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      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.

 

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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

 

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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

 

 

 

 

 

 

 

 

 

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 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.

 

 

 

 

 

 

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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 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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                   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  8    

 

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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

_____________________________________________________________

                                      (          )

 

 

 

 

 

 

 

 

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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.

 

 

 

 

 

 

 

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 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