national government or for the benefit or advantage of a foreign
country.
a. Any person or persons with legal or illegal possession, access,
control over, has been given confidential information regarding the national
defense, which the person in possession has reason to believe the information
could be used to harm the national defense and for the benefit or advantage of
a foreign country, voluntarily communicates, transmits, or tries to
communicate, or transmit this information, to any person who is not authorized
to receive it, is guilty of an espionage act.
b. Any person or persons in charge, or in legal possession and
control over national defense information, who by negligence allows the same
to be lost, stolen, displaced, destroyed, or removed from the place of
safekeeping, or gives this information in violation of faith and trust, is
guilty of a espionage act.
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D. Review the operative methods (OM) of the hostile intelligence
agents regarding the activities of the espionage acts.
1. Review the types of hostile operations.
a. Legal Operations. Involve espionage networks which are controlled
by a representative from the foreign country who is official charge and is
sanctioned by the host country. Frequently, the person possibly has diplomatic
immunity, and is not subject to inspections, detentions, or trials for ilegal
activities committed.
b. Ilegal Operations. Involve espionage networks that are not in
direct contact or relations with the foreign country. Most of these persons
are native of the country or of another country. Ilegal operations are more
difficult to detect and have the advantage that the operation is continued
during war time or in countries that do not have diplomatic relations.
2. Review the control methods of the hostile intelligence.
a. The centralized control procedures require approval from the
central headquarters from all the espionage activities. Many countries for
security reason regarding the espionage activities have a central control
point.
b. The internal control method. Involve operations conducted totally
within the host country. All hostile agents are controlled by a general
headquarter or by a residence that has been established in the same country.
This method is the most outstanding in the external method.
c. The external control method. Involve operations conducted within
the host country controlled by another country. This is the safest method to
control personnel.
3. Review the type of hostile agents used in a hostile operation.
a. Penetrating Agents have direct access to the information required
by the hostile country.
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b. Recruited agents in massive form are badly trained and belong to
echelon of low category; these agents are infiltrated within the country in
great numbers when there are favorable opportunities within that country.
c. Confusion agents are used to deceive the intelligence agencies to
waste their efforts in useless investigations.
d. Provoking agents are used to provoke the intelligence agencies to
take inappropriate actions for their disadvantage.
e. Sleeping agents are kept inactive for a long time until the
hostile country has a mission for them.
4. Review the espionage network used by the hostile country.
a. The single system of agents involves collective intelligence
efforts from a person. These agents operate only with the support of the
administrative personnel, but only one person is involved in the collective
operations.
b. The echelon system are networks that provide security when great
number of agents are being used in operation. Only the leader of the network
knows the identities of all the members of the network. Contact is initiated
only by the higher echelon and code names are normally used. There is no
lateral contact because the members of the network do not know each other.
c. The cell system could be simple or complex depending in the number
of agents that each cell has. The members of a cell know the identities and
the places of each member involved in espionage acts. They have the liberty of
coming in contact with each other and as minimum a member of a cell keeps
contact with the supervisor. It may or may not be that they have arrangements
for unilateral contacts.
d. The echelon network could degenerate in emergencies in a cell type
system. Unilateral contact could develop and a member of a segment could be
instructed to establish contact with members of another segment.
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NOTE: Most of the hostile intelligence services use more than one espionage
network to cover or operate in the same area.
5. Review the hostile recruitment methods
a. Acquisition techniques are used to find a person who has been
coerced or made to accept recruitment by force.
b. The analysis of sources/potential recruits makes a detailed study
of the files and information of past history to identify the potential the
person has as agent and his reactions to contacts or possible methods of
contact. The motivation of the recruitment also is determined (ideology,
money, coercion and selfishness).
c. The recruitment by contact is used to obtain contact with the
person and through him obtain his cooperation and involve him in espionage
acts. The contact could occur in the person's own country or while the person
is traveling in a communist country. The customary way of hostile agents is to
allow another person to make the contact and not to involve the agents that
did the consecutive process and the analytical steps.
NOTE: The "Small Hook" is the favorite method used by the hostile
intelligence service to prepare the potential agent. In this method, the
subject is requested to provide innocent information and material of no value
to intelligence or classification.
6. Review of the hostile camouflage method.
a. The natural camouflage is the way of legal residence or entry to a
country, the use of a real name frequently, occupation or legal ways. The
local persons who are recruited normally operate under the natural camouflage
because they have established in the community and are employed in the
country.
b. The artificial camouflage involves the fabrication of history and
position of an agent and the falsification of identification documents in a
way that matches the fabrication of history and camouflage history.
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7. Review the hostile communication method.
a. Conferences are normally kept to the minimum, but when used, these
conferences take place in public areas so as not to arouse the public
curiosity.
b. Official messengers are used to transport information to the
control official. Diplomatic bags are considered as the safest method to carry
material obtained for espionage acts.
c. The post is used to carry information, using codes, secret writing
and microfiche.
d. Radios or communications systems are mainly used during operations
in war time, but instructions could be transmitted to agents using lateral
communication systems at any time such as CB radios or Motorola. The
communications through cryptographic systems are used to transmit messages in
a safe way.
e. "Mail drops" are hidden secret places used to transmit or safekeep
information and material. Most of the services of hostile intelligence put
considerable emphasis in the use of "mail drops".
NOTE: Always keep in mind that mail drops could be done by a middlemen and
moved to another mail drop to provide necessary security to the controlling
officer.
8. Review the Financing Method for espionage activities.
a. Limited or unlimited resources are normally available for
espionage operations to the hostile agent.
b. The financial resources will come from the hostile country.
c. The financial resources will be obtained by organizations or
hidden business.
d. The financial resources will we obtained by ilegal activities
(black market, drugs, etc).
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e. The financial resources or money of the target country are
transferred to the country by diplomatic bags, official messengers, or by
hostile agents.
f. Bank accounts are established in the target country for the access
of the agent.
E. Prepare an interrogatory plan (Figure 2)
NOTE: Depending on the type of investigation that will be conducted, the
available time, the investigation plan could require only a mental study, or
could be a written formal document requiring approval previous to the
continuation of the investigation.
1. Plan an investigative agenda detailed for each step of the
operation to:
a. Define the requirements of the information.
b. Define the pertinent aspects to be considered.
c. Prevent unnecessary investigative efforts.
2. When the plan develops, consider:
a. The reason or purpose for the investigation.
b. The assigned phases of investigation.
c. The investigation type (open, covered).
d. Priority and suspension time.
e. The restrictions or special instructions.
f. A definition of the problem.
g. The methods and sources that could be used (review of files,
interviews, etc.)
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NOTE: There is no fixed procedure that could be recommended for treatment of
an espionage investigation. One must determine the specific method to each
individual case based upon the circumstances of the case.
h. The coordination requirements.
3. Update the investigation plan.
a. When new data is discovered.
b. As a result of continuous analysis.
F. Conduct an investigation of the incident based upon the
type, if appropriate.
1. Go to the incident's place.
2. Protect and safeguard the incident place giving appropriate orders
and isolating the place physically. All non-authorized persons must be taken
out of the place.
3. Find out the circumstances of the incident by visual observation
to determine the investigative approach that will be most appropriate.
4. Identify and segregate the witnesses.
5. Obtain photographs of the place, if required, provide a series of
photographs to give the maximum amount of useful information and to help the
reviewer to understand what had happened.
6. Search the place and collect evidence, if appropriate. Evidence is
defined as articles or material found in connection with the investigation or
that could help establish the identity of the person or circumstances that
caused the incident, in general, facts that will help uncover the events.
7. Control the evidence obtained.
G. Coordinate and conduct ties with other investigation
agencies. Coordination is a continuous activity during many of the espionage
cases.
H. Interview the witnesses.
1. Conduct interviews of witnesses in the place, if appropriate, to
obtain all the pertinent information.
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2. During investigations of the subject, conduct interviews of all
the witnesses who could have pertinent information or knowledge of the case.
NOTE: The most time-consuming part of the investigation is the interview,
because through the interview we obtain the greatest part of the information
sources.
I. Conduct the review of files.
J. During investigations of incident type, it will be desirable
to make contact with the confidential sources for any information that comes
to your attention.
NOTE: Information regarding the espionage incidents or the present espionage
investigations will be limited only to few persons and only to persons who
need to know the information.
K. Conduct the investigative analysis of the facts of the case.
Although, an investigation is basically a collection of facts, the secondary
function is also important; the analysis of the facts. The analysis is
established in the review and comparison of facts from the case to develop a
hypothesis and come up with conclusions regarding the identity of the
suspects, circumstances surrounding the incident, and future actions.
NOTE: There are no established procedures to analyze the information from the
case to come up with a solution. One method could work as well as another
method. All must include the basic function of review, comparison, and
hypothesis.
1. Review all information available of the case.
a. Placement and correlation of all information.
b. Examine the information to identify the pertinent facts.
c. Determine the dependability of the information.
d. Determine the truth of the information.
2. Compare the information already known. (Figure 6)
a. Compare the available information with the legal espionage
elements.
(1) Identify the information that supports or show the legal espionage
elements.
(2) Identify the holes in the information that could be completed with
further investigations.
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b. Compare the information obtained from witnesses to the information
from other witnesses or sources.
c. Identify the possible suspects by comparison of the information.
(1) Identify persons with connection to the incident.
(2) Identify the "opportunity" forpossible suspects.
("Opportunity"--the physical possibility that a suspects has of committing
espionage acts).
(3) Develop information to prove the motive of each suspect.
(4) Develop information that proves the intent of each suspect.
(5) Develop all the circumstantial evidences and associations of
each suspect.
NOTE: In cases of personal subject, the suspect, or possible suspect, is
identified therefore. Therefore all efforts are directed to identify his
connections in espionage acts, his opportunities, motives, and intents. Show
all information and evidence in terms of elements of required evidences to
support the charges.
3. Show one or more hypotheses. Hypotheses are theories that explain
the facts and that could be examined in later investigations. The best
hypotheses are selected to resolve the problem between the information
available.
a. Apply inductive or deductive reasoning to show the hypotheses.
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(1) Inductive reasoning involves moving the specific and the
general. Develop generalities, from observations that explain the relationship
between events under examination.
(2) Deductive reasoning involves procedures from general to
specific. Starting with the general theory and applying it to the particular
incident to determine the truth contained in the theory of the incident.
NOTE: In both processes, the steps must follow a logical manner point by
point.
b. If you come to a point where the deductive reasoning is not
productive, consider using the intuition. Intuition is the quick, unexpected
act which clarifies a problem when the logical process and experimentation has
stopped. Intuition must not be ignored, particularly in difficult cases where
little progress is evident.
c. Put your hypothesis to a test of considerations of probability,
additional information of the witnesses and other known facts.
d. Eliminate various possibilities systematically considering each
hypothesis between:
(1) The opportunity
(2) The motive
(3) Observed activities
(4) Corroboration of the alibi.
e. Select the best hypothesis based in the consistency with the known
facts and the high degree of probability.
f. Examine the hypothesis objectively.
g. Modify and refute the hypothesis if contradictions to the evidence
are discovered.
4. Determine the direction of the future investigation
activities.
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a. Identify future actions that will examine or verify the selection
of the hypothesis.
b. Ask approval from the higher control office to complete the
identified actions.
L. Conduct vigilance, if appropriate.
M. Conduct interviews of the SUBJECT, if appropriate.
N. Conduct interrogations of the SUBJECT, if appropriate.
0. Prepare the appropriate reports.
P. Consider an investigation successful when:
1. All information and pertinent material or allegations from the
case are discovered.
2. The physical evidence available is completely handled.
3. All witnesses were appropriately interviewed.
4. The suspect, if he allows, is interrogated in an effective way.
5. The report of the case was understood, clear and detailed.
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EXAMPLE #1
PRELIMINARY SHEET
_____________________________________________________________________
PRELIMINARY SHEET DATE/START OF INVESTIGATION
_____________________________________________________________________
1. SUBJECT 2. DATE
NAME: RANK, RANK NUMBER
IDENTITY BADGE: 3. CONTROL NUMBER:
PLACE/DATE OF BIRTH:
_____________________________________________________________________
4. TYPE AND PURPOSE OF INVESTIGATION:
5. LEADS TO BE VERIFIED:
6. INFORMATION FROM HISTORY:
7. SPECIAL INSTRUCTIONS:
______________________________________________________________7.AGENCY
REQUESTING INFORMATION AGENCY PREPARING REPORT
______________________________________________________________
OFFICE OFFICE
______________________________________________________________
SIGNATURE (AUTHORIZATION) SIGNATURE (AUTHORIZATION)
______________________________________________________________
PERSON'S NAME NAME OF AUTHORIZED PERSON
______________________________________________________________
ADDITIONAL DOCUMENTS ENCLOSED ADDITIONAL DOCUMENTS ENCLOSED
______________________________________________________________
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EXAMPLE #2
INVESTIGATIVE PLAN
1. REASON FOR INVESTIGATION:
2. TYPE OF INVESTIGATION: LIMITED
3. INVESTIGATION WILL BE CONDUCTED: DISCRETELY (Safety will be t h e
main
factor
during
the
invest
igatio
n).
4. PRIORITY:
5. SPECIAL INSTRUCTIONS:
a.
b.
6. INFORMATION GIVEN:
7. SEQUENCE OF INVESTIGATION:
a. Conduct review of local files.
b. Examine the subject's military and medical files.
c. Interview the following persons:
(1) Carry out the review the neighborhoods
(2) Carry out the review of the financial or credit reports.
NOTE: The plan mentioned above must have flexibility, it is only a guide.
Each case must be treated individually. Your plan could be similar, shorter or
longer, but this will depend upon the requirements dictated in the Preliminary
sheet.
Back to Top 151
CHAPTER 17 LN324-91
SABOTAGE INVESTIGATION
INTRODUCTION:
To understand the importance of a sabotage investigation you must always
think that the sabotage act is the intent to cause harm, intercept, or
obstruct by the desire to cause harm or destroy or intent to destroy material,
installations, or utilities with regards to the national defense.
GENERAL FACTS:
A. IDENTIFY THE INVESTIGATION REQUIREMENTS:
1. Use various reports from other agencies to identify the
requirements so that the counter intelligence elements could start an
investigation of the sabotage act. These reports could be found in the
following agencies:
a. Military police
b. Criminal Investigation Divisions
c. Local Civil Authorities
d. The superior authority/supervisor in charge of the facility where
the sabotage occurred.
e. Confidential sources that could testify that a particular incident
was indeed a sabotage act.
2. Review the Preliminary Sheet (PS), prepared to be distributed by
the Central Intelligence Office, to identify the investigative requirements:
a. The PS has information collected during an investigation that may:
(1) Require further investigation and development.
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FIGURE/EXAMPLE #1
PRELIMINARY SHEET
_____________________________________________________________PRELIMINARY
SHEET DATE INVESTIGATION STARTED
_____________________________________________________________
1. SUBJECT/THEME 2. DATE
3. CONTROL OR FILE NUMBER
_____________________________________________________________4. TYPE AND
REASON FOR INVESTIGATION
7. AGENCY REQUESTING 8. AGENCY PREPARING REPORT
_______________________________________________________________________
OFFICE OFFICE
_____________________________________________________________
ADDRESS ADDRESS
_____________________________________________________________
FOR G2 ACTION FOR G2 ACTION (IM)
_____________________________________________________________
AUTHORIZED SIGNATURE AUTHORIZED SIGNATURE
_____________________________________________________________
NAME AND RANK NAME AND RANK
_____________________________________________________________
8. CONVINCING DOCUMENTS CONVINCING DOCUMENTS
_____________________________________________________________
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4. To condemn a person for an act of sabotage during peace time, you
have to prove that he had tried to cause harm described above. In war time it
is sufficient to prove that the person had knowledge that his act will affect
the "war effort".
5. If more than one person conspires to carry out a sabotage act and
one of them is captured while carrying out the plans of the act, all could be
accused and condemned for the sabotage act.
C. DETERMINE THE TYPE OF SABOTAGE INVESTIGATION THAT WILL TAKE PLACE:
1. PASSIVE SABOTAGE: This type of sabotage involves the passive
resistance of the population and it could be local or at national level. The
passive sabotage is not so organized so that persons or groups are assigned
specific missions: nevertheless, the population reaction is the result of
propaganda, well organized propaganda by a subversive group that is well
organized. In other words, the passive sabotage is when a population locally
or nationally has been convinced by a propaganda group to carry out or to
allow the acts previously described that could be classified as sabotage acts.
2. ACTIVE SABOTAGE: This type of sabotage is characterized by violent
sudden actions with visible results and which commonly turn into conflicts
with military forces. Within this category, we found the following physical
forms of sabotage:
a. Fire sabotage: Is when combustible materials are used to cause
fires and destroy government properties. This is normally considered as an act
of vandalism or a common criminal act.
(1) This act changes from vandalism to sabotage when it is
proven that it took place with the purpose of affecting the national defense,
the war or the war effort.
b. Explosive sabotage:
(1) In this type of sabotage explosives are used to destroy or
neutralize targets that are resistant to fires and to obtain the maximum
quantity of destruction at the minimum time.
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(2) Targets that are sensitive to explosive sabotage are:
(a) Bridges
(b) Tunnels
(c) Railroads
(d) Ships/boats
(e) Heavy equipment
(f) Industrial machinery
c. Mechanical sabotage:
(l) the mechanical sabotage is easier to maintain since it does
not require instruments or special tools, and normally is directed against
railroads, ships or industrial facilities.
(2) The mechanical sabotage is normally classified within one of
the following categories:
(a) Destroy/break/tear
(b) Inserting materials or abrasive substances such as, sand,
soil, etc., into lubricants and vehicle's fuels.
(c) Omission acts. This consist of not doing something so that a
mechanical equipment stop working. Not lubricating a motor so as to damage it,
not adjusting a mechanical part so that when the motor is turned on it will
stop working.
(d) Substituting real parts for fake parts in apparatus or
vehicles. Ce) Contamination of lubricants or fuels.
d. Biological, chemical and nuclear sabotage:
(l) The sabotage with biological agents is know as "biological
warfare", and is considered as the introduction of living organism and its
toxic products in the environment with the purpose of causing death, impede,
or harm people, animals or crops.
(2) Sabotage using chemical agents is know as "chemical warfare:
and is considered as the introduction of chemicals to the environment to cause
death, impede, or harm people, animals or crops.
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(3) Sabotage using nuclear weapons, could just with its
destructive capacity, cause serious damage or destruction to property,
materials and persons.
D. PREPARE AN INVESTIGATION PLAN: (See example #2)
1. Initial plan:
a. Determine the purpose of the investigation.
b. Determine the place of the incident.
c. Determine what official documents are required to travel to
the place where the incident took place (passport, visa, etc.)
d. Make arrangements to get these documents.
e. Determine priorities, if any, that exist in regards to the
case being investigated.
f. Determine if any restrictions or special instructions are
necessary.
2. Modify the investigation plan according to how you could obtain
more information.
F. CARRY OUT THE INVESTIGATION:
1. Go to the place where the incident took place.
2. Write down the date and time you arrived to area and the
weather conditions.
3. Visually search the area to try to find wounded persons and:
a. Coordinate medical attention.
b. Write down identity of the wounded, so as to possibly
question them later.
c. Coordinate transportation of wounded persons to medical
facilities.
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(FIGURE/EXAMPLE #2)
INVESTIGATION PLAN
1. PURPOSE OF THE INVESTIGATION:
2. TYPE OF INVESTIGATION: Limited
3. THE INVESTIGATION WILL TAKE PLACE IN THE FOLLOWING MANNER:
(Discretely)
4. PRIORITY: 30 days after having received the preliminary sheet.
5. SPECIAL INSTRUCTIONS:
a.
b.
6. INFORMATION PROVIDED:
7. INVESTIGATION SEQUENCE:
a. Carry out the review of files.
b. Examine the medical and military files of suspect.
c. Interview the following persons:
(l)
(2)
(3)
d. Carry out the investigation of the neighborhood.
e. Carry out the review of credit bureaus.
NOTE: THE PLAN DESCRIBED ABOVE MUST BE FLEXIBLE AND ITS INTENTION IS ONLY TO
BE USED AS A GUIDE. EVERY CASE MUST BE TREATED INDIVIDUALLY. YOUR PLAN COULD
BE SIMILAR, SHORTER OR LONGER ACCORDING TO WHAT THEIR OWN REQUIREMENTS.
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4. Coordinate work with other investigation agencies that are present
in the incident area, or if they should arrive later.
5. Identify and search a road for the medical personnel to use when
arriving to the place where there are wounded and/or dead persons.
6. Do not allow the corps to be covered since this could destroy
evidence.
7. Protect the area of the incident using persons to maintain the
curious passersby away from the area and to avoid that witnesses, suspects and
victims destroy evidence.
8. Protect all that could possibly be destroyed by fire, rain or any
other thing, such as footprints, etc.
9. Find the possible witnesses in the area.
10. Ask and write down the identity of the witnesses.
11. Separate the possible witnesses and take them outside the incident
area.
12. Carry out questioning/preliminary interviews of witnesses to
determine:
a. How much knowledge they have of the incident.
b. Movements that the witnesses have done in the incident area.
c. Any tool that the witnesses or other persons have possibly
touched.
12. Write down all the pertinent facts:
a. Identify the persons involved or that were involved in the area.
b. Initial impressions or observations.
c. Take photos of the area in all angles.
d. Take photos of the persons in the vicinity of the area.
13. Search the incident area and adjacent areas to collect all evidence
using the search patterns more useful in the area.
a. Pay particular attention to fragile traces of evidence that could
be destroyed if not collected immediately.
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b. Carefully examine all objects or areas where there may be latent
fingerprints and make sure that a follow up is done of this fingerprints.
c. Take photos or prepare imprints that could have value as evidence.
(Example: shoe prints, or boot prints on the ground could indicate the amount
of persons involved in the incident).
d. Treat stains or accumulation of liquids as evidence and write down
its place and take photos of them.
e. Treat any tool as evidence until this could be found to the
contrary.
14. Collect, mark for identification and process the evidence.
F. Transfer the evidence to the criminal laboratories and proper
agencies to evaluate such evidence.
G. Carry out the review of files.
H. Carry out the interviews with "Witnesses" that are necessary:
1. To obtain more information about the incident.
2. To develop new leads and/or sources.
I. Prepare Preliminary Reports, if necessary.
NOTE: THE PRELIMINARY REPORTS ARE PREPARED WHEN THEY ARE REQUIRED BY THE SOP
OR IF AN ORDER IS RECEIVED FROM THE HIGH COMMAND.
J. Contact your confidential sources of information.
K. Carry out an analysis of the information in the case to identify
the suspect. Even though an investigation is basically a collection of
information, the analysis of such information is a secondary function. This
analysis is the review and comparison of information obtained to develop a
hypothesis and come up with conclusions that could be used in identifying the
suspects and determining the circumstances of the incident and future actions.
NOTE: THERE IS NO FIXED PROCEDURE IN THE ANALYSIS OF INFORMATION OF A CASE TO
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ARRIVE AT A SOLUTION. ONE METHOD COULD WORK AS WELL AS THE NEXT. NEVERTHELESS,
ANY OF THE METHODS USED MUST HAVE THE BASIC FUNCTIONS OF: (REVIEW, COMPARE,
AND MAKE A HYPOTHESIS).
1. Review all the information in the case:
a. Arrange in an orderly fashion all the information.
b. Examine the information in detail to identify the pertinent facts.
(1) Determine the dependability of the information.
(2) Determine the truth of the information
2. Compare the information known:
a. Compare the available information with the legal aspects of
sabotage.
(l) Identify facts/evidence that support or prove the legal
elements of sabotage.
(2) Identify vulnerabilities in the information that could
require further investigation.
b. Compare the information obtained from witnesses with such obtained
by other witnesses and sources.
c. Identify possible suspects through the information comparison.
(l) Identify such persons that have connection with the incident.
(2) Identify information that supports or proves the
"OPPORTUNITY" that possible suspects may have. (Ask yourself: Is it physically
possible that the suspect could have committed the act of sabotage?)
(3) Identify information that supports or prove "MOTIVATION" by
each suspect.
(4) Identify information that proves "INTENT" by part of the
suspects.
(5) Identify all circumstantial or association information
related with each suspect.
(6) Evaluate all information and evidence in regards to the test
elements required to support the sabotage accusation.
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3. Show one or more hypotheses. The most possible hypotheses are
selected to solve a problem according to the information and available
evidence.
a. Apply deductive and inductive reasoning to show your hypothesis.
(l) Inductive reasoning involves moving from the specific to the
general. Develop a generalization of the information being evaluated that
could explain the relationship between events under investigation.
(2) Deductive reasoning involves moving from the general to the
specific. Start with a general theory and apply it to the particular incident
to determine if the truth of the incident is part of the theory.
NOTE: WHEN USING DEDUCTIVE AND INDUCTIVE REASONING, THE MOVEMENT FROM ONE
POINT TO ANOTHER MUST BE DONE LOGICALLY.
b. During the study of information to show a hypothesis, the concept
of intuition must be considered. Intuition is an internal and sudden solution
towards a problem. Intuition frequently clarifies a problem when there is no
progress through logic.
c. Submit the hypothesis to probability tests, additional information
of other witnesses, and other data already known.
d. Eliminate the possibilities through the systematic comparison of
the hypothesis with the following considerations:
(1) Opportunity
(2) Motivation
(3) Observed activities
(4) Corroboration of the suspects' bribes
e. Select the best hypothesis based in the consistency of data
compared and the high degree of probability.
f. Test the hypothesis objectively.
g. Modify and/or refute the hypothesis if information to the contrary
is found.
4. Determine the requirement/direction of the future investigation
activities.
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a. Identify what could support or prove the hypothesis selected.
b. Get the approval of the Control Office to initiate actions that
have been identified.
L. Carry out the follow up, if necessary.
M. Carry out the personnel interviews if necessary.
N. Carry out a CI interrogation of suspects, when there is
suspicion in regards to the identity of a person.
0. Prepare and distribute the required reports.
P. You may consider that the investigation was successful when:
1. All the information and material related to the case has been
discovered and developed.
2. The physical evidence available was handled.
3. All the witnesses were interviewed.
4. The suspect was properly interrogated.
5. The case has been reported in a clear, exact and intelligible
manner.
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CHAPTER 18 LN324-91
PREPARING AGENT'S REPORTS
INTRODUCTION:
After the CI agent finishes an investigation or part of the
investigation, the following step is to write down all the information in a
report, which is known as the Agent's Report. The preparation of this report
requires a great effort and skill from the agent. To know how to prepare a
good agent's report is one of the requisites and duties of any counter
intelligence agent. In this chapter we will discuss all the areas and rules
that govern the proper preparation of an agent's report.
GENERAL FACTS:
NOTE: For effects of this chapter we will use as example an agent's report,
see the format that appears in EXAMPLE #1.
A. COMPLETE BLOCK #1: (NAME OF SUBJECT OR TITLE OF INCIDENT)
NOTE: Typewrite all the information in this block as close as possible to the
left margin arid below block #1.
1. THE TITLE BLOCK in this report is always the same that
appears in the preliminary sheet (refer to previous examples), or of any
pertinent investigative report, with only two exceptions:
a. Change the title block to include alias or any other essential
information developed during the investigation.
b. Change the title block to change any error in the preliminary
sheet. All changes and corrections will be written down in Section "Agent's
Notes" of the report.
2. When there is no preliminary sheet, or any other investigative
reports in regards to this case, prepare the title block in the following
manner:
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(2) Write down the answer to the question "Where" in the second line.
(3) Write down the answer to the question "When" in the third line.
B. Write down the date in which the report was prepared in block #2
(day, month, year).
C. Write the control number in block #3 (CONTROL NUMBER OR FILE
NUMBER)
1. If you have a preliminary sheet the name that appears in
block #3 of the sheet could be used in this report as well.
D. Complete block #4 (Report of Findings): (SEE FIGURE/EXAMPLE #1)
1. Use this block to write down the information obtained during
the investigation. This is the most important part of the Agent's Report and
must:
a. Show in detail all the facts that the source brought. Write down
as facts as facts and opinions as opinions.
b. It must be pertinent and directly related to the investigation.
c. Be written clearly, orderly and clearly understood to avoid wrong
interpretations of facts.
d. Be impartial, and include favorable and unfavorable information
developed during the investigation.
e. Be concise and to the point. Describe exactly the activities and
attitudes of the SUBJECT. Avoid unclear phrases.
f. Be complete.
2. Normally, write the report:
(1) In narrative style
(2) Using third person (grammatically)
(3) Using the simple past.
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3. PRIVACY PHRASES: (SEE FIGURE/EXAMPLE #2)
a. According to Figure #2 select and write down the most appropriate
privacy phrase.
b. Write down the phrase in the third line where block #4 starts.
c. Leave 15 spaces where the left margin of the report.
d. This phrase is written entirely in capital letters.
4. DESIGNATION OF PHRASES: (SEE FIGURE EXAMPLE #3)
a. Select the appropriate phrase on Figure #3 and write down in
parenthesis according to the description in Figure #1.
b. It is written two spaces under the Privacy Phrase.
5. Start the Introduction paragraph which has the information
about the SOURCE, including identity, employment and address.
a. This paragraph starts in the same line of the Designation Phase.
b. In the right margin of the report, allow a blank area of at least
five spaces to write down the word (LEAD) if necessary. (A LEAD is any
information collected during the investigation that requires further
development. It could be a name, address, or whereabouts of a person or
organization.
c. Write down the specific information in the Introduction Paragraph
according to the type of report. (SEE FIGURE/EXAMPLE #4, TO SEE WHAT
INFORMATION COULD BE USED ACCORDING TO THE REPORT TYPE AND IN WHAT ORDER)
d. Write the last name of the SUBJECT in capital letters in the
report's text always.
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FIGURE/EXAMPLE #1
______________________________________________________________________
AGENT REPORT FROM
______________________________________________________________________
1. SUBJECT NAME OR TITLE OF INCIDENT2. DATE
RAMIREZ. Juan O. 15 May 1988
TCC: TORRES, Antonio O. 3. CON. NUMBER
CPT, 000-00-000
FLDN: 9 March 1956, San Salvador, ES
______________________________________________________________________
4. REPORT OF FINDINGS:
WRITE HERE THE PRIVACY PHRASE USING CAPITAL LETTERS.
(PHRASE DESIGNATION) Here starts the introduction paragraph under the
privacy phrase and in the same line of the designation phase. Allow a space in
the right margin to write the word (LEAD) when one comes up during the
investigation. (LEAD)
If there are more than one paragraph allow two spaces between the
paragraphs and prepare the first the same as the second.
(RUMORS IDENTIFICATION) Rumor information is written down in a separate
paragraph and is indicated with the phrase RUMORS INFORMATION in parenthesis.
AGENT'S NOTES: Here you write down all the notes or commentaries that
the agent has in reference to the source or the case. The agent's notes are
used only once in the report.
______________________________________________________________________
5. NAME AND ORGANIZATION OF AGENT 6. AGENT'S SIGNATURE
______________________________________________________________________
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FIGURE/EXAMPLE #2
PRIVACY PHRASES
THE SOURCE DID NOT HAVE AN OBJECTION THE INFORMATION CONTAINED
IDENTIFYING HIS IDENTITY TO THE IN THIS REPORT IS OBTAINED
SUBJECT. FROM CIVIL FILES.
THE SOURCE RECEIVED A PROMISE OF THE INFORMATION CONTAINED IN
CONFIDENTIALITY AS A CONDITION THIS REPORT IS FINANCIAL
OF HIS COOPERATION WITH OUR INFORMATION AND WILL NOT BE
INVESTIGATION. REVEALED TO ANY OTHER AGENCY.
THE INFORMATION CONTAINED IN
THIS REPORT WAS OBTAINED IN
OFFICIAL FILES FROM THE GOVERNMENT.
THE INFORMATION CONTAINED IN THIS
REPORT WAS OBTAINED FROM PUBLIC
FILES.
THE INFORMATION CONTAINED IN THIS
REPORT WAS OBTAINED FROM MILITARY
MEDICAL FILES.
THE INFORMATION CONTAINED IN THIS
REPORT WAS OBTAINED IN MILITARY
FILES FROM THE PERSONNEL OFFICE.
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FIGURE/EXAMPLE #3
DESIGNATION PHRASES
(SUSPECT'S INTERROGATION) (EMPLOYMENT SUPERVISOR)
(FILE REVIEW OF LOCAL AGENCIES) (CO-WORKER)
(MILITARY SERVICE) (EMPLOYMENT FILES)
(MEDICAL FILES) (EDUCATION FILES)
(MILITARY FILES) (EDUCATION INTERVIEW)
(CIVILIAN PERSONNEL FILES) (DEVELOPMENT/EMPLOYMENT SOURCE)
(CITIZENSHIP) (DEVELOPMENT/RESIDENCE SOURCE)
(BIRTH) (DEVELOPMENT/EDUCATION SOURCE)
(CREDIT REFERENCE/WRITTEN DOWN) (MILITARY COMRADE)
(CREDIT REFERENCE/DEVELOPMENT) (MILITARY FILES REVIEW)
(PERSONNEL REFERENCE/WRITTEN DOWN) (MILITARY SUPERVISOR)
(PERSONAL REFERENCE/DEVELOPED) (COMMANDER)
(NEIGHBORHOOD CHECK) (FIRST SERGEANT)
(SUBJECT'S INTERVIEW) (POLYGRAPH TEST)
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e. Use the complete name of the SUBJECT in the first sentence of the
introduction paragraph.
6. Complete the rest of the report, writing down all the information
about the SUBJECT obtained during the investigation. The exact report format
will be determined by the type of report. Below, we list various formats for
the different types of reports:
a. INVESTIGATION REPORT OF PERSONNEL SECURITY:
1) Enter the association paragraph which has a complete and concise
description between the Source and the SUBJECT.
(a) This paragraph must be answered with the questions in figure #5 as
a minimum, which will establish the nature, degree and length of its
association. (SEE FIGURE/EXAMPLE #5)
_______________
(b) Write down the last name of the SUBJECT the first time it comes up
in the association paragraph. After mentioning for the first time, it could be
referred to it with the word SUBJECT.
2) Between the history paragraph which contains information of the
SUBJECT'S history, such as:
(a) Date and birth place
(b) Family situation/marriage
(c) Military service
(d) Residences
(e) Education
(f) Employment
(g) Associates
NOTE: Information areas that are not covered during the interview could be
used to include the first sentence like: (The source could not provide more
information about the education, residence, employment of the SUBJECT).
NOTE: The history information must be written down chronologically, that is in
the time frame they occurred.
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3) Between the LIDMC paragraph, which contains favorable and
disfavorable information in regards to loyalty, integrity, discretion, moral
and character of the SUBJECT. (This is known as LIDMC) Areas that enter or are
discussed in the LIDMC paragraph are:
Sexual moral Non-prescribed medications
Ethics Financial stability
Honesty Improper gains
Integrity Police agencies
Maturity Government overthrow
Discretion Deny civil rights
Character Other organizations
Mental stability Foreign travels
Emotional stability Friends/foreign friends
Betting Foreign business connections
Alcoholic beverages Loyalty
Drugs
NOTE: Answer all the questions on the themes mentioned above even though the
SUBJECT gives you a negative answer such as (I DON'T KNOW). The negative
answers are included in the report in the last sentence, ("THE SOURCE did not
provide information about the SUBJECT'S foreign travels").
4) Between the RECOMMENDATION paragraph such as the last paragraph of
the personal security investigation report.
(a) This paragraph contains the recommendation from the source in
regards to if he recommends that a position of trust and responsibility is
given to the SUBJECT.
(b) Use the SUBJECT'S complete name and not the word SUBJECT in the
first phrase of the recommendation paragraph.
(c) A source could be give one of four recommendations:
(1) He could decline to recommend him: "The Source refused to give a
recommendation in regards to Arturo G. RIVAS, for a job in a position of trust
and responsibility since he has only known hin for (8) weeks.
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(2) Could give a favorable recommendation: "The Source recommended
Arturo G. Rivas for a position of trust and responsibility with the national
government".
(3) Could give a non-favorable recommendation: "The Source did not
recommend Arturo G. RIVAS for a position of trust and responsibility with the
national government due to his dishonesty and lack of integrity. The Source
made a sworn declaration and was willing to appear before a hearing or trial
in regards to the SUBJECT."
(4) Could give a qualified recommendation: "The Source recommended
that Arturo G. RIVAS is considered favorably for a position of trust and
responsibility with the national government, under the condition that he
(RIVAS) control his drinking habits. The Source made a sworn declaration and
was willing to appear before a hearing or trial in regards to the SUBJECT.
b. Files review:
1) The format will depend upon the type of file being reviewed:
(a) The information obtained from the normal files will be presented
in a tabulated manner (SEE FIGURE/EXAMPLE #6).
(b) The information was also presented in a narrative manner. (SEE
FIGURE/EXAMPLE #6)
(c) A combination of narrative and tabulation could be used. (SEE
FIGURE #6).
c. Incident, complaints, or limited investigations:
(1) Write down one or more information paragraphs that describe the
clear and complete story.
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(2) Present all information in chronological order.
(3) Answer the following questions to develop all the information:
(a) Who
(b) What
(c) Where
(d) When
(e) Why
(f) How
d. When a report is long and there is not enough room in the first
page:
(1) Allow at least half inch of space in the lower part of the report
and write down (continued) between parentheses on the lower part below the
report. (If there is need to include classified information in this report,
allow at least one inch of space.
(2) The report could be continued using the same format on the first
page with the same information in blocks 1-3 and from 5-6.
7. Write down the Rumors' Information if applicable: (SEE
FIGURE/EXAMPLE #1):
________________
a. Use this paragraph when developing rumors or information such as
that.
b. When the original source of the information could not be
determined.
c. When leads that could verify or deny this information could not be
identified.
NOTE: Put the paragraph (Rumors' Information) in the Investigation of Personal
Security reports between the LIDMC paragraph and the Association paragraph.
8. Enter the agent's notes paragraph:
a. This paragraph helps officials that review the report to evaluate
the information, and call the pertinent discrepancies to attention.
(1) Discuss the reason why a lead was not developed or why a
particular lead could not be developed.
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(2) Write down facts of your (Agent) personal knowledge that could
help to clarify the incident.
(3) Write down the pertinent information from the Source and do not
discuss the rest of the report.
(4) From your personal opinion of the SUBJECT, or the information
acquired from him, if it is necessary to clarify some doubts. It must be
specified that this is only the Agent's opinion.
(5) Discuss any existing discrepancies in the Personal History of the
SUBJECT.
(6) Discuss the condition in which the files reviewed were found, if
this affects its validity or not.
(7) Explain and discuss any work or phrase that is difficult to
understand normally.
(8) Call attention to conflicts or discrepancies in the different
stories that come up from the investigation in regards to the same
information. Write down your personal opinion about which of the stories you
personally think has more validity.
(9) Indicate if any of the sources have the same last name or are
related. (Only if it applies in the report).
b. Do not use the Agent's notes to:
(1) Provide much information that is not pertinent to the case.
(2) Point out the minor discrepancies in the Personal History of the
SUBJECT.
(4) Describe the difficulty you had to find a source.
(5) Indicate recommendations.
E. COMPLETE BLOCK #5: (NAME AND ADDRESS OF THE ORGANIZATION OF THE
SPECIAL AGENT) (SEE FIGURE/EXAMPLE #1)
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F. EDIT/REVIEW YOUR REPORT ACCORDING TO THE FOLLOWING RULES:
1. Structure of the sentences and their contents:
a. The sentences must be:
1) clear
2) concise
3) simple
4) impartial
b. The sentences must not contain:
1) Local idioms
2) Vulgar words (Unless you are quoting the SUBJECT'S exact
words).
2. The correct use of the work SUBJECT, and the name of the person
who is interviewing:
a. Always write the name of the person interviewed in capital
letters.
b. The word "SUBJECT" in capital letters could substituted the name
of the interviewee, except:
1) In the first sentence of the introduction and recommendation
paragraphs.
2) The first time the interviewee is mentioned in the association
paragraph.
c. Write in capital letters all the pronouns that are used to refer
to the SUBJECT. EXAMPLE: (HE, SHE).
3. The appropriate use of the word "SOURCE":
a. Write down the name of the source normally when it its mentioned
in the report, without using capital letters.
b. You may substitute the word "Source" with only the "5" in capital
letters when mentioning the source in the report.
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c. If you wish to use the pronoun to refer to the Source, write the
first letter in capital letters, "He", "She".
4. The appropriate use of the names of other persons mentioned in the
report that are not the "SUBJECT or the Source
a. The first time another person is mentioned in the report, you must
completely identify him, including the complete name, employment address,
residential address or any manner in which we could contact him.
b. After identifying the other persons for the first time, you could
refer to them in the rest of the report using only their last name, unless
when two persons have the same last name, then you must identify them with
their complete name.
c. If only the last name of the person is known, write down FNU which
means, FIRST NAME UNKNOWN, EXAMPLE (FNU Gonzalez).
d. If you only know the first name of the person, write down LU,
which means LAST NAME UNKNOWN, EXAMPLE (Raul LU).
e. Never use FNU, LU, together. If you do not know the name of the
person, indicate it in the following manner.
"The SUBJECT was married with a woman, unknown name...
f. If a source is not sure as to how to spell a name, write down the
word "Phonetics" in parenthesis after the name. This means that the name was
spelled by sound only.
g. Indicate the maiden names of the women in the following manner.
(Maria Gomez, N: Gonzales) This means that the maiden name of Maria is
Gonzales.
h. Do not identify the confidential sources by their proper names.
Use the numbers or code names only. Do not use phrases in the report that
could identify, or help find a confidential source in your reports.
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5. CAPITALIZATION: When you are preparing the Agent's report you must
follow the following rules in regards to writing words and capital letters.
Capitalize:
a. The first word of each sentence.
b. The first letter of the word "Source".
c. The first letter of proper names, places, countries, races,
languages, months, and days of the week.
d. All letters of the SUBJECT'S last name.
e. All the words in the PRIVACY PHRASE.
f. The word SUBJECT.
g. All the PHRASES OF DESIGNATION.
h. Al the classifications of security (CONFIDENTIAL, SECRET, ULTRA-
SECRET).
i. Pronouns when they are substituted by the SUBJECT'S name (HE,
SHE).
j. Names of all the political parties and organizations (Liberal
Party).
k. All the titles before the names (Dr., Att., Md.)
1. Titles of rank, office, or profession if accompanied by names,
(GONZALES, Raul, JCS, Joint General Staff).
m. Names of regions, locations, or geographic structures, (East,
West, North).
n. The names of organizations formally structured and established.
(Joint General Staff, Department of National Investigations, National Police,
etc.)
o. The names of languages, (English, Spanish, French, etc.).
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p. The names of schools, universities, (Santa Maria School,
University of El Salvador, etc.)
q. University degrees, (Master in Medicine, Law, etc.)
6. DO NOT CAPITALIZE THE FOLLOWING:
a. Names of studies/courses (mathematics, history, biology, chemistry)
except languages (English, Spanish, French, etc.).
b. Descriptive terms to show addresses, (over, below, at left, at
right).
7. The use quotation marks " " "
a. Do not use quotation marks to show common nicknames, unless it is
used with the full name of the person. (Herman "Babe" Ruth).
b. Do not use quotation marks with names of newspapers and magazines,
underline them: (El Diario).
8. Use of commas:
a. Use commas between cities and country, (San Salvador, El
Salvador).
b. Use a comma to separate absolute phrases, (Juan Jimenez, the
richest man in the world, was arrested yesterday).
9. Underline:
a. Underline words in another language, followed by the translation
to Spanish in parenthesis, (He worked at the Post Office (Correo).
b. Underline any information developed during the interview that is
different than that which appears in the SUBJECT/TITLE block.
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9. The use of short titles:
a. To use short titles means to take the first letter in each name of
an organization or theme and to write them in parenthesis, later, the short
title could be used in the report:
EXAMPLE: "The Source works in the Joint General Staff of the Armed
Forces (JGSAF), of El Salvador (ES).
b. As soon as the short title is established it could be used without
the parenthesis. Only use the parenthesis when mentioning the short title for
the prist time. EXAMPLE: The Source said that the SUBJECT also worked at
JGSAF, ES.
c. The short titles are used for schools, units and military
installations.
d. Never use short titles for person's names.
e. Do not use short titles if the phrase will only be used once in
the report.
10. Abbreviations:
a. Do not use many abbreviations in your reports.
b. If you use abbreviations, spell out the complete word the first
time mentioned in the report, and later use only the abbreviation.
c. Do not abbreviate military ranks if they are mentioned alone
without a name, (The man was a captain). You may abbreviate when it is
accomplished by a name, (The CPT Ramirez is a good soldier).
d. Never abbreviate the months in the year and use the complete year
in your reports, (the 15 May 1988).
11. The use of numbers and numerals:
a. When using numbers from one to nine, spell them out, (one, two,
three, four,...nine).
b. From nine on you may use numerals (10, 11, 12, 13, etc.).
c. Use numerals to describe:
(1) Sums of money. The amount does not matter always use numerals.
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(2) Numbers in streets in addresses, (50th Street).
(3) Apartment and room numbers.
(4) Temperature degrees, prices, percentages, etc.
d. Do not use numerals:
(1) When starting a sentence, spell out the number, (Four terrorists
were captured yesterday).
e. Use the following rules for the military reports:
(1) Use the military form of writing the time (According to your SOP).
(2) The units, companies, squadrons, regiments, etc., could be
abbreviated and are not placed in numerical order when mentioned in the
report. (He belongs to the 1st Squadron, 2nd Company, Cavalry Regiment).
G. Complete Block #6 (SIGNATURE):
1. Sign your name the same way in which it appears written in block #
5.
2. All reports require an original signature in each page, do not use
carbon paper or stamps when signing the report.
H. Mark all the pages of the report with its appropriate
classification. (The classification will be selected according to the
requirements of your SOP).
I. Send the completed report to the Control Office.
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FIGURE/EXAMPLE #4
EXAMPLES OF INFORMATION FOR THE INTRODUCTION PARAGRAPH
_______________________________________________________________________
1. SOURCE'S INTERVIEW (INVESTIGATION OF HISTORY):
(DESIGNATION PHASE): Interview date; identity of interviewed person
(name, occupation, residence, rank, serial number, position); and the place
where the interview took place. The reason for the interview, and the
association and period of knowledge between the SUBJECT and the interviewer.
2. SOURCE'S INTERVIEW (INVESTIGATION OF THE INCIDENT):
Interview's date; complete identity of the source; interview place, and
if necessary, the reason for the interview.
3. FOLLOW-UPS:
Date, length, follow-up type and any information with respect to persons
under follow-up (observation); place, and the identity of the persons that are
handling the follow-up. If the situation requires the protection of the
identity of the persons (without counting the agents), a code reference must
be used.
4. SUBJECT INTERVIEWS:
(DESIGNATION OF PHASE); date of the interview, identity of the SUBJECT
(complete name, rank, serial number/identity number, position, employment
place and residence address and employment place); sworn declaration of truth;
interview place; purpose for the interview; notice of legal rights; notice of
need to have a written sworn declaration by the SUBJECT.
5. REVIEW OF FILES:
(DESIGNATION PHASE); review date; finding the files, office or any
place, name and position of the person who brought access to the files,
complete identity of the file (title, page, or any other information that
helps in the identification of the file).
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CONTINUATION OF FIGURE/EXAMPLE #4
6. SEARCHINGS, SCRUTINIES, SEIZURES:
Date of activity, identification of persons and/or units carrying out
such activity; and the authority to carry out this authority. In scrutinies
and seizures you need the name of the official that serves as witness.
(Normally this person is the SUBJECT'S commander).
7. INVESTIGATIVE INTENTS:
Date of intent, identity of the persons whom they tried to interviewed;
identity of persons to whom they talked; reason for which the person was not
able to be interviewed; and any other possible lead. The explanation must show
that everything possible was done to find the source or the person but it was
not possible.
8. CONFIDENTIAL SOURCES:
Sources that have codes for identification purposes will not be
identified, neither phrases nor information that could give leads as far as
identity or location will be included in the report. The confidential sources
will only be mentioned by its code, or designated symbol. To help evaluate the
information, the Agent indicates through a phrase the security level the
source has. EXAMPLE:
"The Source, who has brought confidential information in the past...
"The Source, who has brought information that has been corroborated
partly by other sources
"The Source, whose security is unknown, but who has known the SUBJECT
during the last five years....
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FIGURE/EXAMPLE #5
ASSOCIATION PARAGRAPH
1. The first time they met (were introduced) and the circumstances of
such meeting.
2. The last time they met and the circumstances.
3. Type of contact (professional or social, or both).
4. Contact frequency.
5. Closest association period, if any.
6. Moments in which they did not have contact for 31 days or more.
7. Communication between them during the period in which they did not
have contact.
8. Communication or correspondence from the date of last contact.
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FIGURE/EXAMPLE #6
______________________________________________________________________
AGENT REPORT FROM
______________________________________________________________________
1. SUBJECT'S NAME OR TITLE OF INCIDENT 2. DATE
RAMIREZ, Juan O. 15 May 1988
TCC: TORRES, Antonio O. 3. CONT. NUMBER
CPT, 000-000-000
9 MARCH 1956, San Salvador, ES
______________________________________________________________________
4. REPORT OF FINDINGS:
WRITE HERE THE PRIVACY PHRASE USING CAPITAL LETTERS.
(MEDICAL FILES) El (DATE), Juan O. RAMIREZ'S military medical files
at the Military Hospital, San Salvador, El Salvador were reviewed by (rank and
Agent's name), Special Agent, Joint General Staff, substantially and revealed
the following information:
NAME:
RANK:
SERIAL NUMBER:
UNIT:
DATE OF LAST MEDICAL CHECKUP:
The SUBJECT'S file did not have information that could indicate the ilegal use
of drugs or marihuana; abuse of prescription medicines or any other medicines;
the chronic use of alcoholic beverages, or mental or nervous disorders. No
physical disorder or medicines indicated in the file give any abnormal
indications.
______________________________________________________________________
5. NAME AND ORGANIZATION OF AGENT 6. SIGNATURE OF AGENT
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REPORT FROM
AGENT
_____________________________________________________________________
1. NAME OF SUBJECT OR TITLE OF INCIDENT2. DATE
___________________________
3. CONT. NUMBER
_____________________________________________________________________
4. REPORT OF FINDINGS:
______________________________________________________________________
5. AGENT'S NAME AND ORGANIZATION 6. AGENT'S SIGNATURE
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CHAPTER 19 LN324-91
INVESTIGATION REPORT
INTRODUCTION:
As CI espionage agent you must have the knowledge of how to prepare an
investigation report. An investigation report is an accumulation of agent's
reports in a concise summary of basic interrogations in which only the facts
are written down.
GENERAL FACTS:
NOTE: Example #1 is the format for the investigation report.
A. PREPARE THE REPORT'S HEADING:
1. Write down the date in which the report was prepared in the block
"DATE SUBMITTED" in the report.
2. Write down the "focus" information if it applies in this report.
This block is pertinent if the report deals with an investigation of history.
If this is not an investigation of history, leave this block blank.
3. Write down the category of the case in block "CASE
CLASSIFICATION". (Example: Espionage, Sabotage, Subversion, etc).
B. If this is a Personal investigation of a SUBJECT (that is, in which
the SUBJECT is known) fill out blocks 1 to 10. If the SUBJECT is not know,
enter N/A (Not applicable) in these blocks.
1. Write down the name (last name in capital letters, first name, and
initial) of SUBJECT in block #1.
2. Write down the serial number, identity number, of the SUBJECT in
block #1.
3. Write down SUBJECT'S race in block #3.
4. Write down the rank, that is military or civilian, in block #4.
5. Write down the branch of the Armed Forces to which the SUBJECT
belongs, in block #5.
6. Write down the position that the SUBJECT occupies in block #6.
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7. Write down the date of SUBJECT'S date of birth in block #7.
8. Write down the SUBJECT'S place of birth in block #8.
9. Write down the unit or the employment address of SUBJECT in block #9.
10. Write down the SUBJECT'S residential address in block #10.
C. If this is an INCIDENT case (Person or unknown persons), fill out
blocks 11 to 15. If this is not an INCIDENT case, write down N/A in these
blocks.
1. Write down the incident's title in block #11.
2. Write down the incident's date in block #12.
3. Write down incident's time in block #13.
4. Write down the place where the incident occurred in block #14.
5. Write down the register numbers or serial numbers of any equipment
that was involved in the incident in block #15.
D. Complete the Control Section:
1. Write down symbol/control number or the file number in block #16.
2. Write down the name of organizations that are involved in carrying
out the investigation in block #17.
3. Write down the name of the control office in block #18.
E. Complete "Investigation Facts" section:
1. Write down the name of the person or organization that requested
the report in block #19.
2. Write down the reason for which the investigation is being carried
out in block #20.
3. Write down the information about the date of investigation in
block #21:
a. Write the date in which the investigation started.
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b. Write down the date in which the investigation ended (If it has
not ended yet, write down N/A in this space).
F. Write down the "Present Situation of the Case" in block #22:
1. CLOSED: An investigation is indicated as "CLOSED" when there is no
need for further investigative activities for the authorities to make a
decision upon the case.
2. FINISHED/ELIMINATED: An investigation is considered FINISHED when the
investigation has stopped for any reason that is not the conclusion of the
case.
3. SUSPENDED: An investigation is considered SUSPENDED when the
information obtained is not complete and all the tangible leads have been
exhausted, but there is a possibility yet that new information will spring up
in the future.
4. PENDING: An investigation is considered PENDING when the
investigation is continuous. (or that there are many facts and leads to be
resolved and developed yet).
F. Complete the "Synopsis" Section:
NOTE: THE Synopsis IS A SUMMARY, CONCISE, IN PARAGRAPH FORMAT, WRITTEN IN A
LOGICAL SEQUENCE OF INVESTIGATIVE ACTIONS, AND ANSWERING TO THE MOST COMPLETE
MANNER TO "WHO", "WHAT", , "WHERE", "WHY", AND "HOW" OF THE
INVESTIGATION. RECOMMENDATIONS, OPINIONS, OR CONCLUSIONS MUST NOT BE INCLUDED
IN THIS REPORT. THESE COMMENTARIES MUST BE INCLUDED IN THE TRANSMISSION
LETTER OF THE INVESTIGATION REPORT.
1. Margins:
a. Start the report three (3) lines below de black border in the
upper part of the Synopsis block.
b. The black border in this report will serve as the left margin of
the report.
2. Enumeration of Paragraphs: The paragraphs in the Synopsis Section
of this report will not be enumerated.
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3. Classification of paragraphs: Each paragraph of the Synopsis will
have the Specific Classification of that paragraph at the beginning. This is
done by writing the classification of each paragraph in quotes at the start of
the paragraph. (Example:
(C) THE STUDENTS WERE
4. Convincing documents to the report:
a. All convincing documents (or additional documents) to the report will
be named in parenthesis within the Synopsis paragraph that these support. For
Example if Agent #1's report supports the first paragraph of the Synopsis, you
will include something like this within the paragraph: (Agent #1's report).
5. Classification of the report: The report will be classified
according to its content, and what is stipulated in the SOP.
G. Continuation pages: If the report could not be finished in the
first page, it is continued in another page in blank, using the normal margins
according to the SOP.
1. In the upper part of the continuation page, write the Title
(Theme), or the name of the SUBJECT in the lower part and the Date and number
of the file in the right portion of the paper. EXAMPLE:
BENITEZ, Wilfredo D. DATE: 1 May 1988
FILE NUMBER: 50-88-0-1
H. Complete the "Distribution" Section in block #24. The distribution
of the report will be made according to its SOP.
I. Complete the "Reviewed by" section in block #25. The typewritten
name and signature of the authority that reviewed the report is written down
in this section.
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INVESTIGATION REPORT DATE SUBMITTED
_________________________________________________________________FOCUS
(HISTORY) CASE CLASSIFICATION
_____RAL _____RAG _____IAE _____IAI
_________________________________________________________
IDENTIFICATION DATA
1.LAST NAME FATH. MOTH. NAM., INIT. 2.I.D. 3.RACE 4.RANK 5.BRANCH
_________________________________________________________6 .POSITION7.
DATE OF BIRTH 8. PLACE OF BIRTH
_________________________________________________________
9. UNIT OR EMPLOYMENT ADDRESS 10. RESIDENTIAL ADDRESS
_________________________________________________________
11. INCIDENT'S TITLE 12. INCIDENT'S DATE 13. INCIDENT'S TIME
_________________________________________________________14.LOCAL
(BUILD. UNIT) 15. EQUIPMENT, ETC. SERIAL NUN.
_________________________________________________________
CONTROL DATA
16. CONTROL SYMBOL OR FILE NUMBER
__________________________________________________________________17.
INVESTIGATION DONE BY (ORG.) 18. CONTROL OFFICE
INVESTIGATION DATA 19. INVESTIGATION REQUEST BY20.
REASONS FOR INVESTIGATION
________________________________________
21. INVESTIGATION DATE
START COMPLETION
________________________________________
________________________________________
22. PRESENT CASE SITUATION
_____CLOSED _____FINISHED ______SUSPENDED ______PENDING
_______________________________________________________
23. SYNOPSIS
24. DISTRIBUTION
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CHAPTER 20 LN324-91
25. REVIEWED BY
NAME AND TITLE SIGNATURE
PREPARATION OF SUMMARY REPORTS
INTRODUCTION:
A summary report (SR) is the vehicle used to summarize certain aspects
of an investigation, or give emphasis to key points of actions in an
investigation. This report is not as detailed and is not designed to replace
the Agent's Report. It is as the title implies, a summary. The (SR) must
contain certain favorable or derogatory (unfavorable) concise information
declarations, if it applies, this way the perspective of the case or
investigation will not be altered.
GENERAL FACTS:
A. Preparing the heading.
1. Write down the preparation date in the "Date" section.
2. Write down the identity of the "Preparing Office".
3. Write down the SUBJECT'S information using the same rules in the
Agent's Report.
a. Father and mother's last name in capital letters, name, initial.
b. Identification number.
c. Date and place of birth (FDLN).
EXAMPLE: PEREZ-RIVERA, Juan A.
I.D. NUMBER: 111-11-1101
PDOB: 1 January 1947, San Miguelito, ES
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B. Write down the information to be reported in the "Summary Report"
section. The text starts in the third line of the black line in the upper part
of the block titled "Summary Report", leaving two lines in the upper part. The
line or black border to the left of the document is used as a margin for all
items.
1. Write down the numbers in sequence. For example:
1.
2.
3.
2. Write down the classification contained in each paragraph. For
example:
1. (C)
2. (S)
3. (NC)
3. Write down the evaluation code (key word) of the information
content of each paragraph using the evaluation system shown in the SR. The
evaluation code must be written down in the last line of the paragraph in the
right edge (Figure 1).
NOTE: If there is not enough space to write down the evaluation code in the
last line of the paragraph, the evaluation code will be written down in a line
below the last line of the paragraph and in the extreme right of the document.
Example:________________________________________________________________
_____________________________________________
________________________________________________________________________
______he left in a Toyota with Cuban license plates.
(F-6)
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C. Information Sources.
Information sources normally are not revealed in the SR. If the report
is kept within military intelligence, the source could be identified if the
identification is necessary to establish the truth of the information. When
the source is not identified, for security purpose, an indication of the
access to the information could be included while the information about the
source is not as explicit that it identifies the source. When the SR does not
reveal the source's identity the copy of the office files should write down
the source(s) identity. A code number must be used when the source's identity
requires protection. Bibliographies of the sources could be added in the files
when using more than one source for the same report.
D. Information from other government agencies. Information obtained
form other government agencies, except from the Armed Forces, will not be
included in the SR. If other agencies outside the Armed Forces solicit the
information obtained in the SR, the originator or the source must give
permission for the information to be divulged. If the SR contains information
that has been authorized to be divulged to other agencies, this information
will be written in capital letters and underlined.
Example: THE SOURCE WHO IS CONSIDERED TRUSTWORTHY INFORMED THE
__________________________________
___________(Figure 1, Paragraph 4).
When this type of information appears in the SR, the following declaration
must be included and must appear as a non-numbered paragraph and at the end,
written in capital letters. (Figure 1, Paragraph 4).
Example: INFORMATION FROM OTHER SOURCES OUTSIDE THE SOURCES FROM THE ARMED
SOURCES ARE INCLUDED IN THIS SR. THIS INFORMATION WILL NOT BE DIVULGED TO ANY
OTHER AGENCY OUTSIDE THE ARMED FORCES.
E. Additional space. If you need additional space, two lines in the
lower part of the document will be left blank and the text will continue in
blank paper with normal margins. In the upper part of the white paper, the
SUBJECT'S block will be placed at left with the date and reference files.
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Example: 1 August 86
PEREZ-RIVERA, Juan A.
I.D. NUMBER: 111-11-1101
PDOB: 1 January 1947, San Miguelito, ES
he came into the restaurant and sat down at the corner table where was
accompanied_____________________________________________
F. SR distribution. The last item of the SR is the distribution. The
distribution will be indicated according to the SOP. (Example in figure 1).
G. Closing the SR. The SR is not signed. The file copy will have the person s
name who prepared the SR typewritten in the upper part at the document's right
corner.
H. The SR will be classified according to its content.
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____________________________________________________________ SUMMARY
REPORT DATE
____________________________________________________________
PREPARING OFFICE
____________________________________________________________
SUBJECT SOURCE'S EVALUATION CODE ABOUT THE INFORMATION
COMPLETELY TRUSTWORTHYA CONFIRMED BY OTHER
NORMALLY TRUSTWORTHY B SOURCES 1
COMFORTABLY TRUSTWORTHY C PROBABLE TRUTH 2
NORMALLY NON-TRUSTWORTHY D POSSIBLE TRUTH 3
NON-TRUSTWORTHY E DOUBTFUL TRUTH 4
TRUST NOT KNOWN F IMPROBABLE 5
TRUTH CANNOT
BE JUDGED 6
___________________________________________________________SUMMARY REPORT
___________________________________________________________________
DISTRIBUTION
___________________________________________________________________
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CHAPTER 21 LN324-91
SCRUTINY OF CI INFORMATION
INTRODUCTION:
The scrutiny process and CI interrogation allows us to identify and
explore the persons/targets of interest to CI. This process allows us to
detect these persons or targets, it helps us in the imposition of the same in
an effective manner.
GENERAL FACTS:
A. DETERMINE THE PURPOSE OF THE SCRUTINY AND CI INTERROGATION:
1. The CI scrutiny operations, submit, in a systematic way, the
civilians in the combat area to a series of
questioning/interviews/interrogations with the purpose of:
a. Find and segregate suspicious persons.
b. Identify persons of interest to the CI. (See Example #1).
NOTE: THE CI SCRUTINY OPERATIONS ARE CARRIED OUT TO INTERCEPT ENEMY
INTELLIGENCE AGENTS, SABOTAGE AGAINST, INSURRECTION TRYING TO INFILTRATE OUR
AREA OF OPERATIONS.
c. Obtain information of immediate value to the intelligence.
d. Obtain information that normally will not be available to the
intelligence units.
2. The CI interrogation operations are carried out to obtain the
maximum amount of information about the enemy's intelligence operations in the
least possible time.
B. Determine the types of scrutiny operations necessary to satisfy
search requirements and CI operations.
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EXAMPLE #1
VARIED CATEGORIES OF PERSONS THAT ARE OF INTEREST TO CI
1. REFUGEES AND DISPLACED PERSONS
2. BORDER CROSSERS
3. ENEMY UNITS DESERTERS
4. CIVILIAN PRISONERS AND WAR PRISONERS
5. CONCENTRATION CAMP CAPTIVES
6. RESISTANCE ORGANIZATIONS MEMBERS WHO ARE INTERESTED IN JOINING OUR
LINES
7. ENEMY COLLABORATORS
8. CI TARGETS, SUCH AS THOSE APPEARING IN BLACK, GREY AND WHITE LISTS
9. VOLUNTARY INFORMANTS
10. PERSONS WHO HAVE TO BE INTERVIEWED BECAUSE THEY ARE UNDER
CONSIDERATION FOR EMPLOYMENT WITH THE DEFENSE FORCES OR WITH THE CIVILIAN
AFFAIRS OFFICE.
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1. You must establish operations with a central scrutiny focus
normally in the area of collection of war prisoners. This central scrutiny
point:
a. Has as purpose to receive, segregate, investigate and classify war
prisoners, border crossers, refugees, etc.
b. Receive persons captured by combat troops, support and logistics
within the operations area.
2. Fixed checking points, are permanently occupied by combat troops
or military police with the support of interrogation agents or CI personnel,
in the entrance to towns, crossing of rivers, and in other similarly strategic
areas.
3. Mobile checking points, (in vehicle, or on foot) are used as a
mobile system for choosing persons of interest at random. This point must be
located in various places and should not be fixed in the same place for longer
than a day.
4. Wall in and search operations are used to segregate the town, area
or valley, investigate the inhabitants and search residences and public areas.
D. Determine the personnel requirements: The normal investigation
equipment are Military Police, combat troops, civilian affairs personnel,
interrogation agents and CI agents.
E. Determine the specific method of identifying persons of interest
to CI:
1. Carry out initials interrogations of chosen civilian and military
personnel.
2. Use the black, grey and white lists.
3. Use an informant/source who is infiltrated in prison cells or
detention centers/war prisoners.
4. Place recording or sound equipment in the detention areas of
refuges or war prisoners.
5. Distribute a list of CI indicators of interest among the military
police, interrogation agents, civilian affairs personnel and any other
personnel involved in investigations. (SEE EXAMPLE #2).
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EXAMPLE #2
CI INDICATORS OF INTEREST
1. PERSONS IN MILITARY AGE
2. PERSONS WHO TRAVEL ALONE OR AS A COUPLE
3. PERSONS WITHOUT PERSONAL IDENTIFICATION
4. PERSONS WITH STRANGE DOCUMENTS
5. PERSONS WHO HAVE GREAT AMOUNTS OF MONEY, JEWELS IN THEIR POSSESSION.
6. PERSONS WHO SHOW UNUSUAL ACTIONS
7. PERSONS WHO TRY TO AVOID DETENTION OR INTERROGATION
8. PERSONS WHO USE ENEMY'S METHODS OF OPERATION
9. PERSONS KNOWN AS ENEMY SYMPATHIZERS
10. PERSONS WITH A SUSPICIOUS HISTORY BACKGROUND
11. PERSONS WITH RELATIVES IN THE ENEMY'S AREA
12. PERSONS WHO HAVE TECHNICAL SKILLS OR SPECIAL KNOWLEDGE
13. PERSONS WHO HAVE COLLABORATED
14. PERSONS WHO DISOBEY THE LAWS IN THE ENEMYS AREA
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E. Examine the files of the data base from the infrastructure of the
enemy's intelligence so as to become familiar with:
1. Operation methods
2. Procedures/rules
3. Objectives
4. Offices and sub-offices
5. Known agents
F. Study the areas under the enemy's control so as to become familiar
with:
1. The geography
2. Points/historical or tourist areas
3. Distances and road conditions
4. Political situation
5. Social and economic traditions
6. Traditions and customs
7. Racial problems
G. Analyze the operations area to determine:
1. Curfews
2. Movement restrictions
3. Rationing
4. Obligatory service for army
5. Labor civilian programs
6. Requisite to become a member in political organizations
7. Other restrictions that have been imposed by the population
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8. Acquiring knowledge of all the restrictions that have been imposed
to the population could help you to:
a. Detect discrepancies
b. Recognize changes in enemy activities
c. Maintain control
H. We must study the situation and the files of the order of battle
to become familiar with:
1. Enemy units in the area of operations
2. Enemy units adjacent to area of operations
3. Dispositions
4. Capacities
5. Weaknesses/vulnerabilities
6. Composition
7. Training
8. Equipment
9. Activities or recent operations
10. History
11. Personalities and commanders
I. Analyze the intelligence priority requirements of the commander to
recognize, detect, explore and report the facts of the Order of Battle (OB).
NOTE: THE CI AGENT DOES NOT QUESTION THE SUSPECTS WITH THE PURPOSE OF
OBTAINING INFORMATION FROM OB; NEVERTHELESS, EACH CI AGENT MUST FAMILIARIZE
HIMSELF WITH THE COMMANDER'S RPI/RI TO RECOGNIZE PERSONS WHO POSSIBLY HAVE THE
OB INFORMATION.
J. Prepare a list of indicators to help the investigations personnel
in identifying the hostile infiltrators/enemies.
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L. Coordinate WITH:
1. The commander in regards to the segregation of refugees and war
prisoners in your area of operation.
2. The military police for the control of evacuation of refugees and
war prisoners.
3. WITH the G5 for the support of civilian affairs and psychological
operations.
4. The civilian authorities if the control of the area has been
returned to them.
5. WITH the interrogation agents to:
a. Agree on the categories of persons that will be transferred to CI
control for further questioning.
b. Decide where to place the CI interrogation agents and the methods
use to transfer the detained from one place to another.
M. To carry out the initial investigation of the persons:
1. You must segregate the detained, if they are more than one,
according to the following manner:
a. Civilians from military men
b. Officers from troop soldiers
c. You must segregate them even more if necessary according to:
1. Nationality
2. Sex
3. Rank
4. Branch of military service
NOTE: YOU SHOULD SEGREGATE PERSONS IF THERE IS ENOUGH PERSONNEL AVAILABLE TO
CARRY OUT THIS OPERATION.
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2. Determine the apparent level of knowledge of the person evaluating
the following:
a. His physical appearance.
b. All documents, arms and equipment held that was captured WITH the
person.
3. Select personnel of CI interest, comparing the person WITH the
indicators in Example #2 and the type of persons in Example #1.
N. Carry out the interrogations of specific persons
O. Make a disposition of the persons:
1. Exploit persons who have access and are settled in areas of
interest.
2. Transfer these persons to the central point of investigation to be
reintroduced to the flow/group of war prisoners and refugees.
P. Complete the required reports.
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CHAPTER 22 LN324-91
CI INTERROGATION OF SUSPECTS
INTRODUCTION:
The CI (espionage) agent in combat could only have a minimum amount of
information with which to conduct the work or have minimum knowledge of the
situation and the area. In spite of his conclusions been based in that minimum
amount of information, he must be impartial in the search for facts. As a CI
espionage agent you must have two things in mind in working as an
interrogator, the detection and prevention of a threat and the security of the
armed forces and the collection of information of interest for the departments
of intelligence.
GENERAL FACTS:
A. Carry out an exhaustive study of all the material available in the
case under investigation:
1. The interrogation is the art of questioning and examining a source
to obtain the maximum quantity of useful information. The goat of
interrogation is to obtain true and useful information in a legal manner and
in the minimum amount of time possible.
2. To do effective work and carry out a logical sequence of
questions, you must always have in mind all that you know to that moment about
the case under investigation.
a. Identify yourself to all persons involved in the incident,
including witnesses, victims, and investigations.
b. Identify the exact circumstances of the incident occurred.
c. Determine where each incident happened or activity.
d. Identify how it happened.
e. Identify why it happened.
2. Pay particular attention to all the details of the case,
especially those details that are not of public knowledge as yet.
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d. Become familiar WITH the legal aspects and procedures that apply
to the case.
a. Identify the elements of the crime that could help you determine
the objectives of the interrogation.
b. Identify the illegal or prohibited methods. Do not use force,
mental torture, threats, insults or exposition to cruel or inhuman treatment
of any sort.
NOTE: IN CASE THAT THERE IS DOUBT IN REGARDS TO THE LEGALITY OF A METHOD,
CONSULT WITH AN AUTHORITY IN A HIGHER ECHELON TO CLARIFY THE DOUBTS.
B. Identify possible suspects for interrogation:
1. Become familiar completely WITH the history of the suspects.
History data of particular interest during the interrogation include:
a. Age, place of birth, nationality and race.
b. Rank, or position in the community.
c. Level of education.
d. Present and past occupations.
e. Habits.
f. Associates (business partners)
g. Criminal history.
NOTE: IF IT IS POSSIBLE TO OBTAIN THIS INFORMATION BEFORE THE INTERROGATION,
OBTAIN IT FROM THE SUSPECT DURING THE INITIAL PHASE OF THE INTERROGATION.
3. Use the history of the suspect information to:
a. Develop the best method of questioning
b. Prove the truthful intention of the suspect
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c. Impress the fact to the suspect that the detailed fact is the
investigation of the case.
3. Determine the available information, what type of attitude is
expected from the suspect.
a. Cooperative and friendly: Offers little resistance and he will
talk freely about almost any theme.
b. Neutral and non-sharing: Will cooperate up to a certain point.
Direct questions and to the grain of the matter will have to be used to obtain
the answers.
c. Hostile and antagonistic: Frequently, will refuse to talk and will
offer much resistance.
4. Classify the suspects according to the following:
a. Persons WITH previous offenses and whose guilt is almost certain
according to information already available.
b. Persons whose guilt is doubtful or uncertain due to the weak
evidence available or the lack of essential facts.
5. If possible, carry out a visual observation of the suspect before
the interrogation takes place to identify weaknesses that could be exploited
during the interrogation.
C. Prepare an interrogation plan:
1. Identify the objective of the interrogation:
All interrogation must have a defined purpose. This purpose must be kept
in mind during the entire preparation process and when the interrogation is
carried out. But, it must not be concentrated so much in the objective as to
allow another valuable information to be overlooked during the interrogation.
2. Identify the type of interrogation:
a. Direct interrogation: The suspect knows that he is been
interrogated. Nevertheless perhaps he does not know the true objective of the
interrogation. This method takes less time than the other one.
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b. Indirect interrogation: Obtain information through deception. The
suspect does not have any idea that he is been interrogated. This method
requires a careful planning, extreme discretion, and must be applied WITH much
skill.
3. Identify and obtain the helpful things required for interrogation:
a. Files
b. Documents
c. Maps/charts
d. Pencil, notebooks, tape recorder, etc.
e. Any other equipment that could facilitate the process of
interrogation.
4. Identify the approximation methods that will be used during the
interrogation:
NOTE: SELECTING AN INITIAL APPROXIMATION IS NECESSARY, BUT YOU MUST KEEP THE
FLEXIBILITY OF MOVING FROM ONE APPROXIMATION METHOD TO ANOTHER.
5. APPROXIMATION METHODS:
a. DIRECT APPROXIMATION: Do not try to hide the purpose of the
interrogation. It works better when it is used WITH persons whose guilt is
almost certain and WITH those persons that have little knowledge of what
security is. It is a good method to interrogate persons of low level or rank
in organizations. This method takes little time and is simple. This method
offers the best opportunity to demonstrate empathy and understanding to the
suspect. Act as if the offense is something that the suspect will not commonly
do. Treat the suspect as a rational person who was only exposed to the
circumstances of the case.
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b. FILE AND DOSSIER: Prepare a file that contains all the information
collected about the suspect. A careful arrangement of the information in the
file could give the appearance of having much more information than it really
has. Put additional papers, although they do not contain information to just
give the appearance of an enormous file. Mark the file WITH different
sections/areas of interest about the history of the suspect. Confront the
suspect WITH the file and warn him that it contains detailed information of
his background history and activities and that it is useless for him to refuse
to cooperate in the interrogation. The triumph of this method depends upon the
immaturity of the suspect, the amount of information available, and the skills
used by the interrogation agent to convince the suspect.
c. WE KNOW IT ALL: Make questions based upon information that is
already known to us. When the suspect refuses to answer, hesitates, or
provides incorrect information, you yourself provide the information or
correct answer. If it is used correctly, you may convince the suspect that we
know it all and that his answers are not of real importance. When the suspect
starts to answer truthfully, weave other questions, of which we do not have
the answers. Always verify the truthfulness of the suspect starting to make
the questions of which we know the information. This method could be used WITH
or without the files and dossier method.
d. FUTILITY/USELESSNESS: You must convince the suspect that resisting
to answer to the interrogation is useless. Present true information to the
suspect in a persuasive and logical manner to exploit the psychological and
moral weaknesses of the persons.
e. QUICK SHOT: Make a series of questions to the suspect in a way
that he will not have time to answer one before the next one is made. Since
the suspect does not have time to formulate his answers he will get confused
and could contradict himself. Confront him WITH the inconsistence of his
answers, so that perhaps he may reveal more information than he wishes. This
provides leads to further questions. Prepare all questions beforehand. Use a
competent experienced interrogator. Use this method immediately after his
arrest to take advantage of his state of confusion.
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f. INCENTIVE: To reward the suspect's cooperation and the fact of
telling the truth, this is attained normally by providing him WITH some
physical commodity, (cigarettes, sweet, coffee, etc.) that normally is not
given to him. Do not make promises or commitments that are beyond your ability
to fulfill. Use caution to avoid that the suspect gives false information WITH
the intention of getting the article he wishes. Never deny the basic articles
of human needs. Do not use the threat of taking food so as to obtain his
cooperation.
g. REPETITION: Make a question, wait for the answer, and repeat the
question and the answer several times. This is done WITH all questions until
the suspect is totally bored and starts to give unexpected answers so as to
break the boredom. This method works better WITH a hostile person. Generally
it does not work WITH an introverted or timid person.
h. MATT AND JEFF: You must use two experienced interrogators that
could develop two different personalities towards the suspect. The first
interrogator acts very formal, little sympathetic, and at times rude, noisy
and aroused. The second interrogator appears when the suspect feels lost and
alone. The second scolds the first interrogator for his poor professional
conduct and orders that he leaves the interrogation room. The second
interrogator apologizes WITH the suspect and tries to calm him. He shows
empathy WITH the suspect and tries to establish some common ground between the
two, for example: both are intelligent and sensitive, while the first
interrogator was not. The idea is that the first interrogator could return to
the interrogation and help if the suspect stops to cooperate.
i. PRIDE: This method could be used in two ways. Attack the pride of
the suspect accusing him of being weak or insinuating his poor ability to do
anything. The suspect who is proud will hurry to defend his abilities.
Frequently this will explain why he did or did not do something just to defend
his honor. You may obtain important information from his answers. The other
way to use this method is to praise the suspect until you get him to admit
certain information as a way of reclaiming responsibility/credit. This brings
the suspect an opportunity to boast what the has done.
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j. SILENCE METHOD: Do not say anything to the suspect, but look at
him fixedly in the eyes. Do not move your gaze, but make him break the eye
contact. As the suspect gets nervous, he will start to make questions, but do
not break the silence until you are prepared to do so. Keep this method for
some time and the suspect will get nervous. When breaking the silence you must
question the suspect WITH questions that indicate his guilt.
k. CHANGE IN SCENARIO: Take the suspect out of the interrogation room
environment. Take the suspect to a more peaceful but controlled area that
could give the opportunity to have a peaceful and nice conversation during
which you may pull the necessary information from the suspect.
1. ESTABLISH HIS IDENTITY: It is alleged that the suspect is not the
person he claims to be, but that he is a person who the police authorities are
searching for political assassinations and acts of terrorism and treason, or
any serious accusation. In his intent to establish his identity, the suspect
could give valuable information and leads for further investigations.
m. EMOTIONAL: Determine what emotion motivates the suspect (hate,
love, vengeance, desire to make money) and exploit that emotion. This method
is very effective when you use immature and timid persons.
5. Develop detailed questions to use during the interrogation:
a. Develop questions that guarantee that the area of interest is
exploited.
b. Develop questions that establish all facts (who, what, when,
where, why and how).
c. Develop control questions of which the answers are already known.
d. Develop non-pertinent questions if the true objective of the
interrogation is been hidden from the suspect. Use non-pertinent questions to
break the suspect's concentration.
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e. Develop repeated questions making the same questions but in a
different way.
f. Develop direct questions that require a narrative answer.
g. Develop follow-up questions that allow the expansion of
themes/areas as they become necessary.
D. Select the interrogation personnel based in the selected
approximation, type of suspect, and the ability of the interrogation agents.
1. Select an interrogation agent that has personality characteristics
that are adequate and an interest in human nature. Personal qualities desired
in an interrogation agent are:
1) Motivation
2) Be alert
3) Patience and tact
4) Objectivity
5) Credibility
6) Adaptability
7) Perseverance
8) Linguistic skills
2. Select an interrogation group, if possible. It is necessary to
have a group to successfully use much of the approximation methods already
discussed. Additionally, an interrogation agent could notice that he cannot
obtain the necessary information after having used various approximations and
techniques, or is tired in the middle of a long interrogation. This could
cause the loss of control of the interrogation and another interrogation agent
must replace the first.
E. Guide the interrogation group in the approximation methods already
selected and the role that each one will play in the interrogation.
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F. Make all the arrangements in regards to the suspect:
1. Coordinate the arrest of the suspect.
a. Make arrangements WITH the police to detain the suspect.
2. Make the arrangements to locate the suspect and give him board
after the arrest.
3. Coordinate the use of facilities to give food to the suspect.
4. Coordinate the services of an interpreter if necessary.
5. If the suspect is of the opposite sex coordinate the presence of a
witness of the same sex if necessary. It is also good to coordinate the
presence of a witness to observe how the information is obtained; and so as to
avoid that the suspect accuses us of using ilegal tactics such as torture,
coercion and mental abuse.
a. Obtain the authorization of the commander to use a witness
in the interrogation.
NOTE: IF THE SUSPECT IS OF THE OPPOSITE SEX, INFORM HIM OR HER OF HIS OR HER
RIGHT TO HAVE A WITNESS OF THE SAME SEX PRESENT DURING THE INTERROGATION. IF
THE SUSPECT DOES NOT WISH TO HAVE A WITNESS OF THE SAME SEX PRESENT, OBTAIN A
SIGNED SWORN DECLARATION, INDICATING THIS WISH. (ALTHOUGH THE SUSPECT REFUSES
TO USE A WITNESS, PLACE A WITNESS OF THE SAME SEX AT A DISTANCE THAT COULD
LISTEN TO WHAT GOES ON DURING THE INTERROGATION WITHOUT BEEN SEEN BY THE
SUSPECT.
G. Select and prepare the interrogation room:
1. Select a room that gives privacy during the interrogation.
Eliminate all distraction possible.
2. Select a room that allows you to control the physical environment.
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3. Select a room that has a nice constant temperature.
4. Arrange the furniture in the interrogation room. The furniture
must be only a small table to write, but that does not give an area in which
the suspect could hide under, and three chairs.
5. Place all material necessary during the interrogation in the room.
Materials such as paper, pencil, reference manuals and other interrogation
aids.
NOTE: DO NOT HAVE A TELEPHONE OR ANY ARTICLE THAT COULD BE USED AS AN ARM IN
THE INTERROGATION ROOM.
H. Install and test the recording equipment. Use the recording
equipment so that you could keep your concentration during the interrogation.
Taking notes during the interrogation could break the rhythm of the
questioning and it could cause you to loose the sequence of the questions and
the concentration.
1. Install the recording equipment so that it is looks as if it is
part of the furniture of the office.
NOTE: TO USE THE RECORDING EQUIPMENT, FIRST CONSULT WITH THE SUSPECT AND GET
HIS PERMISSION.
2. Test the equipment to make sure that it is functioning correctly.
I. Receive and identify the suspect:
1. During the initial contact keep a professional posture and try to
gain the trust of the suspect.
2. Verify the identity of the suspect and examine his personal
documents.
J. Identify yourself and the other members of the interrogation
equipment. Use your official badge to make sure that the suspect knows your
identity as a member of the military intelligence.
K. Explain to the suspect that the nature of the accusation is
against his behalf.
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b. Try to identify contradictions and weaknesses in the history of
the suspect.
5. Change interrogation agents if the first interrogation agent
cannot obtain true information or a confession after having used various
approximation techniques.
6. If all the approximations fail with the suspect, confront him with
crime witnesses if possible.
7. If necessary, make a final convincing appeal against the suspect's
continuous resistance.
a. Insist in appealing the existence of all evidence against
him.
b. Confront the suspect with the contradictions and weaknesses
in his history.
Q. If the suspect admits culpability, obtain a sworn declaration
signed by him.
R. CLOSING PHASE OF THE INTERROGATION:
1. Close the interrogation for any of the following reasons:
a. If the suspect is sick, wounded, or advanced age and needs medical
attention.
b. Various interrogations are necessary to obtain all the necessary
information.
c. The suspect is bored and denies to cooperate.
d. All the questions have been answered and the requirements of the
interrogation have been satisfied.
e. The initiative has been lost and you as interrogation agent decide
to close the interrogation.
2. When the interrogation is closed, always consider the
possibility of interrogating the suspect again.
a. Finish the interrogation in a nice manner.
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b. Re-emphasize the approximations used to gain confidence from the
suspect.
c. Give opportunity to the suspect to add additional information to
the one already given.
3. Use the time dedicated to the Closing to try to obtain information
that may have not been discussed during the interrogation. A suspect could
relax a little more after knowing that the interrogation has been finished and
he could reveal additional information.
S. Disposing of the suspect:
1. Have the police put him under custody.
2. Give the suspect to pertinent civil authorities.
3. Give the suspect to the commander's custody.
T. PREPARE THE REQUIRED REPORTS
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CHAPTER 23 LN324-91
EXTRACTING CI INFORMATION
INTRODUCTION:
Wheedling is applied always with a specific purpose in mind. The
objective, or the information desired, is the SUBJECT'S determining factor, of
the wheedler, and the environment.
GENERAL FACTS:
A. Definition of WHEEDLING: Wheedling is the technique of obtaining
the greatest amount of information/useful intelligence, from a person or
source, so that the person does not know our purpose.
1. Before starting the wheedling there are requirements of CI
collection to be reviewed:
a. Identify the required specific information.
b. Identify the wheedling objective.
2. Select the SUBJECT of the wheedling according to his access to, or
knowledge of, the information desired.
3. Obtain and evaluate all information available in regards to the
SUBJECT in the wheedling:
a. Carry out the review of files and try to obtain the following
information about the SUBJECT:
1) History
2) Motivations
3) Emotions
4) Psychological nature
5) Habits or patterns
6) Favorite visiting places. (bars, restaurants, discos, etc.)
7) Favorite hobbies
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8) What level of knowledge he has about security that person has.
9) If he has been previously used in other wheedling intents by other
CI agents.
4. Determine in what place/specific environment the wheedling will
take place.
a. Select the place where the approximation to the SUBJECT/Source
will take place.
NOTE: A SUBJECT must be approached in a natural environment to avoid raising
his suspicion.
b. Obtain al the information about the place selected:
1) Identify all the place's irregular traces or facts.
2) Identify what type of clothes will be required to enter that
place. (Formal: shirt and tie; Informal: shorts, jeans, etc).
3) Identify the money requirements. (It is a place where food or
products are expensive or cheap).
4) Identify possible security problems
5) Identify if the place has been used previously as a wheedling
place.
c. Select the date and time more desirable for the approximation.
5. Select for yourself a logical story (cover), one that could be
credible and is according WITH the situation. The history must explain:
a. The reason you have to be in the chosen place for the
approximation.
b. The agent's actions during the conversation.
6. Carry out the approximation using one of two approximation
techniques: Flattery and Provocation, or any variation of these two techniques
as mentioned below:
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a. Use the flattery method:
1) Appeal to the ego, pride of the SUBJECT. Give him (SUBJECT)
the opportunity to show pride or so that he flatters himself about his
triumphs and gains.
2) Insinuate that the SUBJECT is an expert in a specific area,
topic or theme. In this manner you will give him the opportunity to feel as if
he is the teacher and you are the pupil.
3) Offer him (SUBJECT) valid and honest assistance.
4) Discuss areas of mutual interest. (Hobbies, work, sports,
etc.)
NOTE: The agent must have a good knowledge of the theme he thinks he will
choose to show mutual interest (that is to be able to follow the conversation
professionally)
b. Use the approach method of provocation to open the conversation
WITH the SUBJECT:
1) Adopt an attitude as if you do not believe what the SUBJECT
says:
"What you say, is very difficult to believe, you have to explain it to
me in more detail to see if it is true".
2) Insinuate that the SUBJECT really does not know anything of
what he is talking about.
7. Once the approach has taken place, take the conversation to the
area of interest:
a. Try to obtain more information give him answers that the SUBJECT
finds obscure and that require more information to clarify them.
b. Ask the SUBJECT for more. information when his answers are not
clear enough: ("I agree WITH you, although, what does it mean....").
NOTE: Be persistent without being abusive, bored or insolent.
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c. Present a hypothetical situation that could be associated WITH an
idea or thought expressed by the SUBJECT.
NOTE: Many persons that normally do not make comments about a real situation,
will give his opinion about hypothetical situations.
d. Use your imagination and initiative to keep complete control of
the conversation at all times.
8. Finish the (unclear]a. Use the flattery method:
1) Appeal to the ego, pride of the SUBJECT. Give him (SUBJECT)
the opportunity to show pride or so that he flatters himself about his
triumphs and gains.
2) Insinuate that the SUBJECT is an expert in a specific area,
topic or theme. In this manner you will give him the opportunity to feel as if
he is the teacher and you are the pupil.
3) Offer him (SUBJECT) valid and honest assistance.
4) Discuss areas of mutual interest. (Hobbies, work, sports,
etc.)
NOTE: The agent must have a good knowledge of the theme he thinks he will
choose to show mutual interest (that is to be able to follow the conversation
professionally).
b. Use the approach method of provocation to open the conversation
WITH the SUBJECT:
1) Adopt an attitude as if you do not believe what the SUBJECT
says:
"What you say, is very difficult to believe, you have to explain it to
me in more detail to see if it is true".
2) Insinuate that the SUBJECT really does not know anything of
what he is talking about.
7. Once the approach has taken place, take the conversation to the
area of interest:
a. Try to obtain more information give him answers that the SUBJECT
finds obscure and that require more information to clarify them.
b. Ask the SUBJECT for more information when his answers are not
clear enough: ("I agree WITH you, although, what does it mean....").
NOTE: Be persistent without being abusive, bored or insolent.
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c. Present a hypothetical situation that could be associated WITH an
idea or thought expressed by the SUBJECT.
NOTE: Many persons that normally do not make comments about a real situation,
will give his opinion about hypothetical situations.
d. Use your imagination and initiative to keep complete control of
the conversation at all times.
8. Finish the wheedling as soon as you obtain all the
information desired:
a. Change the conversation theme to others before leaving and bidding
goodbye to the SUBJECT.
b. Present various non-pertinent themes to avoid that the SUBJECT
discovers its true purpose. (Wheedle intelligence information).
c. Finish the conversation in a normal manner.
9. Take notes of all the official funds expenses.
B. Prepare the required reports.
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CHAPTER 24 LN324-91
DETECTING CI TARGETS
INTRODUCTION:
The identification of CI targets are done through the intelligence
rules. A data base WITH a line and block box, used in connection WITH existing
black, grey and white lists, intelligence reports and additional information
from the police agencies, army and other agencies, provides us WITH basic
information required to identify the potential CI targets.
GENERAL FACTS:
A. Review the CI estimate to determine the hostile threat:
1. Identify those threats to security that are of an immediate
nature.
2. Identify anticipated future threats.
NOTE: The selection of CI targets must be based in an evaluation of a
complete hostile threat.
B. Identify the specific CI targets of the local area:
a. The CI targets are of interest due to the threat that they
present, or the usefulness to the Armed Forces. CI targets include:
a. PERSONALITIES (SEE FIGURES #2, 3 and 4): that could or not be
friendly or hostile.
b. INSTALLATIONS (SEE FIGURE #5): that represent a threat to the
national security.
c. ORGANIZATIONS AND TeamS (SEE FIGURE #6): that represent a threat
to the national security. Its threat perhaps is not openly detectable due to
their undercover operation methods.
d. DOCUMENTS AND MATERIALS (SEE FIGURE #7): WITH value to the
intelligence or the counter intelligence.
NOTE: Use the CI Work Sheet (SEE FIGURE #1) as the principal paper to assist
in the development of the targets:
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3. Obtain information about the potential CI targets in the local
area:
a. Extract the local targets from the CI target lists at
national level.
b. Extract information from the existing Black lists (SEE
FIGURE #2), White (SEE FIGURE #3), and Grey (SEE FIGURE #4).
c. Extract information from the intelligence files, CI data
base, and similar files.
d. Obtain information from:
1) Civilian Affairs and Psychological Operations (G5)
2) Local intelligence units
3) Police elements
C. Categorize the CI targets identified by the specialty or function.
Examples:
1) Espionage agents
2) Sabotage specialists
3) Messengers
4) Camps or bases
5) Communications and link routes
NOTE: To categorize the targets in this manner, it is essential that the
history detailed information is obtained from the same source that was used to
identify them.
D. Assign priorities to the targets:
1. Determine the priority of each Target based on:
a. The threat to the national security that the target
represents.
b. The urgency or the need to neutralize or exploit the target.
c. The future capacities that await the target.
d. The capacities of the units responsible to neutralize or
exploit the targets.
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2. Assign a numerical priority to each target:
a. The numerical designations are always expressed in roman
numerals (I, IV, XI).
b. The numerical designation emphasizes the relative importance
or the value of the CI targets.
c. The numerical designation expresses the level of interest of
the target.
NOTE: If a target has been assigned a priority at a level higher than the
Command, you at your level cannot alter this priority designation. The local
CI elements will assign priorities to targets locally developed.
E. Assign the responsibilities of the units to neutralization or
exploitation of each target:
1. Determine the capacities of the units to carry out
neutralization or exploitation missions based on:
a. Amount of personnel
b. Equipment available
c. Specific experience
2. Identify the need, if any, to request support from the
military police, infantry, national police, etc.
NOTE: The tactical effort, except in special cases, takes precedence over the
neutralization and exploitation of the targets.
F. Notify the units of their mission(s).
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FIGURE #1
CI TARGETS WORK SHEET
REFERENCES TO CHARTS, MAPS DATE:
_________________________________________________________________
KEYS TO CHART:
1. Target
2. Target classification
3. Priority
4. Localization
5. Team task
6. Team mission (Comments)
7. An administrative number that is written down in chronological order.
8. The classification identifies the target by type, name and provides
specific data for identification about the target.
9. The priority is designated WITH roman numerals and is assigned based
upon the target classification.
10. The localization will identify the place where you may find the target
or if this is not known, it is identified where the target was found the last
time.
11. The team's task of identifying the CI team whose mission is to
neutralize the target is based in the number of persons available and could
include tactical forces, military police and para-military forces.
12. This column is used to make a list of the coordination requirements,
communications, specific details of the mission or other specific information
required so that the team could fulfill its mission.
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FIGURE #2
BLACK LISTS
THESE CONTAIN THE IDENTITIES AND LOCALIZATIONS OF PERSONS WHOSE CAPTURE
AND DETENTION ARE OF FOREMOST IMPORTANCE TO THE ARMED FORCES:
EXAMPLES
a. Enemy agents known or suspects, persons involved in espionage,
sabotage, politics, and subversive persons.
b. Hostile para-military guerilla team leaders, known or suspects.
c. Political leaders known or suspected as hostile toward the Armed
Forces or the political interests of the National Government.
d. Known or suspected leaders of enemy governments whose presence in
the area of operations represent a threat the national security.
e. Collaborators and sympathizers of the enemy, known or suspects
whose presence in the area of operations represent a threat to the national
security.
f. Military and civilian enemies, known or suspected of having
participated in intelligence activities, counter-intelligence, security,
police or political indoctrination between the troops or among civilians.
g. Other personalities identified by the G2 as of immediate
detention. This could include local political personalities, chiefs of police,
and municipal leaders or leaders of the enemy's government departments.
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FIGURE #3
GREY LISTS
CONTAINS THE IDENTITIES AND LOCALIZATION OF THOSE PERSONALITIES WHOSE
INCLINATIONS AND ACTIVITIES TOWARD THE POLITICAL AND MILITARY OBJECTIVES OF
THE GOVERNMENT ARE OBSCURE (THAT IS, NOTHING IS KNOWN ABOUT THEM). THEIR
INCLINATIONS OR ATTITUDES DOES NOT MATTER, IF THEY HAVE SOME INFORMATION OR
SKILLS THAT ARE OF INTEREST TO THE NATIONAL GOVERNMENT. THOSE PERSONS WHOSE
INCLINATIONS OR POLITICAL MOTIVATIONS REQUIRE MORE EXPLORATION OR EVALUATION
BEFORE THEY COULD BE USED EFFECTIVELY BY THE GOVERNMENT CANNOT BE INCLUDED.
EXAMPLES
a. Defectors or potential defectors of the enemy cause whose
motivation or loyalty has not been yet established.
b. Persons that have resisted or are believed to have resisted the
enemy government and that perhaps are willing to cooperate WITH the Armed
Forces of the National Government, but their motivation or loyalty has not yet
been established.
c. Nuclear scientists, physicists and technical personnel suspected
of having participated in development of nuclear projects for the enemy, or
nuclear missile programs, against their will.
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FIGURE #4
WHITE LISTS
CONTAIN THE IDENTITIES AND LOCALIZATION OF PERSONS IN AREAS CONTROLLED BY THE
ENEMY WHO HAVE BEEN IDENTIFIED AS OF INTEREST TO THE INTELLIGENCE OR TO THE
COUNTER INTELLIGENCE, AND IT IS EXPECTED THAT THEY COULD PROVIDE INFORMATION
OR ASSISTANCE IN THE ACCUMULATION OF INTELLIGENCE OR IN THE EXPLOITATION OF
AREAS OF INTEREST. NORMALLY THESE PERSONS AGREE WITH, OR FAVORABLY BEND
TOWARDS THE BELIEFS OF THE NATIONAL GOVERNMENT. THEIR CONTRIBUTIONS ARE BASED
IN A VOLUNTARY AND COOPERATIVE ATTITUDE. THE DECISION TO PLACE A PERSON IN A
WHITE LIST COULD BE AFFECTED BY THE COMBAT SITUATION, THE CRITICAL NEED FOR
SPECIALISTS IN THE SCIENTIFIC FIELDS AND OTHER INTELLIGENCE NEEDS.
a. Ex-political leaders of a hostile government that were deposed by
the hostile political leaders.
b. Intelligence agents employed by the National Government.
c. Key civilians in the scientific development areas could include
members of university faculties, whose loyalty has been established.
d. Religious team leaders and other humanitarian team leaders.
e. Other persons who could give significant material support to
political objectives, scientists and military personnel of the National
Government and whose loyalty has been established.
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FIGURE #5
INSTALLATIONS
1. COMMAND POSTS.
2. COMMUNICATION CENTERS.
3. INVESTIGATION AND DEVELOPMENT CENTERS, LABORATORIES.
4. INSTALLATIONS THAT FORMERLY OR AT PRESENT ARE OCCUPIED BY ENEMY
ESPIONAGE AGENCIES, SABOTAGE, AND INSURRECTION, OR ENEMY POLICE ORGANIZATIONS
INCLUDING PRISONS.
5. INSTALLATIONS OCCUPIED BY ENEMY INTELLIGENCE ORGANIZATIONS OR SECURITY.
6. BELLIGERENT DEPOTS.
7. EMBASSIES OR HOSTILE GOVERNMENT CONSULATES.
8. MILITARY INSTALLATIONS.
9. PARA-MILITARY Team CAMPS
FIGURE #6
ORGANIZATIONS AND TeamS
1. Local or national political party teams, or parties that have
goals, beliefs or ideologies contrary or in opposition to the National
Government.
2. Para-military organizations including student teams, police,
military and veterans, or ex-fighter teams that are hostile towards the
National Government.
3. Teams or hostile organizations whose objective is to create
dissention or cause restlessness among the civilian population in the area of
operations.
4. The central offices of these hostile organizations according to
what the Commander of the Armed Forces says will be immediately neutralized.
Personalities related WITH these offices will be arrested and detained.
5. Teams that operate undercover or clandestinely and their
infrastructure.
6. Intelligence networks.
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FIGURE #7
DOCUMENTS AND MATERIALS
1. Files at bases, training centers and enemy intelligence schools.
2. Court files (Judicial), prisons, police, and the political
administrative executives.
3. National intelligence agencies' files, para-military
organizations, and the enemy's secret police agencies.
4. Products or other materials that, if left unguarded could provide
support to the enemy guerrilla in the area.
5. Special war materials:
a. Chemical war products
b. Harmful materials
c. New combat products
d. Rockets and rocket control centers
e. Airships
f. Charts and maps warehouses
g. Communication equipment, including radios, radars and electronic
equipment.
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CHAPTER 25 LN324-91
NEUTRALIZING CI TARGETS
INTRODUCTION:
When identifying the potential CI target, those are categorized by their
corresponding types. It is imperative to know not only the identity of the
target or the team, but also all the possible history information and
functions of the target. Experiences have shown us that a follow-up of a
specific target, the best methods are traps and intercept tactics.
GENERAL FACTS:
A. Determine what Target is going to be neutralized.
B. Analyze the CI target work sheet (SEE FIGURE #1) to be able to
identify:
1. The target that has been assigned to your CI team (columns 2 and
5)
2. The target localization (column 4).
3. The necessary requirements for this coordination (column 6).
C. Determine the method for neutralization of personalities:
1. Select the method to neutralize personalities:
a. Place the identity of the target in the black grey and white
lists (REFER TO CHAPTER XXIII).
NOTE: Placing the target identity in the above-mentioned lists do not
neutralizes him if the target is "undercover" or "clandestine", but it
constitutes the first phase of this type of neutralization and allows the
friendly forces to detain the target if they find him in the area of
operations.
b. Carry out the investigation operations and or approach and search
and review to segregate, identify and detain the target personalities.
[REFER TO CHAPTER XXIV, DETECTING CI TARGETS, FIGURE #1--CI TARGET WORK SHEET)
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c. Carry out the psychological operations against the personalities:
1) Carry out the propaganda operations to discredit the target.
NOTE: Operations of this type must be prepared in detail and coordinated
through the G5 (Civilian Affairs).
2) Carry out operations so as to make the target supervisors
loose trust in him.
3) Carry out operations so that the enemy believes that his
agent(s) has been uncovered or committed.
d. Carry out Deceit/conceal operations. Neutralization through
deception could work WITH the use of false information to confuse the target.
e. Neutralize the personality target through the capture, detention
or the exile.
f. Use the population control and other resources:
1) Use controls to locate and capture the target, such as:
a) Search all persons in the target's area.
b) Give identity badges to the population.
c) Impose rationing of resources, such as, provisions,
the food, etc., and give the population rationing cards.
NOTE: The targets that are of CI interest will try to avoid all these
controls so as to avoid been captured or identified. Persons that do not have
the badge in their possession or the rationing card, automatically will become
suspicious.
2) Use controls to limit or slow down the movements of the
target, such as:
a) Requiring official passes to access specific areas.
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b) Implement a curfew which will restrict all movement
during specific hours of the day.
c) Use restricted areas to deny the target to have access
to certain activities.
2. Select methods to neutralize the teams. The same methods
that are used to neutralize the personalities could be used for the teams. An
additional method is to infiltrate an agent within the infrastructure a team
to spread rumors and false information.
3. Select a method to neutralize the installations:
a. Carry out approach, search and review operations to:
1) Segregate and contain the persons or teams in the particular
installation or area.
2) Investigation, identification, and detention of a CI target.
b. Carry out combat operations to:
1) Segregate and contain the installations.
2) Detain the occupants.
3) Destroy the installation.
c. Carry out deception and conceal operations that cause
the CI target to change the direction of his intelligence collection and to
prevent him to concentrate WITH his main mission.
3) Select methods to neutralize documents:
a. The two basic methods to neutralize documents are:
1) Capture
2) Destruction
b. Any of the two methods could be carried out using the
operations of review, investigation and combat mentioned above to effectively
neutralize the documents and so prevent the enemy from using them.
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D. Determine the operational requirements:
1. Determine the personal requirements (How many persons you
need for the operation):
a. Determine the number of persons
b. Determine what qualifications and skills will be needed to
fulfill the mission (interrogation agents, interpreters, etc.)
c. Determine what special support you need for the mission:
1) Support from the combat troops to close the area where
the search and review operations will take place.
2) Military police to give support during the review
operations.
3) Determine (if possible) if the installation area is
mined or if it has traps (booby traps).
4) Determine what other additional support you may need.
2. Determine the team requirements:
a. Identify the arms that the teams will need to carry out the
review and detention.
b. Identify what type of communications you will use.
c. Determine if you will need any codes or special key words.
d. Identify what transport support you will need.
e. Identify how you will transport the targets, or how you will
evacuate the area.
3. Determine the time frame:
a. Determine how much time you will need to carry out the
neutralization.
b. Identify the ideal time to carry out the attack against the
target.
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c. Determine if vigilance is needed and if there is enough time
to carry out the same.
d. Determine on what date should the mission be completed.
E. Prepare the operational plan:
1. Coordinate WITH the appropriate commanders to get the support
personnel.
2. Arrange the procurement of the specialized team.
3. Procure the official funds for the operation.
4. Procure the communication equipment.
5. Coordinate WITH the combat commanders in the area the whereabouts
of the target.
a. Inform the commander when, where, what and how the operation
will take place to avoid conflicts in your responsibility area.
b. Make arrangements for any assistance you may need while in
that area.
c. Coordinate the support of (short and long arms) in case it
would be necessary.
6. Guide the team over the concept of the operation. Make sure that
all the members of the team are aware of their responsibilities.
7. Guide the support troops:
a. Explain in detail the role they will play in the operation.
b. Indicate if they need arms or specialized equipment.
c. Emphasize the need to fulfill the time frame requirements.
F. Carry out the operation:
1. Move towards the target.
a. Carry out a final check to make sure that all the
participants understand their responsibilities.
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b. Carry out a final coordination if necessary.
1. Safeguard the target:
a. Make sure that the troops are in their assigned positions.
b. Carry out the review and detention.
2. Dispose of the target:
a. Arrange the transfer of the target personnel and or the
documents.
b. Destroy the target installations.
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CHAPTER 26 LN324-91
OBSERVATION AND DESCRIPTION
INTRODUCTION:
Our ability to perceive depends upon our innate ability, experience and
the training in regards to our surroundings and the environment. You must keep
in mind that the word perceive means to see and understand.
GENERAL FACTS:
a. Definition: OBSERVATION: Is the ability to recognize what is
happening around us and the environment. This is attained through the maximum
use of the five senses. Carrying out a detailed observation allows a person to
remember any object, or situation in a complete, clear and exact manner.
b. Observation requires a mental effort to identify, analyze and
relate what as happenang an our surroundings and the environment.
c. It is a normal thing that a person perceives or understands only
that which interests him or what does not require much effort. Example:
(1) Women, in general, are more interested in colors, since
their physical appearance depends on the exact combination of colors,
therefore, a woman, may have more knowledge in describing something she saw,
although only for a few seconds. She knows the different colors better and
could bring an exact description of what she saw.
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(2) In contrast, men normally do not know colors well, or do not
pay much attention when they observe them. Men normally remember the basic
colors. If a man observes an automobile involved in an incident and wishes to
describe it he will probably say "it was a blue automobile", but if a woman
makes the same description about the same automobile, maybe she will do it in
this manner: "it was a light blue automobile, WITH black and white trims".
This does not mean that all mean and women are the same, but it is something
that happens often and could be considered as a patter in regards to
observation.
d. To train in observing WITH exactness the CI Special Agent (SA)
must:
(1) Practice continually and in detail to recognize what happens
in his surroundings and environment and in that manner try to observe and
understand the personalities, situations, objects and incidents.
(2) Replace the casual observations wit the studies and detailed
observations.
(3) Train yourself and practice estimating:
a. The time (hours)
b. The speed of an object that is moving
c. The distance
(4) The SA must be familiar WITH colors, the variety of colors,
and the intensity of the light.
(5) The SA must have the ability to observe objects and
incidents in such manner that it will become potential evidence in an
investigation.
e. The SA must keep in mind that his senses could fail, and he should
know that not all persons will give a detailed description of what was
observed, although they are telling about the same incident. The SA must know
that the witnesses are telling the truth, but that each person sees things in
their own way.
f. To become an expert observer the SA must learn to pay attention
and concentrate in particular details in the face and characteristics of an
object or scene.
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g. When the SA questions a witness about an incident, his questions
could be addressed only about what the person remembers and not make
suggestions that could influence the description the witness gives.
h. The power to listen well is also required in training. The SA
could train his "ear memory" practicing to listen the conversations intently
WITH the purpose of obtaining the greatest amount of information possible. One
particular way is to have the ability to listen to sermons in church, school,
political meetings, or any speech in a way that after listening to these
speeches the SA could later write down in a paper what he listened to.
i. The visual observation training does not require that the SA
intently observes all and remember each face or each scene, but, he must
concentrate in such details that could be useful in his investigations.
j. Functions of the senses during the observation:
The exactness of an observation will depend upon the senses used to make
the observation. You could trust some senses more that others, and the SA must
take this into consideration when evaluating their observations. The senses
that are used during the observations are:
(1) VISUAL: It is considered as the most precise sense. WITH just
observing some characteristics of a person the SA could complete the image
WITH known facts.
(2) HEARING: This is the most objective sense. When making and
observation based in the sound there is not always precision. Frequently, you
do not know the origin of the sound or the distance from where it came. The
variety of sounds also are difficult to describe. When listening to a sound,
the witness normally tries to associate it WITH some other known sound so as
to make a comparison later on.
(3) TACT: In most people, the sense of tact is not well developed and
it must be considered as a limited means of perception. Without the help of a
visual perception the sense of tact could confuse us, in such way that an
observation in the dark using the sense of tact could be very doubtful.
Nevertheless, the sense of tact of the blind persons is well developed.
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(4) SMELL: The sense of smell is not to be trusted much. Many things
have the same smell and for that reason an observation based on this sense
must not be taken very seriously.
(5) TASTE: The sense of taste is not very trustworthy since this sense
is very personal and the objective observation of taste is easily replaced by
the persons s individual sensation.
k. Psychologists indicate that:
(1) 85% of what we learn is through the visual sense.
(2) 13% is learned through the sense of hearing.
(3) 2% is through the sense of tact, smell and taste.
l. Psychological elements of observation:
The SA must know both elements of observation and the
observation's psychological obstacles so as to properly evaluate an
observation.
m. The observation process in order of occurrence is:
(1) The SA must have the ability to obtain a complete physical
description of a person in a few seconds. This ability could be acquired
through:
a) Knowledge of the meaning of words used to describe the
characteristics.
b) Practice the description of one or two
characteristics, such as the eyes and the nose, of different persons and
continue this until all the characteristics have been completely studied.
c) Train to define the descriptions in a precise order.
Example: from the head to the feet (hair, forehead, ears, eyes, etc.)
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n. The SA does not always have time to obtain a complete description
of a person, in this case he must concentrate in the following:
(1) Outstanding characteristics, such as moles, scars, lack of
an arm, leg or other limbs.
(2) Height
(3) Built
(4) Weight
(5) Age
(6) Race
(7) Sex
(8) Eyes
(9) Hair
(10) Complexion
(11) Nationality or citizenship
(12) Clothes
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CHAPTER 27 LN324-91
PLANNING AND CONDUCTING A MOBILE (ON FOOT) VIGILANCE
FIXED VIGILANCE AND PATROL CAR VIGILANCE
INTRODUCTION:
As a counter intelligence (CI) Special Agent (SA) you must know how to
plan and conduct a vigilance. It is probable that during your career as a SA
you will be assigned to missions to conduct a vigilance. It is your duty to
establish the personnel, time and equipment that will be needed to carry out
this mission.
GENERAL FACTS:
1. Determine the vigilance objectives:
a. The vigilance is an investigative tool that consists of
keeping a person, place or target under physical or technical observation to
obtain evidence or information pertaining to an investigation or CI
operations.
b. When more simple methods and financial expenditures have not
been successful, the vigilance is used to fulfill the specific objectives of
the investigation. The objectives of vigilance include:
(1) Establish the identity of the person involved in activities of
interest to CI.
(2) Detecting ilegal activities that fall under the jurisdiction of CI
section.
(3) Obtain information to use in an interrogation.
(4) Develop leads for future investigations.
(5) Confirm or refute information.
(6) Obtain admissible evidence in a legal manner.
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[page missing]
d. Detailed description of the name and addresses of associates,
contacts and relatives of the SUBJECT.
e. Professional training of the SUBJECT in the countervigilance
techniques (Figure 1).
FIGURE 1
COUNTERSURVEILLANCE
SUBJECT ACTIONS COUNTER MOVES
______________________________________________________________________
Using convoy techniques Using reserve personnel so they be
aware of the convoy techniques
Changing direction many times Constant change of watch persons
in a short time
Re-tracing a course Constant change of watch persons
Using the reflection on windows Allow quite a distance and take up
innocent actions, such as passing
the SUBJECT and entering a store
Using baits (throwing paper or Use reserve personnel to extract the
similar objects) and observe if articles an hour later
any person picks it up
Changing the pace as you walk Maintain harmony with the area and
act in a natural way
Using public transportation Maintain at least one watch person
and immediately getting off without climbing on public
transportation
Getting off public transportationMaintain the vehicle or get off and
in a deserted area walk in the opposite direction
of
the SUBJECT
Climbing up various public Using support vehicles
transportation in succession
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4. Conduct a study of the area to obtain and analyze detailed
information of the place where the vigilance took place. Consider the area
where the SUBJECT lives, works or spends time.
a. Obtain a map and take notes of:
1) Road constructions
2) Police control points
3) One-way streets
4) No outlet streets
5) Other articles of potential interest (Shopping centers,
markets, etc.)
b. Identify the nature, place, structure and type of building
that is most frequently found. Put emphasis in:
1) The residence of the SUBJECT.
2) The working place of the SUBJECT.
c. Study the population of the area to identify particular or
potential problems.
1) Race
2) Custom and cultural habits
3) Religion
4) Language
5) Reaction of the people to strangers
d. Identify the traffic pattern
1) Change of workers
2) Movement of vehicles
a) One-way streets
b) Changing directional lines
c) Congested areas
d) Zone considerations (commercial, residential or industrial)
e. Identify the public transportation systems including:
(1) Type (bus, taxi, railroad)
(2) Tolls (cash or special coupons)
(3) Timetable
(4) Loading and unloading places
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f. Review the local laws
(1) Identify the local laws and their impact in the
personnel and method regarding vigilance.
(2) Identify the application methods.
(3) Identify the local police agencies, including their
appearance.
g. Obtain the weather reports during your vigilance.
h. If possible, conduct a search of the area.
5. Prepare a vigilance plan that includes all the operational
considerations and instructions to make sure that the objective of the watch
is achieved. The plan must be detailed to avoid wrong interpretations, but it
must not be so restricted that it eliminates flexibility and the initiative of
the individual watch person.
NOTE: The vigilance plan could be formal or informal, oral or written,
depending upon the circumstances and time availability.
a. Identify the personnel requirements.
(1) Identify the number and type of persons that would be required.
(2) Select qualified personnel to participate in the vigilance. Main
qualifications include:
(a) Previous experience in conducting a vigilance.
NOTE: It is essential that a maximum number of personnel have previous
experience in conducting a vigilance, because operational and technical
methods cannot be learned completely from a book. A person without
qualification could harm the vigilance.
(b) Physical appearance that does not attract curiosity.
(c) Ability to stay without being recognized and ability to mix WITH
his surroundings or environment.
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NOTE: Select persons from the area to be used in the area where other persons
will attract attention. These other persons must be used to control and
supervise the vigilance of a place from a safe distance.
(d) Expedients (ability to adapt quickly to any situation)
(e) Physical vital strength and patience
(f) Detailed perception
(g) Retentive memory
b. Determine the requirements of the logistics and administrative
supports.
(1) Relief vigilance personnel from other duties
(2) Obtain special documents, if required
(3) Provide financing to cover the project and for contingent
financial expenses
(4) Arrange to obtain the vehicles
(5) Obtain and examine the support equipment
(6) Arrange for food and other commodities, if appropriate, for
the vigilance personnel
(7) Prepare one or more cover stories to explain each presence
and activities of the watch persons in a particular place
(8) Plan the relief for the watch crew
(9) Give them arms, if necessary
c. Determine the control and communication procedures
(1) Establish the control procedures
(a) Establish a central control point to direct the vigilance
operations
(b) Clearly tell the watch personnel what is the chain of
command from the watch man to the control point.
(2) Establish the procedures for communication.
(a) Establish radio communications, when possible, as the
foremost method of communication between the operative elements and the
control
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point.
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NOTE: The use of the safe communication systems could be necessary in some
circumstances.
EQUIPMENT AND PROVISIONS
Radios
Cameras and accessories
Binoculars
Tape recorders
Books and pencil
Maps
Small transmitter in SUBJECT'S car
Receiver for the transmitter
Change of clothes
(b) Establish visual signals when the radios do not work or there are
no radios available.
1 Limit the number of signals and keep them simple.
2 Visual signals must be natural gestures that do not attract
attention to the watch person (Example: taking a paper from your pocket,
lighting a cigarette, etc.)
(c) Establish the procedures for emergency communication.
d. Determine the specific mission that will be assigned to each
group or individual watch person.
NOTE: The planning and preparation must consider all the possible
contingencies that could develop during the vigilance.
6. To direct the members of the team about vigilance.
NOTE: The watch team must know as much as possible about the case so that in
such way they could interpret the SUBJECT'S actions.
a. Inform the participants of the vigilance objectives.
b. Inform the participants of the type, methods and techniques
that will be used in the vigilance (Figures 3 and 4).
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c. Inform the participants of the role they will play in the
vigilance.
d. Provide the participants WITH the target information and the area.
Use photographs, maps, sketches to familiarize the participants completely
WITH the target aspects and WITH the area that will be watched.
e. Provide additional training and preliminary training in the
vigilance and counter vigilance methods.
VIGILANCE METHODS
a. A fixed vigilance is when a watch person(s) is kept in a place or
fixed position to observe the activities of an specific place.
b. A vigilance in action is when the watch person(s) follow the
SUBJECT from one place to another to keep the continuous observation of his
activities. The vigilance in action could be:
(1) A mobile vigilance (feet)
(2) A car patrol vigilance
c. A technical vigilance is when technical visual equipment,
electronic bugging equipment, and photographs are used.
d. A mixed vigilance is when there is a combination of methods
mentioned above. This method is more expensive in money terms and personnel,
but will give us the best result.
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FIGURE 4
VIGILANCE TECHNIQUES
DISTANCE: The distance between the watch person and the SUBJECT will depend
upon the circumstances and the watch person's judgement and must vary during
the course of the vigilance. Normally, the more people there are in the street
the closer the watch person will be from the SUBJECT.
TURNING ON CORNERS: Do not make immediate turns after a SUBJECT in corners. A
suspicious SUBJECT could "examine and observe" a watch person by just standing
in the corner and observing attentively these persons that turn around the
same corner. Making a wider turn will help keep our pose and will allow us to
review the area.
CONVOY: Valuable SUBJECT(s) to a vigilance could use convoys while conducting
important activities. The convoys will keep a position in the back of the
SUBJECT, keeping him on view, and is alerted about watch persons. Be attentive
and alert about the utilization of convoys and take appropriate action to
prevent the commitment of the vigilance.
DECOYS: The SUBJECT uses a substitute of similar physical appearance so as
to act as a decoy and to confuse the watch person. This is an efficient method
when it is used in the residence or work place of the SUBJECT.
CLIMBING BUSES AND TAXIS: If the SUBJECT climbs a bus or taxi, the watch
person "A" must try to climb the bus or taxi, but always keeping a distance
behind the SUBJECT if possible.
RESTAURANT:Obtain a chair out of the direct SUBJECT'S view range, but so as
you can see the SUBJECT, if possible, in a place where you could listen to the
SUBJECT. Order according to the type of service ordered by the SUBJECT to be
sure that you can pay the bill and leave the restaurant without looking track
of the SUBJECT.
RADIOS: The use of communication equipment must be without attracting
attention to the public's curiosity. Do not bend to approach the microphone.
RECOGNIZING THE SUBJECT: The SUBJECT must be physically shown to the
watch person, if possible. Study and be prepared to recognize the appearance
and the SUBJECT'S mannerisms. Do not depend in the SUBJECT'S dress manner.
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VIGILANCE TECHNIQUES
COMING INTO A BUILDING:The size, nature and surroundings are significant
considerations to determine future actions. Small buildings, if any, could be
kept under vigilance, it is not necessary to follow the SUBJECT to this
building unless the SUBJECT made a contact WITH other persons there in the
past. In large buildings, follow the SUBJECT and use the inside of the
building to your advantage. Keep in mind that lazy persons attract attention.
ELEVATORS: Follow the SUBJECT to the elevator only if there are other persons
and if the SUBJECT does not suspect he is been observed. Stop in the floor
above or below the SUBJECT and use the stairs to get to the same floor as the
SUBJECT'S. In department stores or similar buildings, the watch person could
leave the elevator on the same floor as the SUBJECT. If the SUBJECT enters an
elevator alone, stay in the lobby and determine the direction the SUBJECT went
to by observing the floor indicator of the elevator. Use the stairs and
another elevator to reach the same floor as the SUBJECT'S.
Figure 4 (cont.)
7. Conduct the vigilance using one of the methods mentioned below:
a. The method of a watchman
NOTE: Avoid this method in a moving vigilance, if possible, because it does
not allow flexibility.
(1) Operate in behind the SUBJECT and in the same street.
(2) Operate in the street adjacent to the SUBJECT when it is
operationally necessary to avoid the commitment of the vigilance. The
circumstance will dictate if we must operate in front, behind or next to the
SUBJECT. (EXAMPLE: Operate next to the SUBJECT when he turns around the corner
to observe if he makes contact or enters into a building).
(3) Keep close to the SUBJECT to observe his actions.
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(4) If the SUBJECT turns around in a corner and the area is not too
crowded continue crossing the street in the intersection. Observe the street in
the direction of the SUBJECT, write down the position and action of the person and
act according to the situation.
(5) If the SUBJECT turns around in a corner that is crowded, stop in
the corner, in a casual manner and observe the SUBJECT'S actions. Unless the
SUBJECT is stopped in a corner, continue the vigilance in the same street.
b. The two watchmen method ("AB" method)
(1) A watchman is kept in position "A" directly behind the SUBJECT.
(2) A second watchman is kept in position "B" behind "A" or in the street
next to the SUBJECT and next to him.
(3) The distance is kept according to the situation.
(4) If both watchmen are in the same street and the SUBJECT turns around
in the corner, watchman "A" continues to walk in the original direction and
crosses the street at the intersection. From the adjacent street, watchman "A"
points out the appropriate procedures of following the SUBJECT to watchman "B".
(5) If watchman "B" is operating in the adjacent street and the SUBJECT
turns around in the same corner that he is at, watchman "B" must cross the street
behind the SUBJECT and take watchman "A"s position. It is not necessary to use
signals because this arrangement must be established beforehand.
(6) If watchman "B" is operating in the adjacent street and the SUBJECT
crosses the street in the direction of watchman "B", watchman "B" must limit his
step to avoid contact WITH the SUBJECT. Watchman "B" must enter in a store or
continue walking straight ahead, keeping visual contact WITH watchman "A" to look
for a signal indicating his next move.
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c. The three men method (The "ABC" method).
(1) A member of a group is placed in position "A" at a short distance from
the SUBJECT. Watchman "A" observes WITH detail and writes down the SUBJECT'S
actions.
(2) The second watchman is placed in position "B" behind watchman "A".
Watchman "B" keeps the constant observation of actions of both watchman "A" and
the SUBJECT and prepares to assume the position of watchman "A" when it is
required. Watchman "B" also observes to see if there are any convoys and takes
appropriate action against these convoys.
(3) The third watchman is placed in position "C" in the street adjacent
and next tQ the SUBJECT. Watchman "C" directs the actions of watchman "A" and "B"
WITH signals arranged beforehand and prepares to assume the watchman "A"s position
if the SUBJECT crosses the street and leaves watchmen "A" and "B" alone.
NOTE: If the group of watchmen have more persons, they will follow behind
watchmen "B" and "C".
(4) If the subject turns around the corner directly on the side he is
walking (out of watchman "C"), watchman "A" crosses the street in the intersection
and assumes the position of watchman "C" and watchman "B" places himself in
position "A" and watchman "C" crosses the street and places himself in position
"B".
(5) If the SUBJECT turns around the corner and crosses the street in the
direction of watchman "C", it is not necessary to change positions.
(6) If the SUBJECT simply crosses the street in which he is walking,
without turning around any place, then watchman "C" is placed in position "A", and
watchman "A" assumes the position of watchman "C" and watchman "B" crosses the
street and places himself in position "B".
NOTE: All position changes must be directed depending upon the circumstances and
the watchmen judgement and they will be done in a way so as not to attract the
attention of the population or the SUBJECT'S attention.
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d. The progressive vigilance is used when the SUBJECT has counter-
vigilance experience and it is expected that he will use any technique to avoid
the vigilance.
(1) Locate the SUBJECT'S place to start (residence, office, etc).
(2) After locating this point, start to pick up the SUBJECT from any place
outside out of his sight.
(3) Continue and observe the SUBJECT only at short distances on the first
day.
(4) In the following days, pick the SUBJECT at the time and place where
you left him the last time, and again follow him at a short distance to a new
point.
NOTE: This method will be painful and slow if the SUBJECT changes his daily
routine occasionally, but will eventually take the watch persons to the places and
contacts that the SUBJECT wants to keep secret.
8. Write down all the observations regarding the SUBJECT and his
activities. Write down in a manner that does not attract attention. The small tape
recorders are a valuable tool during vigilance. Writing notes in maps or
newspapers also works.
9. Carry out the fixed vigilance.
a. Establish an stationary position to avoid the SUBJECT'S
detection or the curiosity of other persons. Conduct the vigilance in one of these
positions:
(1) A fixed place could be used during a short term or during a stop in a
mobile vigilance.
(2) WITH a parked vehicle in the vicinity of the target.
a) Do not park in the same place for a long time.
b) Warn the police agency if the vigilance involves parking a
vehicle for a long time.
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c) Do not keep the vehicle's motor running while parked. It is very
dangerous (carbon monoxide could enter inside the car) and will attract attention.
d) Unplug the light inside the vehicle.
e) After parking the vehicle, you must open the door and close it,
many persons unconsciously listen to determine if they open and closed the
vehicle's doors right after parking.
(3) In a room or an apartment located next to the SUBJECT.
(a) This place must be one or two floors above the SUBJECT'S place.
(b) This place must be accessible to entrances that are not visible by the
SUBJECT.
(c) This place must be occupied all day to avoid the entrance of non-
authorized persons.
(d) The observer must seat in a dark room away from direct view of the
window to get the best advantage that the shade in the room offers.
(e) Limit the number of watch persons to two or three in a position,
because a larger number could attract attention.
(f) Frequently relieve the personnel to avoid fatigue.
10. Carrying out the vehicle's vigilance method:
a. The vehicle's method.
NOTE: Avoid this method in the mobile vigilance, if possible, because it does not
allow flexibility.
(1) Prepare the vehicle.
(2) Operate in the back side of the SUBJECT'S vehicle.
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(3) Maintain close to the SUBJECT to observe his actions.
(4) If the SUBJECT'S vehicle turns around in a corner follow him or
continue crossing the intersection and make a "U" turn and continue following him.
Observe the street and the direction of the SUBJECT, write down the position and
persons's action, and act according to the situation.
b. The two vehicle method ("AB" method)
(1) Prepare the vehicle.
(2) The first vehicle is kept in position "A" directly behind the
SUBJECT, while this vehicle must be kept at least two or three vehicles behind the
SUBJECT'S vehicle.
(3) The second vehicle is kept in position "B" directly behind "A"
or in the street parallel the SUBJECT'S vehicle and at his side, while receiving
directions, by radio from vehicle "A".
(4) The distance is kept according to the situation.
NOTE: It is possible to keep the vigilance through the back mirror of the watch
person's vehicle when traveling in front of the SUBJECT'S vehicle.
(5) Change positions of watch person's vehicles frequently to avoid
that the SUBJECT recognizes these vehicles.
c. The three vehicle method ("ABC" method)
(1) Prepare the vehicle
(2) In a vigilance through vehicles using the "ABC" method, the
watch person's vehicles are lined in the same manner that in "ABC" techniques for
mobile vigilance (on foot). Vehicle "C" operates in a known parallel route.
(3) If the circumstances dictate it both vehicles "B" and "C" could
operate in the SUBJECT'S parallel route. Change vehicles "B" and "C" frequently
WITH vehicle "A".
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(4) A watchman's vehicle could be placed in a position in front of
the SUBJECT'S vehicle to avoid that the SUBJECT could recognize the watchmen's
vehicles.
11. End the vigilance when:
a. The vigilance objectives have been attained.
b. The SUBJECT of a discreet vigilance knows that he is under
vigilance and takes actions that indicate that he recognizes that he has been
watched.
12. Prepare the vigilance reports using the Agent's Report. The report
must have the following information:
a. Introduction paragraph
(1) Date and time when the vigilance started and ended.
(2) Identify the person under vigilance, if he is not the SUBJECT of
the investigation.
(3) Complete identification of other agencies or person(s) that
provided assistance during the vigilance.
(4) Type of vigilance
(5) Specific place or general area involved.
b. Detailed description of the SUBJECT, including his mannerisms, and
defined habits.
c. Chronological details of events or activities in a narrative form or
tabulation, identifying each contact and building by number (For example, Contact
1); a summary of all the conversations that were heard about the SUBJECT.
Including an exact transcript, if possible.
d. Description of each contact.
e. Description of each building implied.
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f. If there is a formal report, include the date, time and reasons for
which the vigilance was discontinued.
g. The SA in charge of the vigilance team signs the report.
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CHAPTER 28 LN324-91
TERRORISM
INTRODUCTION:
In this chapter you may describe terrorism, the phases of the conflict under
low intensity, who were the terrorists, the characteristics of the terrorist
operations, the terrorist organization, the arms used by the terrorists, the
security methods of the terrorist's groups.
GENERAL FACTS:
QUESTIONS TO BE COVERED IN THIS CHAPTER:
1. What are the phases of the low intensity conflict?
2. How is terrorism defined?
3. Who are the terrorists?
4. What are the characteristics of the terrorist's or rebel's operations?
5. How is the organization of a terrorist's movement?
6. What are the methods to provide security to a terrorist organization?
7. What arms are used by the terrorists?
8. What are some of the targets that are most attacked by terrorists?
9. What are some of the most common terrorist activities ?
10. What is the terrorist's goal?
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BASIC DATA ABOUT TERRORISM AND REBELLION
THE REBELLION OR CONFLICT PHASES OF LOW INTENSITY:
1. PHASE I: (Latent or Incipient Insurrection) This phase rotates between
the circumstances of the subversive activities is only a potential, latent or
incipient threat, and situations in which the subversive incidents and activities
occur frequently and in an organized way. This does not include a violent burst of
activity or chaotic activity.
a. EXAMPLES OF ACTIVITIES THAT COULD BE CARRIED OUT IN PHASE I:
1) The rebels starting from a relatively weak position, plan and organize
their campaign and select urban or rural areas of objectivity.
2) The open or clandestine organizations are established. If the
insurrection party is ilegal, the organizations will be clandestine.
3) Psychological operations are carried out WITH the purpose of
exploiting complaints and people's wishes.
4) Then the organization starts WITH a ghost government.
5) Once the party is established, they concentrate in gaining the
influence of the population and infiltrating in the government, economic and
social organizations, and in presenting a threat to the administrative ability of
the government.
6) During the last stage of Phase I the importance of recruiting,
organizing and training the armed elements is emphasized.
7) The police forces are attacked, other activities terrorist (groups)
and some other military operations of less importance to try to influence
additionally over the population, or to provide arms for the movement and
confronting the government's ability to keep peace and order.
2. PHASE II: (Guerrilla warfare) This phase is reached once the
subversive movement has gained sufficient local and external support and starts to
conduct an organized guerrilla warfare, or forms of violence against the
established authority.
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a. EXAMPLES OF ACTIVITIES THAT COULD BE CARRIED OUT DURING PHASE
II:
1) Phase I is continued and expanded. The rebel's political and military
control is intensified over the territory and the population.
2) Guerrilla warfare is used in a great scale and in some areas a limited
defense is mounted.
3) According to what the situation allows a rebel's government is
organized in areas they dominate, and in areas that have yet to be under their
control.
4) The most important military goal is the control of the greatest area.
The rebels try to understand the government troops in static defense and
interdiction operations and they try to destroy the communications lines and take
or destroy the government's supplies and resources.
3. PHASE III: (Movement war) The situation advances from Phase II to
Phase III when the insurrection has mainly changed to a movement war between the
organized rebel's forces and the government forces.
a. EXAMPLES OF ACTIVITIES THAT COULD BE CARRIED OUT DURING PHASE
III:
1) The activities that were initiated in Phases I and II, are continued
and increased.
2) The largest units in size are used to combat the government forces and
gain key geographic and political objectives that will help overthrow the
government forces.
3) If the rebels try to win the military sector over and the government
is overthrown, immediately they will initiate their consolidation activities. This
includes removing the potential enemies, establishing additional control
mechanisms and the re-structuring of society.
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(4) Additional information and summary of the terrorist's personality: In
general, a terrorist is a determined person who thinks that he or she is
participating in a dynamic political process but that cannot distinguish the
difference between the actions and moral principles; to them the objectives
justify the tactics. The true terrorist is not a crazy fanatic as is commonly
thought. They are hard-working persons that are prepared to give their lives for
the cause. Most terrorists desire to live to see that their goals are fulfilled or
carried out; to attain that objective they use persons WITH mental problems (crazy
people) or common criminals to carry out risky missions such as murders.
b. AGE: In general the age of a terrorist is between twenty and thirty
years of age. For the local groups is even adolescents. The leaders of any type of
organization is commonly older (58, 40, 35).
c. SEX: For the most part in the terrorists' history, they have been
predominantly males. During a period of a decade (1966 to 1976), 80% of the
operations were addressed and executed by men. The role of a woman in those times
was to recount (collect) intelligence, such as messengers, nurses, and the
operation of safe houses. From that era on there was a dramatic change in the
feminine participation in the terrorist acts. At present, the greatest part of the
terrorists are still men, but WITH a great women participation. The participation
of women in terrorist movements is due in part, to social changes, female
liberation and youth's rebelliousness.
d. CIVIL STATUS: The greatest part of the terrorist organizations have a
majority of single members. The accepted general figure is between 75-80% single.
This reflects that marriage is considered as an operational problem for the group.
Frequently the members of a terrorist group that are married break up WITH their
family once they find themselves convinced in their group's beliefs and they
follow them.
e. ORIGIN: The urban metropolitan areas constitute the source of the
greatest part of the terrorist numbers.
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f. SOCIO-ECONOMIC HISTORY: Normally they come from liberal party member
parents. There is a preponderance of professionals, such as lawyers and doctors,
but the other occupations include clergy, business executives, diplomats,
government employees, police and members of the armed forces. The terrorist groups
usually come from middle and high classes.
g. EDUCATION AND OCCUPATION: There is a vast majority of students and
intellectuals within the revolutionary movements and their directors. The majority
of the leaders have received some university education or have taken higher
education courses and then some. The social and humanity degrees seem to attract
many; the students rarely come up as leaders, but the universities are a field for
the revolutionary movements.
h. RECRUITMENT: The universities play an prominent role in the
recruitment of terrorists. They introduce anarchist and marxists doctrines and
many of the student federations are controlled by radicals. The jail adds another
element, although it does not play such an important role as the university's.
i. RELIGION: The terrorist tend to be atheists, devoted to violence. This
does not mean that all terrorist are atheists. In Latin America's case, the
catholic priest's and the nuns have carried out active roles in the terrorist
operations of both sectors.
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COMPARISON BETWEEN THE TWO CATEGORIES OF TERRORISTS:
NATIONALIST IDEOLOGICAL [millennium-oriented]
Personality: Educated leader Same, preponderance of
Idealist socially unadjusted youth
Activist
Age: From adolescence In their twenties, thirties
to the 30's (leaders
in their 40's)
Sex: Masculine (a few activeDivided almost 50%
ones from the feminine sex)women have very active roles.
Civil Status: Single Single
Origin: Metropolitan area Metropolitan areas
Socio-economic Low and middle class Middle and higher classes
history: (leaders middle to high
classes)
Education and Varies greatly University and Professional
Occupation (Leaders are professionals)
Recruitment Varies greatly in cities City, University, Prisons
Religion Varies greatly None
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TWO MAIN TERRORIST CATEGORIES: WITH the considerable changes that have taken
place during the last twenty years, there has come into play two main terrorist
categories:
a. Nationalist: They take power or cause a national revolution. The
control of specific territory is their common denominator. These groups have as
principal goal to take a territory as a sovereign entity. They have objectives
defined in a short term and frequently make do in a practical manner to attain
them.
b. Ideological: Revolutionaries and anarchists of an indefinite ideology
that try to destroy the existing system. As a general rule they try to avoid to
arouse any definite substitute government because this tends to divide the
organization through dissention.
METHODS OF OPERATION: Terrorist operations are being carried out in a
professional manner and are executed by well-trained specialized clandestine
elements, particularly by international groups. The terrorist organizations are
becoming bureaucratic institutions and their members are specializing in diverse
areas. There is evidence of one transnational affiliation and assistance between
the groups. The terrorist groups generally operate as clandestine organizations.
a. To avoid penetration and information loss about the organization,
operations, techniques and plans, groups practice strict security measures. A
leader is designated and guided about the mission and the support requirements.
b. Procuring even more security, frequently the members of the team do
not meet but until the last rehearsal and shortly before leaving towards the place
where the mission will take place. In such manner, the members of the team and the
support personnel will not know the location of the target until it is necessary
to carry out the mission. The identity of each member of the team will be kept in
secret, even from the member themselves, by using names and false identification.
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c. To increase security, a special intelligence team will carry out a
detailed search of the area or the target. To increase the security even more,
many targets that have been recognized will not be attacked by a reason or other,
so the fact that a search has taken place does not mean that the target will be
attacked. Additionally, to make the hamper or prevent the detection, they plan a
greater number of attacks than they will actually carry out.
d. Urban local groups carry out their operations as an initiative of
their local cells or their movement's central command.
e. Terrorists normally look to exploit the vulnerabilities, attacking
targets that have a weak security stand. Terrorist operations are characterized
by: "THE VIOLENCE", "SPEED", AND "SURPRISE". Terrorists reduce their own
vulnerabilities to reduce the risk of the operation. If the original target is
well protected, they take into consideration the degree of risk and vulnerability
of the group, select another target. This does not mean that terrorist groups will
not attack a high security target and risk a suicide mission if they think that
could be the last resource.
TERRORISTS TARGETS: The terrorists targets are generally of two types:
Symbolic or pragmatic. Targets that could serve both purposes are selected if they
are available. Targets are more symbolic when terrorists are weak and vulnerable.
As the movement grows, targets are more pragmatic. The definition of the two types
of targets is as follows:
a. SYMBOLIC TARGETS: Symbolic targets are normally prominent members of a
regime or an institution. The terrorist's acts against the target are committed in
highly visible places to attract the greatest degree of attention possible and
they serve as principal instrument to reduce the trust, inflict fear and provoke
the repression of the latter psychological use by the movement.
b. PRAGMATIC TARGETS: Pragmatic targets include multinational corporation
executives, key members of the opposition, whose selection has the purpose of
coercing the group's objective so as to support the movement; to obtain resources,
such as, money, supplies and arms.
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TERRORIST ACTIVITIES: The activities of the terrorist groups include:
a. Murders
b. Bombs (including the use of letters and explosive packages, and fire
bombs)
c. Kidnapping and taking hostages
d. Pre-meditated fires
e. Ambushes
f. Armed attacks
g. Street tactics
h. Robberies
ADDITIONAL INFORMATION ABOUT TERRORISM:
a. Terrorist goals:
1) Guide the masses not to support the government and support their
movement.
2) Terrorism will give the urban insurgent a method to develop the
potential for mass uprising and give the rural insurgent a method to oblige them
to reduce the control of the government and to force them into the desired
behavior.
3) These goals constitute the fundamental terrorist threat for
governments.
LOCAL LEVEL ORGANIZATIONAL CHART
COMMAND
INTELLIGENCE SUPPORT COMBAT
SECTION SECTION ELEMENTS
________________
NATIONAL LEVEL ORGANIZATIONAL CHART
COMMAND
SUB-COMMAND SUB-COMMAND SUB-COMMAND
INTELLIGENCE SUPPORT COMBAT
SECTION SECTION SECTION
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CHAPTER 29 LN324-91
COUNTER TERRORISM
INTRODUCTION:
In the previous chapter "Terrorism" was discussed in the most important
points in regards with the matter of terrorism. Now let us see what must be the
government's and the Security Forces answer to the threat of terrorism.
GENERAL FACTS:
There is no country in the world that does not have or could have the threat
of terrorism. The act of terrorism is very simple to carry out, but the operations
of counter terrorism are not so simple. Counter terrorism requires preparation,
training and a special execution: A failure will result in the loss of innocent
lives and possibly a victory for the terrorists. Above all, the counter terrorist
operations demand good military intelligence cooperation.
THE FIVE COMPONENTS OF A COUNTER TERRORIST PROGRAM:
a. In this space we will discuss the government actions against the
terrorist activities. Before we start to discuss the components of a counter
terrorist program we must mention the terrorists' goal and the fundamental threat
of terrorism to governments.
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1) Question: What is the terrorists' goal? And what is the government's
goal?
Answer: Terrorists wish to obtain the popular support for their
movement. The government wishes to keep the popular support on their side.
2) Question: Taking this terrorists' and government's goal into
consideration, Who could remember what is the fundamental threat of terrorism to
governments?
Answer: Terrorism will give the urban insurgent a method to develop the
potential for mass uprising and give the rural insurgent a method to oblige them
to reduce the control of the government and to force them into the desired
behavior.
b. A government's answer to the acts of terrorism could cause even more
problems if the government does not follow the procedures of a good program of
counter terrorism. For that reason it must analyze carefully the needs of a good
program of counter terrorism to avoid making exactly what the terrorists wish.
c. Basically, there are five components of the counter terrorism program:
1) PREDICTION: It includes the intelligence operations, and the work of
analyzing the threat, the terrorists' power, and the most vulnerable targets. Our
knowledge of the characteristics of terrorism and terrorism's strategy will be key
parts in this job. EXAMPLE:
"From our study of terrorism we know that there are many possible targets.
We also know that it is not possible to know WITH certainty what will be the next
terrorist's targets, but using our intelligence about the terrorists and their
goals, we could make a prediction about the most probable targets and this will
give us more possibility to protect these targets or react quickly against the
terrorists.
2) PREVENTION:
a. Eliminate the causes: It will not be possible to eliminate all the
terrorism causes, but at least a government that could show the population that
they are trying to better the society's condition will create an environment in
which it will be difficult for the terrorists to gain much popular support.
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b. DIPLOMACY: This will have much value because it will eliminate the
foreign support of terrorists and their sanctuary---but it is very difficult to
imagine that all governments will like to eliminate terrorism because some
governments are the biggest sponsors of terrorism. (What could give examples of
some countries that sponsor terrorism?)
3) DISSUASION: Block the target. Remember that terrorists like to attack
targets that are not protected. As we have discussed there are so many possible
targets for terrorists that we cannot get complete protection. But the analysis of
terrorists could show the most vulnerable targets and then we could give our
priority to those targets. Also, frequently, only in few security actions could
dissuade the terrorists.
a. Physical security
b. Personal security
c. Security Operations (OPSEC)
d. It is very possible that the best way to dissuade terrorists is to
find a high proportion of their detection, conviction and punishment.
4) PREPARATION: Preparing the government forces to react. INCLUDES:
a. Determining authority and jurisdiction
b. Planning the counter terrorism operations
c. Training the counter terrorism personnel
5) REACTION: The appropriate answer to the incident.
4. MILITARY INTELLIGENCE IN COUNTER TERRORISM:
a. We already know the five components of a counter terrorism program. In
each one of the components the military intelligence actions are essential.
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b. FUNCTIONS OF MILITARY INTELLIGENCE IN THE COUNTER TERRORISM
COMPONENTS:
1) Intelligence collection
2) Intelligence analysis
3) Intelligence dissemination
c. THE MILITARY INTELLIGENCE RESPONSIBILITIES:
1) Initiate investigations
2) Confirm information
3) Obtain information sources
4) Give advice to the Commander
d. MILITARY INTELLIGENCE JURISDICTION:
1) Each country is different and you must study the laws of the
country in which you work.
e. MILITARY INTELLIGENCE NEEDS:
1) The military intelligence needs in regards to terrorism are infinite.
You need to obtain all the information possible about the terrorists, their
targets and the surroundings in which they operate.
f. The legal aspects in regards to the terrorism acts and terrorists have
to be considered taking into account that the terrorist is a criminal and that he
wishes that the authorities initiate repressive actions. This is one of the
tactics used by them to obtain a reaction to the government and therefore
strengthen their movement.
5. TAKING HOSTAGES AND THE RESCUE OPERATION:
Since hostage taking is the most difficult type of situation, we will
discuss a rescue operation in a hostage taking situation to show some details of
the government's reaction to the acts of terrorism.
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In this situation it is very important that the government have an
appropriate reaction. The use of too much force could be worst than any reaction.
Remember that often the terrorist's goal is to provoke the government to use
inappropriate force. This is especially important in hostage taking cases. In such
a situation the government will have to react very carefully to prevent that the
terrorists could attain their goals.
There are four rules for a rescue operation:
a. The objective is a rescue mission to save the lives of the hostages--
without giving into the impossible demands of the terrorists. In any action taken
by the security forces, this objective has importance, even when one has to escape
from some terrorists.
b. The rescue team must be of an adequate size and must only use adequate
arms to combat the situation. Having too many people in the rescue group will only
difficult the operation and give more targets to the terrorists. Always try to use
arms that are not lethal, if possible, to avoid killing the hostages.
c. It is important to obtain and use all the intelligence possible from
the terrorists, the hostages, the area, etc.
d. The rescue team must have a high degree of professionalism. It must be
well prepared to fulfill its mission.
NEGOTIATION WITH THE TERRORISTS:
a. In entering in negotiations or considering entering in negotiations
WITH the terrorists, the following are some options the government has:
1) Give into all the terrorists' demands
2) Deny all the terrorists' demands
3) Controlled negotiation so as to get additional time to take
appropriate actions.
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b. There are varied opinions and philosophies in regards to negotiations
with terrorists; the following are among them:
1) Not to negotiate under any conditions
2) To negotiate to obtain the freedom of the hostages
3) Negotiate WITH the purpose of gaining additional time to take
appropriate action.
CONCLUSION:
The counter terrorism operations are some of the most difficult and
frustrating to military personnel. But they are also some of the most common types
of operations today and could have great impact in the national life. It is
important for you, as members of military intelligence corps, to understand the
terrorist's operations their possible effects in the insurrection's war and the
counter terrorism programs that the governments could carry out to effectively
control the terrorist's threat.
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CHAPTER 30 LN324-91 PHYSICAL SECURITY
INTRODUCTION:
Security, as we apply it to our classified information and defense material,
is a very complex theme. In order to better understand the complete theme of
security, we have subdivided the theme in three parts: PHYSICAL SECURITY, PERSONAL
SECURITY, and DOCUMENT AND INFORMATION SECURITY.
None of these three parts could exist by themselves. During the last
chapters we introduced the other two securities; personal and documents. In this
chapter we will discuss what is physical security in itself, but we wish that you
always keep in mind the other two securities so that you may be aware of the
relationship that exists between the three.
So that you may fulfill your security function, you may have to be better
prepared for the enemy.
GENERAL FACTS:
1. EXAMPLES OF SECURITY:
a. Physical
b. Personal and anti-terrorism
c. Information security
d. Operations security
e. Communications security
f. Transmissions security
2. DEFINITION OF PHYSICAL SECURITY:
Physical security is defined as "The barrier system that is placed between
the potential intruder and what you wish to protect. These barriers could be of
five types: (NATURAL, STRUCTURAL, HUMAN, ANIMAL, ENERGY)."
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a. NATURAL BARRIERS: Are those natural topographical characteristics such
as rivers, mountains, seas, ravines, cliffs, etc., that by themselves slow down or
difficult the entry or access of an intruder to an installation.
b. STRUCTURAL BARRIERS: Are those barriers constructed by man, without
consideration to its original intention, that could delay the intruder. Some
examples of structural barriers are: walls, floors, doors, windows, locks, fences,
etc.
c. HUMAN BARRIERS: The guards, managers in charge of lodging, office
workers and workshops workers who intercept the intruder and what he wishes to
protect.
d. ANIMAL BARRIERS:Generally dogs such as the German Shepherd, are
trained and used as guards.
e. ENERGY BARRIERS:Alarms, protective illumination, any electronic
devise that serves to protect an installation.
3. PRINCIPLES IN WHICH THE APPLICATION OF PHYSICAL SECURITY IS BASED:
a. The enemy's agent must have access to the information or material that
interests him. The type of access depends in a number of factors, and could be
done in different ways:
1) When you are considering protecting information, you should not only
consider protecting the physical access, but the access to discussions about these
material through the use of clandestine devices to listen [bugs]. If the enemy
tries to tape a conversation about an specific theme, this is so useful to him as
the original document in paper.
2) You must be careful also WITH the use of long-range photographic
equipment to get access through openings in structures.
3) The themes discussed above could be considered also for sabotage. The
sabotage agent does not have to place the device or destructive material in the
place he wishes to cause damage. He could, in many ways, throw an explosive device
against its target, (riffle, grenade launchers, rocket launchers, camouflaged
explosives sent through the mail or WITH supplies), or could contaminate the fuel
or oil deposits to cause damage to machinery, although they keep away from him.
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4) You may consider all available resources that the enemy could access,
and all these must be evaluated to determine how we could be able to counter
arrest it.
b. IS THERE ANY IMPENETRABLE BARRIER?
1) ANSWER: There is no barrier that is impenetrable. If a hostile
government is set to dedicate sufficient time, money, personnel, materials and
imagination to cross a barrier, they may succeed.
c. SECURITY WITH DELAY DEFENSE SYSTEM:
1) Although no barrier could totally exclude an intruder, it could give a
determinate delay time. It all depends upon the intruder's ability.
2) Instead of trying the exclusion through the use of just one barrier,
the security could be based in a security in-depth system or accumulated delay.
3) To get optimum results it is necessary to add barrier over barrier,
delay over delay, until sufficient delay time is accumulated that will allow us to
control any possible penetration. This delay should be enough so that the
available personnel could neutralize the intruder.
4) A fence without guards allows a short delay. If that fence is
patrolled by trustworthy guards that keep it under observation within the delay
time, the total delay time increases significantly.
5) In some cases it is necessary to differentiate between the need of
denying access and the need to have knowledge that access has been gained. This
refers to the neutralization, if a material is committed, you may take action to
void its value for the enemy.
6) Physical security must be applied not just as a dissuasive means
against the stealing property but also as a dissuasive means against espionage.
7) The spy only partially satisfies his purpose when he acquires
information. Information looses value if the persons responsible for its custody
know about the leak. Espionage does not have any value if it is revealed.
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8) These considerations make the surreptitious entry the greatest danger
from the CI's point of view. This makes the creation of two types of barriers
necessary. One to protect those things that could be stolen and could not be
neutralized and another to protect those things that could be neutralized.
9) To protect those things that could be neutralized a barrier that shows
evidence of having penetrated is created. Example: (Broken window, etc.).
d. Each installation must be treated as an individual entity when
planning security. The location of an installation alone will bring problems that
differ from those aspects of other installations. Each one must be considered as a
separate problem.
4. PHYSICAL SECURITY ASPECTS:
DISCUSSION OF DIFFERENT BARRIERS:
a. NATURAL BARRIERS
1) ADVANTAGES OF NATURAL BARRIERS
a) They provide a protection system without additional cost to the
installation.
b) The difficulty to penetrate an installation increases according to the
barrier.
2) DISADVANTAGES OF NATURAL BARRIERS:
a) Trees, ravines, vegetation, could serve as a hiding place to any
possible intruder.
b) Installations that have as barrier a body of water could be subject to
penetration through a team of divers.
3) BODIES OF WATER AS BARRIERS:
a) ADVANTAGES:
(1) When the surface of the water is calm, it offers the guards or
security personnel a very extensive field view range.
(2) Water offers much resistance to a vehicle used by intruders by
making it almost impossible to have rapid access to the installation.
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(3) To gain access, the task of hiding a vehicle or boat without
been detected by the guards or security personnel will be an obstacle to the
intruder.
b) DISADVANTAGES:
(1) When the water is agitated it reduces the field of vision of the
guards or security personnel.
(2) It is possible to control the movement of a vehicle or boat to
keep it hidden between waves.
(3) The surface of the water reflects the light given by the
illumination system. An intruder may use this situation in their favor when trying
to penetrate an installation.
4) THE LAND AS BARRIER:
a) The land where the installation sits must be evaluated and considered
as much from the surface access point of view as from below the surface.
b) Points to consider when evaluating the land as barrier:
(1) The looser the ground the more noise it will cause when the
intruder walks.
(2) Muddy soil without vegetation is very difficult to cross and at
the same time the intruder leaves their footprints.
(3) Light colored soil provides reflection and contrast so as to
allow the most efficient use of natural and artificial illumination.
(4) Land that is uneven such as cliffs and ravines are difficult to
cross and limit the amount of equipment and material that the intruder could
introduce in the exterior perimeter area.
b. STRUCTURAL BARRIERS:
1) As explained earlier, structural barriers are man-made constructions.
To remove the vegetation around an installation is also considered as an
structural barrier.
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2) FENCES: Fences are independent structures, generally in a vertical
plane, designed for the physical and or visual control of access to external
areas.
a) General facts about fences:
(1) Define the area they protect
(2) Reduce the number of guards required and facilitate the tasks of
the patrol corps.
(3) Cause delay in case of an intent to penetrate
(4) Although they don't deny the access in themselves, they are a
psychological obstacle to a possible intruder
(5) They deny accidental access to innocent persons to the protected
area
(6) They help control the flow of vehicles towards those entrances
controlled by guards
3) TWO TYPES OF FENCES:
a) SOLID: They are used to deny visual and physical access to non-
authorized persons. The materials normally used are bricks, concrete, wooden
boards, stone, etc.
(1) ADVANTAGES OF SOLID FENCES:
(a) They are useful when you wish to hide certain activities within the
installation.
(b) They avoid the possibility of passing small items through the fence.
(c) They could be built in such manner that it would be difficult to cross
them without being detected.
(d) For the most part, fences are built of stone, brick and concrete and
they extend below the ground and make it difficult to the intruder to penetrate
below.
(2) DISADVANTAGES OF SOLID FENCES:
(a) It is difficult to illuminate the zone around the installation because
of the shadow caused by the fence.
(b) They do not allow patrols within the installation to observe the
activities in the external perimeter.
(c) The installations that use solid fences have guards in towers. Tower
guards are a disadvantage in itself. The towers confine the guard in a very
limited area. Since the guard cannot move for a long time in the tower he does not
stay alert.
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b) COMPLETE VISION FENCES: Are built in such manner that they al]ow
visual observation through the entire fence. It is designed only for the control
of physical access between two areas.
(1) ADVANTAGES OF COMPLETE VISION FENCES:
(a) They allow the effective use of illumination since
they do not cast a shadow.
(b) They allow the effective use of guard patrol, since
they could keep the installation's surrounding area in watch.
(2) DISADVANTAGES: They allow a possible intruder to carry out a
reconnaissance of the camp and could establish the installation's pattern of
internal security guards.
3) PENETRATION: It is the main objective of all enemy or terrorist to
attain access to the internal perimeter of an installation to carry out his
mission.
4) THREE WAYS OF PASSING THE FENCES:
a) ON TOP: Most fences are not high and are easy to climb.
b) THROUGH THE MATERIAL: (If it is not a solid fence).
Many fences are built in such manner that it is easy to break or
separate them in such manner that it will allow the enemy's access without leaving
evidence that there was a penetration.
c) BELOW: If the fence is solid and very high, digging and
penetrating below is possible.
5) CHARACTERISTICS OF FENCES:
a) The minimum height of a fence is eight (8) feet. This is due to
the consideration that an average man could jump or climb that height.
b) It must be extended below the ground level.
c) If it does not extend below the ground level, the minimum space
between fences and the ground must not be over two inches.
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d) Support posts:
(1) Wood: Must be the best wood quality and measure at least 4
inches wide.
(2) Metal: Must be at least 2 inches in diameter. They must be
placed over concrete or firm ground at a depth of three feet.
e) Protection - Upper part of the fence:
(1) All fences must have in the upper part, additional
obstacles that could prevent or delay the enemy's penetration.
(2) Complete vision fences:
(a) Barbed wires are placed in metal arms that extend
outward, at a 45 degree angle.
(b) Place barbed wires in metal arms in "V" shape.
(c) The arms must be two feet long WITH three rows of
barbed wire over them.
(d) You may also use folding wiring.
(3) Solid Fences:
(a) You may use the same system as complete vision.
(b) You may add glass in the upper part.
(c) You may place sharp metal bars.
(4) DISADVANTAGES: You must understand that the barbed wire
system in the upper part of a fence does not completely prevent an intruder s
entry. What this system provides is delay to the intruder and is another obstacle
that he should pass through.
f) GATES IN THE FENCES: The number of gates in a fence must be limited to
the minimum necessary for the efficient and safe operation of an installation.
Although all the gates must have the ability to be locked, when locked they must
provide the same level of security that the fence itself provides. When there is
considerable traffic on foot and vehicles it is preferable to provide separate
gates for each type.
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g) OPENING IN THE FENCES: All the openings within or below the fence
(gully, sewage) that measures over 96 square inches must be sealed in such manner
that they could only be penetrated from within. In the case of rivers or ravines
that flow in the surroundings of the fence do not allowed this to extend over the
water and it must be built parallel to the ditch. In case that fences are built
through rivers or ravines, these must be dug to the river bed so as to avoid
penetrations below the water.
h) MULTIPLE FENCES: Multiple fences are formed by two or more parallel
fences used in conjunction to form a perimeter barrier. In addition to increasing
the delay time, they tend to trap the intruder and prevents our personnel from
accidentally coming in contact WITH the alarms or security measures imposed around
the fence.
(1) The minimum rules for a fence also apply to each multiple fence
unit.
(2) The multiple fences must be at least 10 feet away.
(3) The maximum distance allowed between two fences is determined by
the ground, the illumination, and the guard's abilities, but it must not exceed
150 feet.
(4) A greater distance than this, prevents the fences from being
completed and could be attacked by the intruder as they treat it as a separate
obstacle.
6) CLEAR ZONES: The clear zones is the area of the external or internal
perimeter of the installation which is free of obstacles, structures and
vegetation.
CHARACTERISTICS OF THE CLEARED ZONE:
a) Must extend throughout a minimum of 20 feet in the external perimeter
of the installation.
b) Must extend throughout a minimum of 50 feet in the internal perimeter
of the installation.
c) Must remain free of vegetation, structures, trash or any other
material that could allow the enemy to use it as hiding place.
d) There should be no trees next to a fence. The enemy could use a tree
to reconnoiter the installation and to try the access over the fence.
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e) It is important to keep the grass mowed around the cleared zone so
that there will be no possible hiding place for the enemy.
f) Do not use the cleared zone as a storage area.
g) If you do not have an adequate cleared zone, you must increase the
height of the fence.
h) If a fence is used to protect a large area, if possible, build a
perimeter road that allows the car patrols and the quick delivery of
reinforcements to any point of the fence.
c. HUMAN BARRIERS: (THE GUARDS AND THE GUARD SYSTEMS)
1) The physical security depends upon the use of guard systems in such a
way that natural and structural barriers could be used to control and avoid the
access of non-authorized personnel.
2) The guard system is the most important element of the security program
of an installation.
3) FOUR BASIC FUNCTIONS OF THE GUARD SYSTEM:
a) Detect the intruders
b) Sound an alarm
c) Capture non-authorized personnel
d) Identify authorized personnel
4) TWO GUARD CATEGORIES:
a) Those whose only mission is to serve as guards in the
installation. These men are trained specifically to carry out this task.
b) Those who carry out this task as a punishment or as additional
task of their normal work, or it is the job that they have been properly trained
for.
5) RECRUITING THE GUARDS: Due to the important role that they play,
security guards must be very carefully chosen.
ELEMENTS TO BE CONSIDERED WHEN SELECTING GUARDS:
a) Experience
b) Training
c) Must be strong
d) Must be in good physical health
e) Must be trustworthy
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6) TRAINING THE GUARDS:
THEMES TO INCLUDE IN TRAINING:
a) A general orientation that includes the orders and the authority
b) Instructions about the traffic control
c) Riot control
d) Personal defense
e) Arms handling including maintenance and security
f) First aid
g) Communications
h) Use of special arms
i) Plans and emergency procedures
j) Counter espionage
k) Counter sabotage
NOTE: The responsibility of the training generally falls upon one of the
members of greater seniority of the guard's forces.
7) THE USE OF GUARDS:
a) The guards' barracks must be located where they could enforce maximum
control over the guard's posts and the sensitive areas. They must use the
following rules:
(1) In small installations WITH one only entrance, the barrack must
be near the entrance.
(2) In large installations a centrally located barrack is preferable
to facilitate the quick deployment to any dangerous point.
b) For the perimeter's security, the most effective use of guards is in
fixed points that support themselves mutually. These require that each guard be
visible to the one next to him, sharing therefore the responsibility of the area
they protect. These posts must also be protected by the elements; such as: wind,
rain, cold weather and the sun.
c) It is less costly to use the guards on foot or mounted guards. The
guards could verify the barriers at irregular intervals and will make it more
difficult for the intruder to penetrate the barrier.
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d) No matter what method you use for the guard's service you must prepare
orders for each post and patrol. These must:
(1) Must be brief and easy to understand
(2) Include instructions about all the possible contingencies in
regards to actions during emergency situations
e) A guard must have sufficient time to rest if the job must be done
effectively. Must, at least, be relieved every eight (8) hours. The guards in
fixed posts must be relieved each four (4) hours.
8) SUPERVISION OF THE GUARDS:
a) The continuous supervision is necessary to make sure that the guards
are in their posts and carrying out their security tasks. The supervisors must
keep in contact WITH each post, at least four (4) times a day.
b) A characteristic guard force must consist of:
(1) A commander
(2) His assistant
(3) Administrative personnel
c) If guard services are given 24 hours, three shifts must be needed.
Each shift has a similar organization.
d) The supervision starts WITH a personal inspection of all the guards
before the start of their shift. Each inspection includes:
(1) Personal appearance
(2) The equipment
(3) Knowledge of special orders
9) THE GUARDS' EQUIPMENT:
a) Distinctive uniform
b) Credentials and or appropriate identification as a guard.
c) Appropriate arm
d) Additional equipment: notebook, whistles, flashlights
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10) COMMUNICATIONS AMONG GUARDS:
a) Fixed posts and patrols joined by a communications network.
b) Direct telephone may be used.
c) Portable radio.
d) Emergency communications depend on messengers.
e) The vehicles must be equipped WITH radio-transmitters,
receivers.
f) The central station must be in charge of a supervisor.
g) The patrols on foot could use radios.
d. ANIMAL BARRIERS:
1) An animal barrier consists of an animal that is used as guard system.
2) In theory, you may use many types of animals but we have limited the
use to a dog, almost exclusively a German Shepherd.
ADVANTAGES OF USING DOGS AS BARRIERS:
1) Their sense of smell and hearing are much more developed than in
humans.
2) They have an incorruptible character.
3) They are loyal.
4) They are plunderers by instinct, their qualities as guards are natural
in him, and take precedence over their own welfare.
5) The man-dog team is the most effective method in the use of dogs as
guards.
6) You may place dogs in open areas where it is necessary to limit
movement.
DISADVANTAGES:
1) They lose their effectiveness if they work where there are many
people.
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2) You could not use it near a road, since the traffic noise will
distract him and cause him to lose concentration and effectiveness.
3) They must work at least 75 to 100 yards from a road, or from areas
with frequent traffic.
e. ENERGY BARRIERS:
1) An energy barrier is the use of mechanical, electric, or
electronic energy to prevent or alert about an intruder-s entry.
2) Two important energy barriers are:
a) Protective illumination systems
b) Protective alarm systems
3) PROTECTIVE ILLUMINATION:
a) It is used to increase the guards- field of vision, providing a visual
field during the night in areas of poor or any natural light.
b) DISTINCTION OF SILHOUETTES:
(1) When the possible intruder uses dark clothes, he may hide behind the
structure-s shadows. To aid the guard in distinguishing these silhouettes you may:
(a) Direct additional illumination to the structure-s grounds and
walls.
(b) You may paint stripes or angles on the walls, fences and
structures, that will allow the guard to detect movement.
c) ILLUMINATION OF ENTRANCES: This is a special task since:
(1) Provides illumination to:
(a) Inspection of passes
(b) Inspection of Identification cards or badges
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(c) Inspection of vehicles
(d) Inspections of trucks and loads
(e) Illumination of the area surrounding the sentry box
(2) There must be illumination in an area approximately 50 feet around the
sentry box, 25 feet as a minimum.
(3) The area inside the sentry box must be kept as dark as possible. In
that manner the guard could see the persons, and the persons could not see who is
the guard, nor how many guards there are inside the sentry box.
d) SENTRY TOWERS:
(1) The sentry towers must not be over 1,000 feet of distance
from one another. The reason for this is that a person WITH normal vision only has
a field of vision of 500 feet in which he could distinguish silhouettes.
(2) The sentry towers must have flood lights, in addition of
providing illumination, they must also blind and surprise the intruder,
disorganizing therefore the possible attack plan.
e) ILLUMINATION OF VITAL AREAS:
(1) Examples of vital areas:
(a) Communications
(b) Warfare equipment
(c) Water tanks
(d) Energy plant
(2) The vital areas that are considered vulnerable from a
large distance must be kept dark.
(3) Vital areas that are vulnerable at short distance must be
kept well illuminated.
(4) Other areas that must be kept well illuminated are:
(a) Inactive areas: where there is no night work, areas
that provide hiding places to intruders.
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(b) Buildings: Illumination around the buildings is
necessary to avoid that intruders come in through low windows on the first floor.
(c) Parking area: In addition to providing a good
hiding place to the intruder, is a good area for assault to employees of the
installation.
f) EMERGENCY ILLUMINATION:
(1) There must be an independent-backup system of illumination
when the normal energy source is interrupted. This may be:
(a) A system of floodlights that operate on batteries.
(b) A generator
(c) A central battery system
5. PERSONNEL CONTROL AND IDENTIFICATION:
a. IDENTIFICATION:
1) The most effective manner will be if the guards could
personally recognize all the persons authorized to enter the installation.
2) A modified identification system could be used only at the
military installations where only military personnel work. A commander could take
his unit to the door and become responsible for them.
3) The artificial identification is the most widely used at
present. The authorized personnel receives passes or cards where access to a
determined installation or activity is authorized. These could be falsified and
therefore they must be laminated and prepared WITH a complex background so as to
make falsifying difficult.
4) They must have the photograph of the person, name, and
date of birth, height, weight, hair color, color of eyes, sex, name of the
installation, rank, title, and signature of the authorizing official.
5) When artificial identification is used, this must execute
a rigid control over the devices used.
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b. USING THE ARTIFICIAL IDENTIFICATION SYSTEM:
1) The employee receives a card or identification that they keep.
When they enter the installation they show the card and come in. This system is
used widely but it has its flaws. These are the loss of cards and possible
falsifications.
2) In another system, two cards WITH the same information is
prepared.
a) When the person comes to the installation, they give the
card that he keeps and he receives another one to be used inside the installation.
If one of the two has been altered, the guard could detect the change when he has
the two cards in his hands.
6. CONTROL OF VISITING PERSONS:
a. The control over the visitors depends in how sensitive the
installation is.
b. Possible visitor's controls:
1) Escorts
2) Programmed visits
3) Visitor's registry
4) Passes for visitors
7. CONTROL OF PACKAGES:
a. You must provide for the search of packages that come in or that
are taken out of an installation.
b. If necessary, you may prohibit carrying packages to the
installation all together.
8. PHOTOGRAPHS:
a. You must be careful in the areas where classified material is
kept to avoid the taking of non-authorized photographs.
b. Generally, only photographers authorized by the information
office, or by the commander of the installation could carry cameras to the
sensitive areas.
9. VEHICLE IDENTIFICATION CONTROL:
a. Jointly WITH the personnel control, there must be a control of
vehicles.
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b. An identification system which identifies the vehicles WITH
authorized access to the installation.
c. It is required that the entire personnel registers their
vehicles WITH the guard's general headquarters.
d. When the registry is done, you may give the vehicle's owner a
decal that must be placed in the vehicle's windshield.
e. The declass must be renewed annually and must be rigidly
controlled.
10. FIRE-FIGHTING INSTALLATIONS:
a. Fire is one of the most effective tools used by the sabotage
teams.
b. Without knowing the cause, a fire could neutralize an
installation completely.
c. The security program must include the adequate installations to
fight fires and a program for the prevention of fires.
d. COMPONENTS OF A FIRE-FIGHTING INSTALLATION:
1) PERSONNEL: They may civilians or military men. They must be trained
adequately in combat and fire prevention.
2) ORGANIZATION: It is a function of engineers. The engineer of
an installation serves as commander of the firemen's corps.
3) THE EQUIPMENT: The firemen's ability depends upon the equipment they
have. To determine the type of equipment necessary, you must understand the
classification of the fires:
a) CLASS A: Are those which consist of common fuels such as wood,
paper, and similar materials. Water is the best element to fight such type of
fire.
b) CLASS B: Are those of the oil or gas type. Water does not work
to put out this type, since water spreads this type of fire. Carbon dioxide is
appropriately used to put out this type of fires. Foam extinguishers are
recommended.
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4) ALARMS: There are two types of alarms: Central and local. They could
be automatic and manual. Their placement serves to alert the fire fighters corps
and the personnel at the same time.
5) RESERVE FORCES: It is advisable to have a reserve force that consists
of personnel trained in the same manner as the main corps.
6) PREVENTION OF FIRES: The entire personnel in an installation has the
obligation to participate in a prevention program. You must have a training
program so that everyone is conscious of their responsibilities.
7) PLANS IN CASE OF FIRES: You must prepare specific instructions for the
entire personnel. You assign specific responsibilities to the entire personnel
that is present at the time the fire breaks out.
11. COMMUNICATIONS:
a. A security program must include provisions about communications
security.
b. The communications center must be designed as a restricted area
and must enforce strict control over the access to this area.
c. The communications center must be located in an area or building
that could be easily defended, WITH some type of protection against aerial
attacks.
d. The maintenance and service personnel have a very sensitive
position and therefore must have the security authorization according to the
sensitivity of the installation.
12. GENERAL SERVICES:
a. There must be provisions that guarantee that electricity and
water services are protected adequately and there are emergency sources available:
1) ELECTRICITY: If an installation has its own energy plant this
must be located in a restricted area and only authorized personnel should be
allowed inside. A barricade system must be built to prevent the entrance of non-
authorized personnel.
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2) WATER: If the installation has its own fire fighting station,
you must give the same protection as to the energy plant. You must protect the
water from contaminations.
SUMMARY:
We have discussed some of the measures that could apply in an installation
or activity to prevent non-authorized access to these. You must not suppose that
these are the only available measures when making a recommendation to a commander
during the course of an inspection or carrying out a study of physical security.
The minimum rules that have been presented are preferred but are not always
possible. Frequently, you may improvise to compensate for the lack of security
that results when the minimum rules are not carried out.
Keep in mind that there is not such thing as an impenetrable barrier. One
must not depend solely upon natural and structural barriers. The key to the good
functioning of any security system is personal efficiency. The barriers that are
used only serve to improve the effectiveness of the guards and make the detection
of intruders more possible.
The physical security is not the only answer to the commander's problems in
regards to security. Unless he has a good personnel security program and a good
information security program he would not be successful in his intents to
safeguard the information and the classified material of his installation. If
there is a flaw in the security system, the intruder takes the necessary key to
neutralize the whole security program. Remember this when analyzing an
installation during a security inspection.
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ANNEX A PHYSICAL SECURITY REPORT LN324-91
(Name of the group preparing the study)
TITLE: SECURITY STUDY OF (Name of the installation)
I. HISTORY:
A. The study of security was conducted during the period between (the
times and dates)
The following agents from (designation of the unit that conducted the
study).
1. Last name, first name of agent(s) in charge
2. Name
3. Name
B. MISSION OF THE UNIT OR INSTALLATION:
1. The unit ______________has the following mission.
2. Factors that affected the level of security.
a. Discuss the mission of the unit as it affected the
required security level.
b. Discuss the location of the unit.
c. Discuss the number and the name of similar installations.
d. Discuss the security classification for information and/or
material.
e. Discuss the general importance of the unit studied.
C. LAST STUDIES AND SECURITY INSPECTIONS:
1. Security study: (Date)
2. Security inspection: (Date)
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D. UNIT MAPS:
1. Sketches of the unit or installation.
2. Map of buildings (Annex "A" convincing document number _____)
II. MILITARY SECURITY SITUATION:
A. PHYSICAL AND MATERIAL SECURITY:
1. Natural barriers and exterior influencing factors:
a. Topographic description
1) Location of the installation or unit.
General limits:
a) North
b) South
c) East
d) West
2) Ground characteristics
a) According its shape (flat, mountainous, etc.)
b) According to its coverage (clear, etc.)
c) According to its contents (clay, etc.)
3) Type of terrain:
a) Natural:
(1) Hills (location, height, characteristics,
photographs)
(2) Ravines
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b) Artificial:
(1) Canals, (location, width, depth, photograph, etc.)
(2) Water collectors
b. Immediate areas:
1) Unit, location at __________________________areas pertaining to
___________________surrounded by the following inhabitant groups.
a) Inhabitant groups
-- Population (distance, characteristics, etc.)
-- Settlement (main characteristic of the sector)
b) Educational establishments
-- Schools
-- Colleges
c) Social organizations
-- Number (location, distance, objectives)
-- Leaders (names, last names, identity number, place, address,
telephone, etc.)
d) Industries
-- If any (description)
e) Entertaining places
-- Restaurants, billiard rooms, taverns, etc. (characteristics)
f) Crime rate in the zone
-- Common crimes in the zone
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-- Police history (rubbery, crime, etc.)
g) Groups WITH ideologies contrary to the constituted order or power.
-- Investigations to ideologies that could affect the security of
the National Unit.
h) Foreigners
-- Names
-- Occupation
-- Nationality
c. Critical zones
1) Are the following installations:
a) Generators
b) Electricity control
c) Water measures
d) Fuel deposits
e) War materiel
2. Artificial barriers
a. Perimeter barriers
1) General Facts
a) The unit borders WITH walls from north, south, east
and west, extension, fencing, type of concrete.
b) The limits of the installation are:
-- North
-- South
-- East
-- West
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2) Fences
-- The unit has barbed wire fences, etc. to the north, south,
east and west, etc., describing direction, extension, type of fencing or barriers
they have (include a photograph).
3) Entrances
-- There are the following entrances in the unit:
-- A door (characteristics, measures, role)
-- An entrance (characteristics, measures, role)
-- Other doors (characteristics, measures, role)
3. Human barriers:
a. Guards and security systems
1) Guard personnel
a) General description
b) Guard service
2) Inspection and control of the guard
a) Inspection system
b) System for its control
3) Use of guards
-- Positions, if there are or are not enough
4) Guard's equipment
-- Disposition of armament, ammunition, equipment, etc.
b. Control and identification of persons
1) Personnel in charge of control
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2) Systems for control of persons
3) Identification cards for persons
4) Plant personnel (working inside the installation)
5) Visitors
6) Authorization to access the installation
7) Schedule of access
c. Control of identification of vehicles
1) Registry and control of vehicles
2) Visitor's vehicles (parking area)
3) Systems for inspection of vehicles, entering and exiting)
4) Illumination of perimeter (if enough, photograph)
d. Security of the inside area
1) There is no security
2) The unit has _______ (description of installations)
3) Built by_________ (description of rooms, floors, etc.)
4) The main doors to buildings are
5) The windows ________________
6) The upper part, doors, windows, etc., (in regards to
security)
4. Animal Barriers
a. If any (type and description)
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5. Energy barriers
a. Illumination system
1) If any (characteristics)
b. Alarm system
1) If any (characteristics)
c. Services
1) Electricity
a) Who supplies it
b) Is it enough or not, etc.
c) Water pressure
d) If water supply is enough or not
e) Uses
f) Water tanks
-- Description, characteristics, use, location, etc.
g) For emergency cases, if there are any other sources
or own places for collection of water.
d. Special cases
1) Fire fighting systems
a) Fire personnel
-- Plan to put out fires
-- Distance from firemen
-- Composition of firemen corps
-- Equipment used
-- Time to reach the unit if notified of a fire.
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b) Fire-fighting equipment available at unit
-- If any (description and location)
c) Fire alarms
-- Description, auxiliary, etc.
d) Water
-- If the unit has water hydrants in case of
fire.
e) Counterintelligence plans
-- If any
2. Plan for defense of the camp
a) If any
B. PERSONNEL SECURITY:
1. Main personnel in the unit
Infantry, military intelligence, administrative, civilians, etc.
2. Number of persons
a. Plant personnel
1) Plant number
2) Troop personnel
3) Recruited personnel
3. Civilian employees. (identification and authorization cards, schedule
of entrance and exit)
a) Doctors
b) Nurses
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c) Secretaries
d) Workers
e) Etc.
4. Others
a. Address of personnel in the general area.
b. Use of mobilization. (If there is any plan for mobilization of
personnel in general in case of emergency)
c. Investigation
1) If there have been any suspicious sinister activity, that
is, sabotage.
2) If there have been intention to cause fire.
3) Any illegal authority that has been registered.
d. Moral
1) Moral problems that affect the security
2) Military personnel accusations (when a military man
reports to his superior about any comrade)
3) If there is a registry of damages or lost material
4) Hatred among military or civilian personnel
e. Personnel identification control
1) Personnel identification method
-- If none, if they intend to have one
2) Visitor's control
-- If none, if they intend to have one
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C. DOCUMENT SECURITY:
1. Existing situation
Summary of percentage (%) of documents and classification (ULTRA-
SECRET, SECRET, CONFIDENTIAL). If there is no existing classification of
documents, if they wish to establish a system.
a. Preparation and reproduction:
1) The sections create sensitive or classified material
2) Precautions WITH paper ribbons, carbon paper, etc.
3) Document file. (location, adequate or not)
4) Destruction of documentation
5) Access to sensitive dependencies or secret documents
b. Classification and marking:
1) Markings should be placed in documents classified as:
a) Photographs
b) Film
c) Recordings
d) Letters
e) Drawings
f) Maps
2) They are properly stored
3) They are of easy access
-- Manner in which they are stored
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c. Re-classification of (classified documents)
1) If they have a higher echelon in each one of the cases
2) Registry and file of classified documentation
3) How the material is filed; ULTRA-SECRET, SECRET, CONFIDENTIAL.
4) Description of building where it is filed
5) Who files in each dependency
6) How long does it take for a person to do that work
d. Transmission
1) Verbal or written communications
2) Using military mail or other mail
3) Stations and telephone numbers and extension numbers
4) They use wire methods, such as telephone, radios, etc.
5) Messengers
a) Who are they
b) It is always the same person
c) They receive instructions for the fulfillment of their
work.
e. Dissemination
1) Who authorizes the handling of classified documents?
2) If documents are taken out of the office. Who gives the
authorization.
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3) They keep the key to the files when they leave the office.
4) Who has that key?
5) If classified documents are taken out, if they need a receipt.
If they require previous authorization from their chief.
f. Message center
1) If there is:
a) Description and functioning
b) File description
c) Well or poorly attended
2) Facilities for storage of documents
a) Manner of storage
b) File style
c) Security keys
3) Receipts:
-- System for receiving documents
4) Incineration:
a) There are systems for incineration
b) Where does the incineration takes place?
5) Evacuation:
a) Evacuation plan
b) Vehicles
c) Assigned personnel
d) Priorities
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e) Evacuation place
f) Security measures
g) If the classified material is identified
D. SECURITY OF TRANSPORTATION AND MOVEMENT:
1. History
a. They is a topographic chart of the place.
b. Transportation of the installation's personnel
c. Capacity for military transportation or supplied civilians.
2. Aspects to consider:
a. Coverage measures
1) If identity of installation, unit, or part of the vehicles
is known
2) Has signs, direction signs or posters
3) Vehicle or continuous transit and uniformed personnel
4) Principal or alternative roads
5) Main roads:
a) _______________towards unit
b) _______________towards unit
6) Alternative roads:
a) ________________.
b)_________________.
b. Personnel and or security or protection means
1) If any
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2) Technical transportation security measures
3) Vehicles that are used in transporting the installation's
personnel.
a) Vehicles
b) Buses
c) Civilian buses
III. PHYSICAL SECURITY
A. Deficiencies found in the Study of Physical Security, conducted
previously, that could have effect over personnel security and the security of
documents.
1. Deficiency: ______________________________________
Recommendation: _________________________________
2. Deficiency: _______________________________________
Recommendation: __________________________________
B. PERSONNEL SECURITY:
1. Deficiency: ____________________________________
Recommendation: __________________________________
C. DOCUMENT SECURITY:
1. Deficiency: ______________________________________
Recommendation:_________________________________
D. SECURITY OF TRANSPORTATION AND MOVEMENT
1. We recommend to give the installation:
a. Transportation vehicles
1) Buses
2) Ambulances
3) Jeeps (trucks)
4) Loading transportation
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b. Coverage.
1) How could the unit cover the vehicles and their movement through
a false story if possible.
2) Access roads to the installation.
-- Main entrances for vehicles, pedestrians, etc.
3) Helicopter room
-- Where it could be possible
4) Parking room
-- Owned vehicles
-- Visitors' vehicles
-- Civilian vehicles
5) Security and protection personnel for the vehicles.
IV. ORIENTATION FOR EXIT
A. All the findings and recommendations were discussed during an
orientation WITH unit members:
(Name the participants in the group, WITH rank, last name, name, initials,
role)
1. _______________________________________
2. _______________________________________
3. _______________________________________
V. ANNEXES:
"A" Convincing document no. 1 Photograph
Convincing document no. 1 Legend
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"B" Physical Security:
Convincing document no. 1 Photograph
Convincing document no. 2 (Description)
"C" Personnel Security:
(Name the documents in the same manner than the ones above).
"D" Document and information security:
Convincing document no. 1 XXXXXXX
"E" Security of Transportation and Movement:
Convincing document no. 1 XXXXXXX
_________________________________________________________________
1. SUMMARY: (Study of Physical Security)
2. CONCLUSION:
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