JANUARY 1985. VOLUME 54. NUMBER 1

Contents Crime Problems 1 Police in a Violent Society By Dr. John G. Stratton, Dr. John R. Snibbe, and Kenneth Bayless Training 8 Professors of the Street: Police Mentors By M. Michael Fagan and Kenneth Ayers, Jr. Identification 14 Interstate Identification Index By Emmet A. Rathbun Invest~ative Aids 18 Criminal Codes and Ciphers-What do They Mean? By Jacqueline Taschner and Arthur R. Eberhart The Legal D~est 23 Finetuning Miranda Policies By Charles E. Riley, III 32 Wanted by the FBI

Federal Bureau of Investigation Published by the Office of United States Department of Justice Congressional and Public Affairs, The Cover: Confron· Washington, DC 20535 William M. Baker, Assistant Director tations with irrational, violent individuals WIlliam H. Webster, Director Editor- Thomas J. Deakin are day-to-day Assistant Editor- Kathryn E. Sulewski occurrences which Mulholland The Attorney General has determined that the Art Director- Kevin J. threaten the safety publication of this periodical is necessary in the Writer/Editor- Karen McCarron of police officers transaction of the public business required by law Production Manager-Jeffrey L. Summers everywhere. (Staged of the Department of Justice. Use of funds for Reprints- Regena E. Archey training photo.) See printing this periodical has been approved by the Director of the Office of Management and Budget article p. 1. through June 6, 1988.

ISSN 0014- 5688 USPS 383-310 "The more we understand violence-prone people and their [ problems, the more we can help pollee officers humanely manage this significant social problem."

Polies in, Violent Society

Misunderstandings or overactions or other sources. The police view psy• By by psychologists and others about the chologists as people with their heads JOHN G. STRAITON, Ph.D police and their actions can occur for in clouds viewing the world from ivory Director many reasons. Biases, negative atti• towers, while the police work with Psychological Services their feet on the ground, dealing with tudes, and distorted views are often JOHN R. SNIBBE, Ph.D. fueled by negative and slanted news divergent realities in their complex and fictional portrayals of the police world. Yet, there are some similarities Clinical Psychologist and their behavior. Yet, it is very easy which must be recognized. and to see how these misconceptions Psychologists and the police LT. KENNETH BAYLESS occur. share a common "idealistic" view of Advanced Training Officer The police experience, firsthand, society. Both strive to make society Los Angeles County Sheriff's the violence that mental he.alth pro• well by working with a small percent• Department fessionals learn about through books age of its ill or problem members. And Los Angeles, CA

______January 1985 /1 while the methods used differ, the cial police unit routinely performing OJ same basic motivation remains-a their duties. Yet, in almost every epi• desire to help people. sode, numerous people were killed Both professions are basically and/or injured by this unit. From this, governed by similar ethical and social the public believed that S.w.A.T. offi• responsibilities. People, in their time cers in their community would do the of need, turn to each profession same things they have seen done on seeking help. According to respective television. "codes of ethics" and "social respon• The community reaction, although sibilies," each provides aid and serv• warranted by TV experience, is tragic, Dr. Stratton ice to those in need. It is this "service since actual statistics do not concur ethic" that brings us to our third com• with what is portrayed on television. monality-frustration, the frustration For example, from 1973 to 1982, the shared in trying to perform our re• Los Angeles County Sheriff's Depart• spective jobs. Therefore, while. we ment deployed its Special Weapons may appear, at times, as being on Team 591 times. These incidents are "opposite sides of the fence," we are often the most dangerous and difficult actually partners in an ever-increasing assignments given to law enforce• effort to make society and the world a ment. Weapons were fired on only 11 better place for all of us. occasions (a mere 1.8 percent of all A common perception of the role deployments), 5 people (.08 percent) of police in society is that of a three• died, 3 people (.05 percent) were ring circus complete with screaming wounded, and 3 shootings resulted in sirens, unholstered guns, and violent no injuries. These figures reveal that action. Most often highlighted in the modern S.w.A.T. teams belie the media and fictional accounts of police common media image and are actual• work and the news are the shocking, ly dedicated peace officers with ex• violent, and often tragic occurrences ceptional discipline. that police encounter daily. The dra• The concept of special weapons matic focus is invariably on officer teams is valuable in Los Angeles Dr. Snibbe shootings, serious and notorious County and a safety to the communi• criminal cases, and other events that ties, law enforcement personnel, and sell newspapers or raise audience rat• the suspects. No officer or innocent ings. person had been killed during 591 de• Many members of society expect ployments. In the 54 hostage situa• the police to act in the way they are tions, only 1 victim was killed by the portrayed in the media. Although it is suspect after S.w.A.T. was deployed; true that many situations require swift all other victims were rescued by the and dramatic action, the public be• efforts of this team and hostage nego• lieves basically that this is the sum tiators. Less than 2 percent of all de• and substance of police work. When ployments involved shooting situa• such things as S.W.A.T. teams are tions, and less than 1 percent of all considered, it is easy to see how deployments involved the death of a views can be slanted by the media. suspect. Only 3 people were injured, For example, in the late 1970's, a and these deployments resulted in the popular dramatic T.V. series was enti• safe arrest of 937 dangerous felons. tled S.w.A.T., which presented a spe• In other incidents, the S.w.A.T. de•

2 I FBI Law Enforcement Bulletin ployments furnished sufficient time irrational violence is neither the cause and safety to allow for nonviolent, tac• nor the cure for societal ills. As gov• tical alternatives, such as hostage ne• ernmental budgets continue to dwin• gotiations and psychological emergen• dle, more hospital beds are closed to cy teams. the mentally ill, dangerous criminals When regular, routine police as• are released earlier from jails and signments in the field are considered, prisons because of overcrowding, and the statistics are even more startling. the use of dangerous drugs increases, There are an estimated 400,000 the extent of criminal activity becomes police officers in the United States,' unpredictable. Lieutenant Bayless and if each one works approximately To the citizens of every communi• 250 days (a 5-day week for 50 weeks ty, the police represent the last line of a year), they would be working 100 defense when it comes to issues of million days, or shifts, per year. If potential violence. When someone is during an 8-hour shift, the police have being assaulted, robbed, raped, or is an estimated 10 interactions with otherwise the victim of a violent crime, people each day, whether it be traffic there is only one place to turn-the stops, providing assistance, family dis• police. And when the call for help is turbances, pursuits, dealing with the made, there is no one else to handle mentally ill, or those under the influ• the policeman's job if he fails to per• ence of drugs, there would be 1 billion form his task. Consequently, the po• people contacts per year. In those 1 liceman has an obligation to "con• billion contacts, approximately 300 front " and "handle to conclusion, " no people are killed by the police each matter what form of crime or violence year.2 he may encounter. We live in a violent society and we employ police and give them The policeman's perception of weapons to use deadly force for ev• danger in these situations and his eryone's safety. It is shocking to real• ability to handle the situation accord• ize that in 1980, handguns killed 8 ing to the law, department policy, and people in Great Britain, 24 people in training will obviously play a major Sheriff Sherman Block Switzerland, 8 people in Canada, 18 role in the outcome of such incidents. people in Sweden, 23 people in Israel, These factors become the "tools of 4 people in Austria, and 11 ,522 his trade. " people in the United States.3 Our country has 480 times more people Law Enforcement and Use of Force killed by handguns than any other Polley country mentioned.4 Those in law en• The policy on the use of force forcement are attempting to do what and firearms in the Los Angeles they can to reduce the level of vio• County Sheriff's Department, as in lence. Unfortunately, they can't do it most law enforcement agencies, is alone. The public, schools, churches, very simple. In essence, the policy courts, mental health experts, politi• prohibits the use of deadly force cians, and the media share responsi• except in cases where someone's life bility for what is happening in our soci• is in immediate danger. This means ety today. they do not shoot misdemeanants, or The police officer who stands even fleeing felons, unless the " im• alone in the street facing the reality of mediate threat to life" criterion is met.

January 1985 I 3 "The police officer who stands alone in the street facing the reality of irrational violence is neither the cause nor the cure for societal ills."

Obviously, with such a stringent appropriate weaponless defense tac• Sheriff's Department decreased nearly deadly force policy, law enforcement tics, baton techniques, and/or less 31 percent since 1978. The decrease officers must be armed with a number than lethal weapons. If all other ef• in officer-involved shootings is due, in of alternatives to deadly force in order forts fail, or if the incident escalates part, to law enforcement's training in to handle the number of confronta• rapidly, officers must use deadly force the incremental escalation of force tions they face almost daily. to protect themselves and the public. and the development of a number of Police officers are taught from There are times when deadly less lethal devices. their first day on the force that deadly force is not only appropriate but de• The era of less lethal devices force is used only as a last resort. manded by the circumstances. The began about 1978 when our depart• Therefore, courses in conflict resolu• cold reality of our violence-ridden so• ment and others in major metropolitan tion and handling disturbance cases, ciety is that there is an ever-increas• areas began to experience a tremen• including procedures for the mentally ing number of these life and death dous rise in the incidence of PCP ill and PCP abusers, are regular ele• scenarios unfolding in urban centers. abuse. With this increase came the ments of their training in the basic, as Therein lies the divergence between realization that traditional police meth• well as inservice, levels. Good training inteNention theory and its direct ap• ods of restraint were totally ineffective programs stress violence prevention plication by the policeman on the against PCP users. Both officers and and conflict resolution through a proc• street. suspects were being injured at an ess referred to as incremental escala• Fortunately, all potentially violent alarming rate because, short of deadly tion. Incremental escalation means street confrontations do not result in force, the only effective arrest tech• that when confronted with violence, deadly consequences. In fact, while nique was the "swarm" technique, the police do not immediately respond the number of potentially violent con• which entailed six or more officers in kind. If pOSSible, they defuse the frontations between the police and "swarming" a suspect and physically situation through a graduated series criminals has increased over the overpowering him. However, this of steps which begin with listening or years, the number of officer-involved method could not be used if the sus• talking to the violent person. If this shootings in the Los Angeles County pect was armed with a knife, club, or step is unsuccessful, officers are similar weapon. As a consequence of trained to escalate their response with these factors and the growing inclina• tion of officers to employ deadly force against these suspects, the sheriff's

.. I FBI Law Enforcement Bu"etin The Capture Net

department and other law enforce- the unknown side effects that could distance from the suspect, and at- ment agencies began an exhaustive be triggered when the tranquilizer tempts to link more than one section effort to develop devices that are ef- mixed with a number of other drugs of the ladder together proved unwork- fective but less lethal. that may be in the person's system. able. Therefore, the idea of using a tranquil- Experiments were also conducted Nonlethal Devices izer dart was discarded. with the bola, an entanglement device There are five criteria that must The feasibility of using a high- used in South America, which has two be met to ensure viability of a new pressure stream of water to subdue heavy balls tied to the ends of a device: suspects was also examined. Both 2- thong and is thrown at the feet of the 1) It must be reliable and accurate inch and 4­inch hose lines were used target to disable it. The major problem in all environments and weather to try to knock down or disarm a sus- with this device is that it requires an conditions. pect. Neither line proved to be effec- extraordinary amount of practice to 2) Performance must be trouble- tive. Also, there were several logistical maintain proficiency. Consequently, it free with low maintenance. problems in getting a hose line into all also was rejected. 3) Officers must have trust and the possible places a person could A jail mattress, which is some- confidence in its use. be. times used by jail deputies for protec- 4) The device must be easy to use Another item tested was the alu- tion when subduing violent inmates, so that training and proficiency minum ladder which is currently car- was also tested. The mattress, how- is easily maintained. ried in the field supervisor's vehicle. ever, was too bulky, even when han- 5) It must provide a means of The ladder was to be used by two of- dles were attached, and the suspect instantaneous deescalation of ficers to=.ithe suspect against a wall could easily outmaneuver the deputies life­threatening situations or car. U Ort tely, the ladders were if the mattress was used in places Over the last 6 years, our depart- in 4­foo sections so that they could that were not confined. ment has been vigorously searching easily fit into radio cars. This length The department also has experi- for alternatives to lethal force. In the was too short to afford officers a safe mented with shooting a suspect with a area of existing devices, one of the tear gas blast dispersion cartridge. first things looked at was the tranquil- This device dispenses a cloud of pow- izer dart. While there was a problem dered tear gas from a special gun. with accuracy, the primary risk was

­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­­______Janua~1985/5 This alternative also had its draw• In the area of weaponry, two continue to be tested by law enforce• backs. First, the tear gas seems to modifications of traditional weapons ment around the Nation. However, disable only police officers and not appeared to have promise. The first there are currently only three devices drug-crazed or mentally ill offenders. was a device referred to as the "sting that have satisfactorily passed testing Second, hospital emergency room ray." This was an M16 rifle with a by our department. Each of these personnel would suffer the effects of barrel modification which allowed it to have been deployed throughout 20 tear gas when they treated tear• fire a donut-shaped gas cloud. In stations and in jail facilities. Addition• gassed patients. theory, the cloud of air was to deliver ally, they have been deployed and In the area of new developments more than sufficient force to knock used by dozens of law enforcement to meet the less lethal need, several the suspect to the ground. It was a agencies across the Nation. other items were examined. One de• good idea, but was never perfected. The capture net is a 10-foot by velopment was called "the extended Another device considered was 14-foot nylon mesh net encircled by body noose." This item was com• rubber bullets. The intent of this drawstrings. It envelopes the suspect posed of an 8-foot pole with a padded weapon is to deliver a stunning and much like a tobacco pouch when the noose and drawstring at one end. It temporarily disabling blow to the ad• drawstrings are pulled after the net is was designed to be slipped over a versary without doing permanent thrown. A relatively harmless dry person's head and shoulders and harm. Accuracy and the potential for a chemical fire extinguisher is sprayed drawn tight. This device could be lethal blow remain the major con• at the subject to distract him just easily side-stepped and proved to be cerns. before the net is thrown, and when ineffective. Other devices have been and manpower is available, two men, each

81 FBI Law Enforcement Bulletin ______"To the citizens of every community, the police represent the last line of defense when it comes to issues of potential violence." armed with 6-foot aluminum poles, at• numerous disturbed individuals have often can become violent, extraordi• tempt to keep the subject contained been released into the streets and narily strong, confused, and disorient• in a given area, so that the net may have flooded into major metropolitan ed. The police have considerable diffi• be successfully thrown on the subject. areas. What appears to be happening culty in controlling these individuals Next is the immobilizer. This is that large numbers of distressed in• when attempting to restrain them hu• device is composed of a pair of 6-foot dividuals are now in the streets, both manely. nylon poles that have a strong chain victimizing and becoming victims of Meaningful training programs for interlaced between them. Two officers violent society. police officers need to be developed are used to handle the poles, while Economic pressures have also so that they can manage disturbed another is used to deploy the fire ex• contributed significantly to the in• and addicted individuals more ade• tinguisher as a distractor. As the fire crease of violence in our streets. Jails quately in the field. There also needs extinguisher is fired, the officers rush and prisons are overcrowded, calling to be continued development of new the subject, placing the poles behind for early release of dangerous crimi• nonlethal weapons to help cope with the person's feet. The officers contin• nals and probation in the community the disturbed, aggressive, or violent ue running past the subject, thereby rather than incarceration. There are individuals who are currently being re• trapping and immobilizing the person fewer beds in psychiatric hospitals leased into our communities. in the chain mesh. today and their cost is significantly The police will always be involved The third less lethal weapon de• higher than it was in the past. This with violent individuals, whether they ployed widely by law enforcement is again puts large numbers of dis• be psychotic, influenced by drugs, or the taser. This is a handgun-type tressed individuals on the street and involved in criminal activity. The more device that fires two dart-like elec• police officers end up intervening we understand violence-prone people trodes into the subject. The darts are when these people become overly and their problems, the more we can connected to the taser gun by tiny psychotic, violent, or suicidal. This help police officers humanely manage wires. When the trigger of the gun is cost-cutting has had a substantial this significant social problem. pulled, a pulsating current of 50,000 impact on the amount of violence in rll volts and 3.5 amperes is delivered to our society.s the body, thereby causing temporary There have also been cutbacks in Footnote. immobilization. emergency psychiatric teams, commu• , N. Katzenback, Chall6ngB of Crime in a Free Society, Report by the President's Commission on Law Although these devices are effec• nity mental health centers, and staff Enforcement and the Administration of Justice, U.S. tive and used by law enforcement, we for these facilities. Again, the conse• Department of Justice, 1967. 2 K. Matulia, A Balance of Forces, International certainly do not believe we have all quences on the police are significant. Association of Chiefs of Police, 1982. the answers and continue to search 3 1983 Handgun Facts, Handgun Control, Inc., Police officers are asked to provide Washington, DC. for additional devices and procedures basic mental health services for a 'Ibid. that will enhance our effectiveness in • A. Lehman and l. Unn, " Crimes Against large number of disturbed individuals Discharged Mental Patients in Board and Care Homes," controlling potentially violent persons. in our community. They have become American Journal ofPsychiatry, vol. 141 , 1984, pp. 271 • 274. reluctant managers of many of soci• Summary ety's rejects. In today's society, because of Another significant issue associ• various social, cultural, and legal fac• ated with the increase of violence in tors, the police are called upon to our society is the epidemic use of var• cope with a large number of dis• ious mind-altering or hallucinogenic turbed, violent, and substance-abus• drugs. The epidemic increase in the ing individuals. Because of recent use of PCP has increased the number legal trends enforcing civil rights for of explosively violent and basically un• all citizens, including the alcoholic manageable situations that the police populations, the disabled, drug-influ• are asked to manage. Individuals on enced individuals, and the mentally ill, PCP are very unpredictable and they

______Janua~1985/7 By M. MICHAEL FAGAN Associate Profr'>Sor of Psychology and KENNETH AYERS, JR. Assistant Professor of Criminal Justice Department ofBehavioral Sciences Kentucky Wesleyan College Owensboro, KY Professors of the Street Police Mentors "Although police cadets train extensively for their occupation, training is not complete until they work the streets under the guidance of a seasoned veteran."

In Greek legend, Mentor was a ment, researchers and practitioners loyal friend and wise advisor to Odys- have noted that beginning managers seus. In modern times, "mentor" has need mentors to succeed in the busi- come to mean any wise advisor, es- ness world. 2 pecially an older, more experienced Mentoring is also important in law one. Although mentoring is an ancient enforcement. Although police cadets practice, the concept has received a train extensively for their occupation, great deal of recent attention from training is not complete until they two different circles. In developmental work the streets under the guidance psychology, researchers who have of a seasoned veteran. As one experi- studied the process of adult develop- enced patrolman advised, ". . . forget ment have found that mentors facili- everything you learned in the Acade- tate the psychological growth of my, 'cause the street is where you young adults.' In business manage- learn to be a cop.'" 3 Certainly this

8 I FBI Law Enforcement Bulletin ______advice is overstated, but the point is that could be called red by a fuzzy• valid-classroom preparation is not eyed drunk. It was a rusty brown. And enough. On-the-job experience, Gandy (the suspect) was standing a guided by a wise mentor comple• little too casually there in the parking ments good training. lot. He was too cool and he gave me too much of an 'I got nothing to hide' Case Study look when I was driving around eye• In The New Centurions, Joseph balling everybody that could possibly Wambaugh describes a good mentor• be the guy. And when I came back ing relationship.4 Gus Plebesly, the around he had moved to the other young rookie, is paired with Andy Kil• side of the lot but when he sees us vinsky, a 20-year veteran. After meet• he stops to show he's not walking • ing each other, ti)ey walk toward their away. He's got nothing to hide. I know patrol car, and Kilvinsky, pointing to this means nothing by itself, but these the pictures of policemen killed in the are some of the little things. I just line of duty, -offers the following knew, I tell you." 6 advice: "See those pictures, partner? Eventually Kilvinsky retires and These guys aren't heroes. Those guys rarely sees his former partner, but just screwed up and now they're part of Kilvinsky remains with Gus. dead. Pretty soon you'll get comforta• Wambaugh quotes Gus, now a veter• ble and relaxed out there, just like the an, explaining police work to his new rest of us. But don't get too comforta• partner. "You can't exaggerate the ble. Remember the guys in the pic• closeness of our dealings with ture." 5 people." said Gus. "We see them A few hours later Kilvinsky dem• when nobody else sees them, and onstrates the kind of knowledge that when they're being born and dying cannot be learned from a textbook. and fornicating and drunk. Now Gus While the two officers investigate a knew it was Kilvinsky talking and he forgery, a drunk woman says she was was using Kilvinsky's very words; it offered $10 to pass a bad check by a made him feel a little like Kilvinsky middle-aged black man of average was still here when he used the big size, wearing a red shirt. Kilvinsky cir• man's words and that was a good cles the block twice and stops a man feeling." 7 wearing a brown shirt who is neither Wambaugh described the proc• middle-aged nor of average size. ess of identification, an important part of mentoring. The protege wants to Much to the surprise of the rookie, he is their man. be like his mentor and will eventually After booking the suspect, Gus adopt some of his traits. asks his partner how he knew, and Research Study the veteran gives the following ex• plantion: "I don't honestly know how I For our study, we constructed a knew. But I knew. At least I was pretty survey that asks subjects about their sure. The shirt wasn't red, but it experiences as a protege and as a wasn't green, either. It was a color mentor. (See fig. 1.) We sent the survey to about 150 police officers in Kentucky, Texas, and Pennsylvania. About 70 subjects returned usable

January 1985 / 9 ~,

Sllmple Itema from the --.mortng Survey

1. How do you feel about your current occupation? (check one) ­­­A. I am very satisfied with _C. I became friends with my occupation. several experienced Components people who helped me _B. Most of the time I like my The literature suggests there are get started, but no one work, but sometimes I three components to a strong person was especially get dissatisfied with my mentor/protege relationship: 1) Coach- influential. work. ing, 2) identification, and 3) friendship. __D. None of the experienced _C. Most of the time I am Our survey included questions related people took a special dissatisfied with my work. to these components. interest in me. As coaches, the veteran police __D. I am very dissatisfied _E. Other: _____ officers helped the rookies in the fol- with my work. 3. Oid you "pick­up" or learn any lowing ways: __E. Other: (If none of these of your mentor's characteristics? In 1) Most protege (76 percent) statements come close other words, did you incorporate indicated that their mentor to expressing how you any of your mentor's traits into your helped them gain self- feel about your own personality? (Check any trait(s) confidence; occupation, please tell us that you feel were learned from your in your own words.) __ 2) About 40 percent said that their mentor or strengthened by his/her advisor had listened to their example.) Check as many as ideas and encouraged their 2. Think back to when you were appropriate. creativity; first starting in your current 3) About two­thirds said their coach ­­­A. Honesty occupation or beginning to train helped them learn the technical for the job. Which of these __B. Frank and outspoken aspects of police work; and statements best describes your _C. Disciplined and hard- 4) Almost half of the rookies said mentoring experiences? (check working that their mentor helped them one) understand the administration of __D. Dedication to job ­­­A. When I first started this the department and taught them occupation, I became __E. Dedication to family how to "work with people." friends with a more- __F. Patience To measure the degree of identifi- cation, we asked, "In the early stages experienced person who __G. Persistence took me "under his wing" of your relationship, did you look up to and helped me out. __H. Shrewdness this person and want to be like him __B. When I first started this __I. Political sophistication (her)? Check one: A. Definitely yes, B. Somewhat, C. No." The majority (78 occupation, I became ­­J. Independence friends with several percent) of those police officers who __K. Neatness experienced people who had a mentor gave an A or B re- helped me out and one ­L. Tactfulness sponse, and 21 percent of this total of them was especially _M. Other: ______identified strongly (A response). influential. Nurses identified more intensely with their mentors than did police officers or teachers. surveys. We also administered the (diffuse mentoring). Nurses and teach- Responses to the survey indicat- survey to 87 nurses and 107 public ers did not differ from police in this re- ed that 10 particular traits were school teachers to use as a compari- spect. Most police mentors (80 per- strengthened through identification. son group. cent) were veteran patrolmen, not The results of this study indicated high­ranking officers. Nurses, but not that almost all (91 percent) rookie teachers, differed in this respect- police officers had some mentoring, head nurses had mentored on a regu- and about half of these received guid- lar basis. ance from several veterans with no one person being especially influential

10 I FBI law Enforcement Bulletin " , . . forget everything you learned in the Academy, 'cause the street is where you learn to be a cop.'"

Some of those mentioned more fre• The fact that many professionals Finally, there is that small, but quently were dedication to the job I from diverse settings reported similar vocal, minority in our police depart• tactfulness, patience, independence, mentoring experiences suggests that ments who have never had a mentor, and honesty. mentoring is flourishing. Among our do not want one, and do not intend to Thirty-six percent of the officers sample, veteran police officers helped be one. This attitude was expressed who had mentors considered them all but a small number of the new• by one of our subjects: " I've never "very good friends," and another 37 comers. The remaining officers re• really had a mentor, don't want one. I percent said they were " rather friend• ceived either diffuse mentoring or the self-educated myself to this pOint, with ly" with their mentors. Twenty-five guidance of a special mentor. problems, but I feel a more since (sic) percent indicated that they did not We were concerned that the of pride and the habits I have are my have a close personal relationship tough, independent image of the own and not related to the mentor with their mentor. Although 73 percent police officer hindered his receiving process." This minority needs further of the police officers were friendly and giving help. However, in our attention. with their mentors, only 24 percent study, mentoring was as prevalent in Although most rookies are guided saw them socially. This pattern exist• the police profession as it was in the by mentors, some miss out on this ed also for nurses and teachers. two professions noted for their nurtur• process, and there is a great deal of ing ability. inconsistency even among the best Correlational Data The positive relationship between police mentors. In an effort to correct USing the Chi Square Test of As• mentoring and job satisfaction sug• these two problems, many police de• SOciation, we correlated having a gests the value of this process. The partments have developed Field mentor with job satisfaction, rank, data on identification lends additional Training Officer (FTO) Programs. being a mentor, and job burnout. (We support to the value of mentoring. Any had to group the three occupations relationship that increases dedication, FTO Programs together for this analysis to eliminate tactfulness, honesty, persistence, and In a typical FTO program, the empty cells.) The relationship be• independence should be encouraged. graduating cadet leaves the academy tween having a mentor and job satis• In spite of these optimistic find• to ride with a veteran FTO who volun• faction was significant, indicating that ings, there is still a need for improve• teers to " break in" the rookies on a subjects who had a definite mentor ment. For example, our data indicates regular basis. Most FTO's train for this were more satisfied with their work that fewer supervisors are mentoring position and receive incentive pay. than those who either had no mentor• young officers (significantly more The novice officer works with the FTO ing or diffuse mentoring. The relation• nursing supervisors are mentoring). for a specified time period, usually be• ship between having a mentor and Sergeants and lieutenants should take tween 3 to 6 months. The veteran being a mentor was also significant; a more personal interest in their pa• teaches and evaluates his understudy those who had a mentor were much trolmen. on points of law, driving skill, depart• more likely later in their career to be• Although more research is mental procedure, etc. At the comple• friend and guide a novice. needed to clarify this pOint, we sus• tion of field experience, the FTO rec• There was no relationship be• pect that just "on-the-job mentoring" ommends termination from the de• tween having a mentor and rank, and is not as beneficial as a more com• partment, another FTO experience, or the relationship between having a plete mentoring experience-one that advancement to solo officer status. mentor and job burnout was not in the includes professional, personal, and Although the FTO concept seems predicted direction-those who had social influence. Therefore, we en• like a reasonable way to ensure good more than one mentor were more courage a well-rounded mentoring ap• mentoring, there is always something likely to burn out than those who had proach that includes more than just lost when an organization formalizes a only one mentor or none at all. professional matters. social experience like the mentor/pro• tege relationship. In a preliminary study of five FTO Programs-Hous• ton, TX, Jefferson County, KY, Fresno, CA, Fairfax County, VA, and

______Janua~19B5/11 "Although some have critical police mentoring because it 'guarantees that tile organization will not change over long periods of time,' we believe that mentoring is the culmination of good training."

Dade County, FL-three threats to suffers. An observation made in the ment­one that is more conducive to good FTO mentoring were revealed, Fresno study was that "the evalua- mentoring. including too much standardization, tions and monitoring of the trainees' too much evaluation, and too much performance frequently precedes Authority authority.8 training. Trainees have stated that The best mentor is between a often when they are evaluated, they parent figure and a peer­perhaps Consistency are not given the training needed to like a "big brother" or "big sister." 10 There is a "catch-22" to the FTO rectify errors. They perceive this activ- If the mentor is too much like a concept. Police departments adopt ity as defeating the purpose of the parent, the young adult does not have FTO programs for various reasons, Field Training Programs." 9 the freedom to grow.ll By surveying but two of the goals are somewhat If the FTO is perceived as a criti- police officers, nurses, and teachers, conflicting. FTO programs are de- cal evaluator who can terminate a we found that senior colleagues signed to standardize field training career before it really begins, the at- served as mentors much more fre- and to take advantage of the personal mosphere is too tense for teaching or quently than supervisors.1 2 one­to­one relationship between a re- good mentoring. In a good mentoring Theoretically, this philosophy cruit and his FTO. If a department em- relationship, the protege feels com- seems consistent with the FTO pro- phasizes the former, mentoring suf- fortable enough to ask questions. gram where rookies are assigned to fers; if the administration encourages The five FTO programs analyzed fellow patrol officers. But in practice, a strong personal relationship and in- required at least weekly evaluations; some FTO's wield too much authority dividual tutoring, field training is less all of the evaluations were thorough, over their understudy. This is partly consistent. covering driving skills, report writing, due to over­emphasis on evaluation Some programs expect the FTO rapport with citizens, etc. The Jeffer- and screening and partly due to the to take an individual approach. Al- son County Department provides a 1- personality characteristics of some though they expect a reasonable week "limbo period" with no written FTO's. In any case, the result is poor amount of consistency in field training, evaluation, with formal written evalua- mentoring. they encourage the FTO to use his tions beginning in the second week. The " inferior/superior syndrome" unique, personal style and they em- The Houston Police Department was seen as a serious problem in the phasize the importance of personal has modified their procedure to cor- evaluation of the Fresno FTO pro- discretion and expect the FTO to rect the evaluation problem. Initially, gram. Although most FTO's were rea- model sound decision making. Other the Houston FTO's trained and evalu- sonable in their use of authority, some programs stress the development of ated their rookies for a 3­month were not. Graduates of the FTO pro- skills and the learning of policies and period before recommending retrain- gram have indicated the following: procedures. ing, advancement, or termination. 1) "The field training officer/trainee Most of the FTO's found the role of relationship does not allow for Evaluation teaching incompatible with the role of much freedom of intercourse as FTO programs must find a bal- evaluation, so the department trained the trainee is always subservient ance between evaluation and teach- a group of FTO's especially for eval- to the FTO who mayor may not ing. One of the purposes of the FTO uation. After 3 months of FTO teach- be on a power trip. . . ." program is to weed out incompetent ing, the rookie rides with a new FTO 2) "Some (FTO's) were overbearing police officers while they are still on who evaluates the trainee's perform- with God­like attitudes." probation. Every police chief knows ance for 2 weeks and then recom- 3) "FTO is very knowledgeable, how difficult it is to prove incompe- mends retraining, advancement, or however is very reluctant to help tence and fire the negligent officer. termination. This procedure enables his 'inferior' trainee. I felt that his The FTO program provides the eval- the original FTO to work with the whole thing was to keep this uation and documentation needed to trainee in a more relaxed environ- trainee in constant turmoil, do this; however, if this aspect of the possibly to see if you could cut program is emphasized, mentoring it." 13

12 I FBI Law Enforcement Bulletin In summary, there are three Although "chemistry" is important 6) Trainees who represent a major threats to the mentoring poten- in mentoring, formal mentoring pro- minority need two strong FTO's. tial of the FTO program: An overem- grams have worked well in many or- For example, a female cadet phasis on standardization, too much ganizations, including police depart- should be assigned to a female evaluation, and authoritarian FTO's. ments. Therefore, we recommend ex- FTO who can sympathize with perimentation with FTO programs. her particular situation and to an Conclusion FTO programs strive for goals understanding male FTO who Although some have criticized other than good mentoring and ad- can inform the rest of "the police mentoring because it "guaran- ministrators must consider these fac­ . boys" that she is "ok." tees that the organization will not tors. However, the following recom- 7) Arrange and encourage outside change over long periods of time," 14 mendations deserve serious consider- social activities for FTO's to we believe that mentoring is the cul- ation: relate in an informal way with mination of good training. Police de- 1) Do not stress standardization to their trainees. partments should encourage good the point where FTO's are Something is always lost when mentoring by either facilitating infor- unable to contribute their unique one formalizes and structures a social mal mentoring or by developing sound personality and style to the phenomenon, like mentoring, but the FTO programs. training of their understudy. loss need not be fatal. Sensitive ad- Some researchers and practition- 2) Do not overemphasize ministrators can operate FTO pro- ers believe that mentoring cannot be evaluation. Allow the trainees at grams that capture many of the bene- forced or contrived. Therefore, some least a one month "grace fits of good mentoring. departments may choose to promote period" without a written, formal lBI mentoring but not through an FTO evaluation, or consider program. Police administrators can im- Houston's procedure­bring in new FTO's to do the formal prove informal mentoring in several Footnote. ways, including: evaluation at the end of the 1 D. levinson. et al.. The Seasons ofa Man's Life training period. (N.Y.: Ballantine Books. 1978); G.E. Vaillant. Adaptations 1 ) Teach novice and veteran to Ufe: How the Best and Brightest Came ofAge 3) Do not allow authoritarian (Boston: little. Brown and Co .. 1977); A. Burton. " The officers the importance of good Mentoring Dynamic in Therapeutic Transformation." The mentoring. Provide them with overbearing police officers to American Journal of Psychoanalysis. vol. 37. 1977. pp. become FTO's. 115­122. good examples like Wambaugh's 2 G.A. Roche. " Much Ado About Mentoring." Kilvinsky. 4) Develop a battery of instruments Harvard Business Review. vol. 57. January­February 1979. pp. 14­28; E. Collins and P. Scott. "Everyone Who 2) Reinforce veterans who show a to measure Erickson's 15 trait of Makes It Has A Mentor: Interviews with F.J. lunding. G.lo sincere interest in helping generativity (a concern for the Clements. and D.S. Perkins." Harvard Business Review, vol. 56. July­August 1978. pp. 89­101 ; M.F. Cook. " Is the beginners. Praise, extra training, younger generation), and use Mentor Relationship Primarily A Male Experience?" The this personality variable­along Personnel Administrator, vol. 24, No. 11 . November time off, and pay raises might be 1979. pp. 82­86. effective reinforcers. with other factors­to select 3 J. Van Maanen, Wharton Magazine. Fall 1976. pp. FTO's. 49­ 55. 3) Arrange the working • J. Wambeugh. The New Centurions. (Boston: little. environment so that it is 5) Try to match FTO's with similar Brown and Company, 1970). • Ibid., p. 64. conducive to veteran and rookie trainees. Experiment with an • Ibid.• p. 80. officers becoming friends. adjective checklist or an 1 Ibid.• p. 170. • We studied the FTO Programs of Houston. TX. Promote after­work social activities checklist. Pair a trainee Jefferson County, KY. Fresno. CA, Fairfax County, VA. with an FTO who responds in a and Dade County, Flo activities, such as a bowling • Fresno Police Department Field Training Program league, fishing trips, etc., where similar manner on the checklist. Evaluation Accession No. 0990.00.063855 (Rockville, MD: National Criminal Justice Reference Service, 1979). young officers can become 10 levinson. supra note 1 . friendly with veterans. 11 Ibid. 12 M. Fagen, and K. Ayers, The Adult Development 4) Sergeants and lieutenants of Police Officers. Paper presented at the meeting of the should take a more personal Academy of Criminal Justice Sciences, Oklahoma City, OK. April 1980. interest in their rookies. 13 Supra note 9, pp. 26, 163­164. ,. Supra note 3. ,. E.H. Erickson. Childhood and Society (New York: W.w. Norton, 1950).

­­­­­­­­­­­­­­­­­­­­­­­­­­­______Janua~1985/13 Interstate Identification 'Index "Establishing a national system to provide automated criminal history information requires considerable effort and close coordination with many agencies."

Criminal arrest records concern• Michigan, Minnesota, Missouri, Ne• By ing 9 million individuals are pres• braska, New Jersey, New York, North ently accessible through the FBI's Na• EMMET A. RATHBUN Carolina, Ohio, Oregon, Pennsylvania, tional Crime Information Center South Carolina, Texas, Virginia, Wash• Supervisory Management Analyst (NCIC). In most cases, the requested ington, and Wyoming. The FBI pro• National Crime Information Center records are provided in minutes. This vides records for all other States, Federal Bureau of Investigation rapid availability is proving to be in• Federal agencies, the District of Co• Washington, DC valuable to investigators, prosecutors, lumbia, and U.S. possessions. Limited courts, and other users of NCIC. A co• data from some foreign countries are operative Federal/State effort known also provided. as the Interstate Identification Index Establishing a national system to (III) is making possible this record ex• provide automated criminal history in• change. The III concept would decen• formation requires considerable effort tralize the FBI's record keeping re- . and close coordination with many sponsibility by making the States pri• agencies. The records originate from marily responsible for record mainte• more than 17,000 arresting agencies nance and dissemination. Agencies in the United States, as well as from using the relatively new system have some foreign countries (which submit acclaimed it as one of the greatest data to the FBI when a U.S. citizen is new assets since NCIC was initiated arrested). Records are supported by in 1967. information on a criminal fingerprint Twenty State identification bu• card completed at the time of arrest. reaus are either participating in III by In the 20 participating States, the fin• assuming responsibility for dissemina• gerprint cards are first submitted to a tion of their records or are actively State identification bureau for proc• working toward participation. When essing and the assignment of a State NCIC receives an online request for a identification number. Two cards are record originated in one of these forwarded for each individual so that States, NCIC automatically sends a one can be retained at the State level message to the State computer so while the other is sent to the FBI the State can respond directly to the Identification Divison. If no prior requesting agency. The State identifi• record is on file, the FBI assigns an cation bureaus are located in Califor• FBI number and a new record is es• nia, Colorado, Florida, Georgia, Idaho, tablished in the Identification Division computer. A corresponding index record also is created in the NCIC III identifying the State of origin that will provide the record upon request. For arrests in other than the 20 participat• ing States, a III record is established with the FBI as the agency responsi• ble for providing the record.

14 I FBI Law Enforcement Bulletin The use of III has increased by waiting for .the response to be re• more than 25 percent during the last turned (usually within a few minutes). year as Federal, State, and local The actual process of providing the agencies become more familiar with record is more complex and involves the system's capabilities. Over as many as seven or more computers 500,000 inquiry transactions are proc• located in various parts of the country. essed each month. The majority of (See fig. 1.) these are "name checks" used to de• termine if a person has a criminal his• The Concept tory. On the average, a positive re• The FBI's involvement with III Mr. Rathbun sponse is provided for one out of four began in April 1978, when a formal• inquiries. The responses include iden• ized concept was developed by a tification information such as an indi• "working group" of NCIC users. The vidual's name, aliases, place of birth, group met to discuss a means of physical description, scars, marks, eliminating the FBI arrest records that and tattoos, identifying numbers, and duplicated those kept at the State fingerprint classification. Based on this level. data, the person making the inquiry With the NFF, fingerprint contribu• determines whether the record can be tors would channel fingerprints associated to the individual being in• through State identification bureaus quired upon. (About 9 percent of the for processing. Two cards would be positive responses will contain multi• forwarded when the contributor was ple records with similar names, birth uncertain whether the person had a dates, sex, and race.) prior record established with the FBI. Inquiry transactions are proc• One card would be retained at the essed at a remarkable rate by the State level and the other sent to the NCIC computer. The time required to FBI Identification Division. When the search the 9 million records (more contributor was certain that an arrest• than 20 million names and aliases) is ee had a prior record with the FBI, about 1/4 of a second. only one set of fingerprints would be In addition to inquiry capability, submitted to be used for updating the the III provides a means for author• State file. Thus, the States would ized NCIC users to obtain criminal his• become the primary record holders tory records by using a computer ter• with the FBI serving as a national minal. Record requests must contain index. The III system would provide the unique FBI number or State identi• for the interstate exchange of records. fication number assigned to an indi• Three phases were eventually de• vidual. NCIC users obtain these num• veloped to test the feasibility of the III bers either from a III "name check" or concept; two phases have now been from criminal records previously ob• completed. The first phase tested the tained in response to a fingerprint exchange of single-state records (rep• card submission. More than 50,000 resenting persons arrested in only criminal histories are provided monthly one State); the second phase tested through the III. the exchange of multistate records For an NCIC user, requesting a (representing persons arrested in record is simply a matter of transmit• more than one State); and the third ting a message from a terminal and phase to be tested will be the Nation-

January 1985 / 15 RECORD REQUEST ROUTE State A State B Computer Computer

Local State Computer Computer al Fingerprint File (discontinuing the sending of fingerprints to the FBI for the second and subsequent arrests). FBI Ident. DIY. At the end of phases one and two, an Computer evaluation was made concerning the operational/technical, fiscal, manage- rial, and political impacts of the pro- RECORD RESPONSE ROUTE gram.

PHASE I Phase I began in June 1981, using records of persons arrested only in Florida. The test was expand- ed in February 1982, to include five additional States with about 1 .25 mil- lion records being made available in the test file. These records had previ- ously been available from the NCIC * State record responses are transmitted computerized criminal history file. This through the National Law Enforcement testing demonstrated that State Telecommunications System, Inc. records could be exchanged interstate located in Phoenix, AZ. through the use of a central index in NCIC. Existing systems and resources of the criminal history. A separate State records. About one­half of the were used during the first phase to transaction was used to request records available during this phase minimize the fiscal impact. Summa- records from the State and Federal could be provided automatically by rized criminal records were provided files. Participating States were re- the NCIC or State computers. The re- online by the States. Since Congress quired to respond with records of suf- mainder could be requested online had prohibited the use of NCIC for re- ficient detail to satisfy the majority of with an NCIC transaction, but the re- laying messages from State to State, agency needs. A revised Federal sponse was mailed by the FBI and these records were provided to the record was developed to serve the two of the State participants. The requesting terminal via the National same purpose. mailing of records was considered to Law Enforcement Telecommunica- PHASE II testing began in Febru- be an interim procedure pending the tions System, Inc. (NLETS). When re- ary 1983, with records being provided test results and completion of addi- quested, more detailed records were by 14 State agencies and the FBI. A tional automation capabilities. provided by mail. About 80 percent of greatly enlarged III data base was cre- Among the questions to be an- the user agencies expressed satisfac- ated by merging the index records swered by this test was whether users tion with the service provided during from phase I with additional index would be satisfied with receiving parts this first phase. records computerized in the FBI Iden- of multi state records from different tification Division. More than 7 million sources at different times in different PHASE II individuals were initially represented in formats. During May and June 1983, Based on user comments during the test file. A revised name matching the FBI sent more than 2,000 survey the first test and other test findings, a technique was installed in III to ac- messages to agencies receiving the III plan was devised to conduct a commodate the enlarged file and to multistate record responses. About second phase test of III. The online increase responsiveness to inquiries. one­half of the surveys were returned. summary record was replaced with an Through an extensive computer According to the survey results, most NCIC III response providing only iden- matching process, the index records of the records (73 percent) were re- tification information and the location were correlated with corresponding quested for criminal investigation pur-

16 I FBI Law Enforcement Bulletin

J poses. The second greatest use (7 System Security for the State. The State then com• pares and validates its records ac• percent) was- for bail/bond hearings. The FBI shares NCIC manage• cordingly. Ninety-six percent of ' the users report• ment responsibilities with control ter• ed their needs were satisfied by the minal agencies that service users record responses.' Generally, the under their supervision, An example Restricted Use of the System user comments were overwhelmingly . of such an agency would be a State During the first two phases of III favorable regarding the information police organization which connects testing, the use of records was re• being obtained via III. many local departments to NCIC stricted to only criminal justice and One user stated that "the III through a State computer, Control ter• criminal justice employment purposes. system is the greatest help that NCIC minal agencies sign written agree• This restriction was necessary be• has come up with. I, as well as others ments with the FBI which state they cause of conflicting State laws and in my department, appreciate it very will conform to the rules, policies, and policies regarding the dissemination of much," procedures governing III operations. records for other employment and li• Two side benefits became appar• These agencies, in turn, prepare and censing purposes, Uses of III along ent during the second phase that ex• execute similar agreements with users with the feasibility of the National Fin• ceeded all expectations. First, there they service. All agencies are thereby gerprint File, are to be addressed in was improved data quality made pos• bound to a set of guidelines regulating the phase III, due to begin in 1985. sible by the computer matching of who may access III, the authorized Two contractors to the FBI are per• State and national records. Discrepan• uses of the system and derived data, forming the preliminary analysis of cies between the files were identified, the required minimum security meas• State and Federal agency use of studied, and resolved improving the ures, etc. criminal records for noncriminal justice quality of thousands of records. purposes. Second, there was substantial cost Computerized access tables are savings realized by State agencies maintained in the NCIC and the sys• participating in the program. The State tems operated by control terminal Conclusion computer interface with III provided agencies. The tables are used to re• The III concept for the interstate automatic update capability of the strict agencies from accessing III if exchange of criminal records has State file for newly assigned FBI num• there is not a signed agreement and been tested successfully through two bers. This feature replaced the mailing to allow access only through author• phases of development. Local, State co~munication of forms and eliminated the manual ized lines. and Federal use of the system is in• matching and data entry previously creasing, Pending the design of a performed by State personnel. There is written and/or computer• , third phase test, the III will continue to ized logging of all transactions to provide records for authorized NCIC Present Status assist in the auditing of user agencies users. and in the investigation of alleged Each month, more than 60,000 After the favorable evaluation of system misuse. Whenever there is a new records are added as persons the second III test, the FBI invited all k'nown violation of either security or other States to join the III program are arrested for the first time. At this record dissemination requirements, the rate, the File will represent about 13 and begin furnishing their State offending agency's ability to access III million individuals by the end of 1990 records. So far, Idaho, Ohio, and is suspended, Reinstatement may be and will include everyone age 34 or Oregon have become active partici• made upon satisfactory assurance that younger with an arrest record identi• pants. During September 1984, the the violation has been corrected, fied by fingerprints on file with the records of the FBI Identification Divi• FBI. sion were made accessible online, At least twice a year, records in rBI eliminating the mail delay. Of the two III are synchronized and validated w.ith States that still mail records in re• the corresponding State records. To Footnote sponse to a III request, one State accomplish this process, the FBI pro• , A report on the findings and recommendations should be able to provide automated vides a computer tape to each State concerning the second phase test may be requested from the FBI. National Crime Information Center. records later this year. which contains the III records indexed Washington. DC 20535.

January 1985 / 17 Criminal Codes and Ciphers What Do They Mean?

Cryptology, the study of secret By When a bookie enciphers the name "Harry Smith" using this system, it ap- writings, covers a broad spectrum of JACQUELINE TASCHNER human activity. As long as man has pears as: Cryptanalyst been able to read and write, he has and wanted or needed to keep some of n J r­ r. ~ V!J r> ., these writings secret. Whatever can ARTHUR R. EBERHART HARRY SMITH be written can be encrypted, abbrevi- Special Agent ated, over simplified, or just plain Laboratory Division While an investigator may be baf- mangled. However, the services of a Federal Bureau of Investigation fled by these symbols, a trained crypt- cryptanalyst may be required to deter- Washington, DC analyst could decipher it with little mine the meaning of these writings. effort. The FBI Laboratory examines Besides these simple substitution such puzzles, ranging from highly so- ciphers, gambling jargon, which itself phisticated cipher systems to docu- represent a $2 wager made by John is a form of code, can be decrypted ments containing "meaningless" cryp- Doe on Horse #7 running in the third by a cryptanalyst. Solving these tic notations. Laboratory personnel race at Aqueduct. (See fig. 1.) simple codes is based on the apply the principles of cryptanalysis Sports bookmakers often record common characteristics of gambling not only to clandestine business sports wagers using the team num- records, fundamentals of cryptanalytic records related to gambling but also bers printed in different sports publi- procedure, and the use of reference to suspected criminal documents from cations. For example, the notation materials, such as the Daily Racing prostitution, loansharking, and drug "14­500" seen in figure 2 means a Form and sports schedules. cases. These specialized examina- $500 bet was placed on the Philadel- Concealing bettors' and other tions are a blend of cryptanalysis and phia Stars. bookmakers' telephone numbers has analysis based on specific knowledge Bookmakers have also relied on long been a major concern of illegal of different illicit business transac- a very old "masonic cipher" to dis- bookmakers. If most of the telephone tions. guise important information as unintel- numbers are from the same town ligible symbols. This system uses two having a single telephone prefix, de- Examination of Criminal Documents tic­tac­toe diagrams and two "X" pat- leting the first two digits of the tele- Most "bookie codes" are simple terns to represent the letters of the al- phone number may be enough to fool substitution codes. The bookmaker phabet: the untrained eye of the investigator. disguises the true meaning of his For example, Harry Smith's telephone records by simpiy substituting an ab- number, 752­0321, in Wellstown will breviation, symbol, and/or shortened ~ be recorded as "20321." The book- form of the word or words. For exam- maker knows that all the Wellstown ple, a horse bookmaker may record W prefixes are 752. wagers placed on different horse A more complex telephone races at New York's Aqueduct Race- number cryptosystem uses an additive track by merely using the horse's (a series of numbers added to one or numbers, race numbers, and the letter all of the digits in the telephone "A." The notation "3A7 2 JO" would number). For example, a series of 1 's

18 I FBI Law Enforcement Bulletin "As long as man has been able to read and write, he has wanted or needed to keep some of these writings secret."

Figure 1 Horse race bets digit from 1 through O. Using the key- word "CUMBERLAND," the bookie .John Doe CBettorl will encipher Harry's telephone number as "LEUDMUC:" raa'er r race at Aqueduct .3 A"1 HDrse '7 CUMBERLAND $2.00 to vin Keyword Digits 1 2 3 4 5 6 7 8 9 0

752­0321 Harry's true telephone number LEU DMUC Encrypted number found in the bookie's tv'\S Mary Smith (Bettorl notes wa*e'rs The cryptanalytic attack on 4t race at Bowie 4 B3 4-4 HDrse 13 records containing such enCiphered $4.00 to win, $4.00 to place telephone numbers involves identify- 5th race at Bowie ing the 10 letters, LEUDMC plus , Korse tl ABNR (developed through other tele­ 5 B JJ.J.. $2.00 to win, place and show

7th race at Bowie &9 XXJ.- HDrse 19 Figure 2 1 $2.00 to show (no win or place bets) ® $16.00 total wager

can be added to the telephone sent that particular number. However, number given for Harry, making the since "1" and "0" have no such des- notation in an address book "Harry ignations, the letters "a" and "Z," re- 863­1432." However, that number spectively, are used as cipher equiva- could be nonexistent, and the investi- lents for these digits. (See fig. 3.) This gator would not easily associate this system provides variants which help phony number with the true bettor, disguise the substitution process. Harry Smith, without the help of a Thus, Harry's telephone number, 752- cryptanalyst. 0321, would be recorded as "PJA- The telephone itself provides a ZECO." simple substitution system which the A more­sophisticated telephone bookie can use to record telephone number encryption system uses a 10- numbers. One of three letters printed letter keyword having no repeated let- above a digit may be used to repre- ters. One letter is substituted for each

______Janu&y1985/19 Figure 3 Telephone dial and letter equivalents Figure 4 Portion of evidence seized in PCP laboratory n,'l,n,!I, oIo lo.} ABC DEF ... , 1 2 3 .sf. '.l,.5',Jl.~. ,,l, I'. lol, .t1,Jl 8 ".5" ® ft.5" * "'.11 , 56. @ U ,s.. 9 " ,s. @ ,.a I, oJ,. J,.4 ® tt,Q. @> n ,Q. @ Harry 's telephone number: GHI JKL MNO 1I.04~.It,n.J'.if.J1..U.I.oll •. n,_'.Jl § tt .,n ~ n,SI. ® 4 5 6 ~ ~ 752­0321 •• " • .:t, 'l JI.I• • •. n.... e ..... @ ..... @ "- 11 . Jl.~I PRS TUV WXY Encrypted numbers: J • .u..n.u,J'. J. J1 ..... •.!Il 9 ft,Sb e ",SO (3) 7 B 9 ".'1 @II@'!@ PKA Z1"Co. ,II, If., " • .54 ® 'l -- RJB ZEBo. 1t...... 39. S II I® II @ (Zl SLC ZDAo. I.II,Jl.J.l,.YI, oll,Jl e 11,510 <8 ff,Q. G) *' 0 PJA ZDAQ, etc. 3,J1,.I.1.1",J1••1.I,31 ~ u,~ ® 5b _ ~ phone numbers). These 10 letters are which a chemist tried to disguise the With these types of patterns, the then anagrammed (rearranging the records of his clandestine phencycli- cryptanalyst must focus on the case letters to form a readable word or dine (PCP) laboratory. When Drug En- to determine why they occur. Since words) by pairing letter combinations forcement Agency agents raided the this was a drug case involving a frequently used in the English lan- laboratory, they located notebooks chemist, chemistry or chemicals guage, such as ER and AND. Through containing page after page of one- would be a good starting point. With trial and error, the cryptanalyst will and two­digit numbers. (See fig. 4.) a little research into basic chemistry, anagram the correct keyword. Proof From the decryption, a chart the pattern was found to resemble the of the accuracy of the keyword comes could be constructed showing the re- structure of the standard Periodic from the criss­cross directory 1 and lationship between the numerical Table of Elements. The "atomic num- local telephone books. cipher text equivalents and the plain bers" of the elements in the first text lettj3rs. This substitution chart column are the same as the first Examination of Drug­related was: seven equivalents in the cipher alpha- Records 1 3 11 19 37 55 87 4 12 20 38 56 88 bet: Keyword systems for telephone ABCDEFGH IJKLM numbers are not limited to illegal gam- 21 39 57 89 22 40 72 23 41 73 24 42 74 Atomic bling operations. In a drug­related N 0 P Q R STU V W x y z Number 1 3 11 19 37 55 87 money laundering scheme, investiga- With this information, the Cipher Letter ABCDEFG tors sent telephone address books is readable, but the analysis was only containing strange notations to the partially completed. The reconstruc- The atomic numbers for the first six FBI Laboratory for analysis. The docu- tion of the key (used to remember the columns of the periodic table were ments were suspected of containing system) was then required. Analysis used as the key for the ciphers. (See telephone numbers of individuals in- of the substitution numbers revealed a fig. 5.) A periodic table hanging on the volved in the operation. Subsequent pattern when the numbers were re- wall by the chemist's workbench sup- examination determined the letters of grouped as follows: ported this hypothesis. the keyword, MONEYTALKS, were 1 Even so, examination of this ma- used to represent the digits 1 through 3 4 terial had yet to be completed. The O. The decryption provided valuable 11 12 decrypted notebooks contained de- investigative leads useful in breaking 19 20 21 22 23 24 tailed records concerning the scope up this operation. 37 38 39 40 41 42 and financial picture of the illegal PCP A more­complex substitution 55 56 57 72 73 74 manufacturing operation. These docu- system was used in a drug case in 87 88 89 ments revealed:

20 I FBI Law Enforcement Bulletin 1) The various chemicals used to These financial records were also spiracy, and other information that make PCP, compared to other accounting records may be useful to the investigator. 2) The actual quantities of each found during the investigation. The Prosecutors also benefit from this chemical needed per batch, common notations were traced information as well. In one case, a 3) Notations indicating that one through three separate accounts, indi- man accused of dealing heroin batch of PCP was made per cating a conspiracy. claimed he was only a user. When the week, As can be seen, a orug importer transaction records were submitted to 4) The current inventory of or dealer disguises the true meaning the FBI Laboratory for examination, chemicals, of his records in the same way as a the cryptanalyst determined that the 5) Calculations of how long the bookie­by simply substituting an ab- accused had bought over 7,000 " bin- supply of each chemical would breviation, symbol, and/or shortened dies" of heroin, worth almost last, form of a word or words. The record $500,000, in just a 6­month period. 6) What chemicals were " on order" of a drug sale usually would not con- Thus, the cryptanalyst's testimony in and from which chemical tain the clearly incriminating message, court was helpful in successfully pros- suppliers, "One kilogram of cocaine sold to ecuting the man as a dealer, not a 7) Dates that chemical orders were John Doe for $58,500 on January 1, mere user. sent and anticipated delivery 1983." The record might more com- Sometimes ledgers and records dates, monly be written " 1 k JD 58.5 1/1 ." cannot be identified as drug­related 8) A cost breakdown per batch of Cryptanalysts are able to derive a because they are incomplete or PCP (by individual chemical wealth of information from the jottings sparse. For example, three encrypted price), of a drug dealer or trafficker. They ledger pages were sent to the FBI for 9) Notations for "rent" ($100) and can tell what kinds of drugs are in- examination. The ledgers contained a the chemist's " minimum salary" volved in the operation, the extent of simple substitution cipher, where the ($1 ,000), and the operation (the quantity of drugs in- digits in the ledger were replaced by 10) Profit calculations per batch, volved, the number of people in- symbols in the following manner: based on a minimum sale price volved, and the amount of profit ob- of $800 per lb. tained), possible evidence of a con­ ·!4Cx~+ml'- 234 5 6 7 8 9 0 Figure 5 The periodic table of the elements Representative Elements Representative Elements While the cryptanalyst was not able to

I say that the records were the type ~' ~ found in a cocaine­trafficking oper- \ He Transition Elements ~ B ation, subsequent testimony revealed • IIA l VB VB VIB VIIB 2 Li B. B C N 0 F Ne the clandestine nature of the records 3 • • • 1 • 9 '0 and the criminal intent (by conceal- N. Mg VIII AI Si P S CI Ar I \ ment) of the defendant. 11 ' 2 I/.. IVA VA VIA VilA I \ IB liB '3 .. .. '5 11 •• K C. Sc Ti V Cr Mn Fe Co Ni Cu Zn Ga Ge As Se Br Kr There is not always a one­to­one '9 20 2' 22 23 2' 25 26 21 28 29 30 3. 32 33 34 35 36 relationship between the symbols or Rb Sr Y Zr Nb Mo Tc Ru Rh Pd Ag Cd In Sn Sb T. I Xe letters in a ledger and the digits they 31 38 39 " '2 '3 .. •• ' 5 41 '8 ' 9 50 5' 52 53 54 Cs B. '" HI T. W Ro OS I, P' Au Hg TI Pb B, Po AI Rn represent. Sometimes, a character SS 56 51• 12 13 14 15 15 17 18 19 80 82 83 .. ~ - ...!!- can represent a specific amount. For F, •• R. t example, figure 6 shows a piece of 81 89 • '04 10• .. paper seized in a prostitution investi- Inner Transition Elements gation. When decrypted, the following La C. P, Nd Pm Sm Eu Gd Tb Oy Ho E, Tm Yb Lu equivalents were found: 51 58 .9 60 •• 82 83 .. 5' .. 61 .. 6• 10 1 • t Ac Th P. U Np Pu Am Cm Bk CI Es Fm Md No L, AX+OOI 89 90 9' 92 93 .. OS .. 91 .. .. '00 10. .02 '03 50 20 15 10 5 1

January 1985 I 21 the house adjacent to the burglary lo• The services of the FBI Laborato• cation: ry are available to all Federal agen• cies, U.S. attorneys, and military tribu• HFIOIR nals in both criminal and civil matters. ATMHCE These services are also available to OPLOLS all duly constituted State, county, and ETC-TI municipal law enforcement agencies ISN$G6 in criminal investigative matters. 50 Expert witnesses are also available to testify in judicial proceedings. Some clever paperboy almost rBI became implicated in the crime. How• ever, when deciphered by rearranging Footnote the letters, the note read: HI I AM A criss-cross directOl)' Is a book which lists COLLECTING FOR THE POST-IS information on published telephone subscriptions. The directOl)' is often organized in three parts: By telephone $650 (sic). This is a variation of the number. subscriber. and address. These three sections " rail fence" cipher, so named be• can easily be cross-referenced to yield other investigative cause the plain text resembles the information. slats of an old rail fence when com• pletely written out.

Conclusion Investigative personnel are en• couraged to consult with a cryptana• lyst regarding dubious records or doc• uments. Cryptanalysts do more than work on the conspicuous, unintelligi• ble jottings of a criminal. Major con• spiracy networks, like all organiza• tions, depend on communications. Be• cause of the illegal nature \ of the work, the correspondence may be dis• The remaining records were analyzed guised by a cipher system, and the to determine the scope of the busi• cryptanalyst could help an investigator ness, the number of employees, their to get the full value of evidence ob• roles, and the gross and net reve• tained. nues. The "490" shows the amount of Because of the unique nature of money earned by "Karen," half of the examinations and services provid• which was given to the "house." ed by the FBI Laboratory and the vari• From the $245 Karen earned that day, ety of evidence which may be en• $15 was paid to rent the room, a no• countered, it may be appropriate to tation that consistently appeared in contact the Laboratory to resolve any the records. questions which arise by writing: Occasionally, mysterious nota• Director, FBI tions are completely innocent. When Attn: Laboratory Division investigating a theft of valuable an• Document Section tiques, police found the following Washington, DC 20535 strange notation on the front door of

221 FBI Law Enforcement Bulletin ______Finetuning Miranda Policies

". . . officers should be advised that once they have decided that an arrest is going to take place, they should not continue with the questioning without first complying with Miranda."

In 1966, the Supreme Court ruled ice interrogated the ·defendant, a tax• By in Miranda v. Arizona 1 that before a payer who was the "focus" of a tax CHARLES E. RILEY, 111* confession obtained through custodial fraud investigation. Prior to the ques• Special Agent interrogation could be used at trial, tioning, he was advised that he had a FBI Academy the government first had to prove that right to remain silent, that any state• Legal Counsel Diwsion the defendant had been advised of, ment made could be used against Federal Bureau of Investigation and waived, certain specified rights.2 him, and that he was free to consult Quantico, VA Although the holding in Miranda was with counsel before the interview. He limited to situations where both custo• was not told that he had a right to an dy and interrogation existed simulta• appointed attorney. He declined to ex• Law enforcement officers of other neously, it was uncertain in 1966 how ercise those rights, furnished incrimi• than Federal jurisdiction who are the courts would define custody for nating statements and records, and interested in any legal issue discussed purposes of applying the rule. Be• was subsequently convicted. On in this article should consult their legal cause of this uncertainty, many law appeal to the Supreme Court, he al• advisor. Some police procedures ruled enforcement agencies adopted broad leged that the IRS agents failed to permissible under Federal warning and waiver policies that re• comply with Miranda in conducting the constitutional law are of questionable quire compliance with Miranda prior to interview. legality under State law or are not any interview of a suspect in a crimi• The Court found that the agents permitted at all. nal case, regardless of whether the were not bound by Miranda and that suspect is under arrest or otherwise to apply the Miranda rule in those cir• deprived of his freedom of action at cumstances would separate the rule the time of the interview. from its own explicitly stated rationale. Broad warning and waiver poli• Miranda application depends on cus• cies, like the one described above, todial police interrogation, questioning were justified in the late 1960's and in a coercive, police-dominated at• early 1970's because of the uncertain• mosphere. The idea that interrogation ty surrounding the proper parameters in a noncustodial setting, where the of the Miranda rule. However, in light investigation has focused on a sus• of a series of Supreme Court deci• pect gives rise to the Miranda require• sions spanning the last 8 years, it is ment, was rejected. Moreover, the now clear that such policies are much Court quoted with approval the view broader than the law requires. of a Federal appellate court that it is

Post-Miranda Cases Defining Custody 3 In Beckwith v. United States, "Special Agent Riley is now assigned to the Chicago agents of the Internal Revenue Serv• Office.

______January 1985 / 23 the compulsive aspect of custodial in• warnings to everyone whom they terrogation, and not the strength of question. Nor is the requirement of the government's suspicions, which warnings to be imposed simply governs the application of Miranda. because the questioning takes Thus, it is not the status of the inter• place in the station house, or viewee-whether subject, suspect, or because the questioned person is focus-but rather the coercive circum• one whom the police suspect. stances of the questioning that con• Miranda warnings are required only trols.4 where there has been such a In a 1977 per curiam opinion, the restriction on a person's freedom as Special Agent Riley Court further emphasized that some• to render him 'in custody.' It was thing more than suspicion or focus is that sort of coercive environment to necessary before Miranda applies. In which Miranda by its terms was Oregon v. Mathiason,5 the defendant made applicable, and to which it is was asked to come to the State patrol limited." 6 office for an interview with an officer More recently, the Supreme Court investigating a burglary. The suspect again addressed the issue of custody was told he was not under arrest but for purposes of Miranda. In California was believed to have participated in v. Beheler,1 the defendant, Jerry Be• the burglary. He was not given Miran• heler, and several acquaintances at• da warnings. He confessed and was tempted to steal a quantity of hashish convicted. On appeal, the Oregon Su• from one Peggy Dean, who was seil• preme Court reversed the conviction, ing the drug in the parking lot of a finding that the defendant was inter• liquor store. Dean was killed by Be• viewed in a " coercive environment" heler's companion and stepbrother, (i.e., custody) and Miranda applied. Danny Wilbanks, when she refused to The court concluded that since the of• relinquish the drugs. Shortly thereaf• ficer failed to give the warnings and ter, Beheler called the police, who ar• obtain a waiver, the confession should rived almost immediately, and told the have been inadmissible. The U.S. Su• police that Wilbanks had killed the preme Court disagreed. The Supreme victim. Later that evening, Beheler vol• Court pointed out that the defendant untarily agreed to accompany the was not formally arrested, nor was his police to the station house and was freedom of action restrained in any specifically told that he was not under significant way, and that without such arrest. factors, Miranda simply does not Beheler was interviewed at the apply. Part of that decision is espe• station house and told the police what cially pertinent: had occurred that day. The interview, "Any interview of one suspected of which was not preceded by a warning a crime by a police officer will have and waiver of Miranda rights, lasted coercive aspects to it simply by approximately 30 minutes. At the con• virtue of the fact that the police clusion of the interview, Beheler was officer is part of a law enforcement permitted to return home with the un• system which may ultimately cause derstanding that his statement would the suspect to be charged with a be reviewed by the district attorney. crime. But police officers are not Five days later, Beheler was arrested required to administer Miranda for aiding and abetting first-degree

24 I FBI Law Enforcement Bulletin " . . in determining wher:e custody is present for purposes of Miranda, the Inquiry is simply whetner there is a 'formal arrest or restraint on freedom of movement' of the degree associated with a formal arrest." murder. He was advised of his Miran• one hand, broad warning and waiver cantly restricted in his freedom of da rights, which he waived, and gave policies are easily understood and ap• movement meets the standard enun• a taped confession. Both confessions plied by law enforcement officers. ciatect by the Supreme Court in Beck• were used against him at trial, and he These positive features are enhanced with, Mathiason, and Beheler. It does was convicted. by the fact that confessions are never not, however, provide practical guid• The California Court of Appeals suppressed because Miranda warn• ance to police officers who must reversed Beheler's conviction, holding ings are given too early-just too late. apply the policy to varying fact situa• that the first interview with police at On the other hand, law enforcement tions. A Miranda policy should never the station house constituted custodi• officers understand that certain crimes be. written in such detail that it be• al interrogation, which activated the may go unsolved and criminals un• comes overly cumbersome and there• need for Miranda warnings. In finding punished if suspects are advised of fore difficult to remember and apply. custody, the court noted that the their rights in situations where per• But, it should address with some interview took place in the station sons are not legally entitled to the specificity how the policy applies in house, Beheler had already been protections afforded by the Miranda the most commonly recurring fact situ• identified as a suspect in the case, rule. ations faced by officers. and the interview was designed to Law enforcement administrators, produce incriminating responses. in conjunction with agency legal advi• Arrests In reversing the California Court sors and prosecutors, must balance The logical starting point for a of Appeals decision, the Supreme the above factors before deciding on warning and waiver policy is the state• Court, in a per curiam opinion, fol• an appropriate departmental warning ment that officers must comply with lowed its previous holding in Oregon and waiver policy. Some agencies Miranda before they interview a sus• v. Mathiason 8 and ruled that in deter• have weighed these factors and de• pect who is under arrest or otherwise mining whether custody is present for cided to retain broad warning and incarcerated. However, even this purposes of Miranda, the inquiry is waiver policies, while others have de• clearly worded policy leaves unan• simply whether there is a "formal cided to modify their policies to bring swered several questions frequently arrest or restraint on freedom of them more in line with Miranda and its raised by police officers. For example, movement" of the degree associated progeny. The remainder of this article does this policy apply where the pur• with a formal arrest. Holding there discusses legal issues concerning in• pose of a custodial interview is to was no such restraint in this case, the terrogations that law enforcement elicit statements concerning crimes Court noted that Miranda warnings agencies should consider when pro• other than those for which the inter• are not required simply because ques• mulgating or modifying warning and viewee was arrested? Must State and tioning takes place in the station waiver policies. It also suggests ap• local officers comply with Miranda house or because the questioned proaches that can be used to help when the person to be interviewed person is one whom the police sus• minimize legal problems that may sub• has been arrested by Federal authori• pect. Finally, the Court stated that the sequently arise in connection with ties and vice-versa? Does it apply in amount of information the police have these policies. emergency situations where the police concerning a person who is to be need quick answers to questions in questioned, and the length of time be• Formulating a Miranda Policy for order to prevent possible harm to tween the commission of a crime and Interrogations themselves, fellow officers, or mem• a police interview, are not relevant to Establishing a warning and waiver bers of the public? Finally, does this the issue of whether custody exists policy that conforms with the post-Mi• policy apply to all arrests, or only for purposes of Miranda. randa cases discussed above appears those where the suspect has been ar• Although the above decisions es• on its face to be a simple task. A rested for a felony? All of these fre• tablish that Miranda was not intended policy that provides for compliance quently asked questions have been to apply to all interrogation situations, with Miranda only when a suspect is addressed by the Supreme Court, and they create somewhat of a dilemma to be interrogated after he has been the answers should be incorporated for law enforcement agencies. On the formally arrested or otherwise signifi• into departmental Miranda policies.

______Janua~1985/25 " the availability of the [safety] exception does not depend on the motivation of the individual officers involved, but is limited by the emergency circumstances that justify it."

In Mathis v. United States,9 the store. The officer lost sight of him, In this case, there was no claim that defendant was convicted by a jury in and upon regaining sight of him, or• Quarles' will was overborne by the ac• a U.S. district court on two counts of dered the suspect to stop and put his tions of the officer, and thus, the knowingly filing false claims against hands over his head. The officer Court did not address whether the Government in violation of Feder• frisked him and discovered he was Quarles' statement concerning the lo• al law. Part of the evidence on which wearing an empty shoulder holster. cation of the gun was voluntary under the conviction rested consisted of After handcuffing the suspect, the offi• the due process/voluntariness test. documents and oral statements ob• cer asked him where the gun was. The Court found that inasmuch as the tained from the defendant by a Gov• Quarles nodded in the direction of gun was concealed somewhere in the ernment agent while the defendant some empty cartons and stated, "The supermarket, it posed a danger to the was in prison serving a State sen• gun is over there." public safety. Consequently, the Court tence. Before eliciting these state• After the gun was located, ruled that prior Miranda warnings and ments, the Government agent did not Quarles was advised of his rights, waiver had not been required and the warn the defendant of his rights. Ap• waived those rights, and was ques• New York Court of Appeals had erred pealing his conviction to the Supreme tioned. Responding to this question• in suppressing the gun, the statement Court, Mathis argued that his state• ing, Quarles admitted ownership of concerning its location, and the later ments were used against him in viola• the gun. In the prosecution for crimi• statement concerning ownership of tion of Miranda. The Government nal possession of a weapon, the New the gun. countered by arguing that Miranda did York courts suppressed the gun and In creating this exception to Mi• not apply because the defendant had the statement concerning its location randa, the Court ruled that the avail• not been put in jail by the officers on grounds that the officer's failure to ability of the exception does not questioning him, but was there for an first advise the subject of his rights depend on the motivation of the indi• entirely separate offense. Finding and obtain a waiver violated Miranda. vidual officers involved, but is limited these distinctions " too minor and Furthermore, Quarles' admission con• by the emergency circumstances that shadowy to justify a departure from cerning ownership of the gun was justify it. Therefore, police officers the well-considered conclusions of Mi• suppressed as a fruit of the original who rely on the exception must be randa, " the Court reversed Mathis' Miranda violation. able to later articulate specific facts conviction. As can be seen from this Reversing the New York Court of and circumstances evidencing a need decision, in applying Miranda, the Su• Appeals, the Supreme Court agreed for the questioning in order to protect preme Court is not concerned with that Quarles was subjected to custodi• themselves, fellow officers, or the why a person has been arrested or by al interrogation without prior advice of public. Furthermore, since this is a whom. It is the coercive aspect of his rights and waiver of those rights. narrow exception to the Miranda rule, custody itself, when coupled with The Court ruled, however, that the police officers should be instructed police interrogation, that triggers the statement concerning the location of that once the emergency ends, any protections afforded by the rule. the gun and the gun itself were ad• further custodial questioning should With respect to emergency situa• missible under a "public safety" ex• be preceded by the warnings and tions and the applicability of Miranda, ception to the Miranda rule. waiver. on June 12, 1984, the Supreme Court Explaining the exception, the The question of whether Miranda recognized a "public safety" excep• Court held that a statement obtained applies to nonfelony arrests has been tion to Miranda. In New York v. as the result of custodial interrogation the subject of controversy in the lower Quarles,10 a New York officer entered in the absence of the warnings and courts for several years. On July 2, a supermarket to locate an alleged waiver is admissible so long as the 1984, the Supreme Court settled this rapist who was described by the com• statement is voluntary under the tradi• controversy by ruling in Berkemer v. plainant as having a gun. The officer tional due process/voluntariness test McCarty 11 that Miranda applies to in• located the suspect, Quarles, in the and the police questions that result in terrogations of arrested persons re• store. Upon seeing the officer, the the admission are reasonably prompt• gardless of whether the offense being suspect ran toward the rear of the ed by a concern for the public safety. investigated is a felony or a misde•

261 FBI Law Enforcement Bulletin ______

------~ meanor. Refusing to distinguish be• able in order to be constitutional. But, ing in and out of a lane on an inter• tween misdemeanors and felonies for since a temporary detention is less in• state highway. After following the car purposes of Miranda, the Court found trusive than a full custody arrest, the for 2 miles, the trooper forced that such a distinction would dilute the courts do not require police officers to McCarty to stop and asked him to get clarity of the rule because in many establish that they had probable out of the vehicle. McCarty complied; cases it is not certain at the time of cause to justify the seizure as reason• however, he had difficulty standing, arrest whether the subject is to be able. Instead, a lower burden of proof, and the trooper concluded that charged with a misdemeanor and/or a reasonable suspicion, is all that police McCarty would not be allowed to felony offense. officers need show to justify the de• leave the scene as he would be In light of the Supreme Court's tention as constitutional. charged with a traffic offense. stated purpose behind the Miranda Investigative detention cases are McCarty was not told that he would rule and the holdings in the above closely scrutinized by the courts to be taken into custody. While at the cases, a more definitive Miranda ensure that this valuable investigative scene of the stop, McCarty was asked policy might begin by advising officers tool is not abused. One important to perform a " balancing test," which that before they question a subject factor in the reasonableness of a he was unable to do without falling. who is in Federal or State custody, or " Terry stop" is the length of the de• Additionally, McCarty was asked the custody of a foreign government, tention. The longer a person is de• whether he had been using intoxi• they must comply with Miranda and tained, the more likely it becomes that cants, to which he replied that "he that this policy applies regardless of a reviewing court will find that the sei• had consumed two beers and had whether the subject has been arrest• zure was actually an arrest requiring smoked several jOints of marijuana a ed for, or is being questioned about, a probable cause. Hence, officers who short time before. " McCarty's speech felony or a misdemeanor. Additionally, investigatively detain a suspect must was slurred, and the trooper had diffi• while Miranda warnings need not be resolve the suspicious circumstances culty understanding him. At that pOint, given in custodial interrogation situa• that give rise to the detention as McCarty was formally arrested, placed tions where an emergency exists and quickly as possible. in the patrol car, and transported to the police officer's questions are the county jail. prompted by a concern for the safety Police questioning of a detained At the jail, McCarty was given an of the officer, fellow officers, or the person can be an effective method of intoxilyzer test which did not detect public, any further custodial interroga• resolving suspicious activities and cir• any alcohol in his blood. The trooper tion should be preceded by the warn• cumstances so that the detaining offi• then resumed his questioning in order ings and waiver as soon as the emer• cer can quickly make a decision to to obtain further information for his gencyends. either release the suspect or subject report. McCarty admitted that he had him to a full custody arrest. The effec• been drinking, and when asked if he Investigative Detentions tiveness of police questioning under was under the influence of alcohol, In 1968, the Supreme Court ruled these circumstances could very well stated, " I guess, barely. " McCarty be diminished if officers are required in Terry v. Ohio 12 that law enforce• also indicated in writing on the report ment officers are constitutionally justi• to first warn the suspect of his rights that the marijuana he had smoked did fied in detaining persons against their and obtain a waiver. Hence, the appli• not contain angel dust or PCP. At no will for short periods of time in order cability of Miranda to investigative de• point in the above scenario was to investigate, and hopefully resolve, tentions is an important issue that McCarty advised of his rights. suspicious circumstances indicating should be addressed in departmental McCarty was charged with oper• that a crime has been, or is about to Miranda policies. ating a motor vehicle while under the be, committed. Investigative deten• In Berkemer v. McCarty, 13 dis• influence of alcohol and/or drugs, tions, or "Terry stops" as they have cussed briefly above, the Supreme which is a first-degree misdemeanor become known, are seizures within Court squarely addressed this issue. under Ohio law. He moved to have his the meaning of the fourth amend• On March 31, 1980, an Ohio State incriminating statements excluded, ar• ment, and therefore, must be reason• trooper observed McCarty's car weav• guing that introduction of his state-

January 1985 / 27 ments would violate Miranda since he the jail were improperly used against mental warning and waiver policies in• had not been informed of his rights him since the police had not complied struct officers that as a general rule, prior to the questioning. The trial court with Miranda. This finding resulted in Miranda rights should not be given denied the motion, and McCarty the Supreme Court affirming the court before an officer questiqns a suspect pleaded "no contest" and was found of appeals decision to reverse McCar• who is being investigatively detained. guilty. McCarty appealed his convic• ty's conviction; however, the Supreme However, the policy should also in• tion and the Ohio State courts ruled Court did not stop there. The Su• struct officers that if the detention is that his rights had not been violated preme Court went on to discuss prolonged or other highly coercive since Miranda does not apply to mis• whether the roadside questioning in factors are present (e.g., large number demeanor arrests. this case-resulting in damaging ad• of officers present, restraining devices McCarty then filed a petition for a missions made before McCarty was or weapons are involved, or the sus• writ of habeas corpus in Federal formally arrested and transported to pect must for some reason be moved court. The district court denied the the jail-also constituted custodial in• from the location of the initial stop), writ and held that "Miranda warnings terrogation requiring the protections of then officers should administer the . do not have to be given prior to in Miranda. warnings and obtain a waiver before custody interrogation of a suspect ar• Citing Terry v. Ohio,14 the Su• proceeding further with the question• rested for a traffic offense." The Court preme Court noted that investigative ing. An important aspect of this por• of Appeals for the Sixth Circuit re• detentions constitute fourth amend• tion of the policy is to ensure that it versed, holding that Miranda applies ment seizures and therefore must be allows for Miranda warnings and waiv• to custodial interrogations regardless reasonable in order to be constitution• ers in investigative detention situa• of whether the offense being investi• al. The Court ruled, however, that they tions where, although highly coercive gated is a felony or a misdemeanor. do not constitute "custody" for pur• factors are present, no formal arrest Applying this principle to the facts of poses of bringing the Miranda rule has been made. This will aid in rebut• the case, the sixth circuit held that into operation since they are brief in ting subsequent arguments that by McCarty's postarrest statements at duration and relatively nonthreatening giving Miranda warnings, the officer the jail were clearly inadmissible since in character when compared with a impliedly admitted that the suspect he had not been afforded the protec• formal arrest. Likening the traffic stop was under arrest. tions guaranteed by Miranda. Since in this case to a "Terry stop," the inadmissible evidence had been used Court found no reason to treat the Other Factors Bearing on the against him, the sixth circuit reversed traffic stop differently for purposes of Custody Issue his conviction. The sixth circuit, how• Miranda since McCarty was not told In the absence of a formal arrest ever, did not clarify whether all of his he was under arrest at the outset of or prolonged coercive investigative statements would be inadmissible at a the stop, the stop was made in public, detention, defendants generally have second trial or only those statements and no other restraints comparable to a difficult time convincing courts that obtained at the jail after he was for• those associated with a formal, arrest their confessions should be sup• mally arrested. were present until McCarty was for• pressed because of a failure to This case then went to the Su• mally arrested and transported to the comply with Miranda. Some defend• preme Court, and two questions were jail. Although finding that custody for ants, however, have successfully presented for review. As noted earlier, purposes of Miranda did not exist until argued that they were in custody for one question was whether Miranda McCarty was formally arrested, the purposes of the rule even in the ab• applies to misdemeanor arrests. Con• Court made it clear that the custody sence of these factors. cluding that it does, the Supreme determination must be made on a In United States v. Lee,15 the de• Court ruled that McCarty's statements case-by-case basis taking into ac• fendant was questioned by two Feder• at the jail, after he had been formally count all of the coercive factors, or al agents in a Government car parked arrested, were the result of custodial lack thereof, present in a given case. in front of his home, concerning the interrogation. Thus, the Court conclud• Based on this holding in Ber• death of his wife. Lee agreed to ed that the admissions he made at kemer, it is recommended that depart• answer questions, and when he en•

28 I FBI Law Enforcement Bulletin tered the vehicle, was told he was involved in the theft of bank funds whether the interrogating officers had free to leave or terminate the inter• and that they had her fingerprints. In probable cause to arrest, the subjec• view at any time. Lee was not afford• fact, the only fingerprints the Agents tive intent of the officer, the subjective ed Miranda rights, and after approxi• had were those retrieved from the belief of the suspect, and the focus of mately 60-90 minutes of questioning, bank's personnel records. Dockery the investigation.1s Other factors con• which included the agents advising denied any involvement in the thefts, sidered by the courts in these cases him of the incriminating evidence they and the interview was ended. Dockery include the language used by officers had collected in the case, he admitted was asked to wait in the reception during questioning, the physical sur• that he had choked his wife. The area outside the interview room in the roundings where the questioning interview was ended, and Lee was not event that bank officials wanted to takes place, and the extent to which arrested until the next day when he question her. the suspect is confronted with evi• voluntarily appeared at the police sta• A few minutes later, while waiting dence of his guilt.19 tion for further questioning. in the reception area, Dockery asked Regardless of which test is used, Relying on the above facts, the a bank official to find the two Agents they all afford defendants the oppor• Ninth Circuit Court of Appeals ruled because she wanted to talk to them tunity to argue that based on the fac• that "considering the totality of the again. The Agents returned and again tors present in their individual cases, circumstances a reasonable person repeated their warnings that Dockery they were justified in believing they could conclude that Lee reasonably did not have to talk to them and was were in custody at the time they were might feel he was not free to decline free to leave whenever she desired. questioned, and therefore, should the agent's request that he be inter• Dockery began to once again deny have been advised of their rights. The viewed." Consequently, the appeals her involvement in the thefts, at which numerous factors that courts consider court agreed with the trial court that point one of the Agents told her that when making the custody decision, Lee was in custody for purposes of he was busy and was not interested coupled with the varying weights Miranda during the questioning, and in hearing her repeat what she had al• given these factors by different therefore, his confession was not ad• ready said. He then asked, "Why judges, make it impossible for law en• missible against him. don't you tell me what happened?" forcement agencies to write definitive Several other courts have adopt• Dockery then gave a signed state• Miranda policies covering all of these ed the "totality of the circumstances" ment implicating herself in the thefts. situations. However, a Miranda policy test for deciding the custody issue, Noting that Dockery was never can address some of the more basic but their results have often been con• handcuffed, physically restrained, problems faced by officers in interview trary to the decision in Lee. For exam• physically abused, or threatened situations and offer advice regarding ple, in United States v. Dockery, 16 a during the interview, the en banc how these situations should be han• 24-year-old female employee of a fed• Eighth Circuit Court of Appeals ruled dled. erally insured bank was interviewed that Dockery was not in custody A good starting point is the situa• by two FBI Agents investigating a during the interviews, and therefore, tion where an officer questions a sus• theft of funds from the bank. The her confession was properly used pect with the specific intention of interview was conducted in what the against her at trial. With respect to the making an arrest at the end of the court described as a small, vacant Agent's representation concerning the interview. While it does not necessari• office in the bank building. At the fingerprints, the court cited Oregon v. ly follow that a suspect was in custo• outset of the interview, the Agents ad• Mathiason,17 where the Supreme dy during an interview simply because vised Dockery that she did not have Court ruled that such statements have he was arrested at its conclusion, the to answer any questions, that she was nothing to do with whether a suspect close proximity of the arrest to the not under arrest or going to be arrest• is in custody for purposes of Miranda. questioning is likely to weigh heavily ed, and that she was free to leave at The Fifth Circuit Court of Appeals in a later decision on the custody any time. During the interview, which uses a four-factor test in determining issue. Therefore, it is recommended lasted 16 minutes, the Agents told whether custody exists for purposes that departments instruct officers that Dockery that they believed she was of Miranda. The court considers when they find themselves in this situ-

January 1985 / 29 "Advising a suspect that he is not under arrest and/or is free to terminate the interview at any time should . . . resolve any doubt concerning the issue of custody for purposes of Miranda."

ation they should, as a matter of however, be occasional instances As discussed above, custody is an es• policy, comply with Miranda at the where an officer, after advising an in• sential element of the Miranda rule. outset of the interview. terviewee he is not under arrest, still However, the defendant at this pOint A related situation is where an of• believes the custody issue sufficiently has been formally charged with bur• ficer does not begin an interview with ambiguous that the rights should be. glary, and the officer's goal is to delib• the intention of making an arrest, but given before any further questioning. erately elicit incriminating statements during the questioning, decides that While these situations should arise in• concerning this charge. Since he has he is going to arrest the interviewee frequently, it is recommended that Mi• been formally charged, however, the at the conclusion of the questioning. randa policies be written to allow offi• defendant's sixth amendment right to Again, because of the proximity of the cers to exercise discretion in such sit• counsel has attached even though he arrest to the questioning, it is recom• uations. This approach allows an offi• is not in custody, and this right must mended that officers be advised that cer, who is in the best position to be waived before an admissible state• once they have decided that an arrest evaluate the "totality of the circum• ment can be obtained. is going to take place, they should not stances," to afford the warnings and Two very important limitations on continue with the questioning without waiver, without having his decision the sixth amendment right to counsel first complying with Miranda. later viewed as a tacit admission that deserve mention at this point. First, A more troublesome scenario is . the interviewee was in custody. the sixth amendment right to counsel where an officer has no intention of only applies, and therefore only be• The Sixth Amendment Right to making an arrest at the conclusion of comes an issue, where the defendant Counsel an interview, but the circumstances has been formally charged with a surrounding the questioning are suffi• Standard warning and waiver crime. A defendant has been formally ciently ambiguous that a reviewing forms, developed in response to Mi• charged with a crime when an indict• court might determine that custody randa, are often used by law enforce• ment has been returned, an informa• existed (e.g., where the location or ment agencies in obtaining waivers of tion filed, or the defendant has had a duration of the interview might indi• the right to counsel guaranteed by the judicial hearing or appearance on the cate a highly coercive environment or sixth amendment, in addition to the charge.2o Second, the sixth amend• where the person interviewed is Miranda rights guaranteed by the fifth ment right to counsel only applies to young and inexperienced). In these amendment. Inasmuch as the sixth those crimes for which the defendant cases, it is suggested that officers be amendment right to counsel applies in has been formally charged.21 instructed that such ambiguity can some cases where Miranda rights do Based on the above, it is recom• usually be eliminated-thus negating not, law enforcement agencies that mended that agencies include a state• the need for the warnings and use the same warning and waiver ment in their warning and waiver poli• waiver-by informing the suspect that policy for both purposes should cies advising officers that they should he is not under arrest and lor is free ensure that their policies are broad give the warnings and obtain a waiver to terminate the interview at any time. enough to cover those cases where before attempting to interview a de• In cases where such assurances are only the sixth amendment right is at fendant about a crime for which he given, officers should make this fact a issue. has been formally charged (i.e., where matter of record in the investigative An example of a case in which the defendant has been indicted, had file. Miranda and the sixth amendment a court appearance, or an information Advising a suspect that he is not right to counsel do not overlap is has been filed), and that this policy under arrest and/or is free to termi• where a suspect is arrested for bur• applies regardless of whether the sub• nate the interview at any time should, glary, taken before a magistrate or ject is in custody or not at the time of judge, and then released on bond. If a as in the Mathiason, Beheler, and the interview. Dockery cases, resolve any doubt police officer attempts to interview A Word of Caution concerning the issue of custody for this defendant while he is free on Miranda purposes of Miranda. There could, bond, does not apply be• The above recommendations cause the defendant is not in custody. concerning waivers of the sixth

30 / FBI Law Enforcement Bulletin amendment right to counsel assume basis for the development of broad that a waiver of Miranda rights is suffi- warning and waiver policies by law en- cient to waive the sixth amendment forcement agencies beginning in the right to counsel. In fact, courts have late 1960's. While recent Supreme rarely questioned the general rule that Court decisions have reaffirmed the a proper waiver of Miranda rights also Miranda rule, they have also made it operates as a waiver of the sixth clear that it was only intended to amendment right to counsel. One apply in custodial interrogation situa- Federal circuit court of appeals, how- tions. The clarification provided by ever, has ruled that a waiver of Miran- these cases should make it easier for da rights is not sufficient to waive the law enforcement agencies to comply sixth amendment right to counsel, at with both the letter and spirit of Miran- least where the defendant has been da, without unnecessarily hampering indicted at the time of the interview. legitimate investigative efforts. rII Holding that "waivers of Sixth Amend- ment rights must be measured by a Footnot.. 'higher standard' than are waivers of , 384 u.s. 436 (1966). 2 The warnings required bef()(e custodial Fifth Amendment rights," the Court of interrogation are: (1) The accused has the right to remain silent; (2) anything he says may be used against him; (3) Appeals for the Second Circuit ruled he has a right to consult with a lawyer bef()(e ()( during in United States v. Mohabir 22 that a Questioning; and (4) ij he cannot aff()(d an attO

January 1985 / 31 RBYTHE rBI

Photographs taken 1979

Donald Eugene Webb Occupations ...... Butcher, car Charge of the nearest FBI field office, Donald Eugene Webb, also salesman, jewelry the telephone number of which known as A.D. Baker, Donald Eugene salesman, real appears on the first page of most Perkins (true name), Donald Eugene estate salesman, local directories. Pierce, Stanley J. Pierce, John S. restaurant Caution Portas, Stanley John Portas, Donald manager, and Webb, one of the FBI's " Ten E. Webb, Eugene Donald Webb, vending machine Most Wanted Fugitives," has been Stanley Webb, Wilfred Y. Reams, and repairman. convicted of burglary, possession of others Social Security counterfeit money, possession of a Number Used ...... 462-48-0452. weapon, burglary tools, and Wanted For: Scars and marks .... Small scar on dangerous instrument, breaking and Interstate Flight-Murder; Attempted right cheek and entering with intent to commit larceny, Burglary right forearm; armed bank robbery, and auto tattoos: " DON" larceny. He may be accompanied by The Crime on web of right Frank Joseph Lach; consider both Webb, a longtime professional hand, "ANN" on armed and extremely dangerous. jewelry thief and master of assumed chest. Classification Data: identities, has been in and out of Remarks ...... Webb is NCIC Classification: considered a prison several times. He is being 080406130804TT020906 sought in connection with the murder career criminal Fingerprint Classification: of a police chief who was shot twice and master of at close range after being brutally assumed 8 S 1 U III 8 Ref: T T U beaten about the head and face with identities and S1T II TRR a blunt instrument. specializes in the 1.0.4873 Federal warrants were issued burglary of jewelry December 31, 1980, at Pittsburgh, PA, stores. Reportedly and on December 14, 1979, at allergic to Albany, NY. peniCillin, loves dogs, is a flashy Description dresser, and big Age ...... 53, born July 14, tipper. 1931, Oklahoma FBI No...... 4 513 086. City, OK. ~~=::::'::C=":'::::~...J Left thumb print Height...... 5'9*. Notify the FBI Weight ...... 165 pounds. Any person having information Because of the time factor in Build ...... Medium. which might assist in locating this printing the FBI Law Enforcement Hair ...... Gray-brown. fugitive is requested to notify Bulletin, there is the possibility that Eyes ...... Brown. immediately the Director of the this fugitive has already been Complexion ...... Medium. Federal Bureau of Investigation, U.S. apprehended. The nearest office of Race...... White. Department of Justice, Washington, the FBI will have CUffent information Nationality ...... American. DC 20535, or the Special Agent in on this fugitive's status.

32 I FBI Law Enforcement Bulletin Change of lAW Address ENFORCEMENT Not an order form BUllETIN

Complete this form and return to: Name

Director Title Federal Bureau of

Investigation Address Washington, DC 20535

City State Zip

Interesting Pattern

In the Identification Division of the Federal Bureau of Investigation. this impression is classified as an accidental whorl with a meeting tracing. U.S. Department of Justice Second Class Mail Federal Bureau of Investigation Postage and Fees Paid (IJ~ Federal Bureau of Investigation ~ ISSN 0014-5688 U.S.MAlL ®

Washington, DC 20535

Official Business Penalty for Private Use $300 Address Correction Requested

The Bulletin Notes

On April 13, 1984, Troopers Leo C. Jellison and Wayne H. Fortier of the New Hampshire State Police were responsible for the apprehension of Christopher Wilder, an FBI Top Ten Fugitive being sought for the murder of at least eight females and the sexual assault of four more. Wilder fired his weapon twice when he was tackled by Trooper Jellissm, wounding the trooper and mortally wounding himself. Troopers Jellison's and Fortier's actions were in keeping with the highest traditions of the New Hampshire State Police and the Bulletin joins their superiors in commending these officers' bravery.

Trooper Jellison Trooper Fortier