CHAPTER 2

REVIEW OF RELATED LITERATURE AND STUDIES

The following literature and studies are some of the pertinent documents that

contributed to the development of the study. It includes some data of foreign and

local origin in which the researcher found the importance of HUMINT operations

especially the process of recruitment of human sources to utilize the access

clandestinely and acquire information effectively against opposing groups or

countries without the handler doing the dirty tactics themselves. In addition,

published studies on agent’s behavior, human motivations and several means of

influencing people which guide intelligence specialists to become successful in

recruiting an asset were reviewed to help the researcher in crafting the conceptual

framework of this study and better understand HUMINT operations and the core

competencies of field agents.

FOREIGN LITERATURE

United States of America

In the global arena, the most noteworthy organization conducting human

intelligence (HUMINT) is mainly Central Intelligence Agency (CIA) of United States of

America. Since the agency’s creation in 1947, CIA HUMINT has included the

recruitment of foreign nationals to conduct espionage, the use of travelers to gather

intelligence, as well as the debriefings of defectors and other individuals with access

to information of value. The primary focus of such HUMINT operations was strategic,

that is the collection of information relevant to national policymakers. Although

subsequent to the September 11, 2001 terrorist attacks, the CIA has devoted

11
considerable energy in HUMINT operations to support efforts to capture or kill

terrorist leaders and their followers, and disrupt terrorist activities.

The worldwide threat of terrorism has made Human Intelligence operations of

primary significance not only to United States but to all nations. Other well known

organizations that specialize in HUMINT operations are KGB of Russia, MOSSAD of

Israel, and MI6 of Great Britain. Intel specialists are necessary in HUMINT

operations to recruit spies and debrief individuals of interest, especially in order to

gather information about foreign weapons systems, doctrine, and other matters of

interest to military officials.

In the sphere of human intelligence, the CIA has not been operating alone in

the US. Throughout the Cold War and beyond, the US Department of Defense and

military services (Army, Navy & Air Force) have also conducted HUMINT operations

particularly through a consistent and extensive clandestine collection program. In

2012, the US Secretary of Defense established the Defense Clandestine Service

(DCS) in the belief that Defense HUMINT effort needed a more strategic focus

beyond the tactical focus to include terrorism, and weapons of mass destruction.

Clandestine HUMINT asset recruiting refers to the recruitment of human

agents, commonly known as spies or assets, who work for a foreign government, or

within a host country’s government or other target of intelligence interest for the

gathering of human intelligence mainly for combat operations and attack against the

enemies. The success of recruitment lies on how efficient the intel officers approach

the prospective agent.

Based on Burkett (2013), the traditional approach of handlers to recruit

potential agents who agreed to spy, and are said to do the job for reasons that

denote weakness or vulnerability are money, ideology, blackmail, or ego.

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Accordingly, said framework of recruitment has been tested and proven to be useful

since early 1980’s and during the Cold War. Average case officer when asked about

why people spy, they respond with four words:“Money, Ideology, Compromise, and

Ego” or MICE. However, due to the complexities of human motivations, the limited

MICE framework can cause officers risk in misinterpreting their agents and take

actions harmful to their operations. Too much dependency on this framework may

lead to lack of control of the spies and eventually became flawed that will turn the

relationship of the handler and the asset from friend to foe.

On the other hand, Dr. Robert Cialdini offers more positive approaches. He

introduces the six “weapons of mass influence”: reciprocation, authority, scarcity,

commitment/consistency, liking, and social proof (RASCLS), which will provide a

better foundation for agent recruitment and handling. According to Dr. Caildini, it is

the nature of humans to develop shortcuts called as “Fixed Action Patterns” or

patterns of behavior that occur in the same order or sequence every time a given

stimulus is introduced. This pattern helps people interact with less friction and most

of the time provides benefits. The key to the success of handlers and case officers

through this RASCLS is their understanding of the principles of influence and

persuasion which will provide them skills and knowledge on how to manipulate

without appearing to be manipulative. The RASCLS is said to develop a much better

understanding of the human mind and motivations and it was evident on empirical

data drawn from decades of experiments in the social psychology field.

Costanza (2014) defines how the US government agencies such as CIA,

DEA, FBI and the Department of Defense employ human intelligence in collecting

and analyzing data for the intelligence requirements of their policy makers.

Furthermore, it defines the three key categories of intelligence which is positive

13
intelligence, operational intelligence and counterintelligence where the collection of

information will stem from human sources. The article further discussed thoroughly

the classical agent recruitment process that starts form “spotting” a source of

potential interest followed by the initial “assessment” phase and then succeeded by

the “development” phase. The “pitch” being the most critical phase will come after

and if the target of recruitment accepts a pitch, the operation moves into the

“handling” phase, and when the clandestine relationship between a case officer and

an agent needs to be over, the last phase is known as “termination. It was concluded

by the employment of tradecraft of intelligence officers to securely run an operation

to collect information from the human sources based on the intelligence requirement

to accomplish the objective.

The manual espouses the doctrine on Human Intelligence collection

operations based on the intelligence operational cycle. The manual tackled on

HUMINT support, planning and management, HUMINT structure, HUMINT support

of army operations, HUMINT collection methods, processes and preparations. In

Chapter 5, the book narrated that all operations are different and deployment of

HUMINT assets includes Mission, Equipment, Terrain & Weather, Troops – Time

available, and Civil considerations (METT-TC) dependent in conducting collection of

information. The analysis of collected data occurs throughout the HUMINT collection

process. In analytical support to operational planning and targeting, the HUMINT

Analysis Team supports the development of Intelligence Preparation of the

Battlefield products and tailor requirements of HUMINT capabilities, while the

HUMINT Analysis Cell serves as the “fusion point” for all HUMINT reports and

analysis in the Analysis Control Element (ACE). The Joint Intel Support Element

(JISE) determines the gaps in reporting and coordination with the requirements to

14
other intel disciplines whereas the HUMINT Operation Cell supports in identification

of targets, deployment of ISR assets, development of RFIs for operatives, and

development of database.

Russia

In Russia, the strong counterpart of CIA is KGB. It is a well-known

organization that also excels in human intelligence operations and probably employs

the best spies and informants globally. In fact, HUMINT is Russia’s forte. The most

popular former KGB spymaster is none other than former Russian president Vladimir

Putin. The younger generation of Soviet Intelligence officers now operating around

the world has received a professional education probably unequaled anywhere.

Russia’s intelligence specialists were already college graduates thoroughly

grounded in the social sciences, history, foreign affairs and languages. Beyond the

college level they had done graduate work on the theory of human social evolution

and had received training in intelligence techniques and revolutionary tactics. Then

they had to undergo a selection process based on good characters, intelligence

aptitude, and clean records from among many candidates with similar educational

qualifications to attend one of the intelligence institutes, where they spent at least

two years in full-time study of tradecraft, the organization and methods of Soviet and

foreign intelligence services, and the area and languages of their planned

operational assignments.

There are three Soviet institutes run by the military and civilian members of

the Soviet Intelligence community with curricula designed for its primary mission to

train & equip intelligence officers with complete skills and education. The three

training institutes are 1) The Military Diplomatic Academy 2) The RaSh (Higher

15
Intelligence School) 3) The Higher School (Security). The Military Diplomatic

Academy, named in allusion to the practice of using diplomatic cover for intelligence

officers abroad, gives a four year course to selected candidates wherein the first two

years are dedicated to giving trainees with a B.A. in liberal arts, after which the next

two years are spent on serious intelligence training focusing on courses in diplomatic

etiquette and attaché, observation, collection, operational and informational

reporting, covert tasks, organization of deep cover operations, intelligence history

and techniques, procedures under official cover and under deep cover, agent

recruitment and direction, operational techniques, communications and secret

writing, camouflage and concealment, counterintelligence evasion, area studies and

foreign language. On the other hand, the training institute called RaSh offers a two

year course and is considered a Higher Intelligence School since the educational

prerequisites for RaSh are higher, or candidates for enrollment must be graduates of

schools of higher learning equivalent of M.A.’s notably in foreign trade, international

relations or foreign languages. The second year of the course in RaSh is packed

with tradecraft and indoctrination of agents wherein three categories of agent

motivation were examined in order of preference –ideological, material and

blackmail. The last training institute, The Higher School (Security) offers a three-year

course designed to give advanced operational training in internal security methods to

officers who have already had a good deal of practical experience and concentrates

on security tradecraft—self-defense without weapons, recruiting agents, guidance of

networks, handling informers, field observation, surveillance investigation

techniques, recognition of false documents, search, communications and practical

training exercise.

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 Evidently, the competence of Soviet intelligence community is a strong and

massive one which cannot be measured by counting up curricula only but also the

inspiration, flexibility, devotion to a cause, self-discipline, and drive of the

professional intel specialists. One good example of the success of the Russian

intelligence community is the case of Aldrich Ames and Robert Hanssen, two Soviet

agents who infiltrated the American intelligence community, the CIA and FBI,

respectively.

LOCAL LITERATURE

AFP Special Intelligence Collection Manual

The manual covers the conceptual foundation as well as the application of

Techniques, Tactics and Procedures in the conduct of various types of intelligence

operations in the AFP. The center of the discussion of the manual is the basic

requisites for the successful conduct of the Special Intelligence Operations through

the excellent application of intelligence tradecraft. This manual also guides planners

and operators in the conduct of intelligence operations in the direction, execution and

support to campaigns and operations. It also embodies essential concepts in the

planning and execution of special intelligence operations specifically utilizing the

human intelligence and technical intelligence discipline. Thoroughly discussed in this

manual was the acquisition and management of clandestine assets to acquire secret

information. Accordingly, the key element of good handling technique, such as the

ability to establish rapport and motivate a potential source, is the ability of an

intelligence specialist to effectively deal with any people in general.

Philippine Army Manual 2-0102, Intelligence Collection

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 The manual provides doctrinal guidance for the intelligence activities in

support to combat operations. It also offers an overview of intelligence collection and

the procedures to be taken during the collection process, as well as presents

examples of its applications through different scenarios and its uses for special

collection units. The manual deals with the intelligence collection disciplines, the

types of intelligence, some examples of computer network operations, and the

current national intelligence system roles and responsibilities. Part of their

responsibility is to focus the intelligence effort and to gain dissemination, thus, the

intelligence collection management is significant in providing valuable inputs in

Military Decision Making Process, Targeting Package and Intelligence

Synchronization. In addition, a discussion is presented to understand the various

factors which influence the capabilities, vulnerabilities, and probable courses of

actions. Since intelligence is a continuous process, the manual also argues how

reports from sources is evaluated and validated. Lastly, the importance of

intelligence collection plan utilizing various intelligence disciplines was also

emphasized, from the preparation of plans up to estimates and execution, so as to

provide the intelligence requirements and aid in the decision making.

FOREIGN STUDIES

United States

Wintermans (2015) discusses how a life of agents who pass on secret

information to a foreign power better known as spies and how they play such

undertaking despite the risk which may cause the life of an agent ending in prison or

death by execution. It provides an overview of the theoretical work done on agent

motivation and identifies lapses. In this paper, existing models that provide an

18
answer to the questions that pertains to the aspects of agent motivation and the

aspects that need more attention are addressed on properties of the agent such as

loyalty change, a narcissistic character, financial problems or act of being compelled.

An example of such a model is the acronym MICE (Money, Ideology, Compromise or

Coercion and Ego), in which four reasons are presented why agents spy.

Accordingly, the traditional model is not sufficient enough to make the behavior of

agents transparent. Another model which was also presented is the set of

environmental factors that provide more guidance and makes it easier to understand

why people decide to transfer information to one opponent. It was also discussed

through the case of Aldrich Ames and Robert Hanssen, two Soviet agents who

infiltrated the American intelligence community, the five factors that have contributed

to the realization of their espionage activities. The factors relate to their working

environment within the CIA and the FBI for which Ames and Hanssen have worked.

The five factors are (1) culture of paranoia, (2) management of the intelligence

service, (3) international contacts, (4) lack of safety awareness, and (5) the working

atmosphere. These factors offer an addition to existing models such as MICE and

can be used to assess better the behavior of agents to provide insight. There is too

much attention for motivation while environmental factors help determines behavior

Wilkinson (2013) stated that every success in war is dependent on the

collection of accurate and actionable intelligence. Although there are myriad of

intelligence disciplines, Human Intelligence (HUMINT) is one of the most

inexpensive and effective means of intelligence collection. HUMINT collectors are an

integral part of the collection process, which spans from the tactical to the national

level and sometimes valuable to help answers national level collection requirements.

What the HUMINT professional lacks with technology, he or she makes up for with

19
training and innate skills. Nowadays, the United States Army is not effectively

recruiting or retaining quality overt HUMINT Soldiers.

The paper explored methods used by the Department of Defense (DoD)

HUMINT Enterprise and service components to identify, select, and retain talent

within HUMINT that will address current procedures to assess talent in HUMINT and

identify ways to improve upon current selection and retention procedures within the

United States Army.

Local Studies

In a study conducted by Santos (2004) on the need for career training pattern

for PA Intelligence Officers emphasized that different units of the PA require

intelligence officers from the Infantry Divisions (ID) down to the Infantry Battalions

(IB) to include the Intelligence and Security Group as well as the Military Intelligence

Battalions (MIB) which is also organic to the Infantry Divisions and caters to the

intelligence requirements of the tactical units. The author found out that there is no

established career-training pattern for the PA Intelligence Officers. Although the

Special Intelligence School (SITS), ISAFP is continuously conducting Basic and

Advance Intelligence Courses, it cannot accommodate the requirements of the PA

due to the numerous intelligence positions to be filled-up. Similarly, the Tactical

Intelligence School conducts the same trainings; however, it also conducts different

specialized intelligence courses to give additional skills to the PA personnels. As a

result, army officers are obliged to assume intelligence positions without the required

training.

Further, Buhat (2011) emphasized in his summary, Intelligence Models and

Best Practices provide key issues and solutions in intelligence, which are being

tested and found effective in varied corners of the globe. These are presented in an

20
effort to challenge current traditions and energize the future leaders. For instance,

the US 9/11 Commission Report’s discussion on the Unity of Effort: Sharing of

Information emphasized that the U.S. Government has access to vast amounts of

information but has weak system for processing and using what it has. As such, the

Commission suggested that the system of “need to know” should be replaced by

“need to share”.

SYNTHESIS

The significance of HUMINT especially in the recruitment of asset as valuable

source of information is an effective tool in any intelligence operations. Although

there are many intelligence disciplines that will provide the information required, still

the human source is a good foundation to develop intelligence projects. Since

HUMINT delves into the art of human psychology, this discipline requires foremost

understanding on human behavior and sensibility. It requires necessary skills and

training to recruit a potential source and become a handler, and also the right

motivation and influences that a field agent needs to apply in order to convince the

target to work for him/her as a spy. As intelligence specialist, one has to learn and

apply not only the different approaches and processes on how to recruit, but also

understand the environmental factors that must be considered so that he/she can

easily assess the behavior of the prospective agents and turn it in favor of the field

agent. However, greater obligation comes alongside with the recruitment of asset,

and that means proper management of asset. The manner in which to employ them

and how to maximize their ability in acquiring more information lies on the shoulder

of every handler and case officer through careful planning and proper assessment of

the exact intelligence to be collected.

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 The HUMINT operations of two powerful nations such as USA and Russia

give us an excellent picture of how they place importance on data collection through

human intelligence operations as well as the extensive trainings and studies they

conduct to better equip their intelligence operatives. USA relies largely through CIA,

and the Department of Defense for its HUMINT operation while Russia relies on

KGB and the three major intelligence training institutes to carry out intel operations

and train highly qualified individuals to work as intel operatives or spies.

In the Philippines, the conduct of intelligence operations lies heavily on the

shoulders of trained intel officers of the AFP. As the bread and butter of intelligence

operation, an asset with good placement and access is still the most potent source of

human intelligence and one of the most effective means of intelligence collection

while the other disciplines will only complement or support the human source to

provide common operating picture for better assessment of our commanders for

planning and deriving estimates.

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Conceptual Framework

Figure 1. Conceptual Framework

Figure 1 shows the conceptual framework to better understand the task in

acquiring asset to attain efficient information collection. The relationship of training

and other determinants significantly affects the performance of the NEPICC

graduates in acquiring assets. However, the success of the handler will be

determined if the operational environment along with the influences, persuasion and

motivations of the target of recruitment is properly assessed. The arrow emanating

from the convergence and pointing to the green rectangle, or efficient information

collection, depicts that better understanding of the handlers trait, agents motivation

along with the environment and the use of proper approach, will result to better

actions to solve the problem in acquiring operational assets.

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METHODS OF RESEARCH AND PROCEDURES

In methods of research and procedures, the methodology that was used will

be explored to assist the researcher to successfully bring about the desired output

based from the research objective. The results of the survey will be the foundation of

the analysis of the researcher.

Methods of Research

To better understand the objectives of this study, the Descriptive-Survey

research method was used. This method involves the description of the problem,

survey and document analysis with interpretation of data that were collected.

Respondents and Locale of the Study

The research was conducted in seven territorial NISG’s deployed all over the

country and Counter Intelligence Group situated in Bonifacio Naval Station. The

respondents of this research are NEPICC graduates assigned in the aforementioned

units comprising of 42 enlisted personnel.

Table 1.Distribution of Respondents

Nr Unit Nr of Respondents Percentage

1 NISG- Northern Luzon 4 9%

2 NISG- NCR 5 12%

3 NISG- Southern Luzon 5 12%

4 NISG- Central 5 12%

5 NISG- West 8 19%

6 NISG- Eastern Mindanao 5 12%

7 NISG- Western Mindanao 5 12%

8 Counter Intelligence Group 5 12%

TOTAL 42 100%

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Data Gathering Tools

For the researcher to explore the objectives of this study, a questionnaire was

formulated and was divided in three different sections. The first section is to

determine the level of understanding of the NEPICC graduates on the application of

differentsteps in the recruitment of informants. The second section is to assess their

competency in acquiring assets using different approaches and the third is to

evaluate the factors that affect their output.

In order to get the quantitative value of the responses of the survey

questionnaires, a Likert Point Scale and its equivalent weighted values were adopted

in analyzing the figures of the respondent’s choice of answers:

Table 2. Likert Scale. Rating Scale of the Weighted Mean with corresponding
competency level

Verbal Weighted mean

Self -Assessment Scale
Interpretation value
Outstanding/
Highly
Highly Competent/ 5 4.24-5.0
Competent
Strongly Agree
Very Satisfactory/
4 Competent 3.43-4.23
Competent/ Agree
Satisfactory 3 Satisfactory 2.62-3.42
Fair/ Incompetent/
2 Incompetent 1.81-2.61
Disagree
Poor/Highly
Highly
Incompetent/ 1 1-1.80
Incompetent
Strongly Disagree

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Statistical Treatment

Cronbach Formula for Sample Size:

Sample size calculation= (Distribution of 50% )

[Margin of Error/ Confidence Level] ²

True sample= (Sample Size x population)

(Sample Size x population – 1)

Margin of Error = .05

Confidence Level = .95

Weighted Mean. The weighted mean shall be employed to display the

desired outcome of this study. Shown below is the total weighted mean formula:

X = fx
N
Where:

X = Computed Weighted Mean x = Item Value of the Response

= Symbol for Summation f = Frequency of Response
N = Total Number of Sample Population

Data Gathering Procedures

In gathering the data for this study, the researcher paid courtesy call to the

Command Team of HNISF for the conduct of survey to its operating units. The

questionnaires were administered personally to the units within Manila- Cavite area

while units in other operational areas where coursed through to their respective case

officers. In addition, supplemental data was gathered through the conduct of

interview or telephone call to selected case officers presently assigned in the

operational area and to former commanders and deputy commanders directly

handling the NEPICC graduates.

26
Research Framework

INPUT PROCESS OUTPUT OUTCOME

NISG and CIG Interview Subject Enhanced agent
personnel Matter Experts acquisition and
SMEHuman Responses from management
Intelligence Survey system for
(HUMINT) Documentary effective and
Operations Analysis responsive
Case Officers
information
collection
Competency
of Naval
Enlisted
Personnel
Intelligence
FEEDBACK Collection
Course
graduates in
recruitment of
Figure 2. Research Framework informants for
HUMINT
operations
Figure 2 presented I-P-O-O format to show the process of the undertaking

study. For inputs, the study utilized the data obtained from the respondents, as

generated by the survey-questionnaire and responses from the Groups and SME on

HUMINT operations. The process in the research is the assessment of performance

based on the measures indicated in the table below. Depending on the findings of

the research, appropriate recommendations shall be presented for possible

implementation. These recommendations aim to develop an agent acquisition and

management system for effective and responsive information collection.

27