CPP Study Guide Summary

By Brandon Gregg, CPP
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CPP Study Guide

CPP Study Guide
How to Study the CPP:
 Read over 500 slides, deleting the slides you know the
answer to.
 Use the last 300 practice quizzes to test yourself.
 Purchase or find “The Complete Guide of the CPP
Exam”, it reads like a book of answers, no filler, fluff or
20 ASIS books to read.
 Make more slides if needed
 Repeat
 Take CPP Test, good luck!
 Send me an email when you pass 

CPP Study Guide
This Powerpoint was made by collecting all the open
source CPP study guides I could find online and then
some. If you have your own slides, please send me a
copy so I may add to the slides.
Thanks again for everyone that helped put this
together!

Control over the entry of
personnel and materials is the
most important countermeasure
to bombs

The emergency plan is tested at
least annually

Data media must be protected in
specially insulated records
containers which protect the
contents against temperatures up
to 150 F and 80% humidity

The automatic sprinkler
system is ordinarily activated by
the melting of a metal seal and
water then flows through the
system when the head valves are
released

Government and industry share
the responsibility for emergency
and disaster planning

The emergency plan must be
distributed to all personnel with
responsibility for action

A “bomb blanket” is used only by
specifically trained personnel

“Vital Records” are those
necessary to insure the survival
of the business. Vital records
usually constitute no more than 2
percent of a corporation’s records

Responsibility for a shutdown
should be assigned to persons
familiar with the process

The emergency plan is activated
by the facility manager, the
President, or the CEO

The emergency plan should be
directive in nature

In a fire, the facility must have
“the capability to respond quickly
with well trained personnel to
contain and extinguish the fire”.

In a high rise building, partial
evacuation includes the floor
above and the floor below

The most common of all terrorist
tactics is bombing

In dealing with plant fires,
mutual assistance and prior
coordination with the fire
department is essential. The
critical element is the ability to
respond quickly with well
trained personnel to contain
and extinguish the fire

A tidal wave (TSUNAMI) is
caused by underwater
disturbances

A “hurricane warning” is issued
when it is determined that winds
of 74 mph or higher will be
encountered

“Tornadoes” are violent local
storms with whirling winds that
can reach 200 - 400 m.p.h. The
width of a tornado ranges from
200 yards to one mile and travels
5-30 miles along the ground at
speeds of 30-70 m.p.h.

Tornado watch - tornadoes are
expected to develop
Tornado warning - tornado has
actually been sighted in the
area

Severe thunderstorm - possibility
of frequent lightning and/or
damaging winds of greater than 50
m.p.h., hail and heavy rain.
Severe thunderstorm watch -
possibility of tornadoes,
thunderstorms, frequent lightning,
hail and winds greater than 75
m.p.h.

Heavy snow warning - an
expected snowfall of 4 inches or
more in a 12-hour period or 6
inches or more in a 24-hour
period

Blizzard - the most dangerous
of all winter storms.

Blizzard warning - considerable
snow and winds of 35 m.p.h. or
more are expected.
A severe blizzard warning -
very heavy snowfall is expected
with winds of at least 45 m.p.h.
and temperatures of 10 degrees
or lower.

A large proportion of
energy in a nuclear
explosion is emitted in the
form of light and heat and
is generally referred to as
Thermal radiation

The one thing that distinguishes
disasters or major emergencies
from the emergencies plant
personnel deal with each day is
the need for coordinated
emergency operations

A community based
emergency control center must
be established to coordinate all
efforts in a major emergency

“Emergency readiness” means
preparation has reached the
point where you are prepared to
react promptly to save life and
protect property if the plant is
threatened or hit by a major
emergency

Bomb Threat - a search is made
after every bomb threat call.
The facility manager should
make the decision as to who
should search

The decision to evacuate a
building upon the receipt of a
bomb threat should be made by a
senior member of management

Fire loading is the amount of
combustible materials that
occupy its interior spaces

When a bomb threat is received,
the following are notified, in order :
a. Persons responsible for
search and evacuation
b. Local authorities
c. Explosive demolition teams;
and
d. Medical facilities

A clear zone with a radius of at
least 300 feet should be
established around a suspicious
object including the floors above
and below

The purposes of emergency
planning are to:
a. Anticipate the emergency
b. Provide action during the
emergency; and
c. Return to normal operations

In assessing the vulnerability of
individual facilities, major factors
considered are:
a. Environment
b. Indigenous
c. Economic

The basic emergency plan
should be made up of three
elements:
1. Authority
2. Types of emergencies
3. Plan execution

The value of an emergency plan is that it:
a. Provides a written record and means of
communicating information throughout the
organization
b. Assures that all procedures fit into an integrated
plan
c. Promotes uniformity
d. Assures a permanent record of decisions and
acquired knowledge
e. Provides a means of orientation of new
employees into emergency responsibilities
f. Permits management to delegate specific
authorities
g. Presents a public relations medium for communicate
to employees, customers and stockholders

Every industrial firm, regardless
of size, should establish an
internal organization that will be
able to protect life and property in
time of any emergency

The Vital Records Protection Plan should be tested
at least once a year.
The tests of Vital Records Program should verify that
vital records needed after a disaster are:
a. Current
b. Protected sufficiently against natural
disasters, nuclear detonation and other
perils
c. Retrievable as needed in usable form

Strike
The most frequent strike is the
“economic strike”, which must
be preceded by at least 60 days
notice

Strike
The “unfair labor practice strike”
can occur suddenly with little or no
effective planning

Strike
The most important outside
contact will be with local police

Strike
A sound policy with respect to
police arrests would be to not
attempt to influence the police
against initiating prosecutions where
police are complaining witnesses

Strike
Documentary surveillance of
workers engaged in legal and
legitimate labor practices such as
legal picketing during a strike could
amount to an unfair labor practice

Terrorism
Kidnapping is a classic act of
terrorism

Terrorism
For the most effective personal
protection of a possible kidnapping
target, a minimum of two (2)
bodyguards is recommended

Terrorism
The payment of ransom or
complying with any criminal
demand, without company
approval, could render the payer
civilly liable.

Terrorism
The best way to determine if a
hostage is alive is with direct
communication

The four legs of fire:
a. Heat
b. Fuel
c. Oxygen, and a
d. Chemical reaction

Several by products
accompany every fire:
a. Smoke
b. Gas
c. Heat
d. Expanded air

Fire Classifications:
Class “A” - Ordinary combustibles (waste
paper, rags, and furniture)
Extinguish with Water or water fog
(Green triangle) Soda and Acid
Class “B” - Gas, grease oil, volatile fluids
Extinguish with CO2 or water fog
(Red Square) dry chemical
Class “C” - Electrical fires
Extinguish with non-conductive agent
(Blue circle) CO2
Class “D” - combustible metals
Extinguish with Dry powder
(Yellow star) Dry powder

Water fog is very effective for
Class “A” and “B” fires

A normal fire proceeds through
4 basic stages:
1. Incipient Stage - no smoke at this point
2. Smoldering Stage - smoke begins to
appear
3. Flame Stage - actual visible fire
4. Heat Stage - heat is intense and
building up

The principal fire sensors are:
 Ionization detector - useful in giving early warning.
 Photoelectric smoke detector - when source of
light is interrupted, unit alarms
 Infrared flame detector - reacts to emissions from
flame
 Thermal detectors - operates on a significant
change in temperature

Manual fire alarm stations are of
two types:
 1. Local alarms – alerting personnel in building
 2. Station alarms – signal is transmitted directly
to a monitoring station

The causes of most fires
are:
Carelessness
Ignorance

Most fires
are electrical in
origin

More fire fatalities are caused
by toxic gases than by the
flames

The major causes of death in a
building fire are:
 a. Toxic gases
 b. Smoke
 c. High temperatures
 d. CO2
 e. Fear and resultant actions
 f. The fire itself

Most sprinklers will operate at
temperatures between 130 and
165 F.

Halogenated agents
(1211, 1302)
are non-corrosive chemical agents
used for extinguishing fires in
areas containing computers and
electrical equipment

A fire door is for the purpose of
impeding the spread of fire

Automatic fire doors are held
open until there is sufficient
combustion to trigger the door
closing devices

The focus of disaster control
planning is on solutions to major
problems and to prevent a
disaster from becoming a tragedy

The three principles of disaster
control planning are:
a. Coordinated planning;
b. Mutual assistance; and
c. Community resources

In the organizational structure of proprietary firms,
security may provide both line and staff functions
a. When advising senior executives, the
security manager performs “staff”duties
b. In security operations, the security manager
carries out “line” duties
As a general rule, “line” duties are considered to be
operational in nature and “staff” duties are of a
support nature

When security managers
exercise authority delegated by a
senior executive to whom they
report, such authority is known as
“functional” authority

Security functions cut across
departmental lines and consist of
involvement into every activity of
the company but should not
involve significant interference

Probably the most common
security management failure is
the inability to delegate
responsibility and the authority
necessary to carry it out

“Span of control” is a
management term which refers
to the number of personnel over
which one can effectively
supervise

The largest single item of
expense in the security
operation is the cost of the
security personnel

The number of security personnel
required to cover a single post
around the clock on three eight-
hour shifts is 4-1/2 to 5 persons
Not 3

“Chain of command” is a
management term which refers
to the path along which
authority flows

Well-trained, well-supervised
security personnel may be the
best possible protection
available to a company

The accounting department of
a company is the most
vulnerable to major loss due
to crime

“Unity of command” is a
management concept which
means that an employee should
have only one immediate
superior to whom the
employee should report

The security manager should have
the necessary authority to carry out
responsibilities. To accomplish this,
the security manager should occupy a
position where the manager reports
directly to a vice-president or
higher

The “Theory X” management
theory holds that the average
employee has little ambition,
dislikes work and must be
coerced, controlled and directed
to achieve organizational
objectives - Douglas McGregor

The “Theory Y” management
theory holds that the average
employee does not dislike
work, is self-directed, is
creative and imaginative,
accepts responsibility and is
committed to achieving
organizational needs and
objectives -
Douglas McGregor

Theory X and Theory Y
were developed by
Douglas McGregor

Those in management who believe
the behavioral assumption of
“Theory X” take an autocratic
approach to get work done.
Whereas “Theory Y” encourages
managers to support and
encourage employees in efforts to
higher achievement

The three main theories of
organizational behavior are:
a. Autocratic theory
b. Custodial theory
c. Supportive theory

The “autocratic theory” holds that
management is all-powerful and
employees are obligated to
follow orders without question

The “custodial theory” holds
that the aim of the company is
to make the employee happy and
contented through economic
benefits and thus they will be
positively adjusted to their work.
This theory does not motivate
employees to produce to their
full capacity

The “supportive theory” holds
that through good leadership,
management will provide a
climate where employees will
take on added responsibilities
and thus make greater
contributions to the growth of
the company.
Leadership: “We rather than
they”

“Herzberg’s theory” is a
management theory which holds
that motivation comes from work
achievement satisfaction and
not from such things as salary
and job security

“Theory Z” is a recent
management style used
effectively by the Japanese.
This theory emphasizes
humanized working conditions
along with attention by
management to enhance trust
and close personal relationships

“Management by objectives”
also known as “MBO” was
introduced by Peter Drucker. In
this approach, both subordinate
and superior agree on
measurable goals to be achieved
primarily by the subordinate over
a stated period of time

A “budget” is a plan stated in
financial terms. It sets forth in
dollars the necessary
allocation of funds to achieve
the plan

“Risk analysis” is a
management method used to
minimize risks through
application of security
measures commensurate with
the threat

The major resource required for
a risk analysis is
manpower

The most important
management skill
is the ability to
communicate effectively

Written communication
is the best means to
communicate

The primary objective in
implementing a protection
program within an organization
should be to motivate every
employee to become part of the
protection team

Both private security and public
law have, as their primary
mission, the prevention of
crime and protection of
persons and property

“Economic crime” is defined as the
illicit behavior having as its object
the unjust enrichment of the
perpetrator at the expense of the
economic system as a whole

Private security relies upon both
commercial security services and
government agencies for
intelligence gathering and crisis
management planning

Private security frequently avoids
or bypasses police with regard to
white collar or economic crime

Business crime is most
effectively attacked through
sound management controls.
The emphasis on loss prevention
rather than the “offender”
involved in the incident is a
distinguishing characteristic of
private security.

About 95% to 99%
of activated alarms
are “false”

The main deterrent value of a
burglar alarm system is that the
alarm signal enunciated locally or
transmitted to a central station
brings a police response

Employee theft
was the most frequently
investigated crime by
private security

As a general rule, local law
enforcement has very little effect
on many crimes against
business. Exceptions are
burglaries, robberies and arson

Frequently cited measures for
improving private security are:
a. More or better training
b. Mandated training
c. Improved selection process
d. Higher wages
e. Establishment or
improvement of licensing
and regulation

Two problems in police and
security relationships which seem
to have the greatest intensity of
feelings are:
a. Secondary employment or
moonlighting by police
officers in private security
b. Police response to activated
alarms which are largely
false

The two major components of
economic crime are white collar
and ordinary crime

80% of computer security
incidents result from insider
attacks by dishonest and
disgruntled employees

Only 1% of computer security
incidents annually are attributed
to “hackers”

The practice of preventing
unauthorized persons from
gaining intelligence information
by analyzing electromagnetic
emanations from electronic
equipment such as computers, is
often termed “tempest”

In the year 2000, expenditures
for private security industry will
be $104 billion while public law
enforcement expenditures will be
only $44 billion by 2000

Employment in private security is
projected to grow at 2.3% per
annum to 2000 while law
enforcement growth will be one
percent annually

The term “narcotic” in its medical
meaning refers to opium and
opium derivatives or synthetic
substitutes

“Drug dependence” is a condition
resulting from repeated use
whereby the user must
administer progressively larger
doses to attain the desired effect,
thereby reinforcing compulsive
behavior

“Physical dependence” refers to an
alteration of the normal functions
of the body that necessitates the
continued presence of a drug in
order to prevent the withdrawal or
abstinence syndrome

The poppy
(papaver somnifferum)
is the main source of the
non-synthetic narcotics

Examples of synthetic narcotics,
which are produced entirely
within the laboratory, are
meperidine and methadone

Depressants have a potential for
both physical and psychological
dependence. Some examples :
a. Chloral Hydrate
b. Barbiturates
c. Benzodiazepines

When “depressant” drugs are
used to obtain a “high” they are
usually taken in conjunction with
another drug, such as alcohol

“Stimulants” are drugs which
may produce a temporary
sense of exhilaration,
superabundant energy and
hyperactivity including
extended wakefulness.
Examples are cocaine and
amphetamines

The two most prevalent
stimulants are nicotine and
caffeine, both accepted in our
culture

The most potent stimulant of
natural origin is cocaine which is
extracted from the leaves of the
coca plant

Excessive doses of cocaine may
cause seizures and death. There
is no “safe” dose of cocaine

“Marijuana” refers to cannabis
plant parts and extracts that
produce somatic or psychic
changes in humans

The hemp plant grows wild
throughout most of the tropic and
temperate regions of the world

“Hallucinogenic” drugs distort the
perception of objective reality.
Examples are:
a. LSD
b. Mescaline and peyote
c. Phencyclidine (PCP)
d. Amphetamine Variants
(such as DOM and DOB)

Long after hallucinogens are
eliminated from the body, users
may experience “flashbacks”

DOM, DOB, JDA, MDMA, DET
and MDA are hallucinogens which
are synthesized in the laboratory

Another source of hallucinogens
(psilocybin and psilocyn) is
psilocybe mushrooms

“Designer” drugs are analogues of
controlled substances with
slight variations in their chemical
structure so as not to be
specifically listed as a controlled
substance

A “drug” is a substance which,
because of its chemical make-up,
alters the mood, perception or
consciousness of the user. All
drugs are not illegal.

The most abused “drug” is alcohol
and the most used “drug”
also alcohol

“Tolerance” is a body condition
wherein ever-increasing
amounts of a drug are needed to
gain the desired effect

The street name for
PCP
is
“angel dust”

The person most likely to
become an alcoholic is a white
male over 40 who is living alone

The following behavioral characteristics are
associated with substance abuse:
a. Abrupt changes in attendance, quality of work
grades and work output
b. Attitude changes
c. Withdrawal from responsibility
d. Breakdown in personal appearance
e. Wearing sunglasses at inappropriate times
f. Wears long-sleeved garments to hide needle
marks
g. Association with known substance abusers
h. Excessive borrowing of money
I. Stealing small items from home, work or school
j. Secretive habits

Internal Accounting - Audit
 To insure correctness and accuracy of
accounting records
 Not to detect theft and fraud
 More losses due to accounting errors than
by theft

External Audit
Valuable because the persons
conducting the audit do not
know your business / company

Financial Aspects
“CL” - Current Liability
“L/T” - Long term Liability

Payroll
 Biggest problem is “Ghosting”
 Paying people that don’t exist
 Can use “Pay-out” to detect Ghosting
 manually paying each employee
 Recommended twice a year

Internal Cash
Best way to handle is using two
people at all times to handle
cash situations

Payables
Money owed to vendors

Receivables
Money owed by customers

General Management
Line Executives are those who
are delegated chain of
command authority to
accomplish specific objectives
in the organization.

General Management
The security manager, in
exercising authority delegated
by the senior executive to
whom the security manager
reports, is exercising
functional authority

General Management
Chain of Command is the path
along which authority flows

General Management
 Span of Control - the number of personnel which
one individual can effectively control
 1 supervisor to 3 employees - ideal
 1 supervisor to 6 employees - good
 1 supv to 12 employees - Acceptable

General Management
Unity of Command - means
that an employee should be
under the direct control of only
one immediate supervisor

General Management
The most common
management weakness is the
failure to properly delegate
responsibility and the authority
to carry out the responsibility.

Organizational Chart
Horizontal plane - indicates the
divisions of areas of responsibility
Vertical plane - defines the levels
of authority

General Management
Organizational structure
should be flexible to be most
effective

Behavioral Theories
 Dr. Abraham Maslow developed a five-step
process which describes man’s behavior in terms of
the needs he experiences. These needs are:
 Food and shelter (basic needs)
 Safety - such as security, protection and avoidance of
harm and risk
 To belong
 Ego status - receiving some special recognition
 Self-actualization, such as being given assignments
which are challenging

Behavioral Theories
 Frederick Herzberg’s “Motivation-Hygene
Theory” - defined two independent categories of
needs - hygene factors and motivators.
 Hygene Factors - salary, fringe benefits, security
(Civil Service), rules and regulations and
supervision.
 Motivators - Challenging assignment, increased
responsibility, recognition for work and individual
growth

Security’s Role
Security provides protection
services for the organization.
The protective service of
prevention is a primary
service provided.

Key Resources
 Human resources - identification of staffing needs
and selection, training, leading, and directing, and
retaining of effective personnel
 Financial resources
 Administrative resources
 Operational resources- basic and technology
based equipment to complete the mission

Budgeting and Planning
 A budget, a plan in financial terms, is an essential
element of management planning and control.
Three purposes for budgeting:
 Estimate the costs and expected revenues of
planned activities
 Provide a warning mechanism when variances
occur in actual numbers
 Exercise uniformity in fiscal control

 If the contribution of an operating function cannot
be quantified or cannot be shown to result in
greater net revenue, it is an axiom of sound
management that the function be reduced or
eliminated.

Zero based budgeting requires
that the benefits from an activity
be weighed against the benefits to
be lost if the planned activity is
carried out at a lesser level or not
done at all.

 Budgeting approaches can be bottom up and top
down or top down and bottom up.
 Top down and bottom up is preferred by some
because senior management initiates the process
by establishing acceptable expenditure limits and
guidelines prior to detailed planning by middle or
operating management

Line item budgets - each item is listed
by separate line
Program budgets - funds are allocated
by specific activity
Capital budgets - used for infrequently
purchased high dollar items

Budget costs are classified under one
of three categories:
 Salary expenses -
 Sundry expenses - all ongoing non-salary expenses
 capital expenses - for physical improvements,
physical additions or major expenditures for
hardware. Generally considered one time
expenses

A budget is also an instrument which
records work programs in terms of
appropriations needed to put them to
work.
It is also a management tool which is
devised to ensure that work programs
are carried out as planned

Carry budget out in three dimensions:
The operation/project must unfold as
planned
The operation/project must take place
when planned
It will not exceed the planned costs.

Budgets are normally
prepared annually or
biannually

Planning
Planning is an activity concerned
with proposals for the future, an
evaluation of those proposals, and
methods for achieving the
proposals

Management
Management is the activity
which plans, organizes and
controls activities in an
organization

M.B.O.
Management by objective
(MBO) is a systematic way of
achieving agreed to goals set
ahead of time.

Risk Assessment
 The possibility and probability of a risk resulting in
loss depends on the risk itself and the
preventative measures taken.
 Defining the problem
 Loss event profile
 Loss event probability
 Loss event criticality

Risk Assessment
Methods for handling a risk;
Accept
Eliminate
Reduce
Transfer (insurance)

Risk Management
 Crime and incident analysis is one of the first
tools to be applied to the assessment of risks
in order to determine vulnerability.
 When assessing vulnerability and the
response to risks, PML factors must be
considered.

Risk Management
PML stands for:
 Possible Maximum Loss - max loss sustained if a
given target is totally destroyed or removed
 Probable Maximum Loss - amount of loss a target
is likely to sustain
ALE stands for:
 Annual Loss Expectancy

Risk Management
Five principal crime risk
management methods:
Risk Avoidance
Risk Reduction
Risk Spreading
Risk Transfer
Risk Acceptance

Risk Management
Two basic types of protection
against crime are:
Fidelity and Surety Bonds
Burglary, robbery and theft insurance

Communications
The art of effective
communication is the most
important skill for successful h.
When a job is done poorly, it is
usually because the manager
failed to communicate clearly.

A.S.I.S. Ethics
 Perform professional duties
 observe the precepts of truthfulness, honesty and
integrity
 be faithful and diligent in discharging professional
responsibilities
 competent in discharging responsibilities
 Safeguard confidential information
 Not maliciously injure reputation of colleagues

CPO / LPO
 Crime Prevention Officer (CPO)
 a public servant with police powers
 Loss Prevention Officer (LPO)
 private sector individual deriving authority
from an employer

CPTED
Crime prevention through
environmental design (CPTED)
advocates that the proper
design and effective use of the
building environment leads to a
reduction in crime and in the
fear of crime.

Environmental Security
 Environmental Security (E/S) is an urban
planning and design process which integrates
crime prevention with neighborhood design
and urban development.
 Has little or no effect on white collar crime,
embezzlement, and fraud

Defensible Space by Oscar Newman
 Territoriality - attitude of maintaining perceived
boundaries. Outsider quietly recognized,
observer Natural Surveillance - ability of
inhabitants of particular territory to casually and
continually observe public areas.
 Image and Milieu - involve the ability of design to
counteract the perception that the area is isolated
and vulnerable to crime.
 Safe area - locales that allow for high degree of
observation by police

Security Survey
The cost of protection is measured
in:
Protection in depth
Delay time

Internal Theft
The greatest ongoing
threat to business.

Internal Losses
Pilferage - stealing in small
quantities over a long period of time
Embezzlement - taking
money/property entrusted to their
care
Shrinkage - loss of inventory
through any means

Employee Theft
Two major causes of employee
theft are:
personal problems
environment (inadequate
socialization)
Research indicates that dissatisfied
employees are most frequently
involved in internal theft.

Theft Triangle
 Consists of three elements:
 Motivation, and
 Opportunity, and
 Rationalization
 Loss prevention techniques are designed to
eliminate the opportunity

Security Tools
Deter criminal attack
Detect attacks that occur
Delay attack to allow time for
response by authorities
Deny access to selected targets

Crime Analysis
Data Collection
Analysis
Dissemination
Feedback

Safety and Loss Prevention
Unsafe acts cause 85% of
all accidents
Unsafe conditions cause
the remaining 15%

Safety and Loss Prevention
Incident - is anything from
serious injury to a breakdown in
quality control.
Accident - is an undesired
event resulting in physical harm
to a person or damage to
property.

Management
 Matrix management uses assets over a wide
spectrum of activity by forming ad hoc teams to
work on shorter term projects.

Liaison
 A linking up or connecting of parts of a whole in
order to bring about proper coordination of
activities.

Liaison
 Private security occasionally assists in law
enforcement investigations.
 Providing u/c operators, surv equip, CCTV, money
for rewards, O/T pay
 Information is the most frequently exchanged item.

Liaison
10 % to 30 % of all calls for
police service were for alarms
95% to 99% are false

Liaison
By the year 2000, the ratio of
private security personnel to
public police will be three to
one respectively.

Economic Crime
Financially motivated crime
with a direct impact on the
economy

Economic Crime
Indirect costs of economic
crime include:
Effects on business;
Effects on government; and
Effect on the public

Economic Crime
Liability is the largest
indirect cost of economic
crimes for the past 20 years

Substance Abuse
Narcotics - effects
Generally, there is no loss
of motor coordination or
slurred speech.

Substance Abuse
The poppy, cultivated in
many countries around the
world, is the main source of
non-synthetic narcotics

Substance Abuse
 Morphine
 One of the most effective drugs known for
the relief of pain.
 Codeine
 It is by far the most widely used “natural
occurring narcotic”.

Substance Abuse
 Thebaine
 the principal alkaloid in a species of poppy
which has been grown experimentally in the
U.S.
 converted into a variety of medical compounds
including codeine.

Substance Abuse
Etorphine and Diprenorphine
made from Thebaine
Etorphine is more than a
thousand times as potent as
morphine in it’s analgesic,
sedative and respiratory
depressant effect

Substance Abuse
Hydromorphone
Highly marketable with a
potency two to eight times as
great as morphine.

Substance Abuse
Meperidine (Pethidine)
Probably the most widely
used drug for the relief of
moderate to severe pain

Substance Abuse
Narcotic Antagonists
A class of compounds
developed to block and reverse
the effects of narcotics

Substance Abuse
Chloral Hydrate
The oldest of sleep inducing
drugs
liquid with a slightly acrid odor
and a bitter, caustic taste

Substance Abuse
Benzodiazepines
Depressants which relieve
anxiety, tension and muscle
spasms as well as producing
sedation and preventing
convulsions.

Substance Abuse
Stimulants
Of all abused drugs,
stimulants are the most
powerfully reinforcing.

Substance Abuse
Stimulants
The two most prevalent
stimulants are nicotine in
tobacco and caffeine.

Substance Abuse
Cocaine
The most potent stimulant
of natural origin.
Designated as a narcotic in
the US CSA

Substance Abuse
 Khat
 Compulsive use may result in manic behavior
with grandiose delusions or in a paranoid type
of illness, sometimes accompanied by
hallucinations.

Substance Abuse
Alcohol
The most used and abused
recreational drug. Physical
dependence can occur if
alcohol is taken regularly in
large quantities.

Drug Screening
 Enzyme Multiplied Immunoassay Technique
(EMIT) screens
 easy to administer and relatively inexpensive
 Gas Chromatography/Mass Spectrometry
 used for confirming tests
 Initial positives are confirmed before any
personnel action is taken.
 Confirming tests should be done on the same
specimen.

Drug Screening
 To avoid liability in the screening process:
 Notify all to be tested of the screening process.
 Get consent from persons tested.
 Provide prior notice to incumbents that testing is a
condition of continued employment.
 Define the circumstances under which testing is
done.

Drug Screening
 To avoid liability in the screening process:
 Insure a positive identification and chain of custody
for specimen collection, identification and handling.
 Limit dissemination of test results.
 Maintain an Employee Assistance Program.
 Regularly verify results from test facilities.

A confidential informant is one
who furnishes information on the
expectation that his/her identity
will not be disclosed

Questions are the principal
tools of interviewing

In interviewing, leading or
suggestive questions which tend
to influence the answers given by
a subject should be avoided
while asking for the original
information.

When interviewing, the most
efficient means of resolving an
issue is to have the questions
converge on it by progressing
from the “general” to the
“specific.”

The place of an interview should
be well-lighted, adequately
ventilated, comfortably furnished
with a minimum of distraction

All admissions or confessions
must be voluntary

An “interview” is the questioning of a
person who has or is believed to have
information of official interest to the
investigation
Whereas
An “interrogation” is the questioning of
persons suspected of having committed
offenses or of persons who are reluctant
to make full disclosure of information in
their
possession and pertinent to an
investigation

As a general rule, the investigator
does not take notes during the
interrogation in order to keep from
disrupting the interrogator’s rhythm.

The most positive means of
identifying people is the
science of fingerprints

To a large measure, the
success of a polygraph
examination depends upon the
professional capabilities of the
investigator

“Control Questions” are used in
polygraph examinations to
determine whether the person is
a suitable subject for the
polygraph test and whether
capable of producing a specific
physical response

In crime scene searches, the
first thing for the investigator to
do is provide for any needed
medical attention and protect
the scene

Types of crime scene searches
are:
a. Circle search
b. Strip search
c. Grid search
d. Zone or sector search

The most important rule in
crime scene photography is to
photograph all evidence or
possible evidence before
anything is moved or touched

With regard to the collection of
evidence, “Chain of custody” is
a chronological written record
of those individuals who have
had custody of the evidence
from its initial acquisition until
its final disposition

A “Questioned Document” is a
document whose genuineness
is questioned, normally because
of origin, authenticity, age or
circumstances under which the
document was written

An “exemplar” is a document
requested by the investigator
which duplicates the text of a
questioned document and is
known to be the product of a
particular person or machine

There is no specific format for
the taking of notes required
during an investigation

Written statements used in
recording investigative facts
are primarily of the following
types:
a. Affidavit
b. Question/answer statement
c. Unsworn statements
d. Memorandum of interview

There are many qualifications to
be a good undercover investigator
such as:
a. Willingness to do the job
b. Self-confidence
c. Resourcefulness and
adaptability
d. Initiative and judgment
e. Patience

Probably the most important
aspect of an undercover operation
is a credible cover or background
story used by the undercover
agent

Knowing when and how to close
an undercover operation is as
important as knowing how to start
and proceed

The three most frequently used
investigative techniques are:
a. Informants
b. Surveillance
c. Undercover

There are two major types of
surveillance:
a. Physical
b. Technical

Surveillance is defined generally
as the secretive and continuos
observation of persons, places
and things to obtain information
concerning the activities and
identities of individuals

One of the most important
qualifications of the person
selected to conduct a physical
surveillance is to be able to
blend into the environment with
“normal” appearance

One of the most important rules
of physical surveillance is:
“DON’T LOOK THE SUBJECT
IN THE EYE”

As a general rule, sensitive
investigative reports, such as
undercover reports, should be
disseminated on a:
“need-to-know”
basis

The primary type of evidence to
be collected at a crime scene is
that which is relevant

A knowledge of basic accounting
terms is necessary in white-collar
investigations. Two important
terms are:
a. “Accounts payable”
money owed to suppliers
b. “Accounts receivable”
money owed by customers

One of the most common errors
made in the interrogation of a
subject in a larceny case is failure
to ask if he/she stole the object

An “open-ended” question affords
the interviewee opportunity to reply
in a narrative fashion
A “closed-ended” question
restricts an interviewee in the
amount of information given during
a reply

A friendly approach is
considered to be the most
productive in interviews

Many experts feel that the
reason a person steals the first
time is because the
“opportunity” was present

Searching motor vehicles for
contraband poses special
problems. One area often
overlooked is the “hub caps” of
a vehicle.

Counterfeiting of checks and
other documents has increased
primarily because of
sophistication of color-copying
machines

An oral confession, as well as
one which is not signed, still
has legal value

Proprietary Resources
 1. It is better to staff a proprietary
investigative unit with personnel who have
acquired prior investigative experience
 2. The investigator’s job should be
regarded as an “exempt” job because it is
considered to be “professional” to the extent it
requires special preparation

Proprietary Resources
 3. The two most important expensive items in
the budget of an investigations unit are:
 Personnel costs
 Communications cost

Evidence
 In obtaining known specimens of hair from victim
and/or suspect, submit at least 50 hairs from
various areas of the head
 A questioned specimen of writing should be
placed in a cellophane envelope and sealed

Evidence
 Charred documents should be placed on top of
loose cotton in a box and delivered to the
laboratory in person

Interviews and Interrogations
 The techniques most commonly used during an
interrogation are:
 Sympathetic
 Logic and reasoning

Interviews and Interrogations
 Two main approaches used in interrogations:
 Indirect approach
 exploratory in nature
 Direct approach
 suspect’s guilt is reasonably certain

Devices to detect deception
 Polygraph
 records changes in respiration, blood pressure,
pulse and skin’s sensitivity to electricity
 Psychological stress evaluation
 does not require body attachment
 It records and analyzes stress-related components
of the human voice
 with or without knowledge of individual being tested

Devices to detect deception
 Voice analyzer
 does not require body attachment
 Records sub-audible tremors in speech on a digital
tape
 Processes speech electronically and provides
immediate results for single or multiple-word
questions

Surveillance
 A surveillance can be either covert or overt
 Two basic forms of surveillance
 Physical - done by humans
 Technical - done by technical and electronic
equipment
 The most difficult type of surveillance is the
“moving surveillance.” This entails following the
subject wherever he goes

Claims Investigations
 Interviews in claims investigations should result in
obtaining statements
 A claims report serves several purposes:
 Provides a permanent record
 Provides a summary of all claims
 Brings together the various parts of the file

Embezzlement
 One of the most effective counter-measures
against embezzlement is a disciplined
environment with appropriate audits and other
appropriate safeguards

Fraud
 The most difficult type of fraud to deal with is the
fraudulent accident/injury claim, because no
preventive measure can be effectively instituted

Espionage
 The unethical practice of one company to learn
the secrets of their competitors

Explosions
 An explosion is defined as a sudden, violent and
noisy eruption, outburst or discharge by materials
acted upon with force such as fire, shock or
electrical charge which causes the material, either
solid or liquid, to convert into gas and violently
expand or burst

Explosions
 Three basic rates of explosions are:
 Flash fire
 Explosions
 Detonations
 multiple or compounded explosions

Explosions
 Two general types of substances with detonation
capabilities:
 Low explosives - Black powder, nitrocellulose,
smokeless powder
 High explosives - nitroglycerin, dynamite, nitro
starch, TNT, picric acid, mercury fulminate, tetryl,
lead azide nitromannite

Sabotage Investigation
 Any willful act designed to hinder or obstruct the
purposes for which a company operates.
 It is very difficult to identify and prove acts of
sabotage.
 A common method of sabotage is arson
 Quite effective and tends to destroy evidence

Theft investigation
 An effective “loss control program” will do much to
prevent internal theft.

Undercover Investigation
 Placement technique: The method to place the
agent in the undercover role. The job must cover
the area involved, have few controls and allow
the investigator to appear ordinary. The “tailor-
made job” should be avoided

Undercover Investigation
 Costs: Include the nominal wage paid to the
agent(s), the payroll taxes, and the fee paid to the
agency. The expense is the reason for daily
reports and informed control.
 Use undercover investigation when there is no
alternate method available

The basis for any industrial
espionage prevention program is
protection of information

There are many kinds of
information which a company
would like to keep in a
confidential status but not all
such information could be
classified as “trade secrets”

One definition of “trade secret” is “information
including formula, pattern, compilation, program,
device, method, technique or process that;
a. Derives independent economic value, actual
or potential, from not being generally known to
and not being readily ascertainable by proper
means, by other persons who can obtain
economic value from its disclosure or use,
and
b. Is the subject of efforts that are reasonable
under the circumstances to maintain its
secrecy.

“Proprietary information” is
information of value owned by or
entrusted to a company which
relates to the operations of the
company and which has not been
disclosed publicly

A “trade secret” is part of a
company’s proprietary information
but not all propriety information
necessarily fits the definition of
“trade secret” information

Generally “trade secrets” are given
a higher degree of legal protection
than other proprietary information

There are three basic
requirements of a “trade secret”
a. Must be of competitive
advantage
b. Must be secret
c. Must be used in the business
of the owner

Information must meet the following requirements
to fit the definition required of a “trade secret”
a. Must be specifically identifiable
b. Cannot be found in publicly accessible
sources
c. Should be disclosed by owner only to those
under a duty to protect secrecy
d. Persons afforded knowledge of secret
information must know it to be
confidential
e. The owners must be able to show they have
instituted adequate protective measures to
safeguard secrecy of date

Unless the owner of a trade secret
can furnish proof of diligent care
in the protection of a trade secret,
such trade secret may be lost

Patent laws provide that an
inventor who first develops a new
machine, manufacturing process,
composition or matter, plan or
design that is sufficiently novel
and useful can apply for and
receive an exclusive right to that
invention for a period of 17 years

“Inadvertent disclosure”
probably is the chief reason for
loss of information about
sensitive operations

One method important in
protection of sensitive information
is installing an effective
“awareness program” to assure
all employees are aware of the
existence of sensitive data in the
company and their
responsibilities in protecting such

Another important protective
device is the use of
“nondisclosure
agreements”(employee patent and
secrecy agreements) from
employees in which the employees
acknowledge their fiduciary
responsibility

A “non-competitive agreement”
is agreement on part of employee
upon leaving employment of one
company that the employee will
not accept employment with a
defined competitor for a stated
period of time

A telephone instrument may
also be utilized as a listening
device

In an electronic
countermeasure survey, note
that light switches and
electrical outlets are favorite
places to install listening devices

Most loss of proprietary information
occurs because of negligence

One very important protective
measure used to safeguard
sensitive data is to disclose
such only in a need-to-know
basis

through industrial espionage
methods or other methods of
outside theft accounts for a smaller
loss than through negligence;
however, the loss through outside
theft is more dangerous because
the data stolen is usually the most
valuable

One of the biggest problems in
designing a proprietary
information protection program is
caused by the large amount of
vital data processed and analyzed
electronically

Employees are the greatest
vulnerability in a proprietary
information protection program.
Accordingly, an employee
awareness program is necessary
whereby they are educated with
regard to their responsibilities in
protecting sensitive data.

Definitions
Proprietary Information
Information over which the
possessor asserts ownership and
which is related to the activities or
status of the possessor in some
special way

Definitions
Patent
A government grant conveying
and securing the exclusive right to
make, use, and sell an invention
for a term of years (seventeen)

Trade Secret
A trade Secret is a process or device
for continuous use in the operation of
the business
For trade secret protection, must
prove
 Secrecy
 Value
 Use in the owner’s business

Trade Secret
Trade Secret information is
entitled by law to more
protection than other kinds
of proprietary information

Trade Secret
The following are not trade
secrets:
Salary information
Rank surveys
Customer usage evaluation
Profitability margins
Unit costs
Personnel changes

Trade Secret / Patent
A trade secret remains secret as
long as it continues to meet
trade secret tests but the
exclusive right to patent
protection expires after 17
years

Trade Secret / Patent
 Since anyone can purchase a patent, there are
not industrial espionage targets in a patented
invention
 Trade Secrets are targets

Proprietary Information
 Two approaches used to deal with P.I.:
 “Property Concept”
 regards the information as having independent
value if it amounts to a trade secret
 “Fiduciaries”
 Imposition of duties upon certain classes of people,
other than the owner not to use or divulge info
without owner’s consent.

Proprietary Information
There are 3 broad threats to
proprietary information:
 It can be lost through inadvertent disclosure
 It can be deliberately stolen by an outsider
 It can be deliberately stolen by an insider

Competitive Intelligence Gathering
The most important function of
competitive intelligence gathering is
to alert senior management to
marketplace changes in order to
prevent surprise

Competitive Intelligence Gathering
A rich source of information is in
the information provided to
government regulators
Never reveal information to anyone
that you would not reveal to a
competitor

Industrial Espionage
Industrial espionage is the theft of
information by legal or illegal means.
It is more dangerous than
inadvertent disclosure by
employees in that highly valuable
information is stolen for release to
others who plan to exploit it.

Protection Programs
 The vulnerability assessment is conducted
from the perspective of the competitor and
considers:
 What critical information exists
 The period of time when the information is critical.
This may be a short period or may be for the life of
a product
 The identity of employees and indirect associates
who have access to the information

Eavesdropping Tactics &
Equipment
 “Wiretapping” - is the interception of
communication over a wire w/o participants
consent and requires physical entry into the
communication circuit
 “Bugging” - interception of communication w/o
participants consent by means of electronic
devices and w/o penetration of a wire.

Eavesdropping Tactics &
Equipment
 Eavesdropping is a psychological
traumaticEmployee experience for the victim.
 It is the most devastating of espionage
techniques.

Wired microphones
 Carbon microphone
 commonly used in a standard telephone handset
 Crystal microphone
 generates a small electrical current when the crystal is
vibrated by sound waves
 Contact microphone
 installed on a common wall with the target area

Wired microphones
 Spike microphone
 installed in a hole in the common wall
(not fully through)
 Dynamic microphone
 movement of a small wire near a permanent magnet
converts sound into electrical energy. Good
eavesdropping device which operates as a
loudspeaker in reverse

Wired microphones
 Pneumatic cavity device
 has a specially designed small cavity which picks up
surface vibrations. (Glass tumbler effect)
 Condenser microphone
 high fidelity use. Fragile and sensitive
 Electret microphone
 used primarily in P.A. and audio recording. (Extremely
small)

Wired microphones
 Omnidirectional microphone
 used in conferences. Picks up sound from many
directions around the room
 Cardioid microphone
 picks up sound from directly in front of mic
 Parabolic microphone
 gathers audio energy and directs it to a conventional
microphone in the center of a dish-type reflector

Wireless microphones
 A radio frequency (RF) device. Consists of:
A microphone
A transmitter
A power supply
An antenna; and,
A receiver

Light transformation
 1. Infrared light wave transmissions use light
waves invisible to the human eye. Sound waves
are converted to electronic impulses and the
pulses are used to modulate infrared light waves.
Similar to a TV remote

 2. Laser (Light Amplification by Stimulated
Emission of Radiation) transmission of sound does
not require any equipment in the surveillance area.
A laser beam focused on a window pane or a
reflective object in the room. The vibrating glass
modulates a reflected laser beam. Rarely used due
to interference.

 3. Fiber optic laser transmission uses a
communications grade glass fiber, filled with laser
light, routed through the surveillance area. Sound
waves cause the fiber to vibrate slightly, altering the
laser light.

Electromagnetic radiation
 Detectable electromagnetic energy is
generated by electronic information processing
devices. Detection is possible for several
hundred feet. The “faraday cage” or “tempest
shielding” is used for very sensitive equipment.

Telephone eavesdropping
Digital systems - originally thought
to be secure:
 Digit stream can be recorded and converted to
analog and speech.
 The control system is available from an on-site
terminal or from off-site through the network.
(Remote Maintenance Access Terminal) (RMAT)

The Eavesdropping Threat
 Risk for the electronic eavesdropper is low:
 electronic eavesdropping is easily committed
 chances are low that victim will find the device
 chances low, if found, can be tied to eavesdropper
 prosecution of eavesdropping cases is rare; and,
 the reward far outweighs the risk

Miscellaneous
Plenum
space above a dropped ceiling
Variable Path Encryption (VPE)
 is particularly useful to secure cellular signals.
A call is made to a toll-free number of the
VPE provider. A unit attached to the cellular set
and a unit at the VPE provider alter the
communication between them. The signal is
sent in the clear from the VPE provider to the
intended destination of the call

Miscellaneous
Time domain reflectometry
an electronic picture of the
telephone line at a given time which
is compared to the same line at a
future time

Miscellaneous
Audio masking
generation of noise at the
perimeter of the secure area to
cover or mask conversation. Music
is not used; “white” or “pink” noise is
not as easily filtered from the tape

In implementing an asset
protection program, one primary
objective should be to motivate all
employees to become part of the
protection program

All asset protection programs
should provide for adequate
feedback on the part of
participants

Although the chief executive in
charge of asset protection should
have knowledge of security
procedures and techniques, it is
more important that such executives
be able to manage and implement
the required systems approach

The three basic security
processes are:
a. Information
b. Physical
c. Personnel

Of the three basic security
processes, personnel security
is considered to be the most
critical

The basic elements of the personnel security process are:
a. Protects the organization against undesirable persons
through appropriate recruitment and hiring
safeguards
b. Protects the organization against dishonest
employees through appropriate control safeguards
c. Protects employees from discriminatory hiring or
termination procedures

In screening an applicant for a
potential position, the most
expensive technique should be
conducted last. For example,
an applicant should be
interviewed before conducting a
background investigation

Some deception practices to be on
the lookout for on applications
during the screening process prior to
hiring are:
a. Use of the term “self-employed”
to hide a “negative” period of time
b. Failure to sign the application
c. Failure to list supervisor
d. Gaps in employment or
residence

The concept of “security
awareness” is primarily a state of
mind. It is not the same as either
training or education but is
definitely related to both

One well known honesty test is the
“Reid Report”. This is a written
honesty test designed to reveal a
person’s trustworthiness and
attitude toward honesty

A popular psychological test used
by employees in personnel
screening procedures is the
Minnesota Multiphasic
Personality Investor (MMPI).
This test is designed to show
habits, fears, sexual attitudes,
depression, and evidence of
social introversion.

The two major tools used in
employee selection procedures
are:
a. The application
b. The interview

but necessary in the personnel security
process. The major purposes of this type
of investigation are:
a. To verify information on the application
form
b. To ascertain past employment experience
c. To obtain other information pertinent to
hiring decision either derogatory or
positive

The theft triangle sides consist of:
a. Motive
b. Desire
c. Opportunity

As a general rule, the questions relating to
the following should not be asked of
applicants during the screening process in
order to conform to equal employment
opportunity rules and regulations:
a. Race or ethnic background
b. Age, sex or marital status
c. Religion
d. Children
e. Disability

Approximately 10% of the
completed applications will have
falsifications serious enough for
management review before
making an offer of employment
“Rule of Ten”

The most important information
gathering tool in a background
investigation is the completed
application form

As a general rule, no application
more than 90 days old should be
considered without a re-interview
of the applicant

The principal behind integrity
tests is that an individual who
has developed strong attitudes
towards honesty is less likely to
engage in dishonesty than an
individual who possesses
weaker attitudes towards
dishonesty.

Employment gaps of more than
one month must be explained

The job description for a position
must include accurate
specifications and genuine skill
requirements which are described
concisely and without prejudice.

Purpose and Function
 Personnel Security’s primary purpose is to insure
that a firm hires employees best suited to assist
the firm in achieving its goals, and after hired,
assist in providing the necessary security to the
employees while they are carrying out their
functions

Purpose and Function
 Vulnerability to losses caused by employees is
measured in part by the character of the
employees, their awareness of assets protection
requirements, and their motivation to cooperate
 Personnel Security is the most critical because
theft is committed by people

The Job Description
 Accurate job specifications increase objectivity in
making selection decisions and reduce the
likelihood that irrelevant criteria and personal bias
will influence the decision

The Application
 There are virtually no restrictions on what can
be asked of an individual once an offer of
employment has been made.

Education
 Approximately 5 % of all professional applicants
falsify some aspect of their educational
background.

Interview
 A personal interview of each applicant should be
conducted by an trained interviewer

Background Investigation
 Should be completed prior to allowing the
applicant to commence employment
 The most important information gathering tool
in a background investigation is the completed
application form

Background Investigation
 At least five consecutive immediately preceding
years of employment are verified
 Personal contact is by far the most desirable
method of investigation

Psychological Testing
 A process whereby a subject’s reaction to a future
situation is predicted by an analysis of his/her
responses to a questionnaire.

 Types of psychological tests
 Skills and Aptitude tests
 for office, clerical, production and service positions
 Personality Inventories
 those with access to dangerous facilities
 Integrity Surveys
 for retail, leisure, hotel, financial, and fast food positions

 Integrity tests can be “clear purpose” tests which ask
direct questions or “veiled purpose” tests in which it
is not obvious that integrity is the primary concern.

 Integrity tests can be:
 pre-employment tests which measure the applicant’s
attitude toward counterproductive work behavior
 Incident specific questionnaires which are used to
determine who committed a specific act
 Persons who find these tests offensive are twice
as likely to admit to a criminal or drug abuse
behavior or to display counterproductive work
attitudes

Miscellaneous Matters
 Military service should be confirmed by having the
applicant submit a copy of the service record
forms.
 Bonding is used by some firms as a type of
insurance in the event that the company internal
controls prove ineffective and a loss occurs.
 Bonding should never be considered as an
alternative to an effective security program

The Bill of Rights
is the
first ten amendments
to the
Constitution of the U.S.

First amendment
provides
for freedom of speech, religion,
press, assembly and to petition
the government

Second amendment
provides the right to
keep arms (weapons)

Forth amendment
prohibits
unreasonable searches and
seizures and also sets out the
requirement that a warrant be
supported by probable cause

Fifth amendment
prohibits
double jeopardy, compulsory
self incrimination, and
deprivation of life, liberty or
property without due process

Sixth amendment provides that
the accused have a speedy
public trial, know the charges
against him, confront
witnesses against him, have
compulsory process to obtain
his witnesses, and have
assistance of a counsel for his
defense

Seventh amendment
provides
the right to trial by jury

Eighth amendment
prohibits
excessive bail, excessive fines
and
cruel and unusual punishment

“Miranda warning” must be given
before “custodial” interrogation. The
suspect is advised:
a. You have the right to remain silent
b. Anything you say may be used
against you
c. You have the right to contact an
attorney
d. If you cannot afford an attorney,
one will be provided free of
charge

Generally, Miranda warnings
need not be given by security
officers

The crime of “robbery” is the
unlawful taking of property from
the immediate possession of
another by force or the threat of
force

“Larceny” is the unlawful taking
of property from the possession
of another with the intent of
depriving the owner of it
permanently

“Vicarious liability” is the legal
concept which holds the employer,
as well as the employee, liable if
the “wrong” was committed while
the employee was acting within the
scope of employment

Vicarious Liability
 An employer may avoid liability for the
tortious acts of another if the hiring contract is
such that the relationship of “independent
contractor” on the part of the tort feasor has
been established.

Vicarious Liability
 But, the employer may be held liable for the acts of
an independent contractor when:
 The work contracted for is wrongful per se
 The work contracted for is a public nuisance
 The work contracted for is inherently dangerous
 The act of the independent contractor violates a duty
imposed on the employer by contract.
 The wrongful act by the independent contractor
violates a statutory duty.

“Respondeat superior” is the legal
rule that an employer is responsible
for the action or lack of action of an
employee taken within the course of
employment.
Respondeat Superior (Let the master
respond)

Basic Aspects
Respondeat Superior:
The right of control and not
necessarily the exercise of
that right is the test of the
relation of the master to the
servant.

Note the difference between a
“crime” and a “tort”.
A crime is a violation of the
government’s penal laws;
whereas a tort is a legal wrong
done to another person
(a civil wrong)
No agreement between parties is
required.

A
crime can also be a tort
examples:
battery
trespass
assault

Most crimes are of two primary
types;
a. The federal definition of a
“felony” is: a crime
punishable by imprisonment for
a term exceeding one year
b. A “misdemeanor” is any
crime which is not a felony

“Corpus delicti” is a legal term for
the “body of the crime” or the
elements of the crime which must
be proved.
It does not mean a dead body

Treason is the only crime
specifically mentioned in the U.S.
Constitution

The criminal code of the United
States is found in Title 18

There are no Federal common
law crimes

Essential elements of the crime of negligence:
a. A duty owed by the defendant to the
injured party
b. A violation of that duty by failure to
follow a required standard of conduct
c. A causal connection between the
negligent conduct and the harm
d. Actual loss or damage to the plaintiff

A fidelity bond is insurance on a
person covering that person’s
dishonesty

“Strict liability” refers to the legal
concept that one may be held
responsible for some acts without
the necessity to prove criminal
intent (mens rea). Strict liability
statutes are usually in the areas of
public health, safety and welfare
and they are generally classified as
“mala prohibitum”

“Compensatory damages”
are
actual damages
directly
related to the amount of the loss

“Punitive damages” are
designed to punish the defendant
and to deter him, and others,
from a repetition of the wrongful
act

Generally,
searches by security officers
are not subject to constitutional
regulation under the 4th
Amendment

In judging whether certain
conduct is negligent, the law
uses the standard of
reasonableness. The
“reasonable person” is one of
ordinary prudence who exercises
due care in a situation such as
that under litigation

“Deadly force”,
as a general rule, should be used
by law enforcement officers as a
last resort and then only when
the life of the officer or another
person is in jeopardy

An “express contract” is one
which is clear, definite, direct,
and spelled out by explicit words

An “implied contract” is one
which is not spelled out clearly
by explicit words, but is
interpreted by analyzing
surrounding circumstances or
the actions of the persons
involved

“Entrapment” is a defense in
which the defendant alleges that
he was induced by government
officers or agents to commit a
crime which he would not have
committed without the
inducement

Statements made by subjects
being interrogated must be
“voluntary”

The concept of the grand jury
originated in England

An “indemnity bond” is an
insurance contract designed to
reimburse an individual or
organization for possible
losses of a particular type

A “citizen’s arrest” is an arrest
by a private person, rather than
by a public law enforcement
officer. This authority originated at
common law and is the authority
of most arrests by proprietary and
contract security officers

A law enforcement officer may
arrest for a felony based solely
on “probable cause”.

A private security officer may
arrest for a felony based in
“probable cause”, but there is no
margin for error; otherwise, a suit
for false arrest may be litigated

The “plain view” doctrine holds
that if police, in the course of
lawful duty, recognize a plainly
visible item as evidence of a
crime, the item may be seized
and admitted in a criminal trial

Probable Cause is that
combination of facts and
circumstances which would
warrant a person of reasonable
caution and prudence to believe
that a crime has been committed
and that the person to be arrested
is the one who committed the
crime.

The Supreme Court of Terry v.
Ohio authorized “stop and frisk”
technique without probable cause
where an experienced officer had
good reason to suspect criminal
activity which was dangerous to
the officer or others

The undercover agent must know
the law regarding “entrapment.”
“Entrapment” is defined as the acts
of officers of the government in
inducing a person to commit a crime
not contemplated by him/her in
order to initiate a criminal
investigation

Under no circumstances will an
undercover agent be permitted to
engage in “malum in se” crime
such as murder, burglary, rape,
arson, robbery, etc.

The Fair Credit Reporting Act,
among other things, requires
written notice to the applicant
prior to an investigation by a
third party
(Consumer Reporting Agency)

As a general rule, it is
permissible to ask about possible
“convictions” but not “arrests” on
the employment questionnaire

Basic Aspects
Civil law is the statutory and
common law in which private
rights and remedies are found.
Of the 50 titles of the United
States Code, 49 deal primarily
with civil matters.

Basic Aspects
 Express Contract is an actual agreement of the
parties, the terms of which are openly uttered or
declared at the time the contract is made.
 Implied Contract is one not created or evidenced
by the explicit agreement of the parties, but is
inferred by law.

Basic Aspects
Price is the dollar value stated
in the contract.
Reasonable value is the dollar
value of goods and/or services
determined by a court or
arbitrator.

Basic Aspects
In the transportation of goods,
recovery of damages may be
estopped by a “time bar” clause
in the shipping documents
(contracts).

Basic Aspects
 The concept of tort liability operates to:
 Compensate a victim for his loss
 Act as a deterrent for future conduct of the same
kind
 Serve as evidence of society’s disapproval of
the wrong

Basic Aspects
The basic elements of
intentional tort liability are:
An act or omission
Which brought about the intended
result

Basic Aspects
 Examples of intentional torts:
 Battery
 Assault
 False imprisonment
 Trespass to land or to chattels (Conversion)
 Fraud / Misrepresentation
 Defamation
 Invasion of privacy

Basic Aspects
 Generally, proprietary security officers are
servants, whereas contract security personnel
are employees of the supplying agency and
therefor may not be considered servants of
the employing organization.

“Stare Decisis”
The Law of Precedence

Felony
Federal statutes provide for five
classes of felonies ranging is
punishment from imprisonment
for a term exceeding one year
to death or life imprisonment.

Misdemeanor
Three classes of
misdemeanors:
 Class A - One year or less but more than 6
months
 Class B - Six months or less, but more than
30 days
 Class C - Thirty days or less, but more than
5 days

Infraction
Federal statutes provide for one
class of infraction for which the
penalty ranges from 5 days or
less imprisonment to no
authorized penalty.

“Mala in se”
Those crimes which are bad in
themselves, ie...
Murder
Rape
All Common Law crimes were
mala in se.

“Mala prohibita”
Those acts which are
considered “offenses” by the
passage of statutes. Generally
no criminal intent is required;
the mere accomplishment of the
act is sufficient for criminal
liability.

Corpus delicti
 The body of the crime. The combination of the
elements which provide proof of the crime is the
corpus delicti.
 Consists of:
 Mens Rea (criminal intent)
 Actus Rea (the forbidden act)
 Coming together of the above two

Law of Causation
 There must be a cause and effect relationship
between the act of the accused and the resulting
harm. The Law of Causation - a person is
presumed to intend the natural and probable
consequences of his act. But, the accused takes
his victims as he finds him.

“Motive”
Motive is not an essential
part of a crime; it is not part
of the corpus delicti.

Most crimes require the
combination of an act and an
intent, which must be
simultaneous.

“Negligence” differs from
“recklessness,” in that in
recklessness, conduct is
governed by the actual state of
mind of the accused.

“Alibi”
The alibi defense is one of
physical impossibility. The
testimony of an alibi witness
must cover the entire time of
the crime.

“Mistake of Fact”
 The “Mistake of Fact” defense is used when
one commits a violation of the law in good
faith with a reasonable belief that certain facts
existed, which would make the act innocent if
indeed they did exist.

Laws of Arrest
 The basic elements which constitute an arrest
are:
 A purpose or intention to effect the arrest
 An actual or constructive seizure or detention of the
person to be arrested
 A communication by the arresting officer to the
arrestee of his intention to place him under arrest.
 An understanding by the person to be arrested that
he is being arrested.

Laws of Arrest
The mere words “you are
under arrest:” will not
satisfy the seizure or
detention element of
arrest.

Laws of Arrest
A warrant is an order for the
arrest of a person.
A summons directs the
defendant to appear before a
court at a stated time and place.

Laws of Arrest
When a private citizen acts in aid
of a known law enforcement officer,
the citizen has the same rights and
privileges as the officer and is
protected from liability even if the
officer was acting illegally.

Laws of Arrest
 Generally, private citizens may arrest any
person who has committed an offense in their
presence or for a felony not committed in their
presence. BUT, the arrest can be justified only
by further showing that the felony was actually
committed by the person arrested.

Search and Seizure
 The “Exclusionary Rule” excludes evidence,
otherwise admissible, obtained by methods
which violate Constitutional guarantees of the
Forth Amendment which protects an individual
in his person and property.

The “Tainted Fruit of the Poisonous
Tree” doctrine is that any and all
evidence obtained as a result of an
unreasonable search cannot be used
against the accused. Any other
evidence obtained as a result of the
original unlawful invasion is dubbed the
“tainted fruit of the poisonous tree” and
may not be used against the person
whose privacy was violated.

4th Amendment
 The 4th Amendment does not specifically
authorize a search without a warrant. We
have legal searches without a warrant
because of court decisions.

Searches
 A private security officer has only the search
authority of a private citizen.
 The Fourth Amendment does not apply to
searches by private persons.
 Evidence discovered by private search is
admissible in a criminal trial and is not subject
to the Exclusionary Rule.

Confession / Admission
 A confession is a statement in which a person
acknowledges guilt of a crime.
 An admission is a statement in which a person
admits a fact or facts which would tend to prove
him guilty of a crime, but which does not
constitute a full acknowledgement of guilt of a
crime.

Confession / Admission
The fundamental test
regarding the use of
confessions and
admissions is the “free and
voluntary” test.

Federal Bureau of
Investigation (DOJ)
 Investigative Jurisdiction over Federal criminal
violations and concurrent jurisdiction with the
DEA on Narcotics and Dangerous Drugs.
Includes the:
 National Depository of Fingerprints;
 National Crime Information Center (NCIC);
 National Center for the Analysis of Violent
Crime;

Federal Bureau of
Investigation (DOJ)
National Center for the Analysis of
Violent Crime;
Violent Criminal Apprehension
Program;
Forensic Science Training and
Research Center;
National Bomb Data Center

U.S. Marshall’s Service
(DOJ)
 Operational priorities include:
 Physical security for Federal courts
 Custodian of Federal evidence
 Service of Federal Criminal and civil process
 Witness-protection program
 Federal Assets Forfeiture and Seizure
 Transportation of Federal prisoners
 Conduct fugitive investigations

Immigration and Naturalization
Service (DOJ)
 Responsible for administering U.S.
Immigration and Naturalization laws.
 Regulates non-resident aliens
 Determines admissibility of aliens into this
country.
 Handles deportation proceedings

U.S. Secret Service
(Treasury Department)
Responsible for the protection of
the President, Vice-President and
their families as well as other
designated persons.
Investigative responsibilities include
counterfeiting, credit card fraud and
bank failures

Customs Service
Enforces customs-related
laws and regulations
Collect import duties.

Internal Revenue Service
Administers and enforces Federal
tax laws.
Special intelligence division
investigates organized crime,
gambling, and tax stamp
violations.

B.A.T. F.
 Bureau of Alcohol, Tobacco and Firearm
 Administration and enforcement of U.S.
gun and explosive laws.
 Training and investigative assistance in
arson and bomb investigations.
 Trace of weapons for law enforcement
agencies

Defense Investigative Service
(Department of Defense)
Administers the Defense
Industrial Security
Program.

F.E.M.A.
Federal Emergency
Management Agency
An independent agency
Primary responsibility of dealing
with disaster planning.

F.E.M.A.
The Director of FEMA reports
to the President and works
closely with the National
Security Council, Cabinet, and
White House staff

Coast Guard
(Department of Transportation)
Security and safety of ports.
Investigations of marine-related
accidents, casualties and
violations.
Safety standards for commercial
vessels.

Federal Aviation Administration
Issue and enforcement of rules
and regulations for air commerce
and air safety.
Certification of airports and
inspection of air-navigation
facilities.

Federal Highway Administration
Regulatory jurisdiction over
safety and performance of
commercial motor carriers
engaged in interstate
commerce. Authorized to
investigate violations of:

Federal Highway Administration
Highway Safety Act
Interstate Commerce Act
Explosive and Dangerous
Articles Act

U.S. Army Corp of Engineers
Flood control planning
should be coordinated with
the U.S. Corp of Engineers.

“NOAA”
Progressive situation reports of
floods are available from the
National Oceanic and
Atmosphere Administration
(NOAA).

National Weather Service
 The NWS begins issuing hurricane advisories
as soon as there are indications a hurricane is
forming and it is given a name. The purpose
of an advisory is to:
 Tell where the storm is located
 Intensity of winds
 Speed and direction of movement

Bureau of Vital Statistics
Records of births,
marriages and deaths

The Age Discrimination in
Employment Act of 1967
Prohibits discrimination
against applicants or
employees over 40 years of
age.

Equal Pay Act of 1963
 Requires that employees receive equal pay
for equal work, requiring equal skill, effort and
responsibility regardless of sex; however, the
employer may pay different rates at different
establishments.

The National Labor Relations
Act
 Known as the “Wagner Act”
 The basic test of an unfair labor practice is
whether it results in coercion or discrimination
prohibited by the labor act.

Act
 Management representatives may not attend a union
meeting.
 Undercover operations are neither conducted nor
authorized where and when labor organizing efforts or
labor problems are occurring.

Act
Advise security personnel that
their actions will be considered
“employer actions”.

Act
 When an employee reasonably believes that an
interview may lead to or result in disciplinary
action and requests that a union representative
be present, union representation must be
allowed (The Weingarten Rule).

Act
Management is not required
to advise an employee of this
right of representation or to
“bargain” with the union
representative.

Act
The NLRA specifically
provides that guards and
non-guard employees
cannot be members of the
same bargaining unit.

The Labor Management
Relations Act
Known as the Taft-Hartley Act
Forbids unions from:
Coercing an employer to pay for
work not performed
(Featherbedding)

Labor Management Reporting
and Disclosure Act
 Known as the Landrum-Griffin Act
 Established safeguards and restrictions on union
officers and management conduct regarding their
members, also prohibits either union or employer
from “Hot Cargo” agreements.

Labor Management Reporting
and Disclosure Act
 A “Hot Cargo” agreement is defined as one
where the employer agrees to cease doing
business with any person or to cease dealing in
any products of another employer.

Strikes
 Economic Strike - The most frequent type
 takes place where there is a vote to stop work
because a satisfactory employment agreement has
not been negotiated.
 Economic strikes must be preceded by at least a
60-day notice that the union desires to modify the
existing collective bargaining agreement.

Strikes
The Unfair Labor Practice Strike
 When strikers strike to force discontinuance of an alleged
violation by an employer of the labor law.
 This type of strike permits no time for effective
planning by security.
 All striking employees who request to return to their jobs
must be allowed to do so by their employer.

Strikes
Three phases of security
involvement during strikes:
Pre-strike planning stage
Strike operation plan phase
Post-strike intelligence phase

Strikes
The main goals of the
security force during labor
disturbances should be:
 To lessen potential for violence
 To adequately deal with violence when it occurs
 To prevent death, injury, and damage to property
 To maintain order
 To preserve the integrity of the work site.

Strikes
The security strike operations
plan is a comprehensive
statement of all policies,
procedures and activities to be
done during the strike period.

Strikes
The security strike operations
plan
 The plan should be made available to each security
supervisor and higher manager.
 It should not contain sensitive information
 Effective planning of access control indicates uses the
fewest entries possible and those used should be
located where easily policed.
 Management should develop a prior policy, which is
understood and adhered to by all parties, regarding
arrests during a strike. A sound policy would be not to
agree to amnesty for serious offenses (felonies).

Strikes
 The chief weapon of the strikers is the ability
to discourage people from entering plant
premises and to prevent movement of goods
and materials to and from the plant.

Strikes
 “Lockout” - is the refusal of management to
allow members of the bargaining unit on the
premises. A “lockout” may be used legally in the
face of an imminent violent strike; however,
notice of a “lockout” must be given to the
bargaining unit or a charge of unfair labor
practice could result.

Occupational Safety and
Health Act (OSHA)
 The Williams-Steiger Occupational Safety
and Health Act (29 USC 651-678) was
signed into law in December 1970 and
became effective on April 28, 1971. The
primary responsibility for administration
of this act falls upon the Department of
Labor.

Health Act (OSHA)
 The statute states that every employee “affecting
Firearm” is subject to the provisions of OSHA.
This means just about all employees in every
industry are covered. One exception is the
mining industry.

Health Act (OSHA)
 The general purpose of OSHA is to provide safe
and healthful Firearm conditions for employees.
 All businesses are required under OSHA to
have a person or persons trained in first aid
available.

Health Act (OSHA)
 OSHA Form #200 - a log and summary of
occupational injuries and illness.
 OSHA Form #101 - a supplemental record of
occupational injuries and illness.

Health Act (OSHA)
 An “injury” results from a single incident. A one
time chemical exposure is an injury.
 An “illness” is an abnormal condition or disorder
caused by exposure to environmental factors in
employment.

Health Act (OSHA)
 Records on all work-related deaths, injuries, and
illnesses must be current and must be available to
Labor Department inspectors upon request. All
records concerning injury/illness must be
maintained for at least 5 years.

Health Act (OSHA)
 If an on-the-job accident results in the death of an
employee or the hospitalization of 3 or more
employees, the nearest OSHA office must be
contacted within 8 hours.

Health Act (OSHA)
 In Marshall vs. Barlow, the Supreme Court held
that officials of OSHA cannot inspect businesses
without first obtaining warrants. This ruling
does not apply to a few specialized industries
such as firearms and liquor industries.

Health Act (OSHA)
 It is not necessary for OSHA inspectors to show
“probable cause” to obtain a warrant. The
inspectors only must show that the inspection is
part of a general administrative plan to enforce
the safety laws.

Health Act (OSHA)
When they find conditions of
“imminent danger”,
compliance officers may
REQUEST, not demand
shutdown.

Health Act (OSHA)
Most citations allege violations
of specific safety and health
standards or of the posting and
record keeping requirements.

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