PERSONNEL SECURITY

INVESTIGATION
 PERSONNEL SECURITY INVESTIGATION
Introduction
Security regulation governing classified material and
information, provides that no person is entitled, solely by virtue
of his grade and position to have knowledge or possession of
classified information or material; that such will be entrusted
only to those individual whose official duties require access to
such knowledge and that all such persons be cleared to receive
this material or information on a need-to-know basis.
Other means employed to protect classified information and
material from alien and enemy penetration is by conducting
personnel security investigation.
 Definition of Terms
 Character- it is a trait or sum of traits, which serves as an index to the
essential or distinctive nature of a person.
 Derogatory Information- any information which reflects unfavourably on the
character, integrity, loyalty or reliability of an individual.
 Discretion- it is the ability or tendency to act or choose with prudence; that
habit of wise judgement.
 Integrity- it is the uprightness in character, soundness of moral principles,
honesty and freedom from moral delinquencies.
 Loyalty- It is the faithful and true allegiance to the Philippine Government
and its constitutional form of government.
 Moral- Principles or standards of conduct of an individual, his ethical
judgment in human relations and his respect to superiors.
 Moral turpitude- includes everything, which is done contrary to
justice, honesty, modesty or good moral.
 National Security- The state or condition under which the nation can
pursue its national objectives without interference. It relates to the
protection of the land, people, institution and way of life from any
activity, force, influence, aggression or phenomena inimical of
national security.
 Security Risk- Any person whose character, activities or circumstances of life,
might place him in a position where wittingly he would compromise the security
of classified matter, which could produce serious consequences ranging from
administrative embarrassment to endangering the security of the state.
 Sensitive Position- Any position in the Philippine National Police, the
incumbent or occupant of which would have access to matters classified Secret
or Top Secret, or Restricted or which would have a policy making function with
bears a substantial relation to national security.
 Personnel Security Investigation- It is an inquiry into the background of an
individual, particularly with respect to his character, integrity, loyalty and
discretion. PSI is conducted because of the sensitive position an individual is
holding or about to assume.
 Partial Background Investigation(PBI)- inquiry in the specific phases of the
life of an individual which are deemed relevant or pertinent to the
investigation. PBI is usually limited to local agency check.
 Security clearance- a certificate given to an individual authorizing him/her to
have access to classified documents for a certain period of time.
 Reputation - the opinion or estimation in which one is generally held.
Types of Personnel Security Investigations
Personnel Security Investigations are of three types: National Agency
Check (NAC), National Agency Check and Written Inquiry (NACI), and
Background Investigation (BI). The type of investigation required in any
instance will depend upon the category of classified information to which a
clearance for access is required and on the citizenship status of the individual
concerned. General principles, supervision, control and procedures governing
the conduct of these investigations are conducted on foreign nationals in
overseas areas, the scope of investigation will be prescribed by the
responsible area commander.
Conduct of Background Investigation (BI)
A. Scope of Background Investigation (BI)
Most of counterintelligence investigations are background investigation.
Their scope encompasses thirteen component parts or phases, and covers the
last 15-years period of the individual’s life to the date of the investigation, or
from the subject eighteenth birthday to the date of inquiry, whichever is
shorter.
1. The education check, which is considered an important part of background
investigation, is conducted without regard to the time and date of birth
limitations indicate above. The restriction on the 13- year coverage of the
individual’s eighteenth birthday, concern the investigator only and that he is
not required to deliberately seek information not within the usual period of
coverage unless a discrepancy develops or such information is given to him
during the investigation.
 2. There are times when the period of coverage may be extended:
a. In the event that such a step is necessary to prove or disprove
derogatory information; and
b. When extended coverage is required by competent authority.

B. Phases of a Background Investigation

There are thirteen phases of a background investigation, all of which
are significant in determining an individual’s loyalty and suitability.
1) National Agency Check
The NAC is the first component part of a background investigation. It
consist of a record check or pertinent facts bearing of the loyalty,
trustworthiness, morals, discretion, character integrity and reputation of the
individual under investigation. Whether used as basis for a clearance or as part
of a BI, the procedure is the same. The control office is responsible for
designating the agencies to be checked and for processing the results.
 a. The special agent should recommend that a specific agency be
queried for information if there is an indication that such a check will be
valuable, but the approval and transmission of the request are
prerogatives of the control office. Based on study of the Statement of
Personal History and other available information, the control office
requests a search of files, which may be expected to contain pertinent
information. The form utilized for this purpose is Report of Agency Check.

b. The Directorate for Intelligence (DI) is a source of valuable

information. The repository office that maintains files of reports of
investigation conducted by PNP Intelligence Groups personnel and
furnishes copies of these files, or documents or information to persons or
agencies authorized to receive such information.
 c. Generally, there are three (3) possible replies to a national agency
check.
(1) No information
(2) No derogatory information. This means that the agency has
formation on the subject of administration or routine nature.
(3) Derogatory information. In this event, the inquiry may be
extended as necessary to obtain additional information.
2. Birth Records
Examination of birth records is normally not included in a BI. If,
however, in the course of the investigation a discrepancy is notice in the date
and place of birth as listed by subject, on his Statement of Personal History,
special effort is made to determine which information is correct.
 a. In some cases birth information is falsified, but this may not
necessarily reflect adversely upon the subject. Mothers may falsify a
child’s date of birth so that he can begin school at an age earlier that
permitted by law or regulation. This date of birth may be recorded on all
subsequent educational records. To evade state minimum age work laws,
the subject or his parents may falsify his age are often encountered in the
records of female subjects.
b. In establishing the correct date or place of birth the best
information is obtained from an official birth certificate or record
maintained by municipal, state or other government agencies. The
designation of the appropriate agency varies in different areas. Birth
records may be kept by a Bureau of Census and Statistics, Department of
Health, or similar agency. The records may be maintained at state,
country, city or township level.
 c. Other methods of verifying birth information may
be needed when no official documents are available. In
some areas in the Philippines, until the recent time, no
official birth records were issued or kept. In verifying
birth data, the investigator must be careful that the
information obtained is a verification, rather than a
repetition. In such cases, the investigator should try to
find the best information available. A doctor’s,
midwife’s or hospital records may be used.
 The vital statistics files of a newspaper which carry birth
announcements, especially in rural areas, may be accepted. Baptismal
and church reports may provide verification, as would entries in an old
family bible. In cases of adoptions or of illegitimate births, the
verification may require check of court records, or interview with parents,
guardians or lawyers.

3. Education
Usually a check is conducted only of educational institutions which the
subject attended for significant periods of time. However, attendance at
the last school or college is verified. If the last school was attended for
only three months, it is probable that a previous school would also be
checked
 a. It is important that in additional to a check of school records,
personal interviews be conducted with teachers or others connected with
school who may have an intimate knowledge of the subject’s activities.
Teacher at high school and college level generally have about four different
classes every six months. It can be expected that a teacher may not be certain
that he knows the subject. Most schools publish yearbooks, which include
individual photographs of students which can be used as an aid identification.
Some teachers may have more significant information that others, and these
would be searched out. In these, as in all other interviews, the investigator
should not be satisfied with broad statement such s “Roy was a good student,”
or Rex showed subversive tendencies.” He must obtain facts and details; he
should determine what subject said or did to lead to a conclusion concerning
character, integrity and loyalty. In some areas, juvenile delinquency is not
recorded on criminal records but may be found out in school records.
 b. Extracurricular activities, as well as academic achievements of
the subject should be considered. Not only the names of the
organizations, but the subject’s degree or interest and participation should
be determined. Mere membership in a subversive organization is not
conclusive evidence of disloyalty.

4. Employment
The records of present and former employers for the past 15
years or since the subject’s eighteenth birthday, whichever is shorter, will
be examined to verify the period of employment and to determine The
reasons for termination of employment are also significant.
a) Subject’s efficiency reflects on his suitability for sensitive duties
as repeated loss of jobs for inefficiency may indicate traits which have
a direct bearing upon his suitability for sensitive duties.
 b) It is important to substantiate date extracted from records by
obtaining additional information from individuals who may be familiar with
circumstances reflected in records entries. Subject may have formed
friendship, participated in lunch hour discussions or other outside activity
connected with his employment. Many industrial and commercial
organizations encourage such activities as bowling teams, management
clubs so forth.
c) Subject’s participation in union activities is of interest and
consideration of the aspect of investigation is sensitive. Unions and labor
activity are primary targets for subversive elements. However,
membership in a union known to have been infiltrated by subversive
personnel is not evidenced that the subject subscribes to objectives
inimical to the Philippines. Extremely careful investigation of union
affiliation in such instances is essential in order for responsible authorities
to reach objective and valid conclusions concerning its significance.
 5. References
a) Character references. At least three listed character references
are interviewed and an additional three character references are
developed. Each references must be familiar with the individual’s
background and his activities. Contemporaries of younger subjects are
acceptable and may be desirable as developed references.
b) Conduct of Character Investigation.

1. Character investigation are conducted by accredited criminal

investigators on applicants for entry into CI service. The responsibility for
the control of character investigations, as well as the preparation of
undeveloped leads and completed or closed character investigation
reports is assigned to the CI unit of ISAFP. The information upon which
these reports are based is developed by field activities in response to
undeveloped leads received from the Commanding Officers of the CI unit.
 2) Centralization of the character investigation process permits a
more rapid analysis of applications, the targeting of undeveloped leads which
specify the precise information sought, and relieves field activities of final
report compilation requirements.
3) When interviewing character reference, the investigator
conducting the interview establishes the proper atmosphere. He begins by
identifying himself and explaining the purpose…that the applicant has applied
for a position of trust with the PNP. The investigator is careful not to alarm
the interviewed, so the essential information is not withheld because of fear.

c) Credit Reference. In addition to checking all listed credit references,

credit agencies and/or bureaus are conducted in those areas where the
applicant has resided for periods of 9 months or more. Interviews in
connection with other investigative phases stress the applicant’s financial
responsibility. Credit checks need not be made during the period of time
when the applicant was 15 years of age or younger. Generally, all checks
should go back to the age 15 or when the applicant began high school.
6. Neighborhood check
These interviews are component part of most background
investigations. Although regulations state that neighborhood checks will be
conducted, “when deemed necessary to substantiate or refute derogatory or
adverse information as to suitability,” they frequently are essential. The barracks
check on members of the PNP is in effect a neighborhood check conducted in the
“military neighborhood” of the subject. The background investigation is normally
overt and it is assumed that the subject will know that he is being investigated.
However, to eliminate the possibility of embarrassing sources as result of the
subject observing or overhearing the discussion, it is best to contact barracks
mate away from the unit area. Neighborhood investigation normally need not
include the period of the applicant’s childhood (up to 12 years of age), places,
where the applicant reside less that 6 months, or on-post military residences, the
occupancy of which has been terminated for more that one year. It is sometimes
beneficial to have photograph of the applicant to assist the memory of a potential
character witness in instances where a face would be more likely to be recalled
than a name.
 7. Criminal Record
In some counterintelligence units, criminal records checks are made by a
specially designated liaison personnel who work closely with the local
police department. In many areas, juvenile delinquency is not made a
matter of criminal record. However, early criminal tendencies may be
revealed in other checks such as education, employment, and
neighbourhood. In these, as in all records checks, attempts are made to
substantiate or verify the neighbourhood. Attempts are made to
substantiate or verify the recorded information with testimony, evidence
and statements. Police records may show possible involvement in a crime,
but court records may reveal that the subject was acquitted based upon a
legal technicality. While the investigator seeks the best evidence, facts and
definite information, he is interested in rumour, hearsay and opinion if they
are pertinent to the investigation and lend themselves to further
development leads.
 8. Marriage
Dates and places of marriage are also verified. A local police records check
is conducted of the applicant’s wife at all location of married residence for a
period 90 days or more and a determination made as to whether she has a
police record or moral reputation which might affect the applicant’s
effectiveness as a criminals investigator. In addition, the service conducts an
NBI records check of the applicant’s wife.
9. Military/Services
The service of the individual in the Armed Forces and type of discharge will
be verified. The verification of an individual in present service is accomplished
by a check of the local unit’s and major unit’s personnel files in addition to
interviewing the immediate supervisor and co-workers. Past service and type
of discharge received are components of the National Agency Check (NAC).
 10. Foreign Connections
The investigation must consider both material and personal interest in
foreign areas.
a) The amount of investments in a foreign corporation must be
determined. It is important to determine whether the investment is in an
area under hostile control or in friendly country.
b) The nature of relationship with persons in foreign areas must be
ascertained during the investigation since coercion or pressure may be put
upon an individual through relatives. This does not necessarily indicate that an
individual is untrustworthy, but does constitute a factor to be considered for
the protection of both security and the individual.
 11. Citizenship Status
The citizenship status of the individual must be established in every
background investigation.
a) Filipino citizenship may be acquired in two ways:
1. Citizenship by birth. Record check of the individual’s birth will
establish this type of citizenship; and
2. Naturalized citizen. When the individual or his parents are
naturalized citizen, the date and place of birth, as well as naturalization, of
the individual is verified through records of the appropriate RP court. The
records of commission on Immigration and Deportation, but is granted in a
court.
b) In verifying citizenship, the investigator should be familiar with
the terms “alien” and “immigrant alien.”
1. An alien is any person who is not a citizen of the Philippines.
 (2) An immigrant alien who legally entered the country under an
immigration visa for permanent residence. During a BI, the records of the commission
on Immigration and Deportation, Manila should be search to verify the date and place
of legal entry into the Philippines and to ascertain whether the individual has made a
formal declaration of his intention to become a citizen of the Philippines.
(3) In all cases when the subject is not a citizen by birth, the
investigator should show that he is a naturalized citizen or that he is an alien.

12. Travel
a) If an individual has travelled outside the Philippines within the last fifteen
years, except in military of naval service, records of the Departure of Foreign Affairs
(DFA) will be checked to determine the reasons for travel.
b) Department of Foreign Affairs records may have such information as dates
of departure and return, destination and possible activities in which the individual was
involved while abroad.
13. Credit Record
Credit agencies and references will be contacted in those places where
individual has resided for substantial periods of time during the past 15 years or since
his 18th birthday, whichever is the shorter period. A credit records check is made to
determine integrity and suitability rather than loyalty.

14. Organization
During the course of a background investigation, and by an examination of
the Personal History Statement and other records, efforts should be made to
determine whether or not the individual has “membership in or affiliation or
sympathetic association, movement, group, or combination of persons which is
totalitarian, Fascist, Communist, or subversive, or which has adopted or has shown a
policy of advocating or approving the commission of acts of force or violence to deny
other persons their rights under the Constitution of the Philippines, or which seeks to
alter the form of Government of the Philippines, or Subversive Organization List of
the Intelligence Service, Armed Forces of the Philippines identify organizations
considered to be subversive.
Membership in affiliation with, or sympathetic association with any foreign or
domestic organization, association, movement, is established in fact and not inferred
from rumor, gossip, or hearsay, should be included in the report of background
investigation. Counterintelligence units do not adjudicate the frequent defense for
participation in subversive activities, based on claims of immaturity, misplaced
idealism, exercises of intellectual freedom or youthful impulsiveness. The
investigator must report all information reflecting on the subject and leave the
determination of its significance to the action agencies.

FACTORS THAT ARE USUALLY CONSIDERED IN THE CONDUCT OF BI:

1. Morality
2. Integrity
3. Discretion
4. Loyalty
5. Character
6. Reputation
Five Common Motives of Disloyalty:
1 . Revenge- one of the strongest motivation- a real or fancied
wrong can create a hatred that will stop at nothing to obtain revenge
against the perceived offender.
2 . Material Gain- some people are so avid with material gain that
they will stop at nothing to obtain the gain.
3 . Personal Prestige – this motivation applies to those whose main
desire is for power.
4 . Friendship- through close attachment to another person, many
people otherwise of high integrity, will do things inimical to their
country’s interest.
5 . Ideological Belief/Tendency/Leaning – if a person holds belief
inimical to his country, he is vulnerable to the approaches of
subversive groups or agents.
Weaknesses Making People Susceptible to Pressure:
1. Jealousy
2. Weakness in character
3. Close Relatives in Foreign Lands
4. Heavy Investment in Foreign Lands
5. Gullibility
6. Addiction to drugs
7. Blackmail
Requisites of PSI
• Reason for the conduct of investigation.
• Type of investigation desired.
• Category of classified matter the subject will be given access.

Types of Security Clearance

Interim= temporary clearance given to an individual to have access to
specific documents pending result of CBI. This is valid for one year.
Final = clearance given to an individual whose CBI is completed. This is
valid for three years.
THANK YOU