Fundamentals of Civil and Private Investigation Second Edition [2 ed.] 0398073945, 0398073937, 9780398073930, 9780398073947

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Second

Edition

CHARLES G-THOMAS * PUBLISHER, LTD. Springfield * Illinois * U.S.A.

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FUNDAMENTALS OF CIVIL AND PRIVATE INVESTIGATION

ABOUT THE AUTHOR Raymond P. Siljander holds a Master of Education Degree in Educational Leadership, a Baccalaureate Degree in Human Services, and Associate Degrees in Law

Enforcement and Fire Science Technology. He has also graduated from several proprietary schools, and benefited from diverse in-service training while in law enforcement. He holds the professional designation Associate in Loss Control Management (ALCM*). He has appeared as a speaker for in-service training for law enforcement

and the insurance industry, and as a college photography class guest speaker. He is the author and coauthor of the following books: Applied Surveillance Photography, Applied Police and Fire Photography (1st and 2nd Editions), Fundamentals ofPhysical Surveillance (1st & 2nd Editions), Térrorist Attacks (1st & 2nd Editions), Introduction to Business and Industrial Security and Loss Control, Private Investigation and Process Serving, and

Racial Profiling. He has also written several law enforcement magazine articles. While in the armed forces, Mr. Siljander served three tours of duty in Viet Nam. His diversified occupational history includes a variety of manufacturing and service industries in addition to the insurance industry, industrial security supervision, a licensed private investigator doing general and undercover investigations, licensed process server, and local law enforcement as a certified police officer having graduated first in his class in the police academy.

Second Edition

FUNDAMENTALS OF CIVIL AND PRIVATE INVESTIGATION By RAYMOND

P. SILJAN DER, M.Eb., ALCM

With a Foreword by Darin D. Fredrickson, M.ED.

Detective Police Department Phoenix, Arizona

CHARLES

C

THOMAS

°¢ PUBLISHER,

Springfield « Illinois * U.S.A.

LTD.

Published and Distributed Throughout the World by CHARLES C THOMAS « PUBLISHER, LTD. 2690 South First Street Springfield, Illinois 62704

This book is protected by copyright. No part of it may be reproduced in any manner without written permission from the publisher.

©2003 by CHARLES

C THOMAS « PUBLISHER, LID.

ISBN 0-398-07393-7 (hard)

ISBN 0-398-07394-5 (paper)

Library of Congress Catalog Card Number: 2003040177

With THOMAS BOOKS careful attention is given to all details of manufacturing and design. It is the Publisher’s desire to present books that are satisfactory as to their physical qualities and artistic possibilities and appropriate for their particular use. THOMAS BOOKS will be true to those laws of quality that assure a good name and good will.

Printed in the United States ofAmerica SR-R-3

Library of Congress Cataloging-in-Publication Data Siljander, Raymond P. Fundamentals of civil and private investigation / by Raymond P. Siljander ; with a foreword by Darin D. Fredrickson. p. cm Rev. ed. of: Fundamentals of civil and private investigation / by Donald A. Rush and Raymond P. Siljander. Includes index. ISBN 0-398-07393-7 (hard) -- ISBN 0-398-07394-5 (pbk.) 1. Private investigators--United States. 2. Criminal investigation--United States. 3. Police patrol--United States--Surveillance operations. I. Rush, Donald A. Fundamentals of civil and private investigation. II. Title.

HV8088.S55 2003 363.28’9--dc21 2003040177

To the Memory of Rocky D. Comfort (1931-2007)

FOREWORD istorically, there was rivalry and even some degree of antagonism between law enforcement and private investigators. But, as the

practitioners in both arenas have become increasingly professional, with each having a better understanding and appreciation for the role of the other, that rivalry has gradually been replaced with mutual respect.

During the years preceding no-fault divorce, the private investigator did a lot of domestic-related investigations, work that many considered sleazy. But, no-fault divorce laws have eliminated much of the need for

a private investigator when a marriage is failing; it is no longer necessary to prove infidelity. Today, because of a diminished need for

domestic-related investigations, and because of changes in the business climate resulting from advancements in science and technology, and changing economic and social forces, the client base of the private investigator consists more

of insurance companies, law firms, and a

variety of businesses. As a result, today’s private investigator is viewed as being more respectable. Certainly that has enhanced image and prestige. Undoubtedly, another factor that has enhanced the reputation of

today’s private investigator is state-licensing requirements that now restrict access to those who have prior criminal convictions, and who

don’t have the required qualifications to conduct private investigations. Also, those in law enforcement and private investigation are better educated today than was the case in years past, which increases understanding and tolerance. In the early years, it was rare to find a police officer or private investigator with a college education. ‘Today, one will find an abundance of associate, baccalaureate, and advanced degrees

in the ranks of each. While there are differences in the manner in which law enforcement and private investigators conduct investigations, there are many simiVii

Vii

Fundamentals of Civil and Private Investigation

larities. Both do extensive physical surveillance, and both will search a

subject’s trash seeking evidence. And, although the private investigator makes more use of public and private records than does the law enforcement investigator, because the client base calls for a different kind of evidence, both do exploit that valuable information source,

manually and via the computer. Finally, although law enforcement investigators do more interrogating of suspects, both do a lot of interviewing. Today the practitioner on both sides of the proverbial fence better understands what the other does and why, with mutual respect

being the result. This second edition of Fundamentals of Civil and Private Investigation is sufficiently comprehensive to serve as a valuable first step for the aspiring private investigator, with certain sections being useful to the experienced investigator, depending on his or her strengths and weaknesses. Finally, law enforcement investigators who are planning to become a private investigator after retirement will find this book valuable. Darin D. Fredrickson, M.Ed.

INTRODUCTION

TO THE SECOND

EDITION

S28 Fundamentals of Civil and Private Investigation first appeared 19 years ago, the private investigation profession has evolved. However, there is a great deal that remains unchanged. Then, as now, private investigators acquire information for clients from three general source areas: interviews and interrogations, record checking, and physical surveillance. The most notable changes that have occurred are the result of rapid advancements in communication and information technology,

improved licensing requirements, and generally a higher standard of professionalism among private investigators. Information technology has made it possible for private investigators to access a great deal of information quickly and economically by using the computer. That benefit has resulted in a diminishing need to personally visit the locations at which various records are maintained. Truly, private investigators have benefited from the information superhighway! This second edition features updated and expanded information, and a reorganization of chapters. But, not only have chapters been reorganized to enhance continuity, deletion of obsolete information, and consolidation have reduced the number of chapters from sixteen to eleven. The most notable updating and/or expansions have been in the chapters discussing optical-related visual aids, sources of information, locating missing persons, interview and interrogation techniques, VIP protection, and surveillance photography. Also, this second edition features a new chapter titled Managing a Detective Agency. Although that chapter is not exhaustive, it is important for those who are considering

going into business under their own license. Its value will be found not so much in the specific information it provides, but in the mindset it

instills. A person may be a competent investigator, but once going into business, he or she has stepped into the arena of business management,

5

Fundamentals of Civil and Private Investigation

marketing, and sales. While there are many private investigators working under their own license, there is a small nucleus that are truly successful; they are the ones who are not only a skilled investigator, but a good business manager and salesperson. They successfully market their service, have a high client retention ratio, and enjoy quality referrals from established clients. R.P.S.

ACKNOWLEDGMENTS plies first edition was written jointly with Mr. Donald A. Rush, and

some material from that 1984 collaborative effort has survived revision and is reflected in this second edition. Hence, I would be remiss to

not emphasize his valuable and enduring contribution. A special thanks is also extended to Mr. Tim Cecil, Private Investigator, for contributing the section titled Identification ofBusiness Holdings. I also extend my appreciation to Mr. Tom Watson, Maverick Investigations, Phoenix, Arizona, for information he has contributed.

Ms. Sylvia Wickizer, owner of Hoofprint Investigations, Morristown, Arizona, has never ceased to be a personal and professional inspiration. I owe her many thanks! Finally, I thank those who enhanced the quality of this book by contributing illustrative materials. R.P.S.

x1

SS

CONTENTS Page DOV ELUCTO mL) OVINE Ly CUT ICA SO] emere een Ont ent ete oe ere cee vii PILES OOUCULD [emer eS IT SOROS et ee Lecture eis encase hte meee nieces eet ix

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2. Sources of Information, Skip Tracing, and Locating Assets................. 13

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AP liiterviews slnterrogauons, and StateMients eset. ete eterno 45 5. Undercover Investigation (Industrial and Commercial) ................004 54

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7. Binoculars, Telescopes, Night Viewing Devices, and Monoculars ....110

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Om body guard services V1 EProtection )aents 20. e cers eee

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LOM Reports Wrtingand) Courtrooms LeSstimMOny cess. i ucer rtssaserene ses1D ime Manavinga DetectiverA SeNCy jatar ss ntmes ates iret aceess sans 203

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B. Social Security Number States of Issue (Alphabetical and INUIETICLICAL ete reer ec Re cat eee een rer nae eae eer 211 (Om EL Ac Ndicators aVVOLKerS COMPensallOn ent entin mite te 214 DAI Ba ss ehh AAA ol Ale Ao aa Pepe REI EECO EOLA EO MERON TET ETAT CECE IO PAN)

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FUNDAMENTALS OF CIVIL AND PRIVATE INVESTIGATION

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Chapter 1 THE PRIVATE INVESTIGATION PROFESSION INTRODUCTION

4fie book examines the techniques and methods of private investigation, a growing profession that is essential but frequently misunderstood. Misunderstanding results because most private investigators are modest and unassuming in appearance, and because of their invalid

portrayal by the entertainment industry. If one reflects on past television and motion picture shows featuring private investigators, it will be recalled that most were portrayed as either debonair, or disreputable. In truth, the private investigator fits neither category, but is a person

who conducts investigations in an unobtrusive and methodical manner. To investigate is to make inquiries with painstaking precision, to discover by methodical examination. That is what all investigators do, whether in law enforcement or private practice. But, there is a differ-

ence between private and law enforcement investigators. Law enforcement investigators investigate crimes, not civil matters. Private investigators investigate both crimes and civil matters. But, when a private investigator investigates a crime, it is because he or she has been hired by someone to do so, not because it is his or her job to investigate

crime for the purpose of apprehension and prosecution. For example, commonly a criminal defense attorney will hire a private investigator to develop information to facilitate preparation of a defense strategy. In such instances, the private investigator is doing a criminal investigation. Because police do not investigate civil disputes wherein they have no jurisdiction, those who need a civil disagreement investigated must hire a private investigator. Police will not locate a debtor who has defaulted on a loan, or investigate if someone suspects their spouse of infidelity.

4

Fundamentals of Civil and Private Investigation

Neither will police investigate if it is suspected that a person is collecting Worker’s Compensation benefits while secretly working elsewhere, or investigate if a business owner is suffering unexplained inventory shrinkage. The list could continue. In all such instances, it is the private . investigator who is available to conduct an investigation. invesconduct investigators private and Although law enforcement tigations, and employ many of the same methods, they often apply

investigative methods differently, and each relies heavily on some investigative methods that the other embraces to a lesser extent. For example, the private investigator is almost never concerned with a crime scene and related physical evidence such as fingerprints, footprints, tool impressions, and DNA. But, to an extent exceeding that of law enforcement, the private investigator makes extensive use of pub-

lic and private records. This situation results because police investigate crimes for purpose of apprehension and prosecution, while private

investigators are more often investigating a civil situation. But, they both engage in physical surveillance extensively, with photography often being part of the equation. The demand for qualified private investigators has grown sharply in recent years and the trend is expected to continue. Today, a great deal of the work done by private investigators is for law firms, insurance companies, and business generally. Although the private investigator does work for private individuals, private individuals do not generally

represent the repeat and referral business that is so essential to the investigator’s success. Because attorneys and law firms are a lucrative source of business,

private investigators should endeavor to cultivate that source. But, cultivating attorneys and law firms as a consistent source of business requires legal knowledge. Hence, if one has the means, it would be desirable to become educated as a legal assistant (paralegal). With a degree or Certificate of Completion in legal assisting, one will be in a strong position to cultivate attorneys and law firms as a lucrative source of business. While virtually all private investigators engage in general investigations, there are some who have cultivated specialty niches. For example, the private investigator who retired as a highway patrol officer with specialized training and experience in automobile accident investigation and reconstruction, and has qualified as an expert witness, can market that specialized expertise, usually to attorneys. The private investigator

The Private Investigation Profession

5

who retired as a police detective with a strong background in homicide and/or drug investigation can market that specialized expertise with, again, attorneys being the primary clients. Similarly, the private investigator who retired from the fire service with recognized expertise in fire and arson investigation can market that specialized expertise to law

firms and insurance companies. The list could continue. Not really a specialty niche, but worth mentioning, is private process serving, many private investigators are licensed to do both. Private investigators often have clients who need legal documents served and it is advantageous to be able to accommodate that need. Similarly, process servers often hire private investigators to locate people upon

whom legal documents must be served, and then pass the cost on to their client. While legally the process server can do skip tracing, and most of them do a lot of it, they often refer skip tracing to a private investigator who generally has the resources to locate someone quicker. The private investigator should consider marketing skip tracing to private process servers, but keep the cost reasonable because they have a client to keep satisfied; process serving is very cost competitive! As in any business or profession, the private investigator will acquire

a reputation based on his or her performance, with that reputation eventually resulting in success or failure. All investigators depend on repeat business and referrals, but only the investigator who conducts business in an ethical, professional, and cost competitive manner will

consistently realize repeat and referral business. The social climate is changing and increasingly, it seems, corruption is becoming part of the

business and corporate culture. Recent newspaper headlines and television news bites attest to that. Clients will be quick to notice, and

respond favorably, when they find a private investigator who can be trusted to provide quality service at a competitive cost. Competence and personal integrity will contribute significantly to a loyal and expanding client base! Having discussed what private investigators are and what they do, it would be helpful to examine, for illustrative purposes, how the state of

Arizona defines a private investigator for licensing purposes. The state’s definition reads as follows: A person other than an insurance adjuster or an on-duty peace officer as defined in §1-215 who, for any consideration, engages in business or accepts employment to furnish, agrees to make or makes any investigation for the purpose of obtaining information with reference to:

6

Fundamentals of Civil and Private Investigation (a) Crime or wrongs done or threatened against the United States or any state

or territory of the United States. (b) The identity, habits, conduct, movements, whereabouts, affiliations, associations, transactions, reputation or character of any person or group of persons.

(c) The credibility of witnesses or other persons.

(d) The whereabouts of missing persons, owners of abandoned property or

escheated property or heirs to estates.

(e) The location or recovery of lost or stolen property. (f) The causes and origin of, or responsibility for, a fire, libel, slander, a loss, an accident, damage or an injury to real or personal property.

(g) The business of securing evidence to be used before investigating commit-

tees or boards of award or arbitration or in the trial of civil or criminal cases and the preparation therefore.

Although, as stated, the private investigator employs many techniques and methods to acquire information, they all fall into one of three general categories. They are: 1. Interviews and interrogations. 2. Record checking. 3. Physical surveillance. This assertion is an oversimplification, but virtually all information

gathered by the private investigator will come from one of these three general source areas. But, these sources are exploited to satisfy a multitude of investigative needs. For that reason, the discussion of techniques and methods provided in this book should serve only as a guide, with the techniques and methods applied in a variation that is compatible with immediate needs and circumstances.

LICENSING

Virtually all states require that anyone working as a private investigator and charging a fee for their service be licensed. In Arizona, to work as a private investigator without being licensed is a Class 6 felony. The licensing requirements of each state, while often similar, will vary. Hence, each person seeking to be licensed must determine the requirements of his or her state. Arizona provides an information packet to license applicants detailing the state licensing requirements, and therein it specifies who may and may not be licensed as a private investigator. The purpose of the

The Private Investigation Profession

7

requirements are to increase the professionalism of private investigators, eliminate unnecessary bureaucratic paperwork, and to provide a

means by which citizens can express their concern when experiencing problems with a private investigator. The licensing requirements were enacted because of a need resulting from the growth of the private investigation profession in the state. As population increases and cities grow, especially when growth is rapid, many problems develop. When problems occur, the result often is a

need for the services of an attorney, private investigator, and process server. ‘To be licensed as a private investigator in Arizona, for example, one

must satisfy the following criteria. 1. 2. 3. 4.

Be no less than 21 years of age. Be a citizen or legal resident of the United States. Have no felony convictions. Have never been convicted of illegally possessing a dangerous weapon. 5. Have never been convicted of an act of violence on another person, or having threatened an act of violence on another person. 6. Must have no outstanding arrest warrants. 7. Any private investigator license that one holds, or has held, in

another state must be in good standing. 8. Must have a minimum of three years investigative experience or its equivalent. 9. The qualifying party for an “agency license” must satisfy the above requirements. A surety bond, to run concurrently with the license, is required of all

persons and agencies holding a private investigators license. When a license is issued, it is good for a period of three years after which renewal is necessary. There are people, in some occupations, who perform investigations

but who are not required to be licensed as a private investigator. They include, but are not limited to: 1. Officers of the government (federal, state, county, municipal)

while in the performance of their official duties. 2. People and firms, and their employees, who are in the business of furnishing financial information, so long as there is no connection with a private investigator or private investigation agency.

8

Fundamentals of Civil and Private Investigation

3. A practicing attorney while obtaining information relative to a case for which he or she has been retained. 4. A licensed collection agency, and its employees, while operating within the scope of their business. 5. Insurance agents, brokers, and adjusters, while in the normal

course of conducting their business. 6. News media, and their employees, while gathering information for the purpose of disseminating news to the public. 7. Public service corporations when investigating possible misuse of their equipment and facilities. 8. Private process servers who are duly registered and performing investigations relative to the service of legal process, i.e., locating

someone to be served.

Private investigators are prohibited from engaging in conduct that implies affiliation with a government agency, and the name of the investigator’s business must be such that no such confusion can occur. At this time, in Arizona, no private investigator may display a badge in conjunction with, or independently of, their state issued identification card. Neither may uniforms be worn or an insignia displayed that has a misleading quality. It is further required that all advertising materials reflect the licensee’s name and license number as they appear in the state’s licensing records. The Arizona Revised Statutes and Administrative Rules contain provision for disciplinary action for a variety of infractions. The licensing packet lists the various reasons for disciplinary action with some being outright fraud, while others are less serious. The listing is, in part, as follows:

1. Fraud and/or misrepresentation when applying for the original or renewal license. 2. Using any printed materials that in any way suggest association

with any government agency. 3. Using, without proper authorization, a name other than that under which licensed for purposes of advertising. 4. Impersonating, or permitting the impersonation, of any law enforcement officer or any other governmental agent. 5. Knowingly violating any laws during the course of business, or facilitating it.

The Private Investigation Profession

9

6. Conviction of any act involving the use or possession of a dangerous weapon. 7. Conviction of using violence against another, or threatening to use violence against another. 8. Conviction of any act of dishonesty or fraud. 9. Being placed on probation or parole or being named in an outstanding arrest warrant. 10. Willfully withholding a report, or failing to provide services, after

payment has been accepted from a client. 11. Unauthorized disclosure of information obtained for a client. 12. Accepting work that conflicts with the interests of a client or case already being worked on. 13. Permitting a registered employee to work on an independent contractor basis with the work not being done under the licensed agency. As can be seen, there are requirements that must be satisfied to become licensed, there are circumstances that will prevent one from

becoming licensed, and there are integrity breaches that can result in disciplinary action up to and including revocation of a license. Once licensed, one must remain current on applicable rules and laws.

EDUCATION REQUIREMENTS

Becoming a private investigator remains an apprenticeship. Although colleges and universities offer criminal justice degrees, they offer no private investigation curriculum, and no courses specifically for the private investigator on topics such as sources of information, asset searches, pretext investigations, roping, and skip tracing (locating missing persons). Because aspiring private investigators cannot obtain

a career-specific degree, they must be content with a degree in a parallel field, or embrace isolated courses for the pertinent information they

offer; there are many. Note: There are home study schools that offer a private investigation curriculum that one may wish to investigate. Although there is no minimum education requirement to become licensed as a private investigator, there is usually an experience requirement, and some states impose a written examination. Hence,

the emphasis is on experience-based knowledge and expertise, not aca-

Fundamentals of Civil and Private Investigation

10

demic accomplishment. That acknowledges the fact that knowledge

emanates from life experience just as much as from the classroom, if not more so. Hence, those without advanced education need not be

deterred even though advanced education is an asset. Many private investigators have a college education, many intend to acquire an advanced education, and there are those who simply study isolated courses for the job-related information they provide. Those in the latter category are not to be faulted. The specific title of various courses will vary by college and university, but they all offer similar information and the titles reasonably reflect course content. The following list reflects areas of study that can be beneficial to the private investigator. Certainly no one will avail themselves to all the courses listed, but it provides a menu for contem-

plation relative to individual needs.

1. Criminal Justice (Degree) 2. Criminal Law 3. Business Law

4, Psychology: General Psychology Abnormal Psychology Social Psychology 5. Sociology:

Introduction to Sociology Social Problems Racial and Ethnic Minorities 6. Anthropology: Introduction to Cultural and Social Anthropology Ethnic Relations in the U.S. 7. Fundamentals of Speech.

8. English. Freshman English 1 and 2, Basic Writing Skills, etc. Very important!

9. Computer Keyboarding. A one-semester course (community college or university) is highly recommended to learn touch-typing

of the alphabetic and numeric keys and symbols; it will make life much easier! 10. Computers. Numerous courses are offered; discuss needs with a counselor or instructor to make an appropriate selection if that is

not already known. At the very least, if one is not computer lit-

The Private Investigation Profession

11

erate, enroll in Computer Usage and Applications. The actual title of the course will vary by institution but content will be similar. 11. Bookkeeping Theory and Practice. 12. Accounting Principles. 13. Small Business Management. Many people go into business because they know their product or service, but they are poor

business managers and suffer as a result. 14, Journalism—sources of information and photojournalism. Prerequisites may present a problem, and admission to the program may be required as prerequisite to taking courses.

15. Photography. A photography course to learn the basics is highly recommended.

Criminal Justice degrees are offered on the associate, baccalaureate,

and graduate levels. The specific course requirements for a baccalaureate degree in Criminal Justice will vary from one college or university to another, but they are all similar. Also, the name of the degree

program will vary from one institution to another. The discipline is often referred to as Criminal Justice, Justice Studies, Law Enforcement,

Administration of Justice, Police Science, etc. The following are the major course requirements for a Justice Studies Bachelor of Science (B.S.) degree, exclusive of the general studies requirements, from one university.

Lower Division Courses Introduction to the Justice System Issues in Justice Studies Social Research General Psychology Introduction to Sociology Fundamentals of Speech Group Discussion Internship

Upper Division Courses Theory of Criminal Justice The Police Function The Adjudication Function The Correctional Function Criminal Justice Administration Substantive Law Procedural Criminal Law Social Psychology Abnormal Psychology Social Problems American Minority Peoples

12

Fundamentals of Civil and Private Investigation As can be seen, although the curriculum is intended for those with an

interest in criminal justice, it is a curriculum that will benefit the private investigator, especially if complemented with a minor in accounting. The general studies requirements that must be satisfied in addition to the major requirements are distributed among such areas as English, Humanities, Social Sciences, and Natural Sciences.

There are also proprietary schools, community colleges, and universities that offer paralegal (legal assisting) curriculums, which can be extremely beneficial for the private investigator. Many colleges and universities provide the option of a Certificate of Completion, or a degree in paralegal. Those seeking the degree must satisfy the general studies requirements, but general studies requirements are not required for the Certificate of Completion. The specific curriculum will vary by school, but all curriculums are similar. The following are the Phoenix College (Phoenix, AZ) required courses for both the Legal Assisting Certificate of Completion and associate degree. In addition to the nine required three credit courses (27 credits), the student must select an additional two courses (6 credits) from a list of electives. Hence, a total of 33 credits (11 courses) are required. Note: More than two classes may be selected from the electives, but often electives may be taken only after the required courses have been completed, which is why they are

called “restricted electives.” Required Courses Introduction to Law Legal Procedures I Legal Procedures II Legal Writing I Ethics & Professional Practice Business Law for Legal Assistants Introduction to Legal Research Insurance and Tort Law Computerized Law Office and Litigation Support*

Restricted Electives Introduction to Paralegalism Criminal Trial Procedure I Probate Real Estate Transactions Family Law Administrative Law Legal Assisting Internship Legal Research and Writing Legal Interviewing Legal Investigations Legal Professionalism *Prerequisite. If one cannot demonstrate adequate computer skill, the Computer Usage and Applications course must be completed prior to enrolling for the Computerized Law Office and Litigation Support course.

Chapter 2 SOURCES OF INFORMATION, SKIP TRACING, AND LOCATING ASSETS INTRODUCTION

t would be possible to discuss sources of information without dis-

cussing skip tracing (locating missing persons), but it would be impossible to discuss skip tracing without discussing sources of information. For that reason, both topics are examined in this chapter.

Private investigators are specialists in acquiring information and, as such, they exploit the numerous records and documents a person cre-

ates in his or her journey thorough life. Such records are mute testimony of each chapter written between birth and death and, when exploited, they provide considerable information. As a person goes through life, he or she engages in various activities that result in records

that include, but certainly are not limited to, the following: 1. 2. 3. 4.

5. 6. 7. 8. 9. 10. 11. 12.

Birth certificate. Medical records. Educational records. Social Security number and corresponding records.

Employment records, including employment applications. Credit reports—financial records. Drivers license. Vehicle registration. Voter registration. Military service. Club and/or church membership. Trade and professional associations. 13

Fundamentals of Civil and Private Investigation

14

13. Trade unions. 14. Various licenses. 15. Marriage license application.

16. Divorce records; a wealth of information is contained therein.

17, 18. 19. 20. 21.

Business ownership records. Civil court records. Criminal court records. Telephone service. Utilities; water, gas, and electricity.

22. Rental records; habitation. 23. 24. 25. 26. 27.

Property ownership records. Moving company records. Insurance applications and policies. Death certificate. Probate Court Records.

Some of the records that result from the above activities are public and can be accessed by anyone, while others are private and cannot be

accessed without first having cultivated an inside contact, a confidential informant. Private investigators, of necessity, nurture their ability to

locate various types of information because, to a significant degree, that is their stock in trade. The ability to obtain information is what they sell. It has been said, and it is true, that an investigator is only as good as his or her sources of information. Many records and documents are, as stated, public and can be accessed by anyone. Sometimes their access is free, and for some there

is a fee. Sometimes information can be accessed but only after demonstrating a legitimate need for the information. Unlike not too many years ago, increasing numbers of records can now be accessed from home or office using a computer. When searching records and documents, one should always access first those sources that are the easiest to access, the least costly to access

in terms of time and money, and those that are the most likely to provide the desired information. There have been cases where considerable effort was devoted to locating someone when all along the person was in the phone book. Always, when attempting to locate someone, first check the phone book and call directory assistance to determine ifthere is a current telephone listing. If it is found that the person has an unlisted telephone number, learning that fact has value inasmuch as it tends to confirm that the person is residing in the area, which is helpful infor-

Sources ofInformation, Skip Tracing, and Locating Assets

15

mation if that was not already known. Once knowing that the person is a telephone subscriber, an inside contact (confidential informant) within the phone company can determine the address of the subscriber. Many information sources can be accessed by use of a computer, some by telephone, some in writing, and some require the investigator to personally visit the location where the records are maintained. There are cases where a person in possession of private records, such as an apartment manager, for example, is willing to provide the information but requires verification of the identity of the person making the request.

CONFIDENTIAL INFORMATION

SOURCES

Many records are private and not available for examination simply by requesting to see them. Their access is not illegal, but the company in possession of the information has a policy that prohibits disclosure. In such cases, their access is generally possible only by means of a confidential informant, by having first cultivated an employee with access to the records who will make the disclosure. In some instances, a person with access to the records, who had not been previously cultivated,

can be induced to make the necessary disclosure if approached using a suitable pretext. In other instances the honest approach will work best,

simply explain what is needed and why. It’s a matter of persuasion. Circumstances will generally suggest which approach is preferable. Sometimes, during that process, one is fortunate enough to develop a confidential informant. Having cultivated contacts in the right places the investigator has access to a great deal of information. Consider for a moment the amount of information, on a very large number of people, that is contained within the records of insurance companies. And, if the person has been bonded, there will be considerable useful information in the

file because, when applying for a bond, many questions may be asked that are not otherwise legally permitted. In fact, some companies that bond people occupying certain positions do so not because they feel a strong need for a bond, but by requiring a bond, they are able to ask questions that normally are not permitted on an employment application, or during the job interview.

16

Fundamentals of Civil and Private Investigation

Many large companies employ large numbers of people for positions that do not pay well, with many such positions often occupied by

women who are struggling single mothers, or who are married with

children and supplementing a stressed household income. Cultivating

them tends to be easy because they can make a day’s wages, or more,

simply by providing information. Such employees often feel little loyalty to the employer and can rationalize selling information because of the impersonal manner in which they are often treated, coupled with their marginal wage and lack of advancement opportunity. Because of the large number of people employed by such firms, there is a good chance that the investigator already knows someone working in a company whose records are of interest, or knows someone who does. And, if the person working therein does not have access to the desired information, it is likely he or she knows someone who can and will obtain information for him or her. Many men, having to pay substantial child

support, and sometimes even spousal maintenance, will seize an opportunity to make extra money. Because confidential sources of information are so important to private investigators, they are ever vigilant for opportunities to cultivate new sources. On occasion, a private investigator is fortunate enough to develop an enviable source, a source that competitors need but have been unable to cultivate. He or she is then able to cater to their needs by obtaining information for them. When a private investigator needs certain information but is unable to access it, but knows an investigator who can, naturally he or she pays him or her to obtain the information and passes the cost along to the client, with the addition of a handling fect

All private investigators have access to information that is public and therefore available to anyone without an inside contact being necessary. But, the challenge is developing the means to access private information. No individual private investigator can cultivate access to all such information. But, by knowing several other investigators, and knowing who can access various types of information, each can assist the other and thus expand the range of their informational resources. In the final analysis, although some information is difficult to access, virtually all information can be accessed. It’s a question of how badly it is needed, and what a client is able or willing to pay.

Sources ofInformation, Skip Tracing, and Locating Assets

17

GOVERNMENT RECORDS: LOCAL, COUNTY, STATE, AND FEDERAL

Governmental entities on the local, county, state, and federal levels

all feature many departments with each maintaining a variety of records. Some of the records are of interest to the private investigator while others are not, and some may be examined while others may not. The population served will determine the number and type of departments a government entity will feature. For example, a large city will have more departments than a small town. Similarly, a county serving a large population will feature more departments than a county serving a limited population. Also, the specific name of each department may differ somewhat from one government entity to the next, although their names are generally indicative of their area of responsibility. However, the investigator who has a general understanding of the types of information each political subdivision maintains will not experience difficulty locating desired records. One of the quickest and easiest ways to determine what government entities feature what departments, and therefore what type of records, is to examine the phone book government section. Exactly what records may be accessed by a private investigator will vary by department, and from one government entity to another. Similarly, one city or county may permit examination of records that another city or county may not. The same holds true from one state to another. The federal government, however, is uniform from one state to the next inasmuch as their policies are uniform throughout the country. With time, experience will result in a familiarity with what government department maintains what kinds of records, and which ones

may be examined without an inside contact. The inexperienced investigator, for educational purposes, may visit the various government departments and ask what records they maintain, and which ones are open to public inspection. Some government records are accessible via the computer, with access to some being free, while others require a fee. And, some government records, although accessible by computer, may only go back a few years, beyond which manual inspection is necessary.

18

Fundamentals of Civil and Private Investigation DIRECTORIES

There are numerous directories published each year that can pro-

vide valuable information, and private investigators should be aware of

them. A limited number of directories will be listed here for purposes

of illustration and familiarization, but the listing is by no means exhaus-

tive and could not be. That such is true is attested to by the fact that there is a directory that lists directories—Directories in Print. When examining the directories listed here, it will be observed that they tend to be very subject specific. For example, some list public companies; manufacturers; wholesalers and distributors, technology com-

panies; big businesses; colleges and universities in the United States; etc. If one is not familiar with the variety of directories available at the public library, a day should be devoted to browsing their collection. When information has been obtained from a directory, that infor-

mation should be validated by other sources. That is important because the information in directories quickly becomes dated, and it cannot be

assumed to have been accurate to begin with. Most directories suffer a 15-40 percent change yearly with the overall average being 25 percent. How much change occurs depends, of course, on the type of directory and the type of information contained therein; some suffer

more change than others. Old directories can be useful for research purposes in some instances. American Big Business Directory. A three-volume directory listing 194,000 organizations with 100 or more employees. It features an alphabetical listing, listing of businesses by state, and businesses by

Standard Industrial Classification (SIC) Code. American Manufacturers Directory. A two-volume set listing organizations with 20 or more employees. American Medical Directory. Lists physicians in the U.S. and its possessions. American Wholesalers and Distributors Directory. A one-volume directory listing approximately 27,000 wholesalers and distributors in the UES: City Directories. There was a time when city directories provided a

variety of information such as occupants of a home, occupation, and

sometimes place of employment. However, especially for large cities, such information is no longer included. Hence, city directories have become more like the cross-reference directories to be discussed next.

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19

A telephone directory (phone book) alphabetically lists subscribers by name followed by their phone number and, frequently, their address. City directories provide the same alphabetical listing by name, but also lists the telephone numbers numerically, and lists addresses alphabeti-

cally and numerically depending upon whether the address is on a named or numbered street. City directories are useful when attempting to determine whom a person’s neighbors are when preparing to do neighborhood inquiries about the subject of an investigation. They are also useful when one has a telephone number but does not know who the subscriber is. If a telephone subscriber has an unlisted or unpublished number, however, they will not be found in such directories

because the information is taken from the phone book. Cross-Reference Directories. The two main publishers of cross-reference Directories are Polk and Cole’s. Those directories, like city directo-

ries, are based on information found in phone books. They alphabetically list residents and businesses, they alphabetically and numerically list address and reflect the name of the resident or business at each address, and they numerically list telephone numbers followed by the name and address of the subscriber. Cross-reference directories are useful in the same way city directories are useful. D&B Million Dollar Directory. A five-volume set profiling 160,000 of America’s leading public and private companies. Directories in Print. Published by Gale Research, Inc. That directory can be useful when it is believed that the information one needs may be in a directory, but it is not known what directory may contain the information. Directory of Technology Companies. A four-volume directory listing technology companies. MaCrae’s Blue Book. Lists U.S. manufacturing firms, products manufactured, and trade names.

Rand-McNally International Banker’s Directory. Lists banks and branches and the names of officers. Standard and Poor’s Register of Corporations, Directors, and Executives. Lists officials of various companies. Telephone Directories. Without doubt telephone directories are the best known and most frequently used by not just private investigators, but just about everyone. Many large libraries maintain telephone directories for all major cities and towns in the U.S., and many foreign cities.

The extent to which one may need to accumulate their own telephone

20

Fundamentals of Civil and Private Investigation

directory library will depend upon their needs—the type of investiga tions they do. However, computer databases have all but eliminated the need to maintain an in-house phone book library. Note: As stated earlier, too many times when attempting to locate someone a great deal oftime and effort is expended when all along the person was a telephone subscriber. Hence, when attempting to locate someone the phone book and/or directory assistance should be the first source checked. Increasingly, however, cellular phones are replacing conventional telephone service. The Martindale-Hubbell Law Directory. Lists licensed attorneys throughout the world. Available only via computer. Thomas Register of American Manufacturers. Thirty-three-volumes listing American Manufacturers. U.S. Public Companies. A one-volume directory of corporate affiliations; “Who Owns Whom.”

Who’s Who Directories. There are many such directories published by a number of publishers, but Marquis is the primary publisher. They provide biographical data on noteworthy individuals in a variety of fields such as business, finance, politics, art, etc.

RESEARCH USING THE COMPUTER

Today, computers are so essential to the private investigator that they could not conduct business efficiently without one. Not long ago, when checking records during an investigation, it was necessary to commute to the location where various records were maintained. Naturally, that

was time consuming and involved transportation costs. While many records still must be examined in person, increasing numbers of records are becoming accessible by computer. Today, private investigators do the majority of their skip tracing (locating people) by use of the computer and succeed in locating most subjects without leaving the office. Because computer technology is advancing so rapidly, and because of the ever-increasing sources of information that can be accessed via the computer, little will be offered here relative to specifically what

records can be accessed by computer. Rather, it is important to know what useful records exist, regardless of whether they can be accessed by computer, because as sources previously requiring manual inspection become accessible via the computer, active investigators will

Sources ofInformation, Skip Tracing, and Locating Assets

21

become aware of that fact. Jn the final analysis, sources of information will remain much as they were in the past, but increasingly those records are becoming accessible by computer. Today one can use the computer to locate people, determine who a

person’s neighbors are, determine who else has resided at a subject’s address, whether someone

owns aircraft or watercraft, do vehicle

license plate searches, do Vehicle Identification Number (VIN) searches, drivers license searches, civil and criminal court record searches, bankruptcy searches, worker’s compensation claims searches, proper-

ty searches, etc. The list could go on. Depending on the database, many searches can be conducted based on a name, social security number, telephone number, driver’s license number, etc.

There is a great deal of information that is available at no cost via the computer, and there are some very good databases that offer access to information for a fee. With time, as more of the various databases link up one with another, the information resources will expand propor-

tionately. Some databases are accessible only by law enforcement and licensed private investigators.

TRASH RUN Some call it a trash run, some call it a trash cover, but each refers to

obtaining a subject’s trash and examining it for information and/or evidence pertinent to a matter being investigated. Depending on the nature of the case, inventorying someone’s trash can provide a great deal of valuable information. For example, police may find evidence of

drug manufacturing, sales, or use. Private investigators may learn where a person banks, what credit cards he or she has, where he or she

shops and method of payment by virtue of sales receipts, personal interests may be discovered by virtue of magazines, and incriminating personal letters and envelopes reflecting a name and return address may be discovered. The list could go on. Before an attempt is made to obtain someone’s trash, identify the

best time and method for acquiring it. One method is to obtain an empty trash container from an unoccupied home that is for sale and switching it with that of the subject. A pickup truck or van may be used, and if three investigators are involved the switch can be made very quickly. There have been cases, when confronted with a highly cau-

22

Fundamentals of Civil and Private Investigation

tious subject who does not place trash at the curb until the sanitation truck is approaching, that the sanitation department has acquired the trash for police by segregating it from other trash at the time of pickup. But, the private investigator does enjoy that option. When making a trash run one must honor the laws that are in effect in the jurisdiction. There was a time when people were considered to have a reasonable expectation of privacy even relative to trash that had been disposed of. The rational was that they had a legitimate expectation that their trash would be transported to a landfill and be lost to obscurity. Other jurisdictions have ruled that once the trash container is taken off one’s property and placed at the curb to be picked up by the sanitation department, it constitutes abandoned property and may be seized. In the latter jurisdictions, police officers are required to have a war-

rant to seize trash that has not yet been removed from someone’s property but are free to seize it without a warrant once it has been set at the curb and is therefore considered to be abandoned property. Private investigators, not being government agents, and therefore not subject to the rules of search and seizure, would not be required to obtain a

warrant when seizing trash before it is set at the curb. But, they could be at risk of being charged with trespass and theft. However, once the trash is removed from the property and set at the curb, taking it would not involve a trespass or theft. Abandoned property cannot be the subject of theft, depending of course on the laws in one’s area. One must know the laws! Important! Consider personal protective equipment/clothing needs when inventorying someone’s trash, and be alert for hazards such as hypodermic needles and razor blades; contents are unknown!

SKIP TRACING (LOCATING MISSING PERSONS) Introduction

Skip tracing is a term that refers to locating missing persons such as

delinquent debtors and those who have fled to avoid criminal prose-

cution. The term also applies to the locating of others such as missing spouses, witnesses, heirs, stockholders, assets, and bank accounts.

Sources ofInformation, Skip Tracing, and Locating Assets

23

Frequently, when a private investigator is hired to locate someone, the identity of the person is known, but his or her whereabouts is not known. In other cases, the identity of the person is not known, such as

would be the case when trying to locate witnesses to a crime or accident. In the latter case, the person being sought may not be attempting to avoid being found, but he or she is unaware that someone is looking for him or her. In other cases, the person being sought is attempting to remain hidden. When attempting to locate people who do not wish to be found, it will become apparent that while some people are very good at being elusive, others are not.*

Locating Missing Family Members When accepting such a case one must learn as much as possible about the missing person, and a photograph should be obtained. Usually the client can provide much of the information, but much of it the investigator will develop during the course of the investigation. Each case will be different and the type of pre-investigation questions asked will vary accordingly. However, the following is an example of the type of questions that need to be addressed:

1. Did domestic problems precede the disappearance? 2. Has the person ever disappeared before, or threatened to?

3. Were there any indications he or she may have been planning to leave? 4. Does the person have a history of mental illness? Were they despondent before their disappearance? If they were under the care of a physician or therapist, that person should be interviewed. 5. Obtain details regarding any health problems he or she may have. 6. When leaving did he or she abandon things that a person would normally take when leaving? That includes children and pets. 7. Scrutinize the nature of any purchases made prior to, and subsequent to, the disappearance.

* The reader may wish to consult the following book which addresses, in its entirety, the locating of people: Richard S. Johnson & Debra Johnson Knox, How to Find Anyone Fast. 3rd edition (April 2001). Military Information Enterprises; ISBN: 1877639850.

24

Fundamentals of Civil and Private Investigation . Did he or she give notice of resignation at work? Also interview coworkers.

. Was he or she recently fired from his or her job? . Was any money withdrawn from checking or savings accounts, or against a credit card before or subsequent to the disappearance? Is there anything unnatural about the time, location, or

amount of money withdrawn? Visit the location and also make an effort to view the security camera tape. The person may not have been alone. Hk. Have any checks been written or credit cards used (including gas cards) since the disappearance? Even if the vehicle was left behind, the person could be traveling with someone and making purchases. Also, recognize that someone may be using his or her gas and/or credit card(s), and checks, without authorization. Hence, determine if signatures are actually those of the cardholder. Credit card use will often disclose locations, course of travel, and corresponding dates and often time of transactions. ee If the vehicle is missing, have there been any traffic citations or

parking tickets written since the disappearance? Authorities may or may not assist in making that determination. ia Have any payments been made on obligations since the disappearance? 14. If the person has a cellular phone, has it been used since the dis-

appearance? If so, scrutinize the numbers. Contacting the provider may be necessary. sy Have any long distance calls been made and charged against the home phone? If so, scrutinize them. 16. Scrutinize any long distance and collect phone calls appearing on phone bills, calls that occurred before or subsequent to the dis-

appearance. A clue may be found. IVA Have any family members, friends, or coworkers heard from the

person since his or her disappearance? Periodic interviews of such people may be necessary. Be very alert for signs of deception when interviewing such people! 18. Has the Post Office received a change of address order? iz Check anything and everything that would justify a change of address notice when moving such as association memberships and publications.

Sources ofInformation, Skip Tracing, and Locating Assets

2

20. Has he or she cancelled his or her phone service and/or subscribed for phone service at a new address? Bk Check employment applications; they may reflect a reference that the concerned parties are unaware of. Interview such people. UP, Check with the current employer, and prior employers, to deter-

mine if a prospective employer seeking a reference has contacted them.

That

should

be done

initially and

periodically

thereafter. Instruct them to notify you if such an inquiry is received. 23. Determine if he or she has been seen at any places he or she frequented in the past such as bars, clubs, lodges, fitness centers, music lessons, church, etc. 24. Check for cancellation, or delinquent payments, of any services such as electricity, water, phones, alarm systems, insurance, cellular phone service, car payments, etc.

Zon If he or she began life in another state, or have talked about wanting to move to another state, records should be checked in that state (or states) as he or she may be there. ZO: Periodically check with credit bureaus and scrutinize any recent activity.

D7. Is there is any person who was known (or suspected) to be significant in the person’s life, legitimately or otherwise, whose whereabouts suddenly is unknown? If there is any reason to sus-

pect they may have disappeared together, consider shifting the focus of the investigation to that person, or at least include him or her in the search. Almost certainly one will be easier to locate than the other, and finding one may result in finding the other.

Also, foul play may have occurred. ay Did anyone new come into his or her life, previously unknown to him or her, prior to the disappearance? He or she needs to be scrutinized and his or her whereabouts ascertained.

293 If the person’s vehicle is also missing, check with the insurance

carrier periodically to determine if any claims have been submitted, and to determine if premiums are being kept current. 30. If the vehicle is also missing, periodically check with the finance company and Department of Motor Vehicles to determine if the vehicle has been sold.

31. Check to determine if any transportation passages have been purchased such as, but not limited to, airline tickets.

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Fundamentals of Civil and Private Investigation

32. If any letters and diaries were left behind, they should be scrutinized for clues. Similarly, if there are any e-mails or computer

chat room communications left (or have arrived), they should be

scrutinized. 33. If the person has a technical or college education, whether having graduated or not, check to see if a request has been made for a copy of his or her transcript. Another educational institution or prospective employer may have required an official copy of their transcript. 34. Did the person curiously divest him or herself of any possessions

shortly before the disappearance? People planning suicide sometimes give away possessions, or possessions could have been sold to obtain money for relocation. 30. Are there one or more former spouses? If so, were they on good terms. Would a former spouse in any way benefit if the person died or disappeared? In other words, would he or she be released

from spousal maintenance and/or child support payments, or was there a life policy on the missing person that named a former spouse as beneficiary? Was there a history of domestic violence involving a former spouse? Were threats ever made during and subsequent to the dissolution of the marriage? Does any former spouse or lover have a criminal history? 36. Does the missing person have a criminal history? 37, Are there any life insurance policies on the person and, if so, who is the beneficiary and what is the amount of coverage? Also, when and why was the policy purchased? Has an attempt been made to collect on the policy? 38. Has the person applied for unemployment? ow), Was the person active in any social, professional, or religious organization? If so, obtain specific and detailed information.

They may be found through such organizations, or found attending related functions. Locating Witnesses

There are occasions when a private investigator is hired to locate witnesses to an accident or other occurrence. Exactly how one should proceed will depend upon circumstances such as whether the event was an automobile accident, a slip and fall in a restaurant, an assault in

Sources ofInformation, Skip Tracing, and Locating Assets

Lh

a bar, etc. In many cases, those who witnessed the event may not be

resistant to disclosing what they observed, but they simply do not know that the information they possess is needed. In other cases, the identi-

ty of a witness may be known, but he or she may have moved and his or her whereabouts unknown. Finally, there are people who have information but will resist disclosing what they saw because they do not wish to become involved, or they may be trying to protect someone. When an event occurred in a business establishment such as a bar or

restaurant, one should interview all employees who were on duty at the time. It is sometimes helpful to also interview employees who were not

on duty at the time because an employee who saw the incident may have told him or her about it, but denied knowledge of it when queried by the investigator. It may also be desirable to determine who was patronizing the business at the time. In the case of a restaurant, there may be a reservation list, and employees may know some of the customers who were there at the time. If the firm had video security cameras operating at the time, examine the tapes. In a bar, especially certain classes of bar, it is very common for the bartenders and cocktail waitresses to know their regular customers. They must be interviewed. In some cases, they may not know the identity of someone who is known to have observed the event, but they may know customers who do. In the case of an automobile accident, one should examine the investigating officer’s accident report, and interview the officer. When interviewing people in the area in which the accident occurred, the site should be visited on the same day of the week and at the time of day that the accident occurred. That is important because people are often at certain places, at certain times, on certain days. One should interview anyone who lives or works in close proximity, and interview anyone else who may have been in the area at the time such as bus drivers, taxi drivers, sanitation workers, utilities workers, mail carriers, etc. Each person interviewed should be asked if he or she is aware of anyone else who may have seen the event.

Locating Elusive and Cryptic Subjects Most people are not difficult to find. However, there are some who

are extremely difficult to locate. Generally, men are easier to locate than women, but that is not always true. And, generally, it is easiest to

28

Fundamentals of Civil and Private Investigation

locate those who have normal ties to, and roots in, established society. Most difficult to locate are those who lack community and professional moorings, and those with common names such as Bob Smith. Difficult also are those who represent a moving target by never settling in one place long enough to be found. in There are times when attempting to locate an elusive subject, it is

easier to locate their significant other; locating one usually results in finding the other. When attempting to locate someone, if difficulties are being experienced, one may attempt locating him or her through the parents. Women, more than men, tend to stay in contact with their parents and, more specifically their mother. That is especially true if the woman has learned that she can turn to her parents for money and other assistance when needed. There is an old saying that contains truth, and investigators should remember it: A son is a son till he takes

him a wife; a daughter’s a daughter all the days ofher life. Whether the parent’s will be contacted using a pretext will depend upon circumstances, but usually a pretext will be used such as claiming that she must be located because there is money owed to her. When attempting to locate someone who is avoiding being found, and the paper trail normally leading to an elusive subject has failed to disclose their whereabouts, and efforts to locate the person by shifting the focus of the investigation to someone who may lead the investigator to the person have failed, carefully consider special events that the person may attend. Depending on his or her occupation or profession, he or she may attend major conventions. When there has been a death in the family he or she is likely to attend the funeral. Similarly, he or she is likely to attend family weddings. Depending upon his or her religion, and religious devoutness, he or she may attend baptisms/christenings, regularly go to confession, or regularly attend worship services. When attempting to locate someone who is cryptic and elusive, cost will be a consideration. In some cases, it is desired to determine a per-

son’s whereabouts, but only if it can be done at a modest cost. In other situations, the person must be located regardless of cost. The author recalls attempting to locate a woman so as to serve her with a summons, but was unsuccessful because she was both cryptic and fast moving. She was a nude dancer who operated under various names with one of her several Social Security names and numbers having originally been issued to a deceased person in another state. In a period of three years, she changed residence 16 times, which averages a residence change every nine weeks.

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29

When one frequently, or even periodically, changes his or her name,

the paper trail by which people are often located becomes murky. In reality, one never knows for sure whom they are looking for. And,

when such a person changes residence frequently, if one does determine who and where he or she is, the person may well be gone before contact can be made. In the case just described, the effort to locate the lady was discontinued because the amount of money she owed was not substantial, and if she were served and a default judgment received, collecting would

have been highly unlikely. Fugitive and vagrant-type people can be very difficult to locate because they do not have normal ties to established society, and also because they are not availing themselves to the various services to which the actual homeless person often avails him or herself.

Locating Income and Assets

When a plaintiff (judgment creditor) prevails in a civil lawsuit and the defendant (judgment debtor) is ordered by the court to pay a specified amount to the plaintiff, collecting can be a problem if the debtor

refuses to pay. When that occurs it is necessary for the plaintiff to collect by some other means such as garnishment. Collecting by garnishment involves attaching the debtor’s wages (earnings), or assets (non-earnings). In that endeavor, it will be necessary to determine income and/or assets. There have been cases where a favorable judgment was realized only to discover after-the-fact that the debtor was incapable of paying and, consequently, collection was never realized. That is why it is often

advisable to determine ability to pay before incurring the costs associated with litigation. The amount of money one intends to sue for is also a factor. If the defendant owes a relatively small amount of money, the cost of collection can exceed the amount owed. However, if the

amount of money owed is substantial and being able to collect is likely, then the costs associated with collection can be justified.

Most commonly, an insurance company or law firm will hire the investigator to do an asset search, but other types of businesses and private individuals will also hire an investigator for that purpose. The more information the client can provide relative to the debtor, the eas-

Fundamentals of Civil and Private Investigation

30

ier it will be for the investigator. In some cases, the client will have a

great deal of information, while in others he or she will have little or nothing. But, even if the client does have substantial information, the investigator should verify it because the information may be inaccurate or otherwise dated. For example, just because a person recently owned several properties does not mean that some or all of the properties have not since been sold or transferred into someone else’s name. Also, the

defendant may not be the sole owner, and it will be necessary to determine the degree to which properties are encumbered.

When searching for assets, one systematically checks those records that reflect ownership. Typical Americans have an income whether working as an employee or being self-employed, they own a home, they may own a business, they usually own one or more vehicles, they may own watercraft and/or aircraft, they may own a travel trailer or motor home, they may own income property, they may own a cabin or summer home in the mountains or on a lake, they may own various

non-property investments, etc. When searching for assets, one will, as stated, check any and all records pertaining to property ownership, real and chattel. Sources one should check include, but are not limited to,

the following: 1. Property ownership records. Check with the County Tax Assessor’s office in every county where it is believed or suspected the person may own property. One can often contact a title company, their property research department, and obtain information over the phone for limited inquiries. 2. Vehicle ownership. Check with the Department of Motor Vehicles. 3. Watercraft ownership. Check state registration records. 4. Aircraft ownership. Check with the FAA for aircraft registration and a pilot’s license. 5. Business ownership. Check for a business license. When checking for business licenses remember that some types of businesses are required to be licensed by more than one licensing agency. 6. County Recorder’s office, grantee/grantor index should be checked for partnership agreements and certificates, and fictitious business names. Examine any deeds by which the person acquires or transfers real property.

Sources ofInformation, Skip Tracing, and Locating Assets

31

Uniform Commercial Code financing statement. Filed with the Secretary of State and/or the County Recorder.

. Tax Liens. If pertaining to a commercial activity they can list individuals and business entities as co-debtors.

. Secretary of State. Handles limited partnership filings. . Corporation Commission. Regulates corporations and limited liability companies. Corporations must file an annual report that identifies officers, directors, shareholders, and statutory agent. jh. ‘Trade and professional licensing agencies. There are many licens-

ing agencies with which the investigator should be familiar. Once knowing the subject’s occupation or profession, check to determine if a license is required and, if so, an effort should be made

to determine what information the agency has that can be accessed. 12% Civil court records. Divorce court records can provide a great

deal of financial and asset information. The final decree will generally reflect property settlement. Post decree activity should also be examined for financial information. Examination of civil court records should not be limited only to domestic cases. Check records in both the superior and justice courts. 13. Criminal court records. A criminal court’s worksheet for bonding and public defender eligibility can provide useful information, as can the various motions and responses, pleadings, exhibits, subpoenas, subpoenas duces tecum, affidavits of service, and any

deposition testimony that may be contained therein. 14. Locating personal bank accounts can be difficult and it is now a felony to contact a bank making an inquiry using a pretext.

Determining where a person banks will often require creativeness on the part of the investigator. One investigator, to make that determination, has a female investigator pretend to have car trouble in front of the subject’s home and request help or request to use his or her telephone. Then, to show her appreciation, she

leaves a check with a “thank you” note. He later checks to see into what bank the check was deposited. Many employees have their pay direct deposited into their checking account. If that is the case, the debtor’s employer may be willing to disclose where he or she banks and, if lucky, he or she will also provide additional information such as an account number. However, it is not

likely that the employer will provide that information. Also con-

Fundamentals of Civil and Private Investigation

32

sider a trash run; examine the trash for discarded envelopes and possibly bank statements. 15. Insurance applications and policies often reflect ownership of real property. And, often they also reflect chattel that may not be reflected in other records.

IDENTIFICATION

OF BUSINESS

HOLDINGS

By TiN CECIL

One of the most important components of any comprehensive asset or background investigation is the identification of a subject’s business holdings, i.e., sole proprietorships, partnerships, and corporations. Apart from their value as targets for garnishment and attachment, such

entities are prime conduits for hiding or diverting assets, which can be accomplished through fraudulent conveyances or by “parking” a person’s holdings, such as a residence in the name of a partnership or corporation.

The complexity of the business structures employed by many investigation targets, plus the evolution of increasingly exotic entities like limited liability partnerships, makes the financial investigator’s job

challenging. The good news is that some level of government-—city, county, state, or federal—regulates the formation and/or activities of

most business entities. The bad news is that the accessibility of the information and the extent of disclosure can vary widely from one jurisdiction to another. The sources discussed in this dissertation are available in Maricopa County, Arizona, which includes Phoenix, but the procedures described should prove applicable in many other jurisdictions. To find the simplest form of business organization, the sole propri-

etorship, start by searching the county recorder’s grantee/grantor index for fictitious business name certificates filed in the subject’s name. The grantee/grantor index also identifies general partnerships and joint ventures, in the form of partnership agreements and certificates, both

of which are indexed under the partner’s names. City business license

Sources ofInformation, Skip Tracing, and Locating Assets

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records, frequently accessible by principals’ names, can also identify the subject’s proprietorships, as well as partnership and corporate interests.

In addition to fictitious business name and partnership certificates,

the County Recorder contains several other instruments that may identify business ownership. Look for deeds by which your subject acquires or transfers real property, noting any partnerships or corporations that appear as the grantee or grantor. Make a list or a flow chart of these entities and use the appropriate records to establish the subject’s interest, if any, in them and to graphically present their interrelationships. A partnership or corporation may also appear with the subject as an additional debtor or secured party on a Uniform Commercial Code financing statement filed with the county recorder and/or Secretary of State. Moreover, financing statements may list a subject’s corporate

stock and/or limited partnership units as collateral and are thus good sources for identification of out-of-state business affiliations. Business entities may be listed as co-debtors or creditors with the subject on a judgment. Be sure to read the full text of the judgment because businesses may be mentioned in the context of specific performance ordered by the court. Tax liens also can list individual and business entities as co-debtors if the delinquent tax pertains to commercial activities, usually sales, or to pay roll issues like withholding or unemployment insurance. Federal tax liens filed against an individual pursuant to Internal Revenue Code #6672 may also suggest business interests. Use your city directory or other address cross-reference source to identify businesses occupying any addresses shown on tax liens or financing statements filed in your subject’s name. You can then determine if he or she has any connection with these entities. In Arizona, the Arizona Corporation Commission regulates corporations and limited liability companies, while the Secretary of State handles limited partnership filings. The Corporation Commission has a flexible online database, State of Arizona Public Access System (STARPAS), which includes limited partnership and trade name listings. Neither the Corporation Commission nor the Secretary of State currently offers a search by officer, director, or partner name. One can, however, look up corporate and partnership names in the STARPAS

with a single word search, regardless of where the word in question appears in the name. Try searches using your subject’s surname, initials, and nicknames, perhaps even his name spelled backward. You

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Fundamentals of Civil and Private Investigation

can also search the STARPAS for corporations (but not limited partnerships) by statutory (registered) agent names, a useful tool since people often serve as statutory agent for their own closely held corporations. If you have already identified a corporation in which the subject has an interest, search for other companies with the same statu: tory agent, matching these entities’ addresses with your subject's known addresses. Of course, officer/director searches are possible in some states, including Nevada and Utah. In addition, these types of

searches are also available for many states through privately maintained information databases. Most states require corporations to file annual reports disclosing officer and/or directors. In Arizona, these reports must include the names

of any shareholders owning 20 percent or more of the company’s issued shares of stock, which often discloses a parent corporation or partnership. At the present time, the annual reports filed by virtually all Arizona corporations must include an unaudited balance sheet. The created balance sheets sometimes list partnerships and subsidiary corporations as assets.

The private investigator must familiarize him or herself with the practices of the various trade and professional licensing agencies in their jurisdiction. Almost every occupation known to man seems to be regulated by a government agency at some level and many of these agencies’ files are public records open for inspection. Files pertaining to building contractors, real estate agents and brokers, and insurance agents are generally available with few restrictions, although agencies regulating professions such as accountants, architects, dentists, medical

doctors, and attorneys often limit the amount of disclosure. Regardless of the restrictions, the agency will almost always identify the licensee’s current affiliation or place of employment, and one can then establish his or her ownership interest in that entity. In addition, certain businesses, such as liquor retailers and wholesalers, auction houses, and

pawnshops are often regulated by more than one agency, and these establishments are subject to fairly stringent ownership reporting

requirements.

Court records frequently contain business affiliation information that simply does not appear in any other source. The most convenient identifiers of these affiliations are civil lawsuits in which the complaint names the subject and his partnerships or corporations as parties, but other documents in the court’s files can also identify businesses. Care-

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fully review the text of the complaint, as well as various motions and responses. Pay particular attention to exhibits, which may reveal additional business information not shown in the pleadings themselves. In addition, the affidavit of service may show that the subject was served

with the summons and complaint (or other process) at a place of business: use your cross-reference source to identify businesses at the address reflected on the affidavit. The court’s file may also contain deposition testimony disclosing business activities. Subpoenas duces tecum may also describe corporate documents to be produced during a deposition. While the skyrocketing divorce rate represents one of the country’s most destructive social problems, court files of these proceedings are like manna from heaven to the investigator. The petition for dissolution typically identifies both parties’ occupation, if not actual place of employment or business. In addition, the petition often spells out the petitioner’s initial request for division of property, which may include partnerships and corporate interests. If children are involved, interim

filings between the original petition and the final decree contain very explicit descriptions of the parties’ income and expenses. Again, pay particular attention to any exhibits filed with these pleadings. The final decree dissolving a marriage—which may incorporate a separately executed property settlement agreement-—is often the single most comprehensive document of a subject’s holdings. Some decrees contain extraordinarily specific directions for the division of the parties’ assets and debts, while others may divide their property only in general terms. Even the most general descriptions can provide important suggestions for further research. Post-decree activity, particularly child support enforcement actions, can also yield financial data.

Criminal cases, while inherently valuable as sources for background material, may also provide information pertaining to a subject’s business activities. The most useful documents in a criminal case are the initial worksheet to establish a defendant’s bond and eligibility for a public defender and the probation department’s pre-sentence investigation report. The pre-sentence report may include as exhibits letters of reference from a defendant’s business associates. Don’t neglect to review criminal cases involving the subject’s family members. Driving records can also disclose business interests. The driving record may reflect a citation showing the license plate number of a vehicle registered to the subject’s business. The citation itself may also disclose the subject’s business name and/or address.

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Fundamentals of Civil and Private Investigation

The objective of this dissertation was to provide a broad and necessarily brief overview of public records that can lead to the identification of an investigation target’s business holdings and activities. One may have a client’s authorization for other useful investigative procedures such as surveillance and trash runs; however, from a financial investigation point-of-view, these methods are as important for the development of further investigative research leads as they are for their intrinsic value as separate investigation tools. Likewise, financial statements, tax returns, and other records obtained through the litigation discovery processes are most useful as guides for further research.

Chapter 3 PRETEXT INQUIRIES INTRODUCTION ile are times when someone has information that the investigator needs, but the desired disclosure will not be made if it is known

who wants the information and why. The information may be something the person knows, or information contained in a private file to which the person has access. Similarly, there are times when a private

investigator needs permission to enter a residence or place of business to make observations, but access will be denied if it is known why entry

is desired. In such instances the investigator will attempt to acquire the desired information, or gain entry to a property, by using a pretext. A pretext can be defined as a subterfuge, ruse, trick, or deception.

When employing a pretext one offers a false reason for soliciting information, or a false reason for requesting permission to enter a premises.

The nature of the pretext will be calculated to induce the desired disclosure, or obtain permission to enter the property. When using a pretext, the investigator approaches the person in a direct manner, but the real reason underlying the request is not disclosed. Alternatively, a false but believable reason will be offered that may be supported by fictitious credentials. Descriptive terms for a pretext include pretext interview, pretext investigation, undercover interview, and Sub Rosa. Sub

Rosa is a term most commonly used by the insurance industry. A male investigator must execute some pretexts while a female must execute others, depending on the nature of the pretext. But, generally,

female investigators enjoy an advantage because they are disarming; people tend to not suspect or fear them. A woman who is home alone will usually open her door for a female caller, but may not open her 37

Fundamentals of Civil and Private Investigation

38

door to an unknown male. And, a man will almost always open the door for a female caller. In many cases, the subject of a pretext interview is more likely to make disclosures to a female. One detective agency, when it was necessary to interview a subject’s neighbors, always sent an attractive female.

PRETEXT HAZARDS

When doing a pretext interview, one offers a fictitious name, and often claims to be employed by a non-existent firm, and fictitious credentials may support the pretext. But, one must not claim to be associ-

ated with a government agency, or claim to be employed by an existing business. Neither can the name of the pretext employer so closely approximate that of an existing business that an association could incorrectly be assumed. Because a pretext is a deception, the effort involves risk. The following list of pretext hazards, although not exhaustive, is sufficient to pro-

vide ideas.

1. Avoid the subject who is likely to suspect that a pretext is being attempted. 2. Avoid those who are represented by legal counsel, as interview-

ing such a subject could result in a civil lawsuit for invasion of privacy. 3), The simpler the pretext, the greater the likelihood of success. Use a complex pretext only when circumstances require. 4. To avoid confusion, establish a pretext name to be used for all

pretext efforts. A pretext should never be done using one’s real name. 5. Anticipate questions that may be encountered, and consider an appropriate response.

6. If the pretext effort begins failing, withdraw quickly as there is usually little likelihood of recovery. 7. When concluding a pretext interview, whether successful or not, be alert for evidence of being followed when leaving. If being followed, break the surveillance before returning to the vehicle,

which should be parked some distance away. When returning to the vehicle after having been followed, consider a disguise such

Pretext Inquiries

39

as a change of shirt or jacket, adding or removing a cap, and adding or removing glasses. 8. Be sure to use the pretext name if something must be signed; it is easy to unthinkingly sign one’s real name. Pause and think before signing! 9. To make a pretext survey believable, it is sometimes necessary to also interview neighbors up and down the street.

TRAP LINE-PRETEXT TELEPHONE LINE

A Trap Line, also referred to as a Pretext Telephone Line, is an unpublished phone number in a name other than that of the investigator or his or her business. That phone number is used only for pretext purposes. When it is necessary to provide a phone number during a pretext interview, whether it is being done in person or by phone, the pretext number is provided. Also, that number will appear on pretext business letterheads, business cards, and identification cards.

Generally it is necessary to provide a phone number during execution of a pretext when the person wants to call the alleged employer to verify the investigator’s authenticity, or when information will be provided, but the subject does not have it at the moment, and will call

with it later. Incoming calls on the trap line should be answered by stating the last four digits of the telephone number. If the caller asks whom they have reached, they should be asked whom they were calling. Usually they will state the investigator’s pretext name, or the name of the pretext

firm. Anyone answering the pretext line should pause a moment before answering to guard against instinctively answering by the name of the investigative agency, rather than answering by the last four digits of the phone number. Pausing is important because people are creatures of habit and it is easy to unthinkingly answer the way normal incoming calls are answered. If any of the following occurs, the pretext phone number has been compromised and a new number must be obtained: 1. Someone calls the pretext number and asks for an investigator by their real name.

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Fundamentals of Civil and Private Investigation

2. Someone calls the pretext number and asks if they have reached the detective agency, i.e., is this XYZ Detective Agency?

3. Someone calls the non-pretext business number and asks for the investigator by his or her pretext name. 4. Someone calls the non-pretext business number and asks about

the pretext company.

PRETEXT APPLICATIONS

There is almost no limit to the type of pretexts that have been conceived by private investigators to acquire information, or to gain entrance to a home or business. In fact, there is a large detective agency that has a manual providing examples of pretexts that can be applied to a variety of frequently encountered situations. When considering the use of a pretext, determine if it must be done

in person, or if it can be accomplished by telephone or mail. The requirements of the investigation will usually suggest the most appropriate method. If considering presenting the pretext in the form of a letter on a fictitious business letterhead, by mail, the time-sensitivity of the

case must be taken into consideration. But, although a pretext by mail takes time, it is often effective and it tends to be comparatively inex-

pensive. For example, when attempting to locate a young adult male who had relocated to another state without a change of address order having been filed with the post office, a pretext letter was sent to his mother in another state claiming that money was owed to her son, and his new address was needed so that a check could be sent to him. She promptly provided his new address by return mail. The greatest cost incurred in learning that individual’s new address was having a pretext business letterhead printed professionally to maximize believability and the potential for success. And, of course, there was the time neces-

sary to have the letterhead printed. As pretext letterheads are printed

according to the needs of specific cases, as the above one was, one’s

assortment of letterheads increases. When preparing a pretext business

letterhead, it will feature a post office box address, and the trap line

telephone number. The following examples are provided to illustrate how a pretext is commonly executed, and to stimulate the imagination.

Pretext Inquiries

4]

Inspection of Premises A basic knowledge of electrical installation is necessary. Dress in work clothes and carry a flashlight, identification card (fictitious), and a clipboard with a preprinted electrical inspection form. Consider wearing a clip-on employee identification tag with photo; they are common today and will enhance believability. Attempt to do the inspection when someone other than the subject is home. State that you represent a firm that does fire insurance underwriting inspections on a subcontract basis, and that you have an inspection request for a thorough inspection of the electrical wiring before policy renewal or rerating. Once permission to enter is granted, a thorough search of all areas should be made, including the basement, garage, and possibly

the attic. While conducting the search, examine the circuit breaker box, electrical outlets, and switches to appear to be doing an electrical inspection.

Patent Infringements One may attempt to obtain permission to study the manufacturing process by alleging to be a free-lance journalist with supporting identification (fictitious) and state that an article is being written on the subject’s industry. In preparation for posing as a freelance journalist, one can read a textbook on the subject to become familiar with proper terminology so as to play the part convincingly. To execute this pretext one should have a general knowledge of photography and an appropriate camera. Carry a notebook and make entries.

Inspection of a Warehouse or Manufacturing Plant Many warehouses and manufacturing plants have overhead doors that are open during the day. Enter carrying a dog or cat leash and express agitation over the pet having slipped out of the collar, and explain that it may have run into the area of interest. Access will usually be granted and one has a believable excuse to make a complete tour of that portion of the premises. While this pretext will not justify taking photographs, one can wear a concealed MiniDV recorder with

a lens disguised to look like a shirt button.

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Fundamentals of Civil and Private Investigation

Determining Subject’s Whereabouts at a Specific Time To establish the whereabouts of a person at a specific time and date,

the following may be employed. The investigator obtains the license number of the subject’s vehicle, and then approaches the subject stating that a vehicle with his or her license number was observed to be in the vicinity of a personal injury traffic accident on the date and time in question, and it is believed they may have witnessed the accident, and that a statement is needed, and possibly they will later be served with a subpoena to testify in court as to what they witnessed. The subject, of course, will deny having seen the accident. One can then explain that

obviously someone recorded a license plate number incorrectly, and ask the person to briefly state in writing that they did not see the accident, and state where they were at the time so that they can be elimi-

nated as a possible witness, and to preclude any possibility of being unnecessarily served with a subpoena to testify. In the section titled Interview and Interrogation Stratagem, it is suggested that words such as “witness” be avoided as they can trigger an unwanted avoidance response. In this case, words are chosen with the

intention of triggering an avoidance response in hopes that it will increase the likelihood that the person will disclose where they were to eliminate the potential of being served with a subpoena requiring a court appearance. Hence, in some cases certain words are avoided

because they may trigger an avoidance response, while in other cases certain words are selected with the intention of triggering an avoidance response. In the example provided above, the person is subjected to a barrage of nine highly charged words and phrases (those that are italicized) in the following order: personal injury traffic accident, witness, accident, statement, served, subpoena, testify, court, witness.

Then, when asked to disclose in writing where they were, a benefit is offered, that of precluding any possibility of being unnecessarily served with a subpoena to testify. Again, charged words are being used along with a quick and easy way to dispose of the situation. The psychology underling this stratagem is simple. The person is presented with an undesirable situation, and then provided a quick and easy

means of extrication.

Pretext Inquiries

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Establishing Occupation and Place of Employment Call a known friend or family member and state that you are with

First USA Credit Service (make up any name) and that the subject’s credit is being updated and you would like to verify how long he or she has been on their current job, whom he or she are currently employed by, and his or her income. The person may state that he or she doesn’t

know what the subject’s income is, whereupon one can verify place and duration of employment stating that the employer will be contacted for income information.

Locating a Personal Bank Account It is a felony to contact a bank using a pretext. Hence, some other way must be employed to determine where a person banks. One investigator, to make that determination, as previously mentioned, has a

female investigator pretend to have car trouble in front of the subject’s home and request help, or request to use his or her telephone. Then, to

show her appreciation, she leaves a check with a “thank you” note. He later checks to see into what bank the check was deposited. Another possibility is to contact the person posing as a representative of an independent market research firm and ask a number of questions, working from a form on a clipboard. When the person is asked where he or she banks, that is just one of numerous pertinent but

benign questions. A great deal of thought should go into the survey form. One can also apply this pretext survey claiming to be a college student doing a research paper for a marketing or sociology class. A trash run will sometimes disclose where a person banks as the statement envelope (if not the statement itself) may be disposed of. Locating Missing Persons

When it has been determined what kind of work the person did and for whom, dress appropriately and approach neighbors stating that you worked with the subject and that he or she moved without retrieving some personal property that was in your possession. State that you desire to return the property. Stating that you will soon be moving creates a sense of urgency.

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Fundamentals of Civil and Private Investigation

Another pretext that often produces results is to write to a known friend or family member using a pretext business letterhead and state that a small amount of money is owed the subject and that a forward-

ing address is needed for that purpose.

Obtaining a Handwriting Sample and Signature Refer to the previously discussed pretext titled “Whereabouts at a Specific Time” as that pretext, if successful, will result in a handwriting

sample and signature.

Calling Subject Using a Pretext The following is reprinted from a facsimile the author received from Tom Watson, Maverick Investigations, Phoenix, Arizona, regarding the

calling of a subject using a pretext. A little trick we often use when speaking with people on the pretext line is to put

them on HOLD. You are actually just depressing the MUTE button on the phone and then listening. That works great if you plant an idea in their head or ask a question and then tell them to hold before they can answer. Frequently they will discuss the question with who ever is nearby. I have heard things such as “He wants to know if you live here?” Or, “They are looking for the car . . . is

it still at your mothers?” This simple ploy often proves fruitful.

Chapter 4 INTERVIEWS, INTERROGATIONS, AND STATEMENTS INTRODUCTION

| eee and interrogations are question and answer sessions, but they are very focused and preceded by careful planning as to scope and purpose. Interviews and interrogations are not attempted until it has been determined who is to be queried, the order in which people will be queried, exactly what is hoped will be learned, and the order in

which questions will be asked of each person. People are generally interrogated when they are suspected of having committed a wrongdoing, while people are interviewed because they may have desired information. The person interviewed is often a complainant, victim, or witnesses.

Those who are skilled as an interviewer and interrogator understand human nature, and they are alert for evidence of truthfulness and deception. And, they are skilled in the art of inducing a reluctant person to disclose information. Interviews and interrogations attempt to find answers to the questions who, what, when, where, why, and how. An

interrogation is often climaxed by a confession and signed statement. The skilled interviewer and interrogator are vigilant for signs of innocence, guilt, deception, and truth. They are alert for body language and

verbal clues that can provide meaning, but they are also aware that cultural factors must be considered, i.e., the members of some cultures make a lot of eye contact while the members of other cultures, do not.

Hence, avoiding eye contact may or may not suggest guilt. The better the investigator understands various cultures, the better prepared they

will be to properly interpret body language and verbal clues. 45

Fundamentals of Civil and Private Investigation

46 Because

there are an estimated

88 different cultures

and lan-

guages/dialects in the United States, the investigator cannot be familiar with the norms and characteristics of each. However, in most cities

there is a prevalence of certain cultures, and it is those cultures with which the investigator should be familiar.

PREPARATION

When preparing for an interview or interrogation, review all aspects of the case with careful attention to what is already known, what the subject may know, and what needs to be learned. Also consider the temperament and status of the person. Is he or she a witness, victim, complainant, suspect or a known perpetrator, a first time or repeat offender, and what is the nature of the offense? Such factors influence

the tactics that will be employed such as structured or casual, aggressive or compassionate, whether to ask open- or closed-ended questions, or whether to begin with general questions and then evolve into specific issue related questions. Regardless, it is usually desirable to begin by establishing some level of rapport with the person. During preparation consider the order in which people should be contacted and question first those who likely know the most and are likely to be cooperative and truthful. Also, for each, determine what will be asked and the order in which questions will be asked. Some questions make it more difficult to successfully lie in response to subsequent questions. Also determine where questioning will be done. If planning is neglected the result will be a disorganized question and answer session with many important questions being neglected. When interviewing witnesses don’t neglect the visually impaired. Although they did not visually observe an event, they may still have valuable information. Sighted people watch an event while the visually impaired listen to it, and they tend to be attuned to smell. Hence, they can often provide information that sighted people were not alert to.

INTERVIEW AND INTERROGATION

STRATAGEM

When interrogating someone, sit reasonably close to him or her and avoid barriers such as a desk, and give the impression of confidently being in control. Also, imply that a great deal is already known by hav-

Interviews, Interrogations, and Statements

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ing a multi-page file in hand, even if it’s not the actual case file. When the subject speaks, do not register surprise, and don’t interrupt. Also, speak in terms the subject understands, i.e., one should not speak to an

uneducated person the way an educated person is spoken to. During the session, ask questions to which the truth is both known and not known. That helps to gauge the extent to which the person is being truthful, and it helps to avoid revealing how much is or is not already known. If the subject lies, it is sometimes helpful to let him or

her “weave a web” before confronting him or her on the issue. An interrogation technique that often works well goes by such terms as “Good cop, bad cop” and “Mutt and Jeff.” That technique requires

two interrogators, one who is obnoxious and one who is friendly. It is hoped that when the obnoxious interrogator leaves the room the subject will emotionally gravitate to the kind interrogator and cooperate in a way that they otherwise would not. When questioning co-suspects, it sometimes works to play one against the other by insinuating that one is talking and placing the blame on the other. If loyalty can be broken, each may begin making disclosures in an effort to minimize the damage the other is believed to be causing, and to get revenge. If a confession is desired, it sometimes helps to minimize the serious-

ness of the offense, or imply that the blame better lies elsewhere. Often, young people are vulnerable if an appeal is made to their dignity and pride. But, when attempting to obtain a confession or signed statement,

never promise leniency or immunity, although one may assure the person that the judge will be made aware of their cooperation. Certain words should be avoided because they can trigger an avoidance response. For example, the word “witness” can suggest getting involved and having to testify in court. It is better to ask someone if they “saw” what happened. Also, asking someone to sign a “confession” or a “statement” may suggest he or she is signing his or her life away. It would be better to avoid those words and simply request that he or she write down in his or her own words his or her version of the event, his or her side of the story.

SYMPTOMS

SUGGESTING INNOCENCE AND GUILT

Every investigator should be perceptive to symptoms of innocence and guilt. Generally, when someone is innocent, there are indications

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Fundamentals of Civil and Private Investigation

of it, just as there are indications that suggest someone is guilty. Both

the innocent and guilty will proclaim their innocence, but those who

are innocent will proclaim their innocence in a way that differs from the guilty. And, if a statement is made suggesting guilt, the innocent person will resist moving to another topic until the issue has been resolved. As would be expected, the innocent person tells the truth and therefore tends to be consistent in what he or she says, while the guilty person resorts to lies and therefore contradictions become apparent. There are many signs of guilt and the psychological barriers that accompany guilt related anxiety, and one must be alert for them. Symptoms include such things as crossing the legs, folding the arms, adjusting clothing, and grooming themselves. Signs of guilt induced stress include swinging one’s leg, sweating, dryness of the mouth, fidgeting, looking down or away, and hesitation. However, cultural factors

can cause one to misread the cues. When a person lies, he or she commonly uses expressions such as, “I swear on my mother’s grave,” or, “I swear on a stack of Bibles,” or, “I

swear to God I’m telling you the truth,” or, “I haven’t the foggiest idea who did it,” or, “You’ve got to believe me,” or, “I wouldn’t lie to you.”

Or, a statement will be prefaced with, “To tell you the truth,” or he or she will repeat a question rather than simply answering it. Repeating a question buys time to think of an answer. Or, when asked a question, he or she will preface their answer with “maybe.” For example,

“Maybe I was at. . .” In most cultures, a certain amount of eye contact is normal, but the

subject who is lying will tend to avoid eye contact. But, realize that people in some cultures don’t make a lot of eye contact, especially in certain circumstances; don’t confuse their avoiding eye contact with

psycho-social behavior resulting from the guilt-based fear of being found out. However, a subject who maintains normal eye contact, but

looks down or away when a question is asked, is suggesting that the question may have caused discomfort. He or she may be guilty, or may be displaying a manifestation of past child abuse. Similarly, the person

who tenses up when a question is asked is indicating that the question caused discomfort. Caution: People suffering an antisocial personality disorder will look you in the eye while blatantly lying, and they can be very convincing! They are the classic passive-aggressive individuals. Language barriers are often a problem. And, there are cases where a bilingual subject wili claim a language barrier to avoid being ques-

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tioned. When selecting an interpreter, be sure, he or she fluent in both languages, speaks the correct dialect, and understands both cultures very well.

SYMPTOMS

OF OVERCOMING

RESISTANCE

When a subject’s resistance has been overcome, there are symptoms. Common symptoms include:

1. Subject suddenly becomes cautious and deliberate in his or her answers. 2. Subject expresses concern about what is going to happen to him or her. . Subject becomes quiet and withdrawn. . Subject displays signs of being emotionally on edge. . Subject suddenly becomes less tense. . Subject begins to slump. Subject begins staring down or to the side. WH Ore CONID . Subject begins crying.

THE EYEWITNESS

Although eyewitness testimony can be helpful, it is important to understand that such information is often inaccurate. Hence, it is

important to compare the information provided by witnesses against what is already known, and consider any motive the person may have to offer invalid information.

There are several reasons why people provide inaccurate information. First, they may be trying to protect someone. Second, people perceive things according to their frame of reference and, therefore, no

one perceives and interprets things exactly the same way. Third, some people are more observant than others. Fourth, their information may be secondhand, or in other words, “hearsay.” When that occurs, every

effort must be made to interview the person from whom they obtained their information. When an eyewitness states that he or she saw someone at a certain

time and place, try to verify that through another source. The witness

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Fundamentals of Civil and Private Investigation

could be mistaken. This writer once overheard a young man, in his

mid-twenties, tell his mother that he had seen her and a friend (an

acquaintance of the son) riding on a motorcycle through a certain inter-

section at a certain time on a certain day. He was mistaken; the moth-

er and her friend were with the author at that time. The point is, that man saw two people on a motorcycle and incorrectly believed one to be an acquaintance of his, and the other his mother.

PSYCHOLOGICAL

ABBERATIONS

The investigator will periodically encounter people suffering various forms of mental illness, but an understanding of classical symptoms will reduce the likelihood of being misled or confused by them. For example, those who suffer an antisocial personality disorder lack social conscience, but they put up a good front to impress and exploit others; they tend to be persuasive, manipulative, and they are highly convincing liars. Those suffering a paranoid personality disorder tend to be delusional and reconstruct facts to fit their own perceptions. They tend to be jealous, suspicious, rigid, and hypersensitive. Because their perceptions are distorted, the information they provide tends to be inaccurate.

Psychotic people are often unable to distinguish between external reality and their distorted view of things and, for that reason they often believe what they say even though the information is distorted. The investigator who fails to recognize that a person is psychotic runs the risk of being misled or confused by him or her. When believable but conflicting information is being received from two different people, it should be considered that one of them might be

suffering a psychiatric disorder. Also realize that two or more psychiatric disorders may be functioning simultaneously with each manifesting itself to varying degrees. Another circumstance that can create confusion is the fact that people suffering a delusional psychiatric disorder tend to function normally. Hence, they will seem so normal that one will perceive them as such. Then, when the area of their delusions is encroached upon, there

is a tendency to not suspect they are not functioning normally, and

providing inaccurate information. At that point, unless something alerts

the investigator to the fact the person is ill, reliance may be made on inaccurate information.

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ROPING: AN INTERVIEW TECHNIQUE

Roping is an interview technique whereby the investigator does not ask direct questions but, rather, subtly steers the topic of conversation

to an area of interest without the subject realizing it is being done. The investigator accomplishes that by making indirect comments and asking indirect questions. Roping usually involves a pretext. And, while a traditional interview lasts a few minutes to an hour or two, roping is generally a long-term endeavor that can occur over a period of several months. For example, a private investigator doing an industrial undercover investigation will use the roping interview technique exclusively and extensively during the entire course of the investigation. When roping, to avoid arousing suspicion, one must not appear to be excessively interested in the topic, but regard it with the same degree of interest or disinterest that has been demonstrated with other topics. When roping, in an effort to induce a subject to discuss an incident being investigated, one may relate an experience similar to the situation of interest, but must not reveal knowledge of the situation being investigated. When roping, to avoid arousing suspicion, and to realize success, context and timing are important. In some cases, such as an industrial undercover investigation, one has the advantage of time. If one attempt fails, make subsequent attempts until success is realized. If one applies

roping techniques correctly, so that suspicion is not aroused, the door will be left open for future attempts. In many cases that which is learned from a roping effort requires further investigation. Whether the investigator doing the roping will do the follow-up, or whether that will be done by another investigator will depend on the nature of the case and the information. Finally, in cases where roping efforts fail with a suspect, roping may result in useful information if properly applied to someone who has a rapport with the suspect. Caution! Roping is very much a delicate art and when attempted by someone who is unskilled, his or her efforts are painfully obvious. The

unskilled tend to be too direct, and they tend to be in a hurry to develop information and, as a result, they lack the necessary sense of timing

and context. The very nature of roping is such that it takes time . . . patience is essential, both on the part of the investigator and the client.

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Fundamentals of Civil and Private Investigation THE WRITTEN STATEMENT Introduction

Statements will be either question and answer, or narrative. Question and answer is usually preferred, but when a narrative statement is obtained it is best if the subject writes it him or herself. But, there are

cases, such as when the subject is illiterate, that the investigator will write the statement, as dictated by the subject. When that is done, one

should introduce a few errors that the subject can correct and initial as verification that the statement was read to them, and that they understand it. All statements should include information that only the perpetrator would have knowledge of, as that will verify that he or she in fact is the perpetrator and provided the information. It will verify that he or she is not an innocent compulsive confessor. Compulsive confessors will be discussed. Also, question and answer statements must not contain lead-

ing questions wherein the answer is suggested. Leading questions can invalidate a statement. When a statement is later typed, it is important to keep the original draft to verify that mistakes were not made during typing. Also, if a statement is provided to an attorney, or introduced as evidence in

court, it may be required that the original draft accompanies the typed version, that is in keeping with the “dest evidence rule.” When the subject signs the statement, someone else should witness the signing. The person witnessing the signing must also sign the statement. At the end of the statement, there should also be a statement

attesting that the information was provided voluntarily and in the absence of duress, coercion, or any promises having been made. It is best if the subject actually writes that acknowledgment.

Legal Considerations Established legal tests will determine if a written statement will be admissible in court, or suppressed. Statements must be provided voluntarily and in the absence of coercion and duress, and the person providing the statement must have the capacity to do so. A person who is mentally ill, intellectually challenged, or under the influence of drugs

Interviews, Interrogations, and Statements

ie

or alcohol may not have the capacity to understand he or she is giving up certain rights when providing a statement. If it is legal in one’s state to do so, use a tape recorder or video camera to surreptitiously document the session. Such documentation can prevent having the statement later ruled inadmissible. The use of deception during an interrogation, and when obtaining a statement, is legal so long as the nature of the deception is not such that it would induce an innocent person to confess to something he or she did not do. As for duress, an experienced detective once said, “A con-

fession obtained at the point of a gun has no value!” Compulsive Confessors There are people who confess to crimes they did not commit; they are referred to as compulsive confessors. Hence, it is essential to have facts reflected in the statement that only the perpetrator could know, facts

that have not been revealed publicly. That will help to dispute any later allegations that the suspect is innocent and was just repeating what he or she had heard via the news. That is one reason why, when a high profile crime has been committed, there are aspects of the crime that

police do not reveal; they need a means by which to separate the compulsive confessors from the person who actually committed the crime. Conclusion

Interview and interrogation are an important but challenging art, with the degree of skill required being determined by one’s niche in the investigative field. For example, the undercover investigator must be highly skilled at roping, much more so than the general investigator. The police investigator needs to be much more skilled at interrogation than the private investigator who does relatively little interrogating, but does a lot of traditional interviewing, and a lot of pretext interviewing.

Chapter 5 UNDERCOVER INVESTIGATION (INDUSTRIAL AND COMMERCIAL) INTRODUCTION

he annual dollar loss to business, industry, and government because

of dishonest employees cannot be estimated with complete accuracy, but it is known that the loss exceeds that from major crimes such as burglary and robbery, and from thefts such as shoplifting. Historically, measures have been implemented to protect against external theft, theft committed by outside thieves such as burglars and robbers, but there has been a tendency to neglect internal security measures to prevent employee theft. The tendency often has been to ignore the possibility of internal theft until staggering losses were being suffered, and then react in a desperate effort to salvage a business in peril of bankruptcy. Estimates suggest that as many as 20-30 percent of all business bankruptcies are the result of internal theft, and a recent study found that approximately 44 percent of all retail losses in the United States result from internal theft. In this chapter, the internal theft problem is examined, and then

undercover investigation is examined. But, it must be stressed that an undercover investigation intended to combat internal theft will not prevent or eliminate a problem if appropriate procedural controls are not in place. The prevention measures must begin with job applicants in the form of quality screening, to include a pre- and post-employment drug screening program,

and there must be a means

to monitor

employees leaving the premises to prevent their taking product or merchandise with them. And there must be controls for the handling of money and property, and the records pertaining to money and prop54

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55)

erty. Only when appropriate procedural controls are in place and functioning as intended can the money a firm spends on an undercover investigation be justified. Almost always an undercover investigator will effect infiltration of the company workforce by obtaining a job within the client firm, using his or her real identity. However, a fictitious job history will generally

be developed. When developing a fictitious job history, the closer one can remain to the truth the better; it is more likely to withstand scruti-

ny, and an inadvertent verbal slip by the investigator is less likely to alert a subject. One can claim periods of unemployment living off savings, one can claim periods of self-employment, one can have a willing business person claim the investigator was working for him or her during a specified time period, and one can have the former owner of a defunct business claim the investigator was working for him or her during a specified time period. It is difficult to establish a fictitious job history that will withstand close scrutiny such as field interviews and examination of public and private records, but most companies do little more than make a few

confirming inquiries by phone and mail. Also, the job sought for use as a cover is usually a lower-paying, non-skilled position for which prospects are generally not closely scrutinized. If scrutiny will be diligent, the human resource manager may need to assist. Low-paying, non-skilled positions are generally sought because no special skill is required by the investigator to obtain the job; turnover is generally high, making infiltration easier, and a lower level of productivity will often be tolerated, although the job must be done or the investigator may be fired by the supervisor who almost certainly will not know that the “employee” is really an investigator. This concern is important because the investigator will be devoting time and effort to the investigation with the job simply serving as a cover; the job is a pretext to justify being in the area and establishing a rapport with employees.

DYNAMICS

OF INTERNAL THEFT

Internal theft is commonly referred to as employee theft or embezzlement, the taking of money or property that has been entrusted to one’s care or custody, or to which one has access by virtue of his or her

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employee status. The taking of property is the most common form of embezzlement. Since reliable estimates suggest that 20-30 percent of business bankruptcies are the result of internal theft, it is an exposure that management cannot legitimately ignore. When discussing crime losses, there are few security and loss control

professionals who do not agree that businesses generally suffer greater theft losses as a result of internal theft than as a result of external theft. There are several reasons for that. They include but are not limited to: Ik. Employees have the same opportunities to commit a crime as

the outside thief but additional opportunities as well. The employee has access to areas not accessible to non-employees, the hours of accessibility are often greater, and hence most mer-

chandise is frequently and readily accessible to employees. . While the outside thief will commit an offense and then depart,

the employee thief generally commits theft on an ongoing and often escalating basis. Typically, the embezzler works alone.

However, organized internal theft rings do occur and can bankrupt a company very quickly. . Inadequate controls that permit small-scale internal theft represent a laxness that will permit the problem to escalate. Unlike external theft that is usually immediately apparent to management, internal thefts, being thefts of stealth, often go undetected

until astronomical losses have been inflicted. Employee dishonesty losses are particularly dangerous to a firm because it is impossible to make accurate advance estimates of the maximum possible or probable loss. While the motives for internal theft differ, there are four principal causes. They are:

1 Mh, 3. 4,

Compulsive gambling. Chemical dependency (alcohol and/or drugs). The desire to live beyond one’s means. Health problems of the employee, or a family member, as affected by high health care costs.

There are three primary elements that must be present for internal theft to occur. They are: Mi Need or desire. Gambling, substance abuse/addiction, desire to live beyond one’s means, health care costs, etc.

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2. Opportunity. Adequate control of money and/or property, and the records pertaining to them, is vital. 3. Rationalization. The employee thief must live with his or her actions daily and, therefore, must be able to justify having stolen.

They often regard their thefts as borrowing, or feeling undercompensated, they may consider that the employer owes them. A strong policy against “borrowing” has merit. Property that has a high value, low size/weight ratio is particularly vulnerable to employee theft. Consider, for example, that internal theft

involving auto dealerships frequently impacts the parts department. When evaluating the internal theft exposure and determining how to treat it, consider the three conditions that create vulnerability. They are:

1. The employer’s lack of effective control over money and property.

2. The belief by the employer that a long-time and trusted employee could not be an embezzler. Many embezzlers are long-term trusted employees. 3. Among coworkers, dishonest employees tend to be tolerated to the extent that their activities are not detectable by management. Hence, lax controls increase the potential for internal theft, and

reduce the potential that other employees will report the problem. Anti-theft controls must ensure that embezzlement will be revealed by routine checks. The controls must apply to management, supervision, and hourly employees. That is important since experience shows

that, on the average, a dishonest manager will steal 12 times as much as a dishonest hourly wageworker. It was stated that employee theft is particularly dangerous to a firm because of the impossibility of making accurate advance estimates of the maximum possible or probable loss. It was also stated that 20-30 percent of the business bankruptcies are a direct result of employee theft; embezzlement can bankrupt a company very quickly. Consider the following example. Five employees each stealing $50 worth of goods each day amounts to $250 per day, or $1,200 weekly. If those employees work a 50-week

year, that totals $62,500 yearly. Accepting that most firms operate on a

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5-7 percent net profit, and granting that in this case, the firm in question is realizing a 7 percent net profit, the $62,500 in theft losses represents a yearly loss in terms of gross sales equivalent to $892,857 That is approaching a million dollars! Some years ago, the American Trucking Association did a study wherein they investigated the backgrounds of employees caught stealing from association member firms. It was found that about 30 percent of the perpetrators had prior criminal convictions. The need for preemployment screening is obvious; the firms were hiring their problems. Finally, should employees be terminated when caught? Experience demonstrates that if they are permitted to remain on the job, more than

90 percent will resume stealing at the first opportunity.

BILLING RATES FOR UNDERCOVER

INVESTIGATIONS

For general investigation services, the client is charged an hourly rate plus expenses. However, for undercover investigations, the client is usually charged a daily rate plus expenses. The investigator is paid for the cover job that is being done, plus a specified amount daily for the investigation reports. For example, if the undercover investigator

secures a job on the loading dock, with that job serving as the cover, he or she will be paid what that position pays. Additionally, he or she will receive a daily wage for the investigative reports. Because the investigator is on the client’s payroll as an employee, and receiving a daily wage for his or her reports, the sum of the two pay sources results in an equitable income. With that being the case, the investigative agency can charge the client an amount much less than would be required for general investigation and still realize an equitable profit. Were the normal hourly billing rate applied, clients

would be unwilling or unable to pay the fee, and one would not be competitive with other investigative agencies offering the same service. The investigator working under his or her own license, rather than working for an agency as an employee, would still charge the normal daily billing rate for reports. As such, he or she would make consider-

ably more because the investigative agency would not be withholding their portion.

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An increasing number of private investigators are cultivating spe-

cialty niches in addition to general investigations. It is apparent that a private investigator who chose to specialize in undercover investigations under his or her own license, and became very good at it could generate a good income. If working a cover job that paid $8.00 an hour ($64 a day), and charging $100 a day for the investigative service (the reports), he or she would be making $164 a day or, $3280 per month. It must be remembered that good undercover investigators are extremely difficult to find; most are hired with little or no prior inves-

tigative experience. A highly qualified investigator specializing in undercover investigations would tend to solicit critical cases wherein his or her higher than normal fee would be justified.

CLIENT EDUCATION

When one will be doing an undercover investigation for a client, it is important that the client understand how such an operation is conducted. The client, if they have not had undercover investigations done in the past, will not know what to expect in terms of results or how such

an investigation is conducted. Neither will they know what will be expected of them. Unless the client understands what is expected of them, and what kinds of things they must not do, the results of the investigation will suffer, if it succeeds at all. First and foremost the client must understand the importance of keeping the operation a secret. They must understand that it is a clandestine operation that will succeed only if no one other than a select few authorized people know about it, people with a legitimate need to know. They must understand that a breach of security will not only result in an unsuccessful investigation, but can put the investigator seriously in harms way. The client will participate primarily in assisting with the initial infiltration by providing information necessary for the investigator to get hired as a company employee. That may involve nothing more than letting the investigator know what positions are open, and what position will place the investigator in the desired proximity within the facility. However, in some cases, the client will need to create an opening

or in some other way make it possible for the investigator to get hired.

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During the investigation, the client will be a source of information by passing along anything the investigator should be aware of. However, the client should never communicate with the investigator, about the investigation, while he or she is on the job, but should communicate through a middle person. If communications are to be with the investigator, that must be done when he or she is off the job and not on company property. Communications should be by phone, or in person at a secure location. The indoctrination session with the client is important even if they have had undercover investigations done in the past. If someone else did the investigation, their method of operation may have been differ-

ent, or they may not have been efficient or have taken the time to educate the client. If the investigation will be for a client that the investigator has worked for in the past, let the indoctrination session serve as a refresher and to ensure that there is a meeting of the minds. It is helpful to provide the client with an information packet to educate them as to how an undercover investigation is conducted, what they can expect, and what will be expected of them. They must understand that the information packet must be kept well hidden so that unauthorized people do not see it. The education packet, actually a multi-page brochure, serves two purposes—education and client relations.

Educating the client and ensuring a meeting of the minds is important. Often a client will hire a private investigator and then attempt to tell him or her how to conduct the investigation. Such a tendency is understandable, but they do not have the investigative expertise to justify such an effort. An information packet can help them understand that. Clients must understand that although they are paying for the investigation, to get the best value for their money, they need to let a professional orchestrate the investigation. However, they should know that their input is welcome for many clients have something of value to offer. Unfortunately, there have been cases where an investigator, or

investigative agency, yielded to the ill-conceived wishes of an assertive client knowing that so doing ran counter to good investigative practice, but he or she acquiesced out of fear of losing the client. When that is done, money is being put ahead of the safety of the investigator. If one will personally be doing the investigation and is willing to assume the attendant risks, that is fine. But, if an employee will be doing the investigation nothing justifies making concessions that potentially and

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unnecessarily places him or her in harms way. In some cases, one can deviate from good practice to pacify an assertive client without serious detrimental results. However, use good judgment when so doing. If an investigative agency has been hired to do the investigation, and they will be assigning an investigator to the case, the extent of input and/or control exercised by that investigator will depend on the extent of his or her experience. If the investigator has little or no experience, he or she will do as instructed by a supervisor of the investigative agency. However, if the investigator has considerable undercover experience, possibly more than the supervisor, and the case is very sensitive and/or complex, the supervisor may assume a subservient role acting primarily as a communication conduit between the investigator and the client. It would be irresponsible to assign a highly qualified undercover investigator to handle a difficult investigation and then emasculate him. Each situation will be different depending on the policies of the investigative agency, the nature and needs of the client, and the qualifications of the investigator. But, what ever the situation may be, and how the case will be administrated relative to prevailing circumstances, there needs to be a meeting of the minds of all parties concerned. Naturally, if the investigator does not work for a detective agency, but works under his or her own license, then the control issues discussed

here relative to agency/employee do not apply. The following is an example of a client information packet that one will probably wish to modify according to individual needs and preference. A cover sheet is important and should include, at the very least,

the agency name, license number, and phone number. Also consider including proprietor name,

fax number,

e-mail address, mailing

address, and website address. The packet must be professional in appearance!

GUIDE TO UNDERCOVER INVESTIGATIONS

What Every Businessperson Needs to Know If you are a businessperson suffering internal irregularities such as theft, you are undoubtedly considering ways to correct the problem. One method, although it will not eliminate the need to evaluate your

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overall loss control program, is to hire a private investigator to do an undercover investigation.

When considering an undercover investigation, there are many questions that require answers. The following will provide answers to those questions that are frequently asked.

Q: What is an undercover investigation? A: An undercover investigation involves a private investigator infiltrating the company’s workforce by posing as an employee to detect a variety of internal irregularities. Q: What are the usual reasons for an undercover investigation? A: The usual reasons for an undercover investigation include: 1. Internal problems are suspected. 2. Done periodically to determine if an internal problem exists. 3. Done when losses are apparent, but the source is unknown; the

undercover investigation will be one of several strategies to identify the source. 4. Investigation runs continuously for early detection should an internal problem develop. Q: What can I expect to gain from an undercover investigation?

A: There is much to be gained by an undercover investigation. The investigator will be alert for irregularities such as theft, time card cheating, malingering, destruction of company property, drug use and/or sales, on-the-job alcohol use, safety infractions, quality of

supervision, morale, espionage, etc.

A properly administrated

undercover investigation serves, not threatens, those employees

who are properly doing their job. Q: What is the usual duration of an undercover investigation? A: Undercover investigations typically last several months to a year or more, with the results being directly proportional to the investigator’s ability to gain trust and establish a rapport with perpetrators. That takes time! However, the investigator will be alert from the beginning for irregularities, and report them. Q: What will an undercover investigation cost me? A: The investigator will be on the company payroll and paid for the job position that is being used as a cover. Additionally, the investigator is paid an agreed daily amount for the investigative reports, which

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will be prepared daily. Hence, unlike general investigations that feature an hourly rate, undercover investigations feature a daily rate. Q: Who can be permitted to know about the investigation? A: Only those with a legitimate need to know must be aware of the investigation, their knowledge of the investigation must be essential to its success! Undercover operations are highly sensitive and must be handled with security measures reminiscent of a government intelligence operation. Q: What if I become aware of something that the undercover investi-

gator must know about? A: That information will be passed on in a predetermined manner, usu-

ally to the investigator’s supervisor who in turn will discuss it with him or her. At no time may you speak with the investigator, while on the job, in a manner that is different from the manner in which you communicate with other employees. All on-the-job communi-

cation with the investigator must be job related, and done in the presence of other employees to avoid creating suspicion. In the

event you must speak with the investigator about the investigation, it must be done off the job at a remote and secure site, with the

meeting prearranged through the investigative agency.

Q: Will law enforcement at any time become involved? A: That depends on circumstances. For example, if you have an inter-

nal drug problem and the investigator purchases drugs, they must be passed on to the police. That being the case, it must be determined beforehand how such matters will be handled. All meetings involving police, company management, and the undercover investigator must be at a secure off-site location where there is no risk that anyone working for the company will observe the meeting. Q;: Will I receive written investigation reports? A: You will receive investigation reports on a previously agreed upon schedule, usually once a week. They will be written daily, in the third person, and not reflect the company name, or the name of the investigator. Neither will envelopes feature a return address. How

the reports will be given to you will be determined in advance, but it will be done with secrecy. However, should something urgent

develop, the investigation supervisor will contact you immediately.

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Q: What if I later feel that another manager should be made aware of the investigation? A: Is their having knowledge of the investigation essential to its success? If not, they must not know about it! Under no circumstances

can a disclosure be made without prior approval from the investigative agency, and the undercover investigator. Some of the detriments of disclosure include: 1. Undercover investigations are expensive and if the investigator’s cover is compromised, all that has been invested will be lost. 2. Morale will be adversely affected if employees learn they were infiltrated. 3. It will be much more difficult for a second investigator to infiltrate and gain the trust of employees. 4. The investigator could be injured or killed. People have been murdered for less! Q: How do you select undercover investigators, and decide whom to assign to the case? A: The investigator will either have experience, or be trained and

closely supervised by an investigation supervisor. The investigator must be suited for the cover job, and appropriate for the group to be infiltrated. A male investigator infiltrating a predominantly female work force may not succeed, and vice versa. Similarly, if

there is a predominant language, the investigator must speak that language. Age appropriateness is also important. Q: How do we begin? A: We will first clarify details such as the billing rate, how billing will be handled, and the method for submission of investigation reports. There will then be a meeting with all essential parties to clarify how the investigation will be handled. That meeting will take place at a secure location where there is no chance of it being observed by employees of your firm.

Chapter 6 PHYSICAL SURVEILLANCE INTRODUCTION In many instances, desired information cannot be obtained via public and private records, or by means of interviews and interrogations, and physical surveillance becomes necessary to observe that which must be learned. Accomplishing this may involve observing activity at a given location, often referred to as stationary surveillance or stakeout, or following a person as he or she moves about the community, referred to as moving surveillance. Watching and following people are referred to as physical surveillance. The investigator conducting the surveillance is often referred to as the surveillant, while the person being observed is referred to as the subject. This chapter examines conventional methods and techniques of stationary surveillance, foot surveillance, and vehicle surveillance. The

various techniques are discussed in sufficient detail to enable the reader to make an informed judgment as to when each is appropriate for the urban and rural environment.* Although one commonly thinks of moving surveillance and stationary surveillance as if they were two different operations, with a case calling either for one or the other but not both, the two are often employed during the same operation. For example, in cases of moving vehicle surveillance, the effort will almost always be preceded by sta-

tionary surveillance wherein one waits for the subject to appear and

*For a more comprehensive discussion, see Siljander& Fredrickson: Fundamentals ofPhysical Surveillance: A Guide for Uniformed and Plainclothes Personnel, Second Edition. Springfield, IL: Charles C Thomas, 2002.

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begin the commute, at which time moving surveillance begins. Once the subject reaches a destination, stationary surveillance will resume. In other cases, moving surveillance and stationary surveillance will be

conducted simultaneously with different investigators assigned to each.

For example, as commonly occurs with private investigators, a client's

delivery trucks may be under surveillance as they make deliveries, while at the same time, a stakeout is being done of the shipping and receiving area, and at locations where it has been determined that unauthorized deliveries are being made by the truck drivers. During all that, undercover surveillance may be taking place within the client’s

facility by one or more private investigators posing as employees. Before commencing surveillance, whether stationary or moving, if equipment will be used that contains batteries, be sure the batteries are fully charged. The equipment being referred to include such things as tape recorders, camcorders, image-stabilized binoculars, image-stabilized photo equipment, portable radios, and flashlights. Ensure easy

access to all necessary equipment and note pad during surveillance.

REASONS

FOR PHYSICAL SURVEILLANCE

The reasons for conducting physical surveillance depend upon the needs of a case, but all the various reasons consistently lead back to one basic objective: gathering information. The following list, by no means exhaustive, provides some typical reasons for physical surveillance: 1. ‘To obtain information or develop investigative leads. 22010 protect an undercover investigator.

3. To obtain evidence of a crime that has been committed, or to

observe a crime being committed. 4. ‘To obtain probable cause for a search warrant. 5. To check the reliability of informants.

6. ‘To check the loyalty of employees. 7. ‘To monitor a subject’s movements and activities.

8. ‘Io establish a subject’s habits such as hangouts, associates, or place of employment. 9. To determine or confirm a subject’s whereabouts.

10. ‘Io observe meetings and transactions.

Physical Surveillance

67

11. ‘To determine an individual’s availability for an interview or inter-

rogation. 12. To gather intelligence information to facilitate an interview or interrogation of a suspect.

13. To obtain photographic evidence. 14. To establish and/or verify the identity of a subject and/or associates or contacts.

15. When it is believed the subject may lead investigators to someone whose whereabouts is unknown.

16. A stakeout is commonly done when attempting to serve an evasive person with legal documents, i.e., waiting for him or her to leave or arrive at home or business. There are also times that a person is followed by vehicle until his or her travel is interrupted

and he or she can be served while sitting in the vehicle, i.e., sitting in an intersection waiting for a break in traffic so that a left turn can be made.

STATIONARY SURVEILLANCE

Preparation

Almost all surveillance operations will require stationary surveillance at some point. Some cases require an operation that consists entirely of stationary surveillance; the activity occurring at a given location is

observed and in many cases also photographed, but no one is followed. Relative to moving surveillance, as already discussed, a stationary surveillance will almost always be employed while the investigator waits for the subject to leave the area, with stationary surveillance resuming

once the subject reaches a destination. It is important that a preliminary survey be made of the area in which surveillance is to occur so that a good vantage point can be selected. The vantage point is the location from which observations will be made. A great deal of care must be exercised when selecting a vantage point with the degree of care becoming increasingly important the longer the operation is expected to last. When selecting a vantage point, one is seeking a location that offers an unobstructed view of the

area of interest while at the same time providing sufficient cover so that the subject does not become aware of the surveillance.

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In many instances, no single vantage point will offer a view of the

area that is entirely unobstructed, meaning that from one location it is

possible to see part of the area of interest, with the remaining area being visible only from another location. When this situation exists, it must be determined if the importance of the case will justify the cost of two or more investigators so that the subject area can be viewed from two or more vantage points simultaneously. However, if more investigators cannot be assigned, then a determination must be made regarding which area is most likely to reveal the desired activity. Often nothing more than an educated guess can be made and it will not be until after some activity has occurred that the most appropriate position will be known. A disadvantage is that once activity has occurred and an appropriate change of vantage point made, later activity may occur at a location that is again out of the investigator’s view. A good example of this occurred in a fairly typical actual case. In Figure 6-1 is depicted a parking lot that was used as a vantage point by an investigator to surveil a house on the opposite side of the street. At almost the same time each day, a delivery truck driver would stop at the residence and transfer (steal) a portion of the client’s product from the truck to the house to be picked up after work. This activity was visible to some degree from position A in the parking lot. On other occasions, the driver would park next to the shed and

siphon gasoline from the truck to later be placed into his personal vehicle. This could be observed and photographed from position B in the parking lot. When the investigator was occupying position A, it was not possible to observe the activity visible from position B because the delivery truck obstructed the view. Similarly, it was impossible to see from position B the activity visible from position A because, again,

the delivery truck obstructed the view. From either the A or B position, only some activity was visible. Never knowing which activity would be occurring, the investigator could not know which vantage point to utilize. In this particular case, it was decided that a greater loss was occurring as a result of product being transferred into the house. For this reason, position A was selected as being the most desirable. On a couple of occasions, it was possible to discreetly move to position B while the driver was in the house momentarily. Although position A enabled the investigator to observe and photograph the fact that unloading of product was taking place, the truck’s door in the open position greatly

Physical Surveillance

PARKING

69

LOT

1 | GAS BEING

1 SIPHONED

Figure 6-1. Often no single vantage point will provide an unobstructed view of the entire area of interest. Positions A and B offer good concealment but limited visual coverage. Position C, while more vulnerable to detection by the subject, offers better visual coverage.

restricted the view, enough so that it was impossible to effectively document photographically precisely what and how much was being stolen.

After several days working from positions A and B it was decided work from position C on the opposite side of the house. Although this position offered a better view, it was decided to use that position last

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because vehicles rarely parked on that residential street, it was feared

that the surveillance truck parked on that street would arouse suspicion. By knowing the subject’s schedule, learned during the first several days of surveillance, it was possible for an investigator to drive the surveillance truck into position, park it, and walk away about 30-minutes before the subject’s arrival; the surveillant was secreted in the truck.

The surveillance truck was removed shortly after the subject left the area. The vehicle was not removed so soon, however, as to make it

apparent that its arrival and departure was in any way related to that of the subject. To allay the subject’s suspicion, “Lawn Care” service signs were placed on the sides of the vehicle and miscellaneous lawn care tools were placed on a rack on top thus giving it the appearance of belonging. Had position C been used initially, the desired evidence would probably have been obtained the first day. However, if the subject had become aware of the surveillance, it is highly possible that the evidence

of theft would have been lost entirely. By initially working from positions A and B, both of which offered a less desirable view but much better cover, and later working from C, had the subject become aware

of the surveillance at position C, some evidence would already have been obtained from the two safer vantage points. When planning for stationary surveillance and selecting a vantage point, the position of the sun in relation to the subject’s position and that of the investigator is an important consideration, especially when photographing is to occur. The most desirable sun position is that which provides side lighting, with the sun just slightly ahead of the subject. Front lighting is second best with back lighting being very undesirable. Side lighting, slightly from the front, creates enough shadow to bring out depth and detail. Front lighting has a tendency to offer a flat washed-out appearance. Back lighting results in a silhouette, light scatter, and flare within optical instruments such as binoculars and telephoto lenses. When selecting a vantage point, consider the expected time duration of the surveillance and the path the sun will travel. When selecting a vantage point to serve as a prelude to moving surveillance, the investigator must consider all possible directions by which the subject may leave the area and the appropriate course of action in each instance. This is important because in many instances

when a subject is lost, that occurs within the first few blocks because of

poor planning and positioning on the part of the investigator.

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During the preliminary survey, the investigator should make a mental note as to the type of vehicle and mode of dress that is appropriate for the locale so as to appear to belong when conducting surveillance. Also, when conducting the preliminary survey, it should be done in a

discreet manner to avoid arousing suspicion. How best to accomplish this will depend upon the area and the requirements of the investigation. In some instances, the only reasonable method will be to drive

though the area, but repeated passes should be avoided. If repeated passes are necessary a change of vehicles is recommended and public transportation may be considered. In some instances, a combination of

these methods may be employed, or the investigator may find that a detailed study of the area can be made from a distance using binoculars or a telescope. One may also use a video camera when passing through the area. When surveillance will be done in a rural area one may fly over the subject’s location and possibly also take aerial photographs. Finally, one must consider the time period in which the surveillance

should be conducted. This is important because to attempt surveillance during a period of time that is not likely to produce the desired results is costly in terms of work hours, and there is an increased likelihood

that the operation will be discovered. It must be remembered that the longer surveillance is conducted, the more difficult it is to maintain a covert operation. Automobiles as Observation Posts

Automobiles are a means of transportation and once the desired destination has been reached, people exit the vehicle and walk away. This is why automobiles are not ideal for use as observation posts. Anyone sitting in an automobile for prolonged periods of time is subject to scrutiny and suspicion by people in the area, and often a report will be made to the local police who will investigate the complaint. People are more wary of a lingering man than a woman. Despite the shortcomings of the automobile as an observation post, however, it is used a great deal for short-term stakeout purposes. Also,

an automobile can be necessary when surveillance will result in an apprehension and/or pursuit, the serving of legal documents, or when the stakeout is for the purpose of following a subject when he or she leaves the area. In other instances, the automobile is used for lack of a

better vantage point under the circumstances.

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When the automobile is used as an observation post, every effort must be made to position the vehicle so that its presence is not conspicuous. Parking among other vehicles such as in a parking lot or along a street offering on-street parking generally provides good cover. When utilizing other vehicles for cover, however, it is important to park in a manner consistent with them to avoid being conspicuous. When parking on a public street, one should watch from the next block, or further, because a vehicle on the same block, is more likely to

be noticed. When working from the next block binoculars will be necessary to make meaningful observations and to read vehicle license plate numbers. Inquisitive residents should be given a fictitious but believable reason for being in the area. When parking in a location that is closer to the subject’s position than is felt to be safe, one should consider positioning the vehicle so that it is facing away from the subject’s location with observations made through the rear-view mirrors. While observing in that manner is not as effective as watching something directly, the subject is less likely to be suspicious of a vehicle that is facing the opposite direction. When making observations from an automobile, consider sitting in passenger’s seat and appear to be waiting for the driver. High back seats aid in concealment and a dark-colored interior is best. If the vehicle is at an angle to the subject and the back seat is being used, avoid being a silhouette. When making observations from a vehicle using binoculars or a camera, one will be less conspicuous when looking through the opposite window rather than through the window next to which one is sitting. One will be even less conspicuous if observations are made from the back seat looking through one of the front side widows. Image quality will be best when looking through an open rather than closed window. Another useful consideration when working from an automobile is to have a clipboard and preprinted “Traffic Volume Survey” form. A mechanical counter may or may not be used to support the pretext. In the event that someone should ask what the surveillant is doing, he or she should be told that a traffic volume survey is being conducted. When using a pretext, the investigator should never offer a pretext story if approached by a police officer. In fact, it is desirable in many instances to contact local law enforcement authorities ahead of time and advise them that surveillance will be occurring in the area. Appropriately notifying law enforcement will help to prevent an alert police

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officer from inquiring why the investigator is loitering in the area, and it helps in the event that someone in the area becomes suspicious and makes a complaint to police. Female investigators generate less concern than male investigators when lingering in the area. When an automobile will be used for stakeout purposes, it should be of a make and color that is prevalent in the area, and be free of distin-

guishing marks or features. Moving into position must be accomplished in a manner that does not attract attention.

Vans and Campers as Observation Posts When a suitable observation post is not available and when from an automobile would attract attention, a van or camper ally effective. This is especially true when the investigator will photographic equipment. Vans and campers are ideal for stationary surveillance for

working is generbe using two rea-

sons. First, the nature of these vehicles is such that the surveillant can

set up inside and make observations without alerting people outside the vehicle. Second, these vehicles are now so common that they are seen

almost everywhere which means that their use for surveillance purposes is not normally restricted to certain areas.

Opinions differ as to the best way to equip vans and campers so that observations can be made from within them. Some prefer to use oneway glass. One-way glass is also referred to as two-way glass, one-way mirror, X-ray mirror, or transparent mirror. All terms, however, refer to

the same product, which is simply clear glass upon whose surface a coating of special metallic silver has been applied. The coating is applied to one side of the glass only and is applied thinly enough to see through but greatly reduces the amount of light that the glass will transmit. The glass, therefore, is only partially transparent. Perhaps the most frequent argument against the use of one-way glass is that its mirror effect can alert a wary subject to the purpose of the vehicle. One private investigation firm attempted to alleviate this problem by painting the name of a fictitious TV repair service on the side of the van with a picture of a television set whose screen had been fitted with one-way glass. Investigators who prefer to avoid the use of one-way glass have devised a number of other methods that have proven to be effective. Some have painted a fictitious business name on the vehicle’s side

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and/or rear windows leaving small holes, perhaps the center of a letter, through which observations and/or photographs can be made. Other

investigators have fashioned blinds out of such objects as boxes. The blind, featuring peepholes, is placed against the window thorough which observations will be made, with the remaining windows covered with additional blinds or curtains. The surveillant may also sit in an enclosed van and make observations through the windshield or partially draped side and rear windows. Finally, one may have a periscope installed in a van or camper, the upper end of which is camouflaged to look like an air vent. Periscopes are useful for direct observation and photographing. One such product, illustrated in Figure 6-2, is the Intelliscope® offered by Ross Associates.

Ross Associates also modifies vans for surveillance purposes; desired features, of course, determine cost. Those who desire to investigate this periscope, and van conversions, can contact Ross Associates by mail at 2495 Vista Drive, Upland, CA 91784-8355. Phone 909-981-8855.

FAX 909-981-7386. [email protected]. When working from a van or camper, it is important to remain quiet so that people outside the vehicle do not become aware that the vehicle is occupied. An insulated vehicle helps in this respect. Also, refrain

from smoking as that too can alert someone. The most natural method for moving into the area is for one investigator to hide from view in the vehicle while a second investigator drives into position, parks, and then walks away. The vehicle will then appear to be unoccupied. Finally, when the surveillance is to be conducted for an extended period of time provisions must be made for food, drink, and a sanitary

facility of some type.

Rooms in Nearby Buildings Often the most desirable vantage point is a room in a building that offers an unobstructed view of the area of interest. Such a room may be a rented private dwelling, apartment, or office space, while in some

cases, the investigator can persuade a homeowner or business owner to permit him or her to use their premises. If a room or office is to be rented for surveillance purposes, it is rarely necessary to inform the landlord of the operation; offer a pretext. However, if an attempt is made to secure permission from a businessperson or homeowner to use their

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Figure 6-2. Illustrated is the Intelliscope® surveillance periscope disguised to look like an air vent on top of a van. The periscope, useful for direct viewing or photographing, has a horizontal view of 360 degrees and a vertical view of 30 degrees (courtesy of Ross Associates).

premises for surveillance purposes, it will generally be necessary to explain the purpose although no details regarding the case should be provided. Before requesting permission to conduct surveillance from someone’s premises, the investigator must carefully appraise the person’s degree of trustworthiness, and anyone contacted must be made to

understand the need for maintaining complete secrecy about the operation. Generally, although law enforcement investigators frequently use business places (and private dwellings) for stationary surveillance, pri-

vate investigators rarely do. But, the possibility should not be overlooked when other appropriate vantage points do not exist. When working from within a building, one must ensure that people outside see nothing unusual. And, the room should be darkened. If simply darkening the room is not sufficient, drawing drapery part way may accomplish the task. The investigator can also make observations and take photographs through venetian blinds without being unnecessarily visible form the outside. Finally, when working from a darkened room, it is advisable to stand several feet from the window. Jmportant:

Nothing will betray one’s presence more quickly than movement! Outdoor Observation Posts

Several possibilities have been discussed for stationary surveillance observation posts—automobiles, vans and campers, and rooms in nearby buildings. When none of those possibilities exist, the investigator

may consider using an outdoor observation post. When using an outdoor observation post, a pretext will often be necessary. The type of

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pretext most likely to be successful will depend upon the nature of the

area in which it will be used, the duration of the surveillance, and the investigator’s ability to execute the pretext. One should utilize a pretext that is simple and that one has enough knowledge of to execute convincingly. For short-term surveillance the investigator may consider raising the hood of the car and tinkering with the engine to simulate mechanical problems, thus becoming a stalled motorist in the eyes of others in the area. He or she may also use the pretext of conducting a traffic volume survey, mentioned earlier. Another pretext that may be considered is that of a surveyor. Using this pretext naturally requires possession of at least a basic understanding of surveying and possession of appropriate props such as a surveyor’s transit and other supporting apparatus such

as orange vest, hardhat, and a clipboard with an appropriate form. Next time you see someone surveying, stop and observe them being alert for details that would make such a pretext believable even to someone who is a surveyor him or herself. When utilizing a pretext it should be subtle; appear to belong! A pretext should never call attention to the investigator, but should offer a logical reason for being in the area.

FOOT SURVEILLANCE Introduction

The investigator will endeavor to follow a subject by foot when the subject him or herself travels by foot. The area and the extent to which public transportation is used will influence the frequency in which investigators engage in foot surveillance. For example, in Phoenix, Ari-

zona, with a population of approximately 1.5 million people, and featuring approximately 479 square miles, most people drive personal vehicles. Phoenix is a very expansive city measuring approximately 35 miles north to south, and 18 miles east to west, at its most distant bor-

ders. Phoenix features approximately 3,130 people per square mile. Contrast that with New York City featuring a population in excess of 8 million people and an area of approximately 310 square miles. New York City is densely populated with over 25,800 people per square

Physical Surveillance

Ha

mile. Not surprisingly, in New York City, many people walk and use

public transportation. Hence, detectives in Phoenix do comparatively little foot surveillance while detectives in New York City engage in foot surveillance on a regular basis. When conducting foot surveillance, the investigator must anticipate the possibility of the subject using some form of public transportation and be prepared to meet fare requirements. Also, it is important to

carry an ample supply of expense money, including plenty of small change, and also carry a mini-binocular or monocular. While a lone investigator can do foot surveillance, effectiveness will be enhanced when two or more investigators have been assigned. General Techniques and Methods Foot surveillance is the following of a person as he or she walks from one location to another. Foot surveillance can be very basic, featuring

one lone investigator following a subject while avoiding detection, or it can be a complex operation utilizing a well-coordinated team of several investigators. When working as a team, each investigator has a specific position in relation to that of the subject and other team members. A well-coordinated surveillance team can be highly effective, but if a team is not well coordinated, the results are generally poor. Preplanning and practice are essential! Foot surveillance generally begins with stationary surveillance while the investigator waits for the subject to appear and begin the commute. Foot surveillance can also require stationary techniques during intermittent stops and at the subject’s final destination. The investigator conducting foot surveillance faces two principal risks: losing the subject and being discovered. However, the more familiar the investigator is with the subject and the locale within which surveillance is being conducted, the less chance there will be of either

of these two situations occurring. Additionally, the more information the investigator has regarding the subject, the better will be the chances of reestablishing contact in the event the subject is lost. The identification of the subject is the most important element of any surveillance in which an individual is to be followed. Doing everything correctly from start to finish will avail nothing if the wrong person is followed. That is why it is important that all identifying data pertaining to the subject be obtained and verified before the surveil-

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lance is actually attempted. The client will often be in possession of the necessary information, but if not, the investigator must develop it. Obtain a photograph. When conducting foot surveillance, the investigator is generally viewing the subject from behind, so he or she should carefully note the subject’s appearance from that angle as well as any peculiarities such as walk and posture. The investigator must learn to follow the person, not the clothing, because a wary subject may utilize disguise techniques such as a reversible jacket, adding and removing caps or wigs, or a complete change of clothing may at some point be made. However, a change of clothing will not alter the subject’s height, weight, posture, or way of walking, and the surveillant should be alert to these things. When

the subject begins moving from the area, the surveillant

should not begin following until certain that the subject is in fact leaving. It is important to guard against premature movement because a

subject will, at times, in an effort to detect surveillance, either make a

false start, or reverse direction while carefully studying the reaction of others in the area. Should the investigator fall victim to such a tactic, he

or she should continue on in a natural manner. An attempt will later be made to assume a correct position, but if that cannot be done, it is usu-

ally best to discontinue the surveillance until another time. If more than one investigator has been assigned, another investigator may assume the primary position. When conducting foot surveillance, the most appropriate distance to be maintained between the surveillant and subject will be determined by conditions. The investigator must remain close enough to the subject to avoid losing contact and effectively observe actions, but remain far enough away to avoid detection. On a street relatively free of pedestrian traffic, it may be necessary to maintain a distance of one-half a city block or more. On a crowded street, however, it may be necessary to

remain as close as ten feet. When the subject turns a corner, an effort should be made to reach

the corner quickly without attracting attention. This is important because if too much time elapses, the subject may enter a building (or a vehicle) before the surveillant can get to the corner. If, when reaching the corner the subject is not in sight, logic should be employed in an effort to determine what if any door the subject may have entered.

That deduction is based on the subject’s speed, the location of doors,

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and the time interval between the subject turning the corner and the investigator’s arrival at the corner. In the event that the surveillant turns the corner only to discover that the subject has stopped and the two are face-to-face, eye contact should not be made. Rather, the investigator

should continue walking as if nothing is wrong. An effort will be made to reestablish a position behind the subject when conditions permit. Consider changing hats, glasses, etc. In the event the subject enters a building, the nature of the business

will generally suggest whether the subject should be followed inside. Should the subject enter a busy department store, for example, it would most likely be appropriate to follow. However, should the subject enter a barbershop or smoke shop, it will probably be desirable to wait out-

side and resume surveillance when the subject reappears. When watching a building from a position at a corner, it is possible to observe two sides of the building at one time. If a subject who enters a hotel lobby but is nowhere in sight, consider that the subject may have entered the restroom. Should the subject go to the desk to inquire about a room, the investigator should attempt to get in line and overhear what is said. Should the subject enter a bar or nightclub, it is important to enter before he or she can become seated. Once seated, it may be difficult to ascertain where he or she is because a bar’s interior lighting is generally subdued, the subject may be sitting with a group of people, the establishment may be reasonably crowded, and depending upon the time of year, coats and head coverings may be removed thus altering general appearance. Exactly where the surveillant should position him or herself in relation to the subject must be decided quickly to avoid being conspicuous, but a position toward the rear of the establishment tends to offer a view of the entire area. If the subject boards a bus, the surveillant should also board and

attempt to select a seat a short distance to the subject’s rear. This will not be possible, however, if the subject selects a back seat. Should the

subject sit on a seat that is positioned lengthwise, the surveillant should attempt to sit on the same side of the vehicle a few seats away. Simple disguise techniques are as useful to the investigator as they are to a wary subject. The investigator can alter general appearance by using a reversible jacket, adding and removing headwear, and by adding and removing glasses featuring both clear and dark lenses.

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Fundamentals of Civil and Private Investigation

Finally, the surveillant should anticipate what will be used for an explanation should the subject become suspicious and confrontational. In many instances, an act of indignation will be appropriate, while in others, a pretext supported by fictitious credentials may be appropriate.

Should this occur, a different investigator must do all future surveil-

lance of the subject. Multiple-Person Foot Surveillance Teams

The effectiveness of foot surveillance increases significantly when two or more investigators have been assigned, and they function as a well-coordinated team. Because efficient teamwork is essential to success, it is important that all participants be briefed before the surveil-

lance begins. If the team members have not worked together, or if a new member has been assigned to the team, it is recommended that

they spend a day in the field practicing with another investigator acting as the subject. Experience shows that when team members are well coordinated because of practice results tend to be very good, but if not well coordinated, results are generally poor. Practice is essential because there is a lot of choreography involved. That will be apparent

when studying Figures 6-3 to 6-7. The usual positioning of the investigators in relation to the subject and to each other, as depicted in Figure 6-3, is to have one investigator

(1) follow the subject (S) while a second investigator (2) follows investigator #1. A third investigator (3) is across the street paralleling the subject. When only two investigators are available position #2 is generally eliminated. Utilizing more than one investigator means that the investigators can trade positions frequently to avoid having the same person behind the subject for prolonged periods of time, and the subject can be flanked so that visual contact is not lost when the subject turns a corner. That is important because, should the subject turn a corner and enter a build-

ing or vehicle, the investigator in the parallel position (3) will be in

position to observe the fact and can advise the other team members

accordingly. Rotations can be accomplished by the investigator in position #2 increasing speed while investigator #1 steps into a doorway or slows down, whichever seems appropriate under the circumstances. Also, positions may be rotated each time the subject turns a corner.

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Figure 6-3. A typical multi-person foot surveillance technique involves having one investigator (1) follow the subject (S) while a second investigator (2) follows investigator #1. A third investigator (3) walks abreast of the subject. If only two investigators are assigned, position #2 is generally eliminated.

Ideas for how this can be accomplished are illustrated in Figures 6-4 through 6-7. Detection and Evasion Techniques

A subject who fears being surveilled will often engage in a variety of actions that are intended to detect and/or elude any followers. The following are some typical detection and evasion tactics a subject may

employ and some appropriate responses. These are presented as ideas only as each individual will act differently, and the appropriate response will naturally depend upon circumstances.

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Fundamentals of Civil and Private Investigation

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Figure 6-4. Subject turns right before crossing the intersection. Investigator #1 crosses the intersection and assumes the #3 position. Investigator #2 turns the corner and assumes the #1 position. Investigator #3 assumes the #2 position.

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83

HN

Figure 6-5. Subject turns left before crossing the intersection. Investigator #1 follows the subject while investigator #2 follows #1. Investigator #3 crosses the intersection and turns left. All have maintained their original position, except that investigator #3 is now on the opposite side of the subject.

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Fundamentals of Civil and Private Investigation

Figure 6-6. Subject crosses the intersection and turns right. Investigator #1 crosses and either turns right, thus maintaining the #1 position, or goes straight only to double back and assume the #2 position after investigator #3 has taken the lead position. Investigator #2 turns before crossing, thus assuming the #3 position.

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85

Figure 6-7. Subject crosses the intersection and turns left. Investigator #1 follows the subject. Investigator #2 turns before crossing, thus assuming the #3 position. Investigator #3 crosses the intersection and either turns left, thus assuming the #1 position, or goes

straight only to double back to assume the #2 position.

Fundamentals of Civil and Private Investigation

86

SUBJECT’S ACTION 1. Stop after turning a corner and study the reaction of other people as they reach the corner.

2. Board a public conveyance such as a bus and then exit

quickly as it is about to depart. 3. Enter a building and leave by another exit. 4, Have a partner follow him/her in an effort to detect surveillance (called a convoy).

5. Drop a scrap of paper to see if anyone attempts to retrieve it.

6. Walk at an irregular pace.

7. Take a suicidal chance crossing a busy street to see if anyone else does likewise. 8. Reverse direction of travel and study oncoming people.

9. Go through a large open area and scrutinize anyone else traversing the area. 10.Approach the investigator and accuse him or her of following.

SURVEILLANT’S RESPONSE ik, Proceed on as if nothing is

wrong. . Ride the bus to the next stop,

get off and then board the next bus (subject may be on it). . Either follow the subject inside or position one’s self at a corner to observe exits on two sides of the building.

. Follow the convoy, as it will go where the subject goes (always be alert for the presence of a convoy). He Attempt to casually kick it to the side for later retrieval (retrieval will be easier if there is a second investigator). 6. Attempt to settle on an average speed. i Do not take such chances.

8. Continue past the subject and reposition one’s self, or discontinue surveillance. If using a multiple person team, rotate positions. Do not make eye contact! . Watch from a distance or go

around the area; carry a monocular or mini-binocular. 10. Act indignant and deny the the accusation, or offer a

preplanned cover story that may be supported by fictitious props and/or credentials.

Physical Surveillance AUTOMOBILE

87

SURVEILLANCE

Introduction

There are many techniques for moving vehicle surveillance, varia-

tions of which may be used depending upon the circumstances. While many factors will determine the most appropriate technique, the investigator must have a clear understanding of the merits and limitations of each to effectively determine which one, or variation thereof, is most appropriate in any given situation.

Automobile surveillance should be preceded by a preliminary survey of the area in which the surveillance is expected to begin. In many instances, it will be desirable to have someone other than the surveil-

lant conduct the survey so that people working or residing in the area do not notice and later recognize the surveillant. The preliminary survey will enable the investigator to make a sound decision as to the most suitable type of vehicle and style of dress; it will enable him or her to select a suitable vantage point from which to wait for the subject to appear and depart; it will help to anticipate difficulties that may be encountered depending on the direction of the subject’s departure; and survey results will suggest what, if any, equipment may be needed such as binoculars. The most appropriate vehicle will generally be a vehicle of common make such as Ford or Chevrolet, reasonably new, no distinguishing features, and a subtle color that is also consistent with the majority of

vehicles in the area. As for dress, casual clothing will generally be the most versatile. If casual clothing will be worn, have a sport coat, dress shirt, and tie in the vehicle in case it becomes necessary to follow the subject into an environment where a jacket and tie is expected. When choosing a point from which to watch for the subject, it is important to anticipate the route by which the subject may leave the area, and give some thought as to the most suitable course of action in each case. This is very important because in many cases wherein a subject is lost, he or she is lost within the first few blocks because of poor

planning and positioning. In some instances, no position will be available that offers both an unobstructed view of the subject’s area, and the opportunity to subtly begin the surveillance when the commute begins. In such cases, it will generally be necessary to have an investigator with a radio observe the

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Fundamentals of Civil and Private Investigation

subject area and, when the commute begins, relay that information to another investigator who will conduct the moving surveillance. Unfortunately, it is often necessary to conduct vehicle surveillance

alone because a client or employer is unwilling to incur the expense of two or more investigators, and two or more vehicles. However, when two or more investigators/vehicles can be employed, the effectiveness

of the operation and the likelihood of success are increased appreciably. This is because more than one potential departure route can be covered, the vehicles can frequently rotate positions in relation to the

subject and thus avoid having any one vehicle behind the subject for prolonged periods of time, and if the lead surveillance vehicle is impeded at a traffic light the vehicle in the parallel position may be able to maintain surveillance. When more than one vehicle has been assigned to the surveillance, one vehicle will follow the subject while the other vehicles may assume positions either to the rear of the lead vehicle, abreast of the subject on parallel streets, or perhaps in front of the subject, depending upon factors such as the layout of the streets and traffic volume. When surveillance vehicles are positioned as described, when the subject makes a turn, positions can be rotated in a manner similar to those which were described for multi-person foot surveillance. The most appropriate distance to be maintained between the investigator and subject will depend largely upon the topographical conditions of the area and upon existing traffic conditions. The distance can vary from little more than one car length during heavy intercity work traffic to distances of half a city block or more on suburban streets that are almost void of traffic. On freeways, the distance often will be greater, depending on traffic volume, and in the country, a vehicle can

be followed from distances as great as one-half to one mile at times. If there is more than one lane of traffic traveling in each direction, a lane next to that being used by the subject is generally desirable, so long as traffic conditions are not so heavy as to prohibit it. Also desirable is allowing an unrelated vehicle to come between the investigator and the subject. When following a subject in an urban environment, the investigator must be alert to traffic control signals and anticipate their pending status. When approaching a green traffic control light, for example, the distance between the subject and the investigator should be reduced to

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89

prevent having the subject go through the intersection on a green or

yellow light while the investigator is faced with a red light. In the event that the surveillant encounters a red traffic light, he or

she has the option of either waiting for it to turn green, which can result in losing the subject; bypassing the light, as shown in Figure 6-8; or simply disobeying the light. If the decision is made to disobey the light, it must be done giving full regard to the right-of-way and safety of other motorists. Also, when disobeying a traffic light, be aware that if the subject observes the act, he or she may become aware of the surveillance. In fact, a wary subject will often time his or her arrival at a traffic light for detection and evasion purposes. Jt must be emphasized that

this chapter in no way advocates that traffic laws be violated while conducting surveillance. When the subject turns into a parking lot, it is better to proceed on by and use the next entrance. If circumstances permit, one may also

enter the lot using a closer entrance. In the event the subject parks on the street, there is less chance of being noticed if one passes by and parks a short distance ahead. When heavy traffic requires the investigator to remain uncomfortably close to the subject’s vehicle, it is sometimes advantageous to stay within the blind spot that unfortunately exists with rear-view mirrors. When driving in another motorist’s blind spot, however, remain alert

and ready to take evasive action in the event the driver makes a lane change unaware that there is a vehicle in his or her path. Many accidents have resulted from such an occurrence. A number of simple techniques can alter the general appearance of a vehicle to decrease the possibility of the subject becoming aware that the same vehicle is consistently in his or her vicinity. The general appearance of a vehicle can be altered somewhat by raising and lowering visors, placing and removing objects from the dash, and hanging and removing items from the rearview mirror. If two or more investigators are in the vehicle, they can occasionally alter their seating arrangement, or one or more investigators can lie/slouch down to alter the apparent number of occupants. At night, proper use of various cutout switches for lights is effective. Such switches can make it appear that a car with two headlamps is following the subject for a while and later a vehicle with a burned-out headlamp is behind them. At various times the parking lights can be added or eliminated. When something is done to alter the general appearance of a vehicle, the change must be

Fundamentals of Civil and Private Investigation

90

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S55 2003

SiljJONer, Rg yMo Fundamentals CIVIl ANA privy ofof

Annet

BAY STATE COLL EGE

Second

Edition

FUNDAMENTALS OF CIVIL AND PRIVATE INVESTIGATION This new second edition serves as both a comprehensive first step for the

aspiring private investigator as well as a useful resource for the experienced

investigator. The text is a manual of procedures, concepts, forms, and guidelines presented in plain, clear language, yet with substantial depth of techni-

cal knowledge. The author examines diverse sources of information, including local, county, state, and federal records, and informants; detailed pretext interviews; physical surveillance and surveillance photography; and executive protection services.Also discussed are such areas as report writing; inter-

views, interrogations, and statements; locating missing persons; industrial and commercial

undercover operations; accident investigations; business

and industrial espionage; and legal constraints. Strongly featured are expanded and updated chapters on information technology, optical related visual aids, and managing a detective agency. Appendices provide common visual and verbal errors in vehicle license numbers, states of origin for social security numbers, and workers’ compensation fraud indicators. In addition, the book is generously illustrated with diagrams and examples to clarify specif-

ic points for the reader. This new edition continues to be an essential tool and resource for all private investigators. It will also be of benefit to attorneys and their investigative staff, as well as law enforcement investigators.

ISBN

B-398-D7393-7

9"780 398"0739 30 Visit our web site at www.ccthomas.com.