Revised Policies and Guidelines in the Conduct of Background Check

November 27, 2018

DOTr-OTS MEMORANDUM CIRCULAR NO. 2018-08

 

Pursuant to E.O. No. 277; E.O. No. 311; ICAO Annex 17, Standard 3.4.1 and 4.2.4, and in compliance to the provisions of Chapter 7.10.1.3 of the National Civil Aviation Security Program (NCASP) hereby promulgated are supplemental policies and guidelines for the implementation of OTS-Transportation Security Regulation (TSR) No. 007-2006 entitled "Conduct of Background Check."

I. RATIONALE

This circular defines and clarifies the conduct of background check and describe the roles and responsibilities of OTS, airport and aircraft operators and agency stakeholders relative to background check which is primarily aimed discovering persons who may pose a threat to civil aviation.

II. SCOPE AND APPLICATION

This circular covers all authorities issuing access permits, airport operators, aircraft operators, agents and persons seeking access to security restricted areas of airports serving civil aviation.

III. SUPPLEMENTAL DEFINITIONS:

Agent — any person, company or organization engaged either directly or indirectly, whether by contractual agreement or otherwise, to carry out the duties on behalf of an airport and aircraft operator.

Aircraft Operator — a person, organization or enterprise engaged in or offering to engage in regular public transport or charter aircraft operations. Within the context of this circular "aircraft operator" shall mean the operator of any aircraft engaged in commercial air transport operations and any entity conducting general aviation operations, including corporate aviation operations, using aircraft with a maximum take-off mass greater than 5.700 kgs.

Airport Operator — is an airport organizational entity responsible for the operational management and coordination of airport operations, including management of airport security. Also referred to as airport management.

Airport Security Program — a written program detailing the individual security measures and procedures in place at each airport serving civil aviation, ensuring compliance with the requirements of the NCASP. TIADCc

Airport Tenants — are individuals or businesses granted the right by airport management to conduct business operations at that airport, such as concessionaires, caterers, handling agents and maintenance organizations.

Complete Background Check (CBC)— check of a person's identity and previous private and government work employment and neighborhood check, including where legally permissible, national and local records of criminal history, as part of the assessment of an individual's suitability to implement a security control and/or for unescorted access to a security restricted area including persons with security/non-security functions which has access into SRAs and shall be conducted once every five (5) years.

Background Check — check of a person's identity and criminal history through examination of National Bureau of Investigation (NBI) records every time employees are required to renew their airport security identification permits and shall be conducted once a year.

Quality Control — monitoring and surveillance techniques and activities used to assess civil aviation security system and, whenever required, to resolve identified deficiencies.

Security Restricted Area — those areas of the airside of an airport which are identified as priority risk areas where in addition to access control, other security controls are applied. Such areas will normally include, inter alia, all commercial aviation passenger departure areas between the screening checkpoint and the aircraft, the ramp, baggage make-up areas, including those where aircraft are being brought into service and screened baggage and cargo are present, cargo sheds, mail center, airside catering and aircraft cleaning premises.

IV. POLICIES

A. A complete background check, prior deployment, shall be conducted on or undergone by the following:

1. Persons involved in the implementation of security controls regardless of the type of security access permits.

2. Non-security personnel gaining access to SRAs of an airport. New applicants and existing employees who have not yet undergone complete background check.

B. Complete background check shall cover all aspects of applicant's employment and criminal history, if any.

C. Periodic complete background check shall be required once every five (5) years upon employment.

D. Airport operator shall include in their respective ASP/SOP the requirements and procedures to conduct background checks based on types and frequency.

E. All information gathered by OTS as a result of this issuance including its classification, reproduction, inventory, recording, transmission, storage and destruction shall strictly conform with OTS Office Order No. 2015-016 re: Security of Classified Matter.

V. RESPONSIBILITIES

A. OTS shall:

1. Establish a database of background checks of all persons or entity seeking access to the airport security restricted areas to aid in the conduct of risk assessment and quality control activities. AIDSTE

2. Require airport and aircraft operators to submit results of background check using standard format found in Annex "A".

3. Review and control all background checks submitted pursuant to Section A.2.

4. Provide airport and aircraft operators with regular Transport Security Alert Advisories based on risk assessment to determine additional or enhanced background checks to be undertaken as appropriate.

5. Exercise oversight function over, including unrestricted access to, all records of authorities issuing access permits, airport operators, aircraft operators, agents and other persons seeking access to security restricted areas in relation to the conduct of background checks.

B. AIRPORT OPERATOR shall:

1. Adopt policies and procedures in the ASP for the conduct of background check, covering but not limited to the following:

a. Development of pass control management system.

b. Establishment of office or persons responsible for the conduct of background check.

c. Submission of recurrent and complete background checks by the aircraft operators and agents.

d. Conduct of complete background check at regular interval once every five (5) years.

e. Implementation of random validation of background check furnished by the aircraft operators.

2. Ensure that random validation of background check furnished by the aircraft operators are implemented.

3. Maintain a database of background checks for a period of seven (7) years.

4. Furnish OTS copies of the results of all background checks and list of all personnel granted access to security restricted areas.

C. AIRCRAFT OPERATORS shall:

1. Ensure that their personnel and agents are subjected to background check.

2. Ensure that their agents performing security function and those not performing security function who intends to have access to SRAs, conduct pre-employment complete background check and issue oath of undertaking for this purpose.

3. Furnish airport operator copies of background checks for validation.

4. Ensure employees and agents have received appropriate security awareness training as a pre-requisite for the issuance of access permit by the airport operator.

5. Ensure that validation of all background checks provided by the agents are conducted.

6. Maintain a database of background checks for a period of five (5) years. AaCTcI

7. Furnish OTS copies of the results of all background checks and list of all personnel granted access to security restricted areas.

VI. GUIDELINES

A. All authorities issuing access permits and airport and aircraft operators as appropriate, shall verify applicant's:

1. Identity, by means of a passport, birth certificate, social security number, etc.;

2. Trustworthiness and capacity to work unescorted within a security restricted area, by means of a check of criminal history and, depending on the specific function to be performed, other personal circumstances or behavior that could forewarn of danger; and

3. Place of residence during the previous five years, and the dates, names, telephone numbers and addresses of previous employers or schools attended during this period, with explanations for any gaps in employment of more than one month.

B. Background checks may only review lawfully accessible information. Prior to conducting a background check, written consent shall be obtained from the access permit applicant which shall be included in the Access Permit Application Form. At the same time, it should be made clear to the applicant that failure to give consent to a background check shall result in rejection of the application.

C. All companies and organizations at the airport shall vouch for the valid requirement for each access permit prior to its issuance to an employee. It is the employer's responsibility to complete adequate pre-employment checks or other inquiries to ensure that the individual concerned does not pose a potential threat to civil aviation operations/aviation security. Permits should not be issued without such guarantees.

D. An access permit shall not be issued if, during the performance of a background check, it is determined that the applicant was convicted of possession, use or trafficking of illegal drugs, illegal possession and use of firearms, extortion, direct bribery, robbery, membership in a criminal organization, estafa, espionage or conspiracy to commit espionage, treason or conspiracy to commit treason, murder, homicide, serious physical injury, smuggling, violation of immigration laws, arson, kidnapping, rape, sexual assault, direct assault, maliciously conveying false information knowing the same to be false, concerning the deliverance, placement, or detonation of an explosive or other lethal device in or against a place of public use or government facility, a public transportations system, or an infrastructure facility and such other offenses defined under the Revised Penal Code and other Special Penal Laws as may be determined by the airport operator and/or OTS.

E. Unexplained gaps in an applicant's personal or employment history are not acceptable. When it is not possible to check the continuous criminal history or experience of an applicant over the defined period, verification of the person's suitability to hold a permit should be sought from alternative sources, such as former employers located abroad or, for a self-employed applicant, the Bureau of Internal Revenue or other relevant government authorities.

F. Applicants for jobs implementing security controls (such as personnel controlling access to and searching security restricted areas and aircraft, issuing identification permits to persons or for vehicle, or managing/supervising any persons performing these functions) shall undergo complete background check and undergo a supplementary check to confirm that they are not associated with a terrorist organization.

G. Responsibility for issuing access permits remains with the authority issuing permits and due care and discretion should be exercised in examining information. Before issuing an access permit, the issuing authority should be fully satisfied of the applicant's suitability as a holder. EcTCAD

H. After making every effort to obtain information, if the applicant's identity and previous experience, including criminal history, cannot be verified, the individual should be regarded as unsuitable for an access permit.

VII. MISCELLANEOUS PROVISIONS

A. Construction — The provisions herein shall be liberally construed in order to promote civil aviation security objectives.

B. Reservation — Nothing herein shall be construed as precluding OTS, through its Administrator, from enforcing the provisions enunciated herein and in prescribing other requirements to meet the constantly evolving challenges in civil aviation security.

C. Amendments — Nothing in this circular shall restrict the authority of OTS, through its Administrator, to modify, amend or repeal any provision of the circular through subsequent issuances.

D. Repeal — All OTS orders, rules, regulations and issuances, or parts hereof, which are inconsistent with this circular are hereby repealed or modified accordingly.

E. Separability — If any provision or section of these rules is declared null and void by competent authority, the remaining provisions shall not be affected and shall remain in full force and effect.

F. Effectivity — This memorandum circular shall take effect immediately. A copy of this circular shall be deposited with the University of the Philippines Law Center in compliance with Revised Administrative Code.

(SGD.) USEC. ARTURO M. EVANGELISTAAdministrator