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Home Facts SOA Manuals Counter Intelligence Chapters 6-7
Chapters 6-7 PDF Print E-mail
LN324-91



CHAPTER VI

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 VII


INTRODUCTION - INVESTIGATION OF PERSONNEL SECURITY



INTRODUCTION

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

GENERAL:

A. SECURITY is the responsibility of the Command:

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

B. SENSITIVE POSITION

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

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

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

b. Functions related to classified systems and cryptographic
equipment.

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


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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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