Law Enforcement Bulletin FEBRUARY 1975

Federal Bureau of Investigation Clarence M. Kelley, Director CONTENTS MESSAGE FROM THE DIRECTOR "Handgun control is a subiecf of serious con- cern.. . . "

A LONG LOOK AT CRIME, by James Q. Wilson, Pro- fessor of Government, Harvard University, Cam- bridge, Mass. 2

BANK FRAUD AND EMBEZZLEMENT "The rising statistics over the past decade give every indication that losses in ... [these] mat- ters will continue to increase." 7

PARTICIPATIVE PLANNING AT WORK IN THE CRIM- INAL JUSTICE COMMUNITY, by Capt. Clyde L. Cronkhite, Police Department, Los Angeles, Calif. 8

DEVELOPING THE PUBLIC INFORMATION FUNC- TION, by Sgt. Frank P. Hayward, Public Informa- tion Division, Department of Police, New Orleans, La. J3

THE UFO MYSTERY, by J. Allen Hynek, Ph. D., Direc- tor, Center for UFO Studies, Northfield, III . J6

THE INFORMER'S IDENTITY AT TRIAL, by Larry E. Rissler, Special Agent, Federal Bureau of Inves- tigation, Washington, D.C. 2J

THE FBI'S APPROACH TO AUTOMATIC FINGERPRINT IDENTIFICATION (Conclusion), by Conrad S. Ban- ner, Special Agent, and Robert M. Stock, Automa- tion and Research Section, Identification Division, Federal Bureau of Investigation, Washington, D.C. 26

WANTED BY THE FBI 32

THE COVER Putting a lock on the proliferation and use of handguns, as suggested by this month's cover, Is a major iuue in the control of crime. See Mr. Kelley's com- ments on facing pag• • Message from the Director . . .

HANDGUN CONTROL IS A SUBJECT of serious rates of aggravated assault, robbery, and homi- concern to me. Admittedly, it is a highly emo- cide. At the same time, I feel the interest of those tional issue. However, so is the subject of death. individuals wishing shoulder weapons for strictly sporting purposes must be given proper consider- From 1964­73, a total of 858 law enforcement ation. officers were feloniously killed, and individuals using handguns were responsible for 613 of these I advocate two proposals to keep handguns deaths­a shocking 71 percent. During 1973, an from those who intend to use them wrongfully. estimated 19,510 murders were committed in the First, it is essential that there be adequate local, United States, and 53 percent of these homicides State, and Federal regulations pertaining to hand- were through the use of handguns. These are guns, and it is imperative that these regulations truly tragic statistics. Equally tragic are the be strictly and vigorously enforced. Second, I thousands of friends and relatives who also suf- strongly urge at least mandatory minimum sen- fered irreplaceable losses as the result of these tences­stiffer penalties­for those persons con- handgun­related killings. victed of a crime where a handgun is used. In considering these statistics, one additional Only persons who can meet the provisions of fact needs mentioning. There are presently in the local, State, and Federal regulations should be United States an estimated 30 million handguns. lawfully able to possess handguns. Violators That represents a lot of triggers that can be should face the stern penalties enacted by con- pulled, both accidentally and intentionally. cerned legislators supported by an aroused The proliferation of the so­called Saturday public. Night Special is particularly menacing. The The "right of the people to keep and bear weapon has no worthwhile sporting value and is Arms" (not necessarily handguns) is well known unsafe for use as protection. Under any criteria, to me­and I certainly respect that right. How- its possession should be prohibited. ever, the unlimited exercise of any right should As I perceive the present situation, the solution not be tolerated where the public is endangered. to the handgun problem hinges on keeping them from potential criminals, while at the same time Human life unquestionably must be a respected guaranteeing that the interests of persons desir- value among mankind. Truly effective handgun ing weapons for legitimate use are respected. By controls can save the lives of hundreds of law strictly controlling access to handguns, I believe enforcement officers and thousands of other citi- a significant reduction can be made in the high zens. It's up to you­it's your life.

CLARENCE M. KELLEY FEBRUARY 1, 1975 Director .. [O]ur capacity to reduce A crime is limited LONG LOOK by social AT CRIME forces over which we have no I wish to discuss two subjects. First, course, it has been true in the 1960's control. ... " where are we headed with the crime as a result of the post.World War II problem, especially the youth crime baby boom. I am not arguing that the problem? And, second, what is the crime rate can be explained entirely, proper role for police administrators or perhaps even largely, by the ber of young persons in the popu By in our large cities during the years ahead? First of all, I want to em· tion. Certainly, the number of JAMES Q . W ILSON· phasize a point Mr. Conger of the persons in the population cannot Profess or of Government FBI made about the relationship be· plain why Detroit has seen a five. Harvard University six· fold increase in the number of Cambridge, Mass. tween the youthful component of the population and crime. There have been murders over the last 10 years. But, in the last 100 years in this country we have to realize that these enormous three major crime waves. There have population hifts do create precondi. been several crime waves, but three tions for increases in crime and set that have been especially significant. orne of the limits to what we can rea· One occurred in 1875­1880, after the sonably do about controlling crime. Civil War. Another occurred in 1930- The most important thing that can 1935, and the third one began roughly be done is already being done for us. in 1963 and continues now. The last People are having far fewer children one is well into its 11th year. Each one l'lOW than they once did. We are close of these major upsurges in crime cor· to zero population growth, at least responded to a time when the propor· from natural reproduction. Most of tions of persons under the age of 24 the population growth which will oc, in our population were at a record cur in this country in the next 15 height. This was true right after the years will be the result of immigra· ­The following remarks by Profenor Wilson were Civil War, it was true in the early tion. Much of it may even be from il· given be fore a Meeting of ~h jo r City Ch ief. of Police legal immigration. Little of the pop· in Chicago, Ill .. AUIIU,I 26­29, 1974. years of the Depression, and, of FBI Law Enforcement Bull etin 2 ulation growth which will occur over increase may result from men who neighborhoods. In those neighbor- • the next few decades will be the result were killed in the service in the Viet- hoods, the whole social intrastructure of natural reproduction. This means man war, which, of course, cannot be that is provided by middle­class and that those of you who will still be po- helped. Others may be the result of working­class people watching the lice chiefs in 1980 can expect, other other natural events. But a large pro- streets, running the PTA's, and re- things being equal, a fairly general portion, surely the grelltest proportion porting crimes to the police disap- and persistent reduction in certain of the increase, is the result of forces pears, leaving these neighborhoods forms of crime, especially those com- for which no social scientist that I wholly in the possession of those who mitted by young persons. By 1990, for know has a reasonable explanation. either cannot move or will not move. those of you who are still here, I ex- The forces that continue to operate on The crime rates go up alarmingly, pect, other things being equal, the the black family, especially in the along with other forms of social path- crime to be probably at its lowest level inner city, continue to create situa- ology. For example, during the 1960's since the 1950's, because the youthful tions in which young persons are there was an enormous improvement component of the age population by hopelessly disadvantaged. If the in- in the standard of living of black that time will be at its lowest point cidence of crime among persons with Americans. Their income went up, since the 1950's. But the sheer number that family background continues to their eduction went up even higher, of young persons cannot alone account be as high as it was in the 1950's, the and adult employment went up, and for the amount of crime, because continued weakness of the family will the housing conditions improved. By crime has increased far more rapidly produce continually high delinquency almost every objective measure one than has the number of young per- rates. can think of, Negro Americans im- sons. The third factor I wish to stress is proved their lot in the 1960's­except A second factor related to popula- urbanization. For a long time it was in the innermost parts of our central tion which is largely beyond our con- generally believed, I think rightly, that cities where there is a substantial , trol and, therefore, sets a limit to what the more people we have living in deterioration. I think much of this we can reasonably expect to do, has cities, the higher the crime rate, other deterioration is the result of the mo- been the changed family structure of things being equal. For one thing, bility and prosperity this country has this country. From studies done in the there are more things to steal in the enjoyed. Female­headed households 1950's, I think it can be said with cities than on the farms. Just as Willy have not kept up with the general some confidence that children raised Sutton robbed banks because that's prosperity, and poverty and pathology in broken homes where the father is where they kept the money, so people are widespread in this group. absent are much more likely, other will find more things to steal in the Fourth, I want to say a little about hings being equal, to commit crimes, cities because that's where they keep drugs, although I am not sure that I o be arrested, and to be sentenced things worth stealing. Furthermore, as can clarify the issues that have already than are persons who are raised in persons come together in cities, family been raised. I would like to offer a families with an intact household, structures weaken, neighborhood con- few observations as one who has been mother and father both present. These trols are weakened, and persons who closely involved with the Federal I studies were done in the 1950's and are criminally inclined find a large narcotics program in the last 2 or 3 .> have not heen repeated lately, but I number of like­minded persons readily years. I recently spent a considerable see no reason to believe that these available to support delinquency, amount of time in the San Francisco relationships have changed. The street gangs, and the like. district office and in the ew York family structure of black families in I think this continues to be true, regional office of the Drug Enforce- the United States has continued to but we must realize that there is a new ment Administration. My impressions deteriorate at an alarming rate. In problem becoming evident that to a are that the disagreements we have as the 1960's, when Daniel Patrick degree contradicts or modifies the to the influence of narcotics on law Moynihan published his report on the phenomenon of urbanization. This is enforcement are not in fact disagree- Negro family in the United States, 24 the phenomenon of deurbanization. ments but differing perceptives based percent of black families were female- As the middle classes move out of our on differing parts of the country. If headed. Since that time the situation central cities in accelerating numbers you look at nonpolice­related statistics has become worse. At the present time, and as black middle­class families join on heroin abuse in the major eastern 35 percent of all black families in the this exodus in large numbers, there cities­admissions to hospitals, urin- United States are headed by females remain behind in our older cities an alyses done in jails and lockups, deaths with no father present. Some of the increasing number of abandoned from overdoses, rates of serum

, Febru ary 1975 3 hepatitis, admissions to methadone tactics and our criminal justice discretion is the better part of valor• "", clinics and the like­you find with machinery. Between the short and the do your job and stay quiet, don't rock ~ some exceptions a general decline, in long run there will be sporadic de• the political boat. Other chiefs have some places a dramatic decline, in the creases in some places and sporadic expressed their quite understandable number of heroin addicts, especially increases in other places. Some of you frustration and rage at the seeming new addicts, being identified in large chiefs will enj oy decreases, but they inability of other institutions in our eastern cities. This accounts, it seems may not be persistent, and you should society to play their proper role in ~ to me, for the lower number of heroin· not take much comfort from them be• preventing crime, but they have only related arrests in many eastern cities. cause the figures might turn around expressed frustration and rage and In the ew York regional office of the in the next year. You are now in a not really given many suggestions to Drug Enforcement Administration, highly unstable period as the post• the community or provided many in• cocaine arrests are now twice as com· World War II youth cohort passes ducements to the community to join mon as heroin arrests a~d cocaine through our population. As it gets in a more constructive program. seizures twice as common as heroin older, fortunately, most of it will I think it is high time for police ad• seizures. The situation on the street cease its criminal activities, for rea• ministrators to play a leading and has changed. sons that are hard to understand. potent role in trying to make clear the On the west coast and in the South• During this period there will be ups nature of our crime problem and west the situation is very different. and downs in the crime rate in our those things that we can or cannot do Mexican heroin is as abundant as or large cities. about it, what we may soberly and more abundant than ever before. It In fact, over the last 10 years there realistically expect will happen to comes across the border virtually un• has been a striking phenomenon crime, and what other institutions in impeded. The reason the U.S. Govern• about urban crime rates for which our society must do if we are to ment working with the Mexican Gov• I have no explanation. Every 2 years realize even the modest gains that can ernment has been unable to score the the crime rate changes in most cities. be made from improvement in our successes there that we scored in This is, the rate of increase or de• criminal justice system. France and in Turkey is due to the crease is different in odd years than It seems to me that the police ad• fact that areas where much of the in even years. More precisely, there ministrator has to participate actively heroin production and marihuana cul• is a greater increase in the crime rate in educating the community to accept, tivation is now taking place are, in as you move from odd to even years first of all, a sober and realistic view effect, unpoliced. The situation on the than there is when you go from even as to what is possible in terms of west coast is, I think, dramatically to odd years. I don't know why that crime control. The average citizen be• different and will remain dramatically should be. I'm struck by the fact that lieves that crime can be reduced in different for the foreseeable future. I most big city mayoralty elections are front of his house if he had a police• know of no measures now underway in odd years. Maybe there's some re• man on foot stationed in front of his or in the works that will make a sub• lationship between what people are house 24 hours a day. It doe n't occur stantial dent in the flow of heroin, reporting and what the politicians to him how much that costs or what cocaine, and marihuana into the want to believe, but I'm not a cynic it would do to the police protection Southwest and Western States. and I don't press that point of view. afforded to other neighborhoods and ' In short, it seems to me that our In the next 6 or 8 years we have to other houses. However valuable or not valuable a foot patrolman may be, it ocial indicators are telling us that we expect up and down fluctuations in is an unrealistic suggestion. Further• can expect in the short run a con• crime rates. We may not be able to more, mo t citizen believe that crime tinued increase in crime rates, espe• see a consistent pattern until the 1980's. has gone up in this country because of cially youthful crime rates, because If these are the facts, what is the something peculiar about the United the youthful proportion component of proper role of the big city police States. There have been some peculi• our population is continuing to grow, administrator? It seems to me the big arly American contributions to crime. because of the pressures of a combina• city police admini trators have not but the crime increase has been a tion of urbanization and deurbaniza• made as good a case for their role or worldwide phenomenon and has oc• tion, and because of continued family respon ibility as they could. Many curred in communist and socialist. as weakness. In the long run, I think we police chiefs, noticing the short tenure well as in capitalist, countries. Being a I can expect decreases in crime even if that police chiefs enjoy in their offices worldwide phenomenon, it will re- I we make few changes in our policing today, have apparently decided that spond ultimately to WOrldWide ,

4 FBI Law Enforcement Bulletin changes­to a reduction in the youth- but make much larger scores when of juvenile offenders. The reason you ful component in the population, to they do steal, and who are not at all do is either because certain offenses an abandonment or moderation of the deterred by random police patrol. This are too minor to bother with or be- cult of personal liberation, and to kind of crime is best deterred by two cause you know if you referred every- worldwide changes in the use of nar- factors, neither of which involves one you arrested to the juvenile courts cotics, though the exact relationship street patrol. One of these, of course, they could not possibly handle the between drug use and crime has yet is making the homes physically more workload. But the question is, are you to be established. secure by better locks, alarms, safety making the right decision about whom Though we can talk about a sober devices. The other is by removing you divert and what is happening to and realistic assessment of what is pos- these more professionalized burglars the persons diverted? And if you try sible, we must be equally firm about from society so that while they are in to do more than divert them­for ex- how important it is to do those things prison or in j ail they cannot commit ample, expose them to some educa- that are possible and not to wait for as many crimes as they are now com- tional program, require them to come poverty to end or for young people to mitting. At the present time persons in on Monday and Wednesday nights grow old or for the cult of personal in this category do not regard the with their parents to listen to lectures liberation to disappear. The first step criminal justice system as a credible about the evils of crime­are these is to educate our community about the deterrent. They do not believe that the programs making any difference? On differences among kinds of crime so cost of crime exceeds or even equals the basis of my review of the evidence that when people begin to talk about the benefits of crime, given their taste so far, there is serious doubt whether the crime problems, they don't talk for risk, and they are prepared to act these programs help at all, but in any about the crime problem generically, accordingly. event we do not know what difference they talk about specific kinds of crimes We see that there are at least two they make. for which specific police and criminal different kinds of burglary problems. We do not know whether it is a • justice responses are appropriate. For You gentlemen understand this very good idea or a bad idea to divert peo- example, all citizens are concerned well. The community at large does not ple. We do not know whether it is a about residential burglary. This is an understand this, and it seems to me, good idea or a bad idea to try to edu- important component of the crime therefore, that it is your responsibility cate, train, rehabilitate or some way problem. But a study recently done to help educate the community about deal with those who are the criminal. I by Thomas Reppetto, formerly a com- the specific problems created by dif- have read reviews of every published mander in the detective division of ferent kinds of crime and to help to account of police diversion programs, r the Chicago Police Department, who plan the specific strategies best suited and I can find no evidence that sug- later earned a doctor of public ad- to deal with each. gests that they make matters better or ministration degree at Harvard, points The police administrator must be make matters worse. out that there are at least two kinds the leader in his community in eval- It seems to me, to continue this ex- of residential burglaries and different uating, as objectively as possible, the ample, you must approach the di- strategies are appropriate to each strategies and tactics he and others are version problem with an evaluative kind. One kind, quite common, is that employing to deal with crime. Police point of view. First of all, set some committed in and around inner­city, administrators sometimes criticize, guidelines. Who will be diverted and low­income homes, public housing and I think rightly, prosecutors and who will not? Perhaps only first of- projects, mostly by young black males judges for the way which they dispose fenders, perhaps only certain kinds of who live in the projects or very close of the cases brought to them. I've them. Whatever the guidelines are, set to them, who steal rather small made these criticisms myself. But I up a mechanism to find out what hap- amounts but steal very frequently. know that criticism is not enough­at pens, the rearrest rates of those who These offenders can be deterred by best you make the other party defen- were diverted and those who were not. aggressive police and community sive, at worst you make him angry. H there is an educational or police patrols, in the areas where they The great strength that the police probation program, try to determine, operate. have lies in the fact that, unlike other so far as one can, what difference it Another kind of residential bur· parts of the criminal justice system, makes whether a person goes into this glary is that committed in middle- they are organizations which have the program or is diverted without going class, suburban homes, largely by capacity to plan, to evaluate, and to into this program, or is sent to a cor- whites who plan their crime very care- act in concert. For example, all police rectional institution. Some depart- fully, do not steal quite as frequently departments divert a certain number ments may now be doing this, but no

Febru ary 1975 5 such study to my knowledge has been but suggest what the evidence shows In short, there is a perspective that completed. . about the futility of the rehabilitative police administrators ought to bring On the whole, the police are far in ideal. to their jobs in the 1970's which is advance of other parts of the criminal Another example: there have now somewhat different from the perspec• justice system in their readiness to been between 1 and 2 dozen studies tive that I think that many of you confront these issues and some police that have measured, on a State·by• would have brought to your jobs in departments have shown remarkable State basis, the effects on the crime the 1950's or the 1960's. In the 1950's. initiative in devising ways to try to rate of the certainty and severity of the dominant police issue in thif\ find out what works. I think more of punishment. These studies support country was that of professionalism that must be done and it must be the view that the more certain the and integrity. Police chiefs spent most done in ways that can explain to the prospect of imprisonment, the lower of their time dealing with the problem community, with concrete facts, what the crime rate. Some have suggested of integrity. In the 1960's, without difference it will make whether we that for certain kinds of crime the losing sight of integrity, the dominant treat juveniles one way or another severity of punishment will also concern for the progressive police way. To do this, we must involve the deter crime, but all agree that cer• administrations became police·com• rest of the criminal justice system• tainty of punishment does seem to munity relations. It seems to me that the judges and the prosecutors-not deter crime. in the 1970's the dominant issue is by exhortation, not by harangue, but A third example: every big city the need to redesign police organiza• in an effort to serve common goals. If police chief can produce a list of the tions and operations so they can bet· they can be shown, in black and white, last 100 robbery suspects his force has ter serve crime·control and commu· the consequences of various ways of arrested or a list of the last 100 resi• nity-service obj ectives and the need handling juvenile offenders or nar• dential burglaries his force has to pose a clear and unemotional chal• cotics dealers or whatever, either they cleared. Each of you should be pre• lenge to other parts of the criminal will act or the public will demand to pared to produce such a list on a justice system to go and do likewise. • know why they have not acted. There regular basis- quarterly, semian• We must ask, what is our goal? will be powerful incentive on all sides nually, or annually-and indicate on Crime control? What does this mean to attempt to improve the system. We it what happened to each one of those for specific kinds of crime? What i~ all, I think, have worn ourselves out cases; what proportion got to trial; the effectiveness of alternativr: complaining of the unjust and ineffec• what proportion were acquitted; what strategies for dealing with those tive sentences that are often handed proportion pled guilty; what propor• specific crimes? What happens to out to defendants. It is not enough to tion convicted were given prison sen• those persons we arrest after employ• simply say this over and over again. tences, or suspended sentences, or ing those strategies? This is not an We must show in great detail what is probation; what proportion of those easy task for a police department. To happening. I think the police are well appealed their cases and how long adapt itself to be a rational instru· situated to do this. One way is to make that took; and so on. On a regular ment for crime control, to soberly sure that the officers on your staff are basis you should explain to the com· evaluate its own strategies, to chal· familiar with the studies which have munity the results of your activities, lenge the strategies of other parts of been done already on the conse• not in the unrealistic sense of how the criminal justice system is very quences of different ways of sentenc• many arrests you have made but the difficult. It requires a chief to ex• ing convicted offenders. more realistic sense of what has hap• pose himself to the possibility of fail• There was a recent review published pened to those per ons arre ted by the ure, and it requires him to manage which examined over 230 such stud• police, with probable cause, for seri• his department in new ways so that ies on the subject of criminal rehabili• ou crimes. You hould ask the com• various elements in the department tation. The re ult of this review was munity-is this what you want to cannot block change. I do not under• the showing that there is no consistent happen? If they do not want that to estimate the difficulty. I urge you or measurable gain in reducing re• happen, then it is the community's reo nonetheless to face up to this respon• cidivism to be had from any of the sponsibility to alter our institutions sibility in your department and, rehabilitation programs that have or procedures so it will not happen. though we recognize that our capacity been examined. Yet judges are in If this is what they want to happen, to reduce crime is limited by social many cases devoted to the belief that then they hould understand that the forces over which we have no control, we can rehabilitate offenders. You police are operating a very expensive we also recognize that within the e hould not merely argue with them, revolving door. limit we can do a better job. ijl

6 FBI Law Enforcement Bulletin Bank Fraud and

­I Embezzlement ...

The threat that "white­collar" 64,000 establishments. It is a viola- in the Southeastern United States was crimes pose to the community is tion of Federal criminal laws, for ex- convicted for misapplying in excess of shown by the seven­fold rise of bank ample, to furnish false information $4.7 million. The rising statistics over fraud and embezzlement violations to a federally insured financial institu- the past decade give every indication committed against federally insured tion to influence action on an appli- that losses in bank fraud and embez- financial institutions during the last cation for credit. No longer can a zlement matters will continue to

J decade. While these offenses are only con artist dupe an unsuspecting increase. a small part of the total white­collar banker by furnishing stolen or coun- Local and State law enforcement crime problem, losses from them, terfeit securities as collateral for a authorities, along with the FBI, have nevertheless, rose from $20.4 million loan without running the risk of Fed- concurrent jurisdiction over thefts in fiscal year 1965 to $151.1 million eral prosecution. Federal statutes also and embezzlements from banking in- in fiscal year 1974. Prosecutions dur- provide for a variety of means by stitutions. With the trend toward ing the same period resulted in a which criminal prosecutions can be fewer Federal prosecutions in favor of jump from 604 to 1,200 convictions. used to combat organized crime ac- local prosecution in selected areas The bank fraud and embezzlement tivities. Some underworld hoodlums where concurrent jurisdiction exists, convictions during the past fiscal year have been prosecuted for furnishing the need may exist in the near future accounted for 39 percent of all those false information to obtain business for a more active role by local police obtained in white­collar crimes inves- and personal loans. Hoodlums seeking and prosecuting authorities in bank tigated by the FBI. loans through legitimate lending agen- fraud and embezzlement matters. To With the increase in size and com- cies are vulnerable since they are curtail crimes that could result in plexity of fraud and embezzlement often unwilling to reveal necessary in- staggering financial losses to the com- crimes has come the need for more formation about themselves. When munity will require not only coopera- sophisticated approaches by FBI Spe- they falsify such background data, tion among law enforcement agencies cial Agent Accountants who are as- they risk prosecution. but the banking industry as well. The signed these investigations. FBI Agent Organized crime, however, is not public, too, must become more con- Accountants are now being afforded the main threat to banking institu- scious of the damage done to the com- advanced accounting and computer tions. A major portion of the fraud munity by white­collar crime. The training to enable them to cope with and embezzlement losses they suffered public has the need, and indeed the intricate embezzlement schemes which during the past 5 years was caused right, to demand the highest level of are often disguised by the new data by respected and highly placed officers integrity from employees of banking processing technology in the banking and directors of the victimized insti- institutions. The banking industry industry. tutions. Prosecution was recently be- cannot operate effectively without the Federal criminal statutes relating to gun against an officer of an eastern confidence of the public anymore than financial institutions have been bank who misapplied funds in excess it can without the vigorous enforce- broadened gradually to protect over of $8.1 million. Another bank officer ment of laws designed to protect it. l!l

February 1975 7 Participative Planning at Work In the Criminal Justice Community \•

By CAPT. CLYDE l. CRONKHITE Police Department Los Angeles, Calif.

T he Los Angeles County Sheriff's providing around-the-clock in• Department (LASD) and the Los formation ervice on persons Angeles Police Department (LAPD) booked. A citizen trying to locate overcame many of their coordination someone they thought to have and consolidation problems through been arrested would usually the use of "participative planning." have to call both agencies. This The LAPD­LASD Consolidation inconvenience to the public, Project, described herein, is a success· plus the duplication of func• ful "people·centered" project which tions, was an area of potential led to the formation of a "task force" consolidation. organization. This structure is now Mutual Interagency Prisoner being used to plan and implement Transportation Service. Both other joint agency ventures, particu• agencie manned large prisoner larly in the area of interagency auto• transportation units consisting mation systems. of many buses and a consider• It had been recognized for many able number of sworn personnel years that tax dollars could be saved A Mutual LAPD- LASD Book• who had been removed from and more efficient law enforcement ing System. Persons booked into field functions to perform the provided by consolidating various the LAPD, at the time, were transportation function. LAPD Los Angeles city and county func• processed with a booking form, transported their prisoners to tion . The artifacts of many plans for fingerprint card, and property court where they would then be consolidation efforts, developed over package, sent to court, then re• transported by LASD personnel the la t everal decades, can be found manded to the LASD after ar• to the county j ail facilities. A in the fi les of both departments. All raignment. L D would then considerable duplication of man• of the epa t plans had merit, but none completely rebook the pri oner power and equipment existed. was implemented. with a new booking form, new Compatible Computer Sys• It was decided, several years ago, fingerprint cards, and again tems. Both departments had been to again tackle the consolidation effort package their property-a com• de igning and, in some cases, but first to determine what caused past plete duplication of effort. implementing automation ys• efforts to fail. The goals and areas of A Mutual LAPD- LASD Ar• terns with little consideration for development for this endeavor were restee Information Center. Both what the other agency was de• defined as: agencies had clerical personnel veloping. Thi was leading to the

8 FB I Law Enforcement Bulletin implementation of computer areas was possible and necessary and programs which would contain found that most employees felt that limited data and cost exces- consolidation between the two agen- sively. By pooling information cies in the functions listed above was possessed by both agencies, shar- logical and needed despite the fact ing the costs, and consolidating that they had previously rejected such the programing efforts, much plans. The main purpose of this proc- time and money could be saved ess was to get the people who knew and more efficient and effective most about the functions interested systems developed. and involved in the planning process. By researching the history of the At the same time, the key people, or /' earlier consolidation efforts, it was as a well­known behavioral scientist found that past planning had been called them, the "linking pins," were l accomplished by staff research em- located. / . ployees and that the plans were re- The next step was to form these E. M. Davis jected by management down through "linking pins" from both agencies Chief of Police into a group which was (and still is) the rank and file in both organizations. each agency which were the subj ects of The reason for the rejection seemed called the Consolidation Project Team. To do this, management in both consolidation. This group was estab- to be the ever­present resistance to lished to meet once a month, or as change. The people that were going departments had to agree to allow these employees to participate once necessary, to review the team's prog- to have to live with the changes felt ress, make recommendations, give no allegiance to the planned programs a week for 2 to 3 hours. As both agencies were still sensitive to the direction, and report their findings because they had nothing to do with to top management of both depart- the development. In many cases the past consolidation effort failures, ob- taining approval was a difficult task. ments. They thereby gave authority plans were not practical, because to the team and communicated the It was finally agreed that command they were developed around the efforts of the project to the decision- "book's" description of how both de- level personnel from each agency would form a consolidation project makers. partments ran the functions that were The team was composed of unit to be changed. The fact was that group to which the team would report and be responsible. level personnel. The police department things ran much differently than de- was represented by members from the The Coordinating Consolidation scribed in the agencies' "manual of Information Services Division (Man- operations," and the people who really Group was thusly formed. The Los Angeles Police Department was repre- agement Services Division), Advance knew how things functioned, the peo- Planning Division, Central Jail (now ple who performed the work, had not sented by two inspectors (now called commanders), one from the Tech- Jail Division), Records and Identifi- been consulted. cation Division, and Valley Services nical Services Bureau and one from Armed with this information, staff Division. The sheriff's department the Planning and Control Bureau personnel obtained permission to visit participation was from the Research (now called Planning and Fiscal Bu- with the employees in those areas that and Development Bureau, Transporta- reau). The sheriff's department was were earmarked for consolidation tion Bureau, Jail Division, and Elec- also represented by two inspectors, planning. The staff did not take the tronic Data Processing and Record one from the Jail Division and one approach of telling these employees Bureau. Since communication links that the staff had some plans, but from the Admini trative Division. between the two agencies were affected rather solicited from the "workers" (Bureaus in LAPD and divisions in by this project, a representative from their ideas and suggestions. They took LASD equal the same organizational Pacific Telephone and Telegraph Co_ a con ulting type leadership role. unit.) These inspectors had responsi- was also included as a technical ad- They asked if consolidation in these bility over the areas and functions in visor to the team. Personnel from both

"By pooling information . __ sharing the costs, and consolidating the programing efforts, much time and money could be saved and more efficient and effective systems developed."

February 1975 9

565­ 656 0 ­ 75 ­ 2 the city and county administrative ing together. It was soon noted, how• od of presentation, and prepared the offices were brought in later, when ever, that although the members were final draft of the proposal. financing needs were being defined. excited about what they were involved I t is important at this point to note Other city and county personnel in, nothing productive was happening. that the team developed these plans joined the team as it expanded into The staff members (two sworn per• without the direction of their immedi. various functional areas in later proj. sonnel and one administrative assist• ate supervisors. There was no authori• ect phases. ant), who were assigned full·time to tarian direction which forced these The team met once a week, alternat· this effort, had definite ideas on what people to do the job, First of all, they ing between the police and sheriff's had to be accomplished, but they did had to have volunteered for the task. offices, to discuss problem areas and not want to force them on the team, Many of those working on this proj. resolve them at the working level. but rather wanted to have team mem• ect had no background in planning, Should the problem fall outside the bers come up with suggestions. The especially in such techniques as flow• realm of a team member's assignment, staff decided to talk to the members charting and the Program Evaluation it was taken either to the source by individually at their places of work and Review Technique (PERT) proc· team members who reported on their and suggest bits and pieces of what ess which were used extensively. It findings the following week, or a per· the staff thought the beginning plan was necessary to give special training son from the concerned unit was in· should be. This was not meant to to these "lay" members, and much of vited to the meeting to help resolve manipulate the team members but this went on out ide of their regular the problem. rather to get them started in a posi• work hours. It is also to be noted that The team coordinator was a lieu· tive direction. What resulted was that the regular dutie of the persons in· tenant from the police department, the team members showed up at the volved were not reduced so that they with a lieutenant from the sheriff's following meetings with the e thoughts could have the necessary time to work department as alternate, and these fresh in their minds. More than this, on the team's tasks during their regu· member~ members ho ted the meeting . Each the ideas had been refined in accord lar tours of duty. Most team week the coordinator forwarded to with the working knowledge possessed gave willingly of their own time to the team members the minutes from by team personnel. They had taken keep this project on target and on the previous meeting, when and where "drawing board" plans and made time. the next meeting would be held, and them working plans. To insure that team members reo what the topics of discussion would ceived proper recognition for their be, including problems yet to be reo "They had taken 'draw• work, most were given the opportu• solved. Thi method kept all person· ing board' plans and made nity to give oral presentations to the nel informed of the progress and also them working plans." Coordinating Consolidation Group. provided mental stimulation for the Additionally, the names of every upcoming meeting. This beginning exercise set the member were printed on all planning The team adopted the following a stage for the future of the project. and progress report documents. This it slogan and printed it on all it cor· When the staff developed ideas, they allowed the members to "take a bow" respondence: were pre ented to the team members and gain a feeling of ownership of who took them back to their working results. It also made it easier for the "COMI G TOGETHER IS A areas, sifted them through the light deei ionmakers to give approval to BEGI lNG, KEEPI G TO· of reality, and brought them back the plan being pre ented because: GETHER I PROGRESS, the following week with appropriate They knew the people working WORKI G TOGETHER IS comments. This proce s assured that on the plan and recognized they CCE " the plan were practical that they were the plans of the people who were were from units under their The e word are mentioned here as going to have to live with the results. command; they seemed to express the feeling of With this beginning, the team The plan was developed and the team as it gained confidence and members and staff developed the plan presented by persons who were pride in working together and which is briefed in overview fashion going to have to live with the developed a definite "e prit de corps." in figure 1. The team defined objec• re ults; and The first few team meetings were tives, problem area , and methods of They knew the planners would 100 ely structured and allowed the solution, flow·charted procedures, help overcome the natural reo members to get accu tomed to work· charted workload , arrived at a meth· sistance to change by those per·

10 FBI law Enforcement Bulletin and LASD. The utilization of these Figure 1. CONSOLIDATION OVERVIEW procedures resulted in the creation of STEP I a mutual information service that 1. Establishment of a booking communication link be- now provides both the public and tween departments making use of existing teletype other agencies with a central file of system. booking information on all persons 2. Creation of compatible booking form and mutual arrested by both agencies. This ha!l prisoner transportation form. tremendously reduced the amount of 3. Development of compatible prisoner processing sys- duplicated effort between the two tem. departments. (a) Armbanding of LAPD prisoners, as LASD Step II caused the LAPD Auto- was already doing. mated Want and Warrant System (b) Compatible handling of prisoners' property. (A WWS ) specifications to be ad- (c) LAPD's use of LASD's county booking num- justed to utilize booking information bers. being teletyped to the LAPD­LASD 4. Establishment of a centralized arrestee information information center. As a result, the service to include information on persons hooked by system could automatically log the is- both agencies. suance of booking numbers; generate STEP II a form control log for booking docu- ments; initiate a Master Booking I. Installation of Cathode Ray Tube (CRT) terminal de- Blotter; accept, verify, and transmit vices to replace LAPD's teletype input to the booking booking data on arrested persons to information communication link. the information center, in addition to 2. Storage of LASD W ants/Warrants in LAPD Auto- generating an A WWS check and mated Want and Warrant System (AWWS) computer. printout update information for the 3. Initiation of an automated printing of LAPD Book- Master Booking Blotter. ing Blotter. In the final step the automated 4. Instigation of a mutual booking form (both depart- booking information system began m ents making use of same form). providing computer control of ar- 5. Implementation of physical transportation of LAPD re!3tee booking information, an auto- prisoners to court from divisional stations h y LASD. matic want and warrant check on STEP III each booked person, digitized book- 1. Initiation of the LAPD/LASD booking computer ing information on each booked per- system s. son stored on magnetic tape, and a 2. Implementation of computer storage of mutual book- computer·to·computer link between ing information. the LAPD and the County Justice 3. Instigation of CRT inquiries at mutual arrestee infor- Data Center's Automated Justice In- r mation center. formation System (AIlS). This sys- 4. Implementation of a mutual bail system. tem is used by the court system, law 5. Complete LAPD prisoner transfer from divisional enforcement agencies, and the public stations to court by LASD. (figure 2) . The team initiated a legislative amendment to the California Penal sons whose work would be af· The training was also accepted be· Code, Section 1269b, and caused the fected by the plan. cause it was coming from one of them execution of a City­County Joint When the plan was ready to be im· rather than from outsiders. Powers Agreement, which resulted in plemented, the team members pro- In step I, compatible booking forms the implementation of the integrated vided the training to their fellow were designed to record, in common bail procedures. Integrated bail in- workers. This task went exceptionally format, specified information on each creased service to the public by pro· I well, as the team had "talked the proj- booked person, and compatible pris- viding bail.acceptance procedures be- k ect up" with their peers and super- oner processing techniques were de- tween the police and !lheriff's depart- visors during the development stage. veloped for use by both the LAPD ments which allows citizens to go to

February 1975 11 Figure 2 .

man-days a year due to increased any LAPD division or LASD tation ally. Transportation services cost and po t bail for pri oners in cu tody about 250.000 per annum for LAPD. service. 1,.. It is important to realize that this at any detention facility of either de• but released 2<1 police officer to field effort worked, where prior efforts had partment. In addition to providing duty in addition to a potential in• not, becau e the " working level" better public service integrated bail vestigator time savings of over 4,000 people were con ulted and allowed to procedure provide more information and the mean for uniformly proce s• take an active part in the develop• l ment and implementation of this pro• ing bail depo it through the court clerk ystem, thu expediting account• gram. It became their project and a " . . the 'working ing and refunding procedures within very practical one at that, because it that acyency. level' people were con• wa screened through the realities of their experience. Even though the orig• The int "rated bail procedure sulted and allolced to inal project ha been more than operate at no extra co t to either take an active part in agency. Implementation of the mutual completed, the team still meet and i information ervice concerning ar• the development and now working on expanding the sys• re ted per ons and the automated implementation of tem to the other 48 police agencies in Lo Angeles County. booking information sy tern co t the this program." cit about. 36,000 in recurring annual FOOT'OTE operating osts. The e two services, 1 Tho Con(rf('nce Ooard. Behallioral Science Can• however, relea ed 13 clerical po i• ctpl$ and Mannlt'mf'nt AppliclItion. The Conference tion , thereby saving II ,000 annu- Board, Inc., New York, 1971. pp. 31-40. ijl

FBI law Enforce me nt Bulletin 12 tions and public information. In the most simple terms, public relations at- Developing the tempts to sell the positive aspects of a department or situation. By way of contrast, public information should be distinguished by its candor and com- Public Information pleteness. There is a growing aware- ness among law enforcement person- nel of the need for active public infor- mation programs and the important Function role the news media can play in ful- filling this objective. "When dealing with the news media, truth, under• Public Information standing, and cooperation should be the bywords." When dealing with the news media, truth, understanding, and cooperation should be the bywords. There will be times when all of the facts pertaining By to a news story cannot be told to the public. There may be any number of SGT. FRANK P. HAYWARD reasons why the story cannot be told. Public Information Division The responsible newsman should be Department of Police New Orlea ns, La. told why the facts must be withheld from the public. Is it to protect a po- tential victim; is it to avoid alerting a suspect that he is being sought? Is it for some other reason? TELL THE MEDIA WHY. In most cases, they will cooperate. A promise made to the media must be kept, and the facts for a story pro- vided them as soon as disclosure will not violate legal, moral, and practical restraints. It is unreasonable to expect any reporter worth his salt to sit on a story for very long. The news business is very competitive. Once this is un- derstood, the task of providing infor- The principal mISSIon of a police In the department's policies which mation will be easier. A responsible public information unit should be to could affect the general public. information officer must understand maintain liaison with the news media Any public relations function In both the fields of policing and jour- and the general public for the primary which the public information unit is nalism. Media deadlines must be con- purpose of continuously informing the engaged should be secondary in im- sidered. Television and radio dead- public of the department's activities, portance. With this in mind, it is nec- lines are usually hourly, and they al- current crime situations, and changes essary for us to separate public rela­ ways want the story NOW. The public

February 1975 13 interest can be sarved, and this can be tographs or recordings. The police, worked out if there is mutual under• however, have no authority to invite "The simplest rules to standing of each other's problems and the news media into private premises. follow in organizing infor• responsibilities. Police officers should not prevent mation to be furnished the In developing guidelines for the re• media cameramen who hold police• media are _ . . WHO DID lease of information, thought must news media passes from photograph• WHAT, WHERE, WHEN, be given to indoctrinating all mem• ing persons or scenes, even in in• WHY, anclHOW?" bers of the department as to their re• stances where the police agency would sponsibilities in dealing with repre• not release to the media departmen• sentatives of the news media. Such tal photographs of such persons or The simplest rules to follow in or• guidelines, when followed, should dis• scenes. However, access to crime ganizing information to be furnished charge the responsibility of the de• scenes may be restricted to avoid the media are those same rules trained partment with regard to fair adminis• jeopardizing successful conclusion of investigators have put to memory long tration of justice and the privacy of an investigation. The police should ago, namely, WHO DID WHAT, individuals. Beyond assuring com• neither assist nor discourage members WHERE, WHEN, WHY, and HOW? pliance by departmental members, it of the news media in photographing Generally, these facts can satisfy a re• should not be the responsibility of the an accused person in custody. The ex• porter's inquisitiveness without jeop• police agency to restrict activities of ception to this would be in cases where ardizing the investigation. These, the news media, either to insure the individual departments or jurisdic• coupled with good commonsense and fair trial or to protect the privacy of tions may have rules or laws prohibit• a knowledge of the individual policies individuals. ing cameras inside of certain build• of a given agency or jurisdiction, Many of the conflicts between police ings such as courts or police build• should lend themselves toward estab• and the media arise at scenes of ings, in which case cameras would be lishing a good relationship with local crimes, emergencies, or disorders. Un• prohibited. news media. Of course, law enforce• der these circumstances, where indi• Courtesy and diplomacy should ment personnel must be guided by vidual perceptions are often distorted characterize dealings with members State and local laws governing the dis• by the intensity of the emergency, of the news media who can be fur• closure of information in the lawful misunderstandings can easily occur. nished, upon request, information fall• possession of their departments. In order to avoid these conflicts, of• ing into the following categories: Officers on the scene of occurrences ficers in command at such scenes, should be careful not to release for • Names, age, and addresses of where numerous members of the news publication or make remarks which individuals involved in an inci• media are drawn, should as soon as could likely re ult in publication of dent, if the information will sub• practicable assign an officer to co• information falling into the follow• sequently appear in records open ordinate police-media activities pend• ing categories: to public inspection; except vic• ing the arrival of a representative tims of sex offenses, juvenile de• • Information which may jeop• of the public information unit. ardize the successful conclusion fendants, witnesses, and deceased It is advisable for any police agency of an investigation (access to persons before next of kin is in an area where there is a represen• crime cenes also may be re• notified. tative number of news-gathering agen• stricted for this reason). • Circumstances surrounding an cies to develop a system of issuing • The identity of any suspect incident or arre t, uch as time police-news media passes or so-called prior to arre t or the results of and place, posse sion and use of pre s cards. It should then be manda• any inve tigative procedures ex• weapons, resistance, pur uit, tory that members of the news media cept to the extent necessary to identity of the arre ting officers, display these cards, preferably by aid in the jnve tigation, to assist length of the inve tigation, and wearing them on an outer garment by in apprehension of a suspect, or use of a clip or chain, when at the a general description of items to warn the public of dangers. scene of any occurrence having police seized. • Any opinion as to guilt or interest. To the extent possible, with• • Additional information, at the innocence of the accused, as to out hampering police operations or di cretion of the officer in charge the merits of the case, or the evi• investigations, the holders of such pas• of the investigation, which may dence in the case_ ses should be furnished access to loca• assist in locating wanted persons • tatement or information re• tions from which they may take pho• or vehicles. garding the character or repu-

14 FBI Law Enforcement Bulletin tation of the accu ed or victim. the· cene reporters and to all other Press Freedom • The existence or contents of news agencies in a manner that best Finally, we come to the delicate is· admissions or confessions made serves the public and the police. sue of "freedom of the press." While by an accused or his refusal or To di seminate information on a none of us in law enforcement con• failure to make any statement. regular basis, a convenient method sciously wish to deprive anyone of his • The identity, testimony, or should be developed. Most news constitutional guarantees, the mean• credibility of any prospective agencies will cooperate in bearing the ing of the words "freedom of the witness. cost of a telephone straight line, or press" is often abused by some mem• • Speculation as to how an ac· "hotline." This is simply a telephone bers of the media. It is not our inten' cused might plead. that, when the receive~ is lifted at the I tion to censure but rather to alert • The construction, content, and law enforcement agency headquarters, police per onnel to the possibility of mechanism of any explosive or rings at all of the several news agency irresponsible journalism, both in l incendiary device. offices. A simple rollcall can then be printed and electronic media. conducted and the story related or the Records of police personnel should Interpretative reporting rather than • prepared release read. Most radio and not be open to routine public inspec• factual accounts often frustrate police television stations will have the ability tion. Likewise, the addresses or tele· agencies or individuals involved. It to tape record the telephone messages phone numbers of officers should not is important to understand certain for subsequent broadcast of pertinent be released to a member of the news problems of the media that tend to• excerpts. media. The purpo e of this is to ward this type of reporting. Television If the public information unit can· strengthen the off·duty privacy and and radio reports are often handicap• not be manned on a 24·hour basis, safety of the officer and his family, but ped by time limitations. Usually it is an extension of the hotline can be in· not to make him inacce sible to legiti. necessary to capsule a news story in stalled in the communications section mate inquiries. Every reasonable ef• 1 minute or 2, or even less. Because of where the news media can be kept fort should be made to insure that of• this complication, people are some· abreast of happenings during off-duty ficers receive m ssages through the times misquoted, quoted out of con• hours. It may be advisable to make units to which they are a signed and text, or only partially quoted, thus periodic hotline broadcasts, ay once respond to legitimate questions and distorting an account. lewspapers are a watch, giving news media agencies interviews by the media. more fortunate in that they can more a rundown of happenings during the frequently present all of the facts, ac• past 8 to 12 hours, depending on the counts, and happenings. In the printed Dissemination of Information size of the city or area served by the media, we must be concerned about law enforcement agency and the editorial comment sometimes care• If the police aaency has a formal amount of activity that would interest fully concealed in a story. This can public information unit. this unit the public. happen in cases where young, inex• should be responsible for the issuance The hotline could also be utilized of all printed or formal news releases. perienced reporters may write a story, when roads and bridges are closed As in any news story, timing is im· although some nationally known, well• to traffic, serious accidents that may experienced journalists and commen• portant, and once again, the im• cause a diversion of traffic, or other r tators have been accused of such ir• pOl'tance of deadlines is emphasized. occurrences that may be of public responsible journalism. If the content of a news release is im· interest. r Should a police agency experience portant enough to make a release in To further facilitate the release of what may be considered by some as the first place, timing must be con• information, a form should be devised irresponsible reporting, the best reo sidered. It is unwise to release a story describing major occurrences and pre· medy is for its officials to meet with at 4 :30 p.m. if the local television pared by the communications section the editors and news directors and air stations broadcast at 5 p.m. Chances with copies to the chief, public infor• their grievance. If cooperation, truth, are this release will end up discarded. mation unit, and other interested par• and understanding is continually Whenever possible, the public in• ties. If there is a press room in the strived for, the community will be the formation unit should have personnel law enforcement agency building, a beneficiary. on the scene of major crimes and oc• copy could be designated "press Both the printed and electronic currences to coordinate media in• room." However, the copy should be media have established canons of quiries. It is important that informa• so designed as to omit information of ethics. Hopefully, they will live by tion be obtained and provided to on- a confidential nature. them. ~

February 1975 15 I t is natural for law enforcement A toll­free "hotline" for the use of law enforcement agen- agencies to solve mysteries. Now, they cies has been established by the Center for UFO Studies. can help solve what may be one of the UFO reports made to these agencies can be relayed to the greatest mysteries of all time. center for handling and study. The toll­free number (not for Law enforcement agencies have general public use) can be obtained by law enforcement been repeatedly involved with people agencies by writing to the Center for UFO Studies, P.O. Box who have reported unidentified flying 11, Northfield, III. 60093. objects (UFOs). Sometimes, UFO witnesses have been under great emo· tional stress, and have turned to the disappeared "at a dazzling rate phenomenon.1 Accounts of other police for urgent help and guidance. of speed." sightings by law enforcement officers For many years, local law enforce· On December 29, 1973, area have also been published.2 ment officials have borne the brunt of policemen in Culpeper, Va., In February 1974, a Rochester, public concern In the persistent sighted three UFOs. Minn., patrolman chased a "meander- mystery of UFOs. An entire book was written about ing, flame.spewing UFO" along High- the famous UFO sighting in Exeter, way 52 as dozens of motorists pulled Police Involvement N.H., on September 3, 1965, when off the road in astonishment. During two officers were called to the scene the chase, the radio dispatcher re- A great many times police officers and observed a spectacular UFO ported to the patrolman that the police have figured in the UFO sightings directly­ they have experienced UFOs themselves! This is by no means as This photograph, taken in New Jersey, .hoWI a typical reported sh~ rare as the reader might think. In late feet in diameter, and a depressed central 1973, dozens of police chiefs, deputies, and officers reported UFO experiences of their own. On October 16, 1973, the crew of a Delaware State Police heli· copter along with flight control- lers at the Dover Air Force Base reported a FO which the heli- copter crew chased 14 miles across Kent County. Several days later, two Adams County, Ohio, deputies on a routine patrol at 1 a.m. reported a UFO hovering some 200 feet above the ground. On October 19, 1973, a Tulsa, Okla., police sergeant confirmed another officer's report of a hov- ering multicolored object whose size, they said, would dwarf a 74.7 jetliner. Two Los Angeles, Calif., policemen, on November 12 1973, said they saw a large: round, bluish white object at 9 :50 p.m. and observed its maneuver f or more than a minute before it station was receIvmg many phone facing a mutual problem as they have Through the cooperation of the di- calls from people saying they had many times before. rector of Northwestern University's or observed !omething strange in the A body of scientists and other pro- Traffic Institute, this toll· free number sky.3 fessional persons, all established in was distributed to several thousand Many other police report! are on their own fields, organized to create police chiefs and sheriffs around the record. And, these experiences are not a center for UFO studies because country. It is urged that this number uniquely American­French, Italian, no one was "minding the store." be widely disseminated to lawmen in English, Canadian, and Australian Although some wide­ranging studies all parts of the country. Phone r' police have frequently been involved had been conducted, these had not stickers with this number are avail- .in UFO sightings. followed the continuing nature of the able through the center . Despite all thi!, the matter of UFOs UFO phenomenon. In late 1973, these A word of caution. The number " has generally been the subject of ridi· men­physicists, astronomers, !oci- should not be given to citizens re- cule. For years, we have laughed at ologists, psychologists, laboratory porting the UFO. The law enforce- UFOs and the people who report heads at several universities around ment agency should place the call. r them. But now, after a quarter century the country (and in France and Aus. Nor, of course, should 'the number of poking fun, of laughing it off, and tralia too) ­established the Center ever be released to the public for of calling UFOs entirely the result of for UFO Studies. obvious reasons. ~ overheated imagination!, the scien- The UFO CENTRAL "hotliDf~" tific world is slowly awakening to the UFO Central serves the purpose of mutual coopera· fact that something real i! going on. tion. On the one hand, the Center for " Science and law enforcement are In the fall of 1973, the United UFO Studies is helped by receiving States experienced a major wave of UFO reports that. have heen pre- e with a ring, 30 UFO reports, a great many of which screened, so to speak, by first he­ ~ involved law enforcement personnel- either directly or indirectly. Regard- By less of the source of UFOs or their J. ALLEN HYNEK, Ph. D.* legitimacy, these sightings represented Director a real problem for law enforcement Center for UFO Studies because people had to have someplace Northfield, III. to go to report and some official per- ,. son to whom they could recount their experience. Into this breach, the Center for UFO Studies entered. It operates a toll­free telephone service (UFO CENTRAL), 24 hours a day, 7 days a week. Upon observation of a UFO or receipt of a UFO report, law en- forcement officials need only dial the number and an operator (located in Chicago) will request specific information. The form used by the operators is shown on next page.

"Law enforcement

agencies have been repeat- ­Dr. Hynek i. chairman of the Department of As• edly involved with people tronomy, Northwestern UniYcreit1, and director of the Lindheimer Astronomical Research Center and of the who have reported unidenti- De.thom Observatory. He wa. formerly .nociate di- fied flying objects (UFOs)." rector of the Smithsonian Astrophysical Obsenatory. Cambridge, Ma!!., and IdentiSc conaultant to the Air Force on the subject of UFOs. He i, the author of many technical articles and booD. existed in spirit among a number of UFO CENTRAL scientists and engineers who had taken a private interest in UFOs, meet­ Do not write above this line ing wherever they could at private POLICE/OFFICIAL AGENCY REPORTING: SIGHTING INFORMATION: homes, or with one another in their travels. These men called themselves nate____Time___MI PM Caller # the "Invisible College," a name with Agency Circle one: LIGHT or ODJECT an ancient and honorable history. Way in the sky? back in the " dark ages" of science, Address How close?______when scientists themselves were sus- How many?______CitY/State/Zip pected of being in league with the How long in view?____ Phone ( Devil, they had to work privately. Jlow many people saw it? IDENTITY OF WITNESS(ES) They often met clandestinely to ex- WERE THERE ANY PHYSICAL change views and the results of their Name EFFECTS ON: Animals Plants TV various experiments. For this reason, Radio Cars Phone Address they called themselves the Invisible Explain­any other effects on the other side. College. CitY/State/Zip DID THE ODJECT LAND?___ And it remained invisible until the If so, how close? Phone ( scientists of that day gained respecta- List other witnesses, details of sighting, on other side. bility when the Royal Society was chartered by Charles II in the early " DATE OF CALL,____ OPERATOR____ THfE,___MI PM 1660's. Similarly, the creation of the Center for UFO Studies from the UFO Form used by UFO CENTRAL operators when sighting reports are received. Invisible College represents a step ing reported to a law enforcement The report is evaluated by the re- toward recoO'nition. To a considerable agency. Equally important, the law ceiving operator; if it icon idered extent, however, it is still a matter enforcement agency has an authori- urgent (for example, a landing case, of bucking indifference as the early tative, scientific agency to which re- particularly if phy ical evidence is scientists once had to resist the popu- ports can be passed for any appropri- reported), the director of the center lar super tition of the day. ate action, such as followup interviews is immediately notified, regard Ie s of In late 1973, it had clearly become or cientific examinations. the time of day, and appropriate ac- the time to act. There i , however, a more impor- tion i taken. sually, thi con ists of The cientifie board of the center tant cooperative function lawen- telephone interview with the original con i t of faculty members and sci- forcement agencies can serve­to witness to get the record traight early entist at uch universities as Stan- protect the cene of a sighting, as they in the game, followed by notification ford, CLA , University of Chicago, do the scene of a crime­that is, to of a center investigator in the area. Colorado, Texa , Wisconsin, Utah, insure that in those ca es in which ince investigator erve on a vol un- lIIinoi , Johns Hopkins, Yeshiva, and marks on the ground, broken tree teer basis (but are generally profes- Northwe tern. branche, or crop damage is found, ional people often engineers or tho e the ite is protected from curio ity with other technical training), they eeker and souvenir hunters. Many are notified immediately only in tim in the pa t, before a cientifi- urgent cases. " •.• pl'oper scit>ntific in· cally qualified inve tigator could ar- If the FO report does not demand ,e"ti~a'ion of current UFO rive, by tanders not only destroyed immediate attention, an inve tigator rt'pOl" is ()f prime import· ph)' ical evidence but loitered. They i notified by phone or mail, and a lInce. " pe tered the original witnesses to an r port form i sent to witnesses for extent which discouraged orne from return to the center. an interest in reporting further their experience. The Invisible College Announcement of the center brought Here i how the center operate re pon e from many quarters and once a report comes into FO The Center for FO tudie did ofTer of volunteer help from tech- CE TRAL: not spring up uddenly. It had already nically train d per ons from all over FBI Law Enforcement Bulletin 18 the country. In the main, these people of hands to having some sort of a event that the caller states an object offered their services as investigators FO experience. Yet, when I ask the has landed, and especially if damage of current UFO cases. Although pres- same people how many of them re• to property or danger to life is indi- ent UFO data are already mountain- ported their sighting to the police or to cated, police action is obviously called ous, proper scientific investigation of the Air Force, only a small percent for. In such cases, it is important for current FO reports is of prime im- had. scientific and public sar ety purpose portance. In the past, because of the I am entirely convinced that a large that the affected area be cordoned off r obscuring "ridicule curtain," proper reservoir of unreported FO cases and protected from the public until investigation was rarely carried out, exists­the sightings have not been qualified investigators arrive. and many cases could probably have reported largely out of a fear of ridi- The data­gathering function of the yielded hard­core data; instead, only cule. A Gallup poll released in 1973 center is only one aspect of its work. anecdotal material resulted_ suggests that as many as 15 million Study and analysis of FO report ll In obtaining hard­core data, the Americans may have seen UFOs and are its prime aims. And primary in cooperation of law enforcement offi- that 51 percent of the persons polled this i the laboratory tudy of those I cials is of great importance. Only they believe UFOs are "real." Whatever "close encounter" cases in which as- r can protect, for instance, the scene UFOs eventually prove to be­visitors sociated physical effects are alleged to of a UFO incident from disturbance, from outer space or what have you- have occurred: damage to crops, prop- and their presence at such a scene 15 million people is a number to be erty, trees, ground, or persons, or lends authority which the public reckoned with­ and the police are the material said to have come from the recognizes. first in line to have to do the UFO is found. Medical examination of In France, officials have publicly reckoning! persons reported temporarily blinded acknowledged their support of co- It is well, then, to be prepared to or paralyzed is also sponsored by the operative efforts when investigating handle an excited­sometimes even center. Likewise, when the physical serious UFO reports. The "Gendar- hysterical­voice at the other end of effect takes the form of interference merie ationale," an official publica- the line reporting a FO. The basic with electronic circuits_ automobile tion of the Gendarmes (a branch of facts that the center needs to know are ignitions, and electrical systems, the the French National Police), discusses those listed on the UFO CEi'\TRAL center attempts to study the equip- procedures which French police form. The most important of those are: ment affected and the manner in which should follow upon receiving a report it was affected. A. Was an object seen nearby, of a sighting. Pattern studies, involving statistical on the land or close above it? analyses of types of UFO occurrences, Public Concern B. Were there any physical their frequency, the geographic and time distribution, and the numbers disturbances or effects? It is misleading to assume that be- C. What was the duration of the and distribution of witne ses report- ing them, are made; likewise similar cause one does not read a great deal UFO experience? about UFOs in newspapers (there are D_ How many witnesses were studies of types, training, and com- far more reports of UFO sightings in there to the event? munity status of witnesses are small town newspapers as compared important. As soon as these basic points are with large urban dailies) that the pub- To those not familiar with the UFO noted, the caller hould be advised lic is 110t interested or concerned about phenomenon and the type of reports that his report will be referred to the them. The "grassroots" interest is that continue to be made by respon- center and that he may be contacted sible persons, here is a quick run- nevertheless believed to be very high. by persons from the center. Do not f down of terminology: Just start a conversation about UFOs give the caller the toll­free number. at almost any gathering­from a The operators are instructed not to Close encounters. These are sightings cocktail party to n civic meeting- accept calls from private individuals. of FO events reported seen at close 'and you'll be surprised how (slowly at At this point, providing, of course, range­a few hundred feet generally. first) UFO stories will pop up. It has there i no violation of law apparent, For convenience, they have been di- been my regular experiencl:: in giving the responsibility of the law enforce- vided into three classes: talks about UFOs in various parts of ment agency has been discharged­ as First kind_ A sighting at close the country that 10 to 20 percent of far as the UFO report is concerned. range, but nothing tangible my listeners will confess by a show There is one great exception: In the happens.

February 1975 19 Second kind. Something tan• Misconceptions nition, all sorts of things-but con• gible does happen, for example, cerning UFOs, it does not. electrical circuits can be severely Finally, there are many miscon· UFOs have been called "incredible affected; marks can be left on ceptions about the FO phenomenon tales from credible persons" and that the ground; persons can be tem• held generally by those who have is just what they are. So incredible porarily paralyzed or blinded, never examined the data. The first of (from our present technological and skin burns can occur; plants, these is, of course, that UFO reports standpoint) that it has been very trees, and crops can be damaged, are made mainly by crackpots. The tempting for all of us, including scien• and so forth. facts are quite otherwise. Clearly, tists, to dismiss such reports out of Third kind. Like the first and police officers, commercial and mili• hand. Yet, it is absolutely incontro• second kinds, except that living tary pilots, air traffic controllers, vertible that our most puzzling reports or robot-type creatures (huma• scientists, and school teachers are not come from reliable, often highly noids, "ufonauts," occupants) in this category. Experience definitely trained witnesses! are reported. For a fuller treat· shows that the best reports, those with Lastly, a third misconception is ment, see Hynek, "The UFO the greatest information content, that people "see what they wish to Experience. " come from technically trained, pro• see," that is, that they are victims of fessional people, especially law en• their own desire to see a UFO. Once Non-close encounters. forcement personnel. again, experience denies this. Time Radar returns. The most sig• and again, the witnesses try first to ex• nificant and interesting cases are plain their sighting to themselves. "At those in which there are simulta• first we thought it was a balloon (or neous radar and visual observa• UFO's an aircraft, or an accident on the road, tions, as when an aircraft is continue to concern and so forth) but then we realized it just couldn't be" is a statement I have involved in a visual sighting and an increasing the control tower confirms the heard many, many times. sighting on radar. number of So then, something is happening Nocturnal lights. Lights seen peop'le. which, in our ignorance, we call in the night sky whose move• FOs, or the UFO phenomenon. It is ments, behavior, and appearance something that continues to concern cannot be simply explained as an increa ing number of people as the aircraft, meteors, satellites, stars, A second popular mi conception is Gallup poll clearly indicates. In 1966, and so forth. that even if reporters of UFO are not the Gallup poll suggested that 5 mil• Daylight discs. These are day• "off their rockers," they have greatly lion American may have witnessed l time ightings and are generally overstimulated imaginations. The re• UFO ; in 1973, the number had in• described as oval, metallic discs, ports themselves argue strongly creased to 15 million. Because many or more frequently, as "two against this. For the report do not agencies advi e callers to report to saucers, one overturned on the range over a broad pectrum. There their local police, the FO phenome. other." They are described as are virtually no reports of unidenti• non has also become a problem for capable of hovering a few feet fied sailing objects, or of UFO with law enforcement. And finally, in the off the ground or water, and able wings or wheels, and there are no re• la t several years particui9.rly, law to take off, generally at a high ports of flying pink elephants enforcement officers themselves have angle, with enormous accelera• (FPEs!) or of the Empire tate been primary UFO witnesses. Close tion, di appearing in a matter Building being een upside down in cooperation of law enforcement with of seconds. A faint humming Pittsburgh. Overheated imaginations the Center for FO tudies can help hould certainly generate a far wider sound is frequently reported. The u solve a most perplering modern authenticity of photographs of range of reports than that of the typi• mystery. daylight discs depends, of course, cal UFO reports we do receive. on the integrity of the photog• Granted, although the unexplained FOOTNOTES rapher. It would seem, however, reports we do get are truly incredible, 110hn Fuller, IIJncident at Exeter," Putnam (1966). that not all the many photo• they almost always fall into the dis• , J. AUen Hynek, "Tho FO Experience: A graphs examined by the center tinct patterns mentioned above. Pure Scientific Inquiry," Rt"gnery (1972), Ballantin< (1974) . are fakes. imagination should produce, by defi• • Reported to UFO CE TRAL.

20 FBI Law Enforcement Bulletin From the earliest days of law en• The Government must relinquish the priv• forcement history, police have found ilege and furnish the defendant with it necessary to deal with sources of the identity of the confidential in• information whose identities must be formant or dismiss the case. The rea• concealed_ Whether the source is a Informer's soning for the current policy was ex• regular informer or a citizen volun• pressed by the U.S. Supreme Court as teering assistance, the officer's respon• follows: sibility to the source is similar. Identity " since the Government Recognition of the need for police which prosecutes an accused also utilization of undercover activity has has the duty to see that justice been expressed many times by the is done, it is unconscionable to Supreme Court of the United States. at allow it to undertake prosecution As Chief J ustice Warren, speaking for and then invoke its governmental the Court in 1966, noted: Trial privileges to deprive the accused "... it has long been acknowl• of anything which might be ma• edged by the decisions of this By terial to his defense." 7 Court . . . that, in the detection LARRY E. RISSLER The courts have recognized it is in of many types of crime, the Gov• Special Agent the interest of society for police to use ernment is entitled to use decoys Federal Bureau of Investigation information they acquire from and to conceal the identity of its Washington, D.C. sources whose identities must be pro• agents." 1 Law enforcement officers tected. Because all officers must use Although the use of informers is of other than Federal juris• these sources, they should also be invaluable to the solution of all clas• diction who are interested aware of the factors and considera· sifications of crimes, a bulk of the re• in any legal issue discussed tions which determine whether their ported judicial decisions concerns in• in this article should con• informer's identity may be revealed at s formant utilization in the enforcement sult their legal advisor. trial. of laws such as those directed against Some police procedures In 1957, the Supreme Court ad• gambling, prostitution, and the illegal ruled permissihle under dressed itself to the question of sale and use of liquor and narcotics, Federal constitutional law whether the identity of an undercover where a complaining witness is rare. are of questionahle legality informant should be disclosed after Indeed, it has been estimated that 95 under State law, or are not he had been a participant in the percent of all Federal narcotics cases permitted at all. criminal offense for which the defend• are obtained by the work of paid or ant was charged. The facts of Roviaro 2 unpaid informers. v. United States G are as follows: Recognizing a societal need to fos• with enforcement of that law.' The Two narcotics officers searched an ter and encourage private citizens 3 rationale for the privilege is twofold: informer, "John Doe," and his car, and confidential police sources to fur• To insure a flow of information of then provided him with marked nish information concerning criminal illegal acts to the police and to pro• money. One officer secreted himself activities, the judiciary developed the tect the informer from adverse social in the trunk of Doe's car and the other informer privilege. This testimonial reactions. 5 followed in a police vehicle. The sec• doctrine allows the Government to At common law and in the early ond officer observed Doe rendezvous withhold the identity of persons who American decisions,e the privilege of with one Roviaro after which Roviaro give information concerning viola• nondisclosure was absolute. Today, entered Doe's vehicle. The two then tions of the law to officers charged however, under certain conditions, the drove around briefly before Doe

February 1975 21 stopped again. Roviaro exited, picked witness who might have testified to charged, making moot the issue of the up a package near a tree, returned to petitioner's possible lack of knowl• informer's identity. Even when the in• the vehicle, and made an exchange of edge of the contents of the package former's information is one of the objects with Doe. Thereafter, Roviaro that he 'transported' ..." and the grounds used to obtain a search war• left and Doe drove away. When Doe "informer was the sole participant, rant, his identity need not be revealed and his vehicle were searched minutes other than the accused, in the transac• at trial. In State ex rel. Berger v. later, a package of narcotics was lo• tion charged." 13 These considera• Superior Court/7 the informer told of• cated. Subsequently, a Federal grand tions, when weighed against the ficers that appliances stolen in two jury indicted Roviaro for (1) having public interest in insuring a flow of in• separate house burglaries were lo• sold heroin to one "John Doe" and formation about criminal activi ties, cated in the defendant's home and that (2 ) transporting it knowing it to be rendered disclosure essential to a fair a stolen television set from one of the unlawfully imported. Before and dur• determination of the cause. houses was in the back of a pickup ing his trial, Roviaro sought unsuc• Because of the Court's holding that truck currently parked near a bar. The cessfully to learn Doe's true identity. disclosure depends on the peculiar informer also stated that he had per• On the appeal following his convic• factual situation of each case, the sonally seen some of the appliances tion, Roviaro contended that because decisional law on the issue is as and that the defendant was attempting Doe was an active participant in the varied as the myriad backgrounds of to sell them for a very low price. The illegal activity his identity could not the ca es themselves. Although it ap• officers verified the burglaries, recov• be withheld.10 The Supreme Court pears that Roviaro rests on eviden• ered the television set from the reversed the conviction and held that tiary principles and was based on the pickup, arrested two codefendants, disclo ure was required because the Supreme Court's supervisory power and obtained a search warrant for the informer was a participant in the over the Federal judiciary,14 most defendant's residence. A request for crime, did not appear to testify at trial , State courts interpret the decision as disclosure in the form of a motion for and might have been a material wit• resting on a constitutional mandate a bill of particulars was made the first ne on the issue on guilty and employ the "balancing" test in day of trial. The trial judge granted In delineating the standard for dis• reviewing their decisionsY A survey the motion, but the State supreme ~losure, the Court said: of these cases and post-Roviaro Fed• court vacated the order and held dis• eral decisions e tablishes that one closure was not required. It reasoned "We believe that no fixed rule highly relevant factor considered by that the 4nformer was not at the scene with respect to di closure i jus• the courts when ruling on the dis• of the crime, he was neither an ac• tifiable. The problem is one that closure issue is the nature of the in• complice nor a witness, and his testi• calls for balancing the public in• volvement of the informer. Ba ed on mony was apparently not material to terest in protecting the flow of that denominator, the Government's the issue of guilt. In short, he was a information against the individ• source will usually fit into one of the tipster. ual's right to prepare hi defense. following four classifications: Tipster, Whether a proper balance rend• ers nondi closure erroneous witness, go-between (introduced de• Witness must depend on the particular fendant to the Government agent), or In con idering cases in which the circum tances of each ca e, tak• full participant in the criminal act. informer is a witness, one writer has l ing into con ideration the crime asserted that "di closure will be com• charged, the po sible defense , Tipster pelled if the informer is a material ~ the po ible significance of the witne s on the issue of guilt." 18 The informer' testimony, and other When the informant merely points Court of pecial Appeal of Maryland relevant fa ctor ." 12 the finger of u picion at one who vio• in utter v. tate 19 carefully a sessed In con idering the pertinent fac• lates the law but neither witnesses nor the di clo ure probabilities of an tor in Roviaro, the Court noted that participates in the crime, the courts informant who was merel y a witness the informer' testimony "might have tend to label him a "tipster." In these to the criminal offense and not a di clo ed an entrapment" and "might case , it is clear his identity i not ma• participant or accessory. In noting have thrown doubt upon petitioner's terial to the defense and di closure that a "material witness" is one whose id ntity or on the identity of the will not be required.16 Independent in• testimony is important to a fair de• package." Also recognized were the vestigation by the police u ually will termination of the cause, the court fact that the informant "was the only establi h the element of the violation said: A I 22 FBI Law Enforcement Bulletin sale, he was much shorter than the rl "Presence is only one fact to consider . . . in determining other individual known as "Coon," whether disclosure of . . . [the informer's] identity is essential to I and he was the registered owner of assure a fair determination of the issues." an automobile used during the transaction. A holding similar to that in Davis "... although an eyewitness to a decisions in the .S. courts of appeals is found in United States v. Soles/o crime is clearly a 'material' wit• illustrate this anomaly. United States where the informer introduced the de• ness as that word is ordinarily v. Martine::: 20 and United States v. fendant to an undercover officer and used, if he is an informer, sim· Davis 21; were cases in which informers was present during negotiations for ply observing an illegal transac• introduced undercover narcotics the sale of narcotics hut was absent tion but not participating in it, agents to individuals who sold heroin during the actual buy. the fact that he observes the to the agents. In both situations, the The Court of Appeals for the Sec• transaction does not necessarily informers were also present and ap• ond Circuit noted there was little make his possible testimony so parently witnessed the sales. Martinez chance of misidentification inasmuch important as to compel dis· was convicted of unlawful possession as the defendant was with the under• closure of his identity in the face and distribution of heroin. His de• cover agent for a considerable period of the rationale of the nondis• fense, based on the theory he \I a out of time, his vehicle and residence were closure privilege." 20 of the house on an errand when the identified, he gave the agent his tele• sale occurred, was substantiated by State v. Booker,21 a 1965 ew Jer• phone number, and he refused to par• the testimony of two codefendants but sey case, offers a typical factual situa• ticipate in a lineup. However, in Peo• refuted by the undercover agent.27 In tion wherein the informant's role is ple v. Williams,30 disclosure was re• vacating Martinez' conviction, the limited to that of a mere witness. The quired on the issue of misidentifica• court noted his defense relied solely informer was with a narcotics agent tion on a similar factual situation on establishing that he was absent when the defendant approached their when the officer was the sole witness from the house at the time of the sale, vehicle and initiated what resulted in at trial and had seen the defendant and the jury's verdict necessarily a sale of narcotics to the agent. The only a few minutes 3 months prior to hinged on whether the jurors believed court held that the mere presence of his arrest. the undercover agent or the two co• the informer during the commission Another frequently cited case call• defendants on this issue. The inform• of the illegal act did not remove him ing for disclosure of a go-between in• er's testimony could have resolved from the protection of the privilege. former is Gilmore v. United States,31 this testimonial conAict. It bore di• where the informant was instrumental Presence is only one fact to con• rectly on the question of guilt as he in arranging a meeting between an sider with all the other facts in de• was the only other person present at undercover narcotics agent and the termining whether disclosure of his the time. Disclosure was ordered.2s defendant in the defendant's bar. The identity is essential to assure a fair In Davis, the informant was present 22 informer, "Anonymous," earlier had determination of the issues. It ap• when two undercover agents made informed the defendant that the agent pears, then, that when the informer buys from the defendant, who was was a seaman interested in obtain• merely witnesses the allegedly illegal introduced by the informer only as ing narcotics. During the meeting in act his identity normally will be "Coon." Davis contended he was mis• 23 the bar, "Anonymous" was present protected. takenly identified as the seller and for part of the conversation in which asserted that the officers had, in fact, the sale of narcotics was arranged Go-Between dealt with a person, other than the but did not witness the actual pur• defendant, commonly known as chase which was consummated by the The cases are divided when the in• "Coon." The court of appeals held it defendant's placing the narcotics in formant participated but only to the was not error to deny disclosure and extent of introducing the defendant noted there was sufficient evidence in the agent's car. In ordering disclosure, to the officer to set the stage for the the record to conclude that Davis was the court characterized "Anonymous" criminal transaction. Often the theory the seller, pointing out the agents were as more than a mere tipster. "He was of the defense 2·, is determinative as able to get a good view of him, their an active participant in setting the to disclosure and can compel contrary descriptions were consistent with his stage, in creating the atmosphere of holdings in cases with apparently iden• physical appearance, he had a tattoo confidence beforehand and in con• tical factual situations. Two recent the agents had observed duris:g the tinuing it by his close presence dur•

February 1975 23 ing the moments of critical conversa• the informer was the only participant tion." 3 2 and witness and thus he alone could ". . . the in camera hearing Because the defendant was linked to confirm or contradict the testimony of .. , allows the trial judge to the narcotics found in the agent's car the Government's witness. It also in• question the informer in private to discover the nature of his only by the circumstance of his con• dicated that participation itself is not possible testimony," versation with the agent, the contents enough to require di closure. When of that conversation were critical to the informer participates jointly with the inference of possession. Disclosure an undewover officer in an offense, the legislature in the form of the in was required to determine the inter• the Taylor decision would then re• camera hearing. 11 This procedure al• est, motives, and credibility of the quire another factor, such as alleged lows the trial judge to question the informant. mistaken identity, contradictory testi• informer in private to discover the otwithstanding the holdings of the mony, or denial of the accusation, be• nature of his possible testimony. If Williams and Gilmore cases, the fore disclosure is proper. he finds it unfavorable or of no bene• courts generally have refused to com• An informer's involvement in the fit to the accused, the informer's iden• pel di closure of a go-between in• offense charged also affects the proof tity will be protected. But if he decides former when he was not present necessary to obtain a disclosure order. it is of merit and necessary to insure during the criminal act but simply in• Thus when the informer participates a fair trial for the defendant, dis• 4 2 troduced the defendant to the officer. 33 in the offense, the Roviaro ca e itself closure will be ordered. ( ormally appears to be authority for the prop• a written record of this hearing is Participant o ition that the accu ed is not re• prepared, sealed, and preserved for quired to present proof of a need for future use by an appellate court in Altnough the Roviaro decision the informant's te timony.3 The judge case an appeal is perfected.) In the noted that no fixed rule with respect will order the informant produced if event of a di clo ure order, the pros• to disclosure is justified, when the in• a timely request is made. The present ecution still retains a choice, albeit former is an actual party to the illegal trend in the nonparticipant ~ases, a double-edged one. It can maintain transaction disclosure is almost a cer• however, is that prior to a di closure the informer's confidentiality and ter• tainty.31 This is especially true when order the burden is on the defendant minate the prosecution or produce the the defense of entrapment is as• to show a need for the informant's informer and go ahead with the case. serted.35 For an informer to be con• identity.3u Speculation that the infor• The econd course of action will usu• idered a participant, it appears that mer might possibly be of some as• ally deny society the informer's future his involvement must be uch a to sistance i not sufficient to overcome services as hi value will be minimal if allow him to testify from personal the public intere t in the protection of his identity i known. knowledge about the very tran action hi identity.40 The legal procedure in this area ap• con tituting the crime. Again, mere The latter position give rise to a pears far from settled, and there may phy ical presence at the scene of the dilemma. The usual defendant can• be other more feasible and workable offense i not sufficient to classify him not know if the informer's te timony approaches to the problem. The in a a participant. 36 is needed for his defen e unle s he camera hearing, however, is a method The relatively few informer• knows what that testimony is. The u ed in orne jurisdictions which al• parLIclpant cases which deny dis• pro ecution may be reluctant to fur• low a judicial officer to determine clo ure adhere to a strict reading of nish this information for fear it will on the merits the issue of whether an Roviaro by requiring the informer identify the ource. An interview of informant te timony will be helpful to be the only witness or "trans• the informer, even by the defen e at• to an accu ed's defense without undue actant" other than the defendant. A torney him elf, appear objectionable risk of a premature, and perhap un• recent example i a Mis ouri ca e, to the pro ecution for the arne rea on. neces ary, disclo ure of the informer's tate v. Taylor,31 in which the trial The result i that the defendant car• identity. court's denial of a disclosure request ries the burden of howing that the FOOTNOTE wa upheld when the facts howed that informer's testimony is neces ary and 1 Lewis "0 Unitf'{l S tatt's , 385 . . 206, 208, 209 relevant to hi defen e without pos• (1966). the informer, accompanied by an :! " Informrrs in F('dr rai Narcotics Pro. ("t ulions," 2 undercover officer, witnessed and par• se ing a means of -discovering that Columbia J ournal of Law a nd Sorial Problr ms (1966). I). 17. ticipated in the purcha e of narcotics te timony. 3 COllrls hove r('("og ni1.cd tlUll priva tl' citize ns have from the defendant. The court placed One response to this dilemma i a dU I)' to ("o rn mun irLl It' to th l" a u thoritie information about the commiu ion of criminal offenses. In rt empha is on the fact that in Roviaro coming from both the judiciary and Quarl.. and Bu,/or, 158 U.S. 532 (1895); Wilsan T .

24 FBI Law Enforcement Bulletin United States, 59 F. 2d 390 (3d Cir. 1932). L.C. and P.S. 32 at 46 n. 109. An interelting ., Ibid. at 567. 'The doctrine haa also been sanctioned in civil secondary issue is the relevance of a denial of dil' 33 United States v. Clark, 482 F. 2d 103 (5th Cir. cascs. See, e.g., Westinghouse Elec. Corp. T. closure in State cases to subsequent Federal habeal 1973); United States v. Connolly, 479 F. 2d 930 (9th Burlinlton, 351 F. 2d 762 (D.C. Cir. 1965); corpus proceedings which require an assertion that Cir. 1973), cert. diemiued, 414 U.S. 897 (1973); Wirtz v. Continental Finance & Loan Co., 326 F. 2d the applicant is being held in custody in violation of United States v. Russ, 362 F. 2d 843 (2d Cir. 1966). 561, 563 (5th Cir. 1964); Annot, 8 A.L.R. Fed. 6 the Constitution or laws of the United States. (28 cert. denied, 385 U.S. 923 (1966) {defense was mis· (1971) . U.S.C.A. § 2241). Recent cases have raised doubt taken identification} i United States v. Simonelli. 326 • 8 Wigmore, Evidence, § 2374, p. 762 (McNaugh. whether a claim under ROl1iaro is recognizable in F. 2d 614 (2d Cir. 1964); People v. Reed, 21 Ill. 2d ton rev. 1961). It has been noted that inrormants habeas corpus. Phillips v. CardweU, 482 F. 2d 1348 416, 173 N.E. 2d 422 (1961), ccrt. denied, 368 U.S. e~ have 8 shorter life expectancy than other citizens. (6th Cir. 1973); United States rei. Coffey v. Fay, 990 (1962). The likelihood of a disclosure order is James v. State, 493 S.W. 2d 201, 203 n. I (Tex. Crim. 344 F. 2d 625 (2d Cir. 1965). But eee McLawhorn v. greater when the informer is n go­between and also App. 1973). State 01 North Carolina, 484 F. 2d I (4th Cir. 1973), witnesses the transaction but does not personally .. 8 As early as 1884 the U.S. Supreme Court rccog- where the court established a fourteenth amendment participate. This is especially true when the defense nized the privilege in Vogel v. Cruaz, 110 U.S. 311. fundnmentnl fairness limitation. This seeml to com- is entrapment. United States T. Clarke. 220 F. Supp. Twelve years earlier, it had been approved on the port with the Roviaro emphasis on " ... fundamental 905 (E.D. Pa. 1963). State level in Worthington "0 Scribner, 109 Mass. 487 requirements of fairness," 353 U.S. at 60. It has also .. United States v. Williams, 488 F. 2d 788 (10th (1872) • bcen asserted that refusal to identify 8n informer Cir. 1973); "fcLawhorn v. StOle oj North Carolina, 7 United States v. Reynolds, 3~5 U.S. I, 12 (1953). may be a denial of the lixth amendment's guarantee 484 F. 2d I (4th Cir. 1973); United States v. Lloyd, of compulsory process for obtaining witnesses. 8 There is no constitutional requirement (or disclo- 400 F. 2d 414 (6th Cir. 1968); Portomene v. United sure at a pre­trial hearing when the sole issue is Friendly. "Is Innocence Irrelevant? Collateral Attack States, 221 F. 2d 582 (5th Cir. 1955); United States probable cause and not guilt or innocence. McCray v. on Criminal Judgments," 38 U. Chi. L. Rev. 142. v. Conlorti, 200 F. 2d 365 (7th Cir. 1952); Sorren· Illinois, 386 U.S. 300 (1967) (warrantle.. arrcet); 155­57 (1970). tina v. United States, 163 F. 2d 627 (9th Cir. 1947); Shu v. United States, 305 U.S. 251 (1938); Rugendorl v. United States, 376 U.S. 528 (1964) I. People v. McShann, 50 Cal. 2d 802, 330 P. 2d 33 McLawhorn v. State oj Norlh Carolina, 484 F. 2d 1 (search warrant); United States v. Kin" 478 F. 2d (1958) ; People v. Lawrence, 308 P. 2d 821 (Di,t. Ct. (4th Cir. 1973); United States v. Mendo.a, 433 F. 2d 494 (9th Cir. 1973), ccrt. denied, 414 U.S. 846 (1973) App. Cal. 1957). 891 (5th Cir. 1970), cert. denied, 401 U.S. 943 (1971) ; (order for wiretap); United States v . Willis, 473 3.J An interesting exception is United Slate.s v. Miller v. United States, 273 F. 2d 279 (5th Cir. 1960), F. 2d 450 (6th Cir. 1973), cert. denied, 412 U.S. 908 Eddings, 478 F. 2d 67 (6th Cir. 1973), where it was ccrt. denied, 362 U.S. 928 (1960) ; Sorrentino v. United (1973) (motion to suppress evidence obtained In held there was no error in refusing to order disclosure States, 163 F. 2d 627 (9th Cir. 1947). But lee conscnt search) ; United States v. Mendoza, 433 F. 2d when the defendant admitted purchasing whiskey Glover v. State, 251 N.E. 2d 814 (Sup. Ct. Ind. 1969), 891 (5th Cir. 1970), cert. denied, 401 U.S. 943 (1971) within sight of a Government agent and that he where an informer's tip led to the identification of (eearch warrant) ; Mullaney v. State,S Md. App. 248, intended to sell such whiskey. The court reasoned the defendant as the burglar. The prosecutor, on 246 A. 2d 291 (1968) (warrantless arreet). the proof approached establishing predisposition as a redirect examination of an officer. introduced testi· • 353 U.S. 53 (1957). matter of law. mony that an informer had said the defendant was 10 The Government did not defend nondisclosure 38 McLawhorn v. Stale oj North Carolina. 484 F. 2d guilty. The Indiana Supreme Court, in ordering on the !ale count of the indictment but attempted 1 (4th Cir. 1973). disclosure. ruled that if an informer's identity is to to lustain the conviction on the second count which 37 508 S.W. 2d 506 (Mo. App. 1974). be protected, the prosecutor Ihould not bring into charged illegal transportation. It argued the inform· 38 the trial evidence relating to that informant. Dis· McLawhorn v. State 0/ Norlh Carolina, supra ant'. identity had no real bearing on that charge and closure was necessary to allow the defendant to sttacK lootnote 16. But cI. State v. Dolce, 41 N.J. 422, 197 \\'8S therefore privileged. The court indicated, how- the credibility of the witness. A. 2d 185 (1964). ever, that if Doc's participation made him a relevant 17 106 Ariz. 470, 478 P. 2d 94 (1970). 39 Ru,endorl v. United States, 376 U.S. 528 (1964); witness to the sale it followed that he should be made 18 Wigmore, supra footnote 5 at 769. United States v. A.lva,.., 472 F. 2d III (9th Cir. 1973), available to the defense on all charges arising from ,. 8 Md. App. 635, 262 A. 2d 80 (1970). cert. denied, 412 U.S. 921 (1973); United States v. that criminal transaction. Ibid. at 63. 20 Ibid. at 84. Kelly, 449 F. 2d 329, 330 (9th Cir. 1972); United U Roviaro• .supra footnote 9 at 65. In a footnote. the %186 N.J. 175,206 A. 2d 365 (1965). States v. Coke, 339 F. 2d 183 (2d Cir. 1964); United Court indicated Doc's identity and address should 22 Accord. Miller v. Uniled Slales, 273 F. 2d 279 States v. Dio,uardi, 332 F. Supp. 7 (S.D.N.Y. 1971); have been furnished prior to trial as count one (5th Cir. 1959), cert. denied, 362 U.S. 928 (1960); Slate ex reI. Berler v. Superior Court. 106 Ariz. 470, charged Roviaro with a sale of heroin and it was State v. Oliver, 50 N.J. 39, 231 A. 2d 805 (1967). 478 P. 2d 94 (1970); Kovash v. State, 519 P. 2d 517 apparent from the indictment that Doe was a partici- 23 Estevez v. State, 130 G •. App. 215, 202 S.E. 2d (Okla. Crim. App. 1974) {holding standard 01 prool pant in and a material witness to that sale. It has 686 (1973); State v. Oliver, 50 N.]. 39, 231 A. 2d 805 to be preponder3nce of the evidence}; Slale v. been held, however, that no prejudice attaches in (1967); Kovash v. State, 519 P. 2d 517 (Okla. Crim. Massey, 68 Wash. 2d 88, 411 P. 2d 422 (1966), cert. denying disclosure prior to trial if the informer App. 1974). Contra, People v. },fcShann, 50 Cal. 2d denied, 385 U.S. 904 (1966). subsequently is called as a trial witness and is 802, 330 P. 2d 33 (1958) {where the court indicated to Lannom v. United States, 381 F. 2d 858 (9th Cir. subject to cross·examination. United State.s v. Roell, an eyewitness.nonparticipant informer's testimony that 1968), cert. denied, 389 U.S. IOU (1968). 487 F. 2d 395 (8th Cir. 1973); United States v. would vindicate the accused or lessen the risk of ..1 Cases approving the in camera hearing are Woods, 486 F. 2d 172 (8th Cir. 1973). If the Govern· false testimony would be relevant} i lame.s v. State, United Slales v. Rawlin.son, 487 F. 2d 5 (9th Cir. ment does utilize the informer as a witness and his 493 S.W. 2d 201 (Tex. Crim. App. 1974). 1973), cert. denied, 94 S. Ct. 1579 (1974); United credibility is questioned, it is impermissible to with- 2' Common defenses in narcotics cases are entrap· States v. Soles, 482 F. 2d 105 (2d Cir. 1973), cert. hold his true identity and address. The confrontation ment. misidentification, lack of intent or knowledge. denied. 94 S. Ct. 455 (1973) i United State.s v. Hur.se, clause of the sixth amendment requires full disclosure ,. 487 F. 2d 973 (10th Cir. 1973). 453 F. 2d 128 (8th Cir. 1972), cert. denied, 414 U.S. of this information when the informer testifies to in· ,. 487 F. 2d 1249 (5th Cir. 1973). 908 (1973); United States v. Lloyd, 400 F. 2d 414 lure meaningful cross·examination. Smith v. Illinois, 27 An officer in a vehicle located outside the resi- (6th Cir. 1968); United States v. Jackson, 384 F. 2d 390 U.S. 129 (1968). dence where the alleged offense took place testified 825 (3d Cir. 1967). cert. denied, 392 U.S. 932 (1968). U Roviaro, .supra footnote 9 at 62. The Court also he saw Martinez lea\'e the house and return shortly Statutes providing for the hearing are Cal. Evid. affirmed the principle that the privilege applies only thereafter while the undercover agent and informer Code § 1042{d); Ill. Rev. Stat. ch. 1I0A, § 415(1) to the identity of the informer and not to the con· were inside. (1971); A.L.T., A Model Code 01 Pre.Arraignment tents of his communication. If, however, the com· 28 On petition for rehearing, the court modified its Procedure. § SS 290.4. Proposed Official Draft No.1. munication tends to reveal the informer's identity ruling and ordered an in camera hearing before the 1972. then it, too, is privileged. Ibid. at Accord, 60. trial judge to determine whether the informer', testi- 4l Many jurisdictions not only require the disclosure Bowman Dairy Co. et al v. United Slates, 341 U.S. mony was favorable to the defendant. If not, the of the informant's identity but, if he is unavailable. 214 (1951), and State v. Roundtree, 118 N.J. Super. conviction would stand. If favorable, the Government reasonable efforts by the Government to locate him. 22, 285 A. 2d 564 (1971). Further, if identity is would be required to either identify the informer See. for example, United Slales v. Williams, 488 F. 2d known to those who would have cause to resent the and make him available at B new trial or drop the 788 (10th Cir. 1973); United States v. Pollard, 483 communication, the prh'ilege is no longer applicable. charges nnd maintain his confidentiality. F. 2d 929 (8th Cir. 1973), cert. denied, 94 S. Ct. 882 Rovioro, supra footnote 9 at 60. !!II 482 F. 2d 105 (2d Cir. 1973), cert. denied, 94 (1974); Velarde Villarreal v. United States, 354 F. 2d 13 Roviaro. supra footnote 9 at 63­64. S. Ct. 455 (1973). 9 (9th Cir. 1965); People v. Goliday, 106 Cal. Rptr. H McCray v. l11ino~. supra footnote 8 at 309, 311. 3

February 1975 25 THE FBI'S APPROACH TO AUTOMATIC ... FINGERPRINT IDENTIFICATION*

IV. Planned Automatic Finger• By key­lo­disk devices will have entered print Searching System CONRAD S. BANNER the alphanumeric descriptive data j (name, date of birth, ex, and et Special Agent cetera) appearin!Y on the cards into and The FBI is presently pursuing a the AIDS computer where an auto- comprehensive plan for the automa- ROBERT M. STOCK mated name search will have been tion of the fingerprint card processing Automation and Research Section performed against the criminal name and related activities carried on at the Identification Division indices. Those ca rds that are matched Federal Bureau of Investigation Identification Division in Washington, to prior criminal history records in Washington, D.C. D.C. The complete system, which will the system by the name search and be implemented over the next several which pass a ubsequent fin gerprint years, is to be known as the "Auto- verification, will not need to undergo mated Identification Division System a fin gerprint search. However, those I... (AID ) ." AID will eventually pro- cards that are not matched by name. vide for automatic fin gerprint earch- or those tentatively matched by ing, computerized name searching of name but failing fin gerprint verifi- the criminal name indices, computer cation, must undergo a search of the torage and retrieval of arrest record computerized fin gerprint file. data, and the capability to gather This is the When fin gerprint cards are fed into criminal tatistics and system perform- conclusion of a the FINDER II fingerprint readers, ance data. two-part article an optical character recognition ta- The cope of this paper doe not tion on the card handler will read pre- provide for a full discu sion of the begun in the printed proces ing control numbers plan for AID . Rather, thi ection of January 1975 issue. (PCN) appearing on each of the the paper will be confined to the pres- fingerprint cards. These numbers entation of the general plan for imple- uniquely identify each card and are mentin cy the automatic fingerprint the means by which the card are earching portion of the AID y tern. logged into the sy tern. The PCN of Figure 8 i a functional block dia- a fin gerprint card will remain asso- gram of the major proce sinO' tep in ciated with the card and it com- the planned automatic fin gerprint puterized data until such time a the searching sy tern. Figure 9 depict the card is identiFIed with a prior record general hardware configuration for having an FBI identification number ; or, if unidentified, until an FBI num- the ystel11. *Thi!1 is 8 paper which was prt"s('nlrll at n Con- Fingerprint ca rds will be received (('rence on The cience of Fingcq)rint held at the ber is a signed to the card. Horne Office, London, England, on epternbcr 2 '­25, from a Data Entry Unit. Prior to be- J971, and is ft"printf'd from the ('onf('rencf! proceed· After the initial "logging in," the ing ubmitted for fingerprint earch- jn~1 "ilh the permission of Ih(' 110111 (' Office, In the card move automatically on to the interest of ('urrency. certain information ha beell ing, Data Entry nit per onnel using IIptlated. fingerprint canning station of the •

26 FBI Law Enforce m e nt Bulletin FROM DATA ENTRY UNIT FROM NAME SEARCH FINDER II readers, where minutiae l I and ridge direction data are read I ~ from each of the fingerprints. These FINGERPRINT data are passed directly to data output ­­­­­­­­­­­­­ CARDS EQUIPMENT INVOLVED . processors (DOP ), which are high• FINDER READERS speed minicomputers that service each . of the readers. The DOP's perform the DATA OUTPUT registration and classification func• PROCESSOR tions. After each individual finger• print on a card is classified, the in• LARGE GENERAL PURPOSE COl"PUTER dividual classifications are combined to make up an overall classification MASS ME~ORY t SYSTEM for the card. The composite classification and registered minutiae data will then be SPECIAL PURPOSE MATCHING PROCESSOR transmitted to a large general-purpose computer, called the "system super• MICROFILM FilE OF visor computer." This computer acts r CRIMINA.l CARDS as the central controller and informa• REPLIES TO FINGERPRINT tion exchange for the system. In a CARD CONTRIBUTORS sense, the readers, data entry termi• nals, mass memory devices, matching FIGURE • . AUTOMATIC FINGERPRINT SEARCH FUNCTIONAL BLOCK DIAGRAM processors, and verification terminals are input/ output terminals for the sys• " . . with the advent of computerized on-line arrest tem supervisor computer. record storage and retrieval systems . . . there arises a The system supervisor computer need to accomplish the fingerprint identification task much merges the classification data with faster so as not to nullify the benefits of faster record related information on sex, age, et retrieval." cetera, previously entered by the Data Entry Unit. These latter data help de• CRT KEY - TO-DISK crease the area of the file required to TERMINALS

DISK MEMORY be searched and matched. The system supervisor computer next determines all reference or "possible" classes that must be searched, based on finger•

MASS MEMORY SYSTEM print class. This is similar to search•

SYSTEM SUPERVISOR ing a tented arch as an arch, when f------j~ BUFFER LARGE GENERAL 'HO the pattern is in doubt, but involves PURPOSE COMPUTER eOtHROl more cross-referencing because of the complexity of the automated classifi• cation scheme. Once the classes to be searched have been determined, each of the MINUTIAe MATCHING PROCESSORS corresponding file sets of minutiae must be retrieved from the maS$ memory system. Because of the size and access times usually involved in FIGURE 9. HARDWARE CONfiGURATION OF THE AUTOMATIC a storage system approaching 0.3 FINGERPRINT SEARCH SYSTEM trillion bits (0.3 X 1012 bits), a com• plex system for queuing requests and file ordering will be required. How•

February 1975 27 ever, the mass memory system will be formation associated with the search fingerprint searches of the FBI's com• capable of on­line storage of a minu• fingerprint card will be added to the puterized national fingerprint file. tiae file of up to 15 million finger• prior criminal history record which print cards. These will be stored in was matched with the card. Also, the Automatic Searching of Latent groups according to their classifica• criminal history record will be trans• Fingerprints tion, but in addition each card will be mitted on-line to the contributor of assigned its own FBI identification the card; or, if the contributor lacks In order to be successful, any sys• number. on-line access to the system, a print• tem of searching latent crime scene Minutiae retrieved from the mass out of the record will be produced for fingerprints must recognize the basic memory system on the basis of a mailing. problems inherent in latent finger• search request will be processed If, on the other hand, the technician print identification. These problems through the matchers, which are spe• rejects the match, he will again signal involve the poor quality of the prints, cial-purpose high-speed hardware im• this fact to the system. In such cases, their often fragmentary nature, pos• plementations of the NBS minutiae· the contributor will be notified, either sible interference caused by back• matching algorithm. Each matcher on-line or through the mail, that no ground surfaces, the fact that one compares the minutiae of a search prior criminal record was found on must work with an incomplete set of fingerprint card with every file set of the person fingerprinted. If the search fingerprints, and the frequent lack of the same classification and deter• card reflects information on an arrest any descriptive information regarding mines the match scores. A minicom· for a serious offense, the information the criminal. puter (CPU) in the matcher keeps from the card will be used to establish In view of the variety and com• track of the scores and reports possi. a new criminal history in the system plexity of these problems, the realistic ble matches to the system supervisor and an FBI identification number will approach to designing an automated computer. be assigned to that record for future latent fingerprint searching system is The final step in the processing is reference. to view such a system as a tool to be the verification of possible matches. used by a human latent examiner to Verification is performed by a finger• V. Future Extensions of the extend his searching capability, not as print technician. It should be noted FBI's Technology a replacement for him. Even if it were that the technician will not see or technically feasible to duplicate the handle all the search fingerprint cards, The FBI is presently focusing its knowledge, experience, and intuitive since in many instances the matcher research efforts on the problems of powers of the latent examiner, it is not will not find a possible match for searching 10-finger inked fingerprint believed that it would be cost-effective them. But, when there is a possible cards against the large criminal to do so. Therefore, the FBI's plans match, he will visually compare the fingerprint card file it maintains at for an automated latent searching hard copy search card with a dis• Washington, D.C. However, the digi• system have as their basic premise the played microfilm or microfiche image tal image-processing techniques and continuation of the primary role of the of the possible matching file card se• the classification and matching algo• human latent examiner and the relega• lected by the matcher. It is important rithms developed for automatic tion of automation to a supporting to note that he is not working from fingerprint searching hold great role. With this basic premise in mind, the digital minutiae data, such as used promise for extended application in the automation problem becomes one by the matcher, but is working with other area of identification. We be• of determining the ways automation the original search fingerprint card lieve that for law enforcement, the can a ist a latent examiner. and a filmed image of the possible mo t productive and beneficial area One way is to provide him with a matching file card. He will either for this extension involves the auto• means of enhancing low-quality latent verify or reject the match using tradi• matic searching of latent crime scene fingerprints. We have already seen in tional manual fingerprint comparison fingerprints. Another logical exten• Figure 5 how the prototype FINDER procedures. sion would be to make automatic reader can enhance an inked palm If the technician verifies the match, fingerprint search capability more print. Figure 10 shows how the he will signal the system supervisor widely available by means of remote FINDER enhanced a lifted powder computer of this fact. This notifica• fingerprint reader terminal devices lo• palm print. The further development tion will set in motion a series of ac• cated at State and local law enforce• of this capability to enhance latent tivities within the AIDS sy tem. The ment agencies. Through such devices, ridge structure and at the same time end result will be that any arrest in• di tant agencies could obtain on-line filter out background interference ap'

28 FBI Law Enforcement Bulletin pear to be a worthy area for further earches on less th an a full set of 10 minutiae comparison search co uld be re earch. fi ngerprints. Second, the pecial confined in the fi Ie to number "2" But, there is another area where manual single fin gerprint fil es organ- fin gers having a rch patterns belonging r there is an even greater potential to as- ized for searching latents invo lve time- to white males. sist the latent examiner, that is, to consuming coding a nd tedious search- Even though the peed of digital provide him with a large fil e of fin ger- ing. The result has been that there has com puter logic would make more ex- prints which he can easil y search. been a practi cal upper limit on th e ize tensive fil e searche possible, there Such a large fil e has not been previ- of manual fin gerprint fil es that can be will still be practi cal limitations on ously achievable for several reasons. compared against ' latent ; and , co n- the extent of such scarches. There- First, most sizable manual IO­finger equently, the general practice in fore, rath er th an allempt to search lat- inked card files are organized on the conducting latent fin gerprint examina- ents against th e whole general cri mi- basis of 10­finger classification tions has been to confine them to com- nal 10­finger card fil e, it 1I 0uld appear schemes. This precludes effi cient parisons again t the fin gerprint of wise to follow the traditional ap- kn own suspects. proach of e tabli shing a special fil e However, the problem encountered on kn nw n criminal ror searching lat- in sea rching a 10­finger fil e and the ents. This file co uld be organized ac- time­consuming burden of coding cording to offense categories; for latents are not involved in a FJ DER- example, kidnaping, forgery, and generated fin gerprint fil e. FI DER bank robbery. Then, on the basis of will encode the inked fin gerprints probability, latent fingerp rints found automati cally and. since th e fil e is at the cene of a bank robbery would computerized. it can be duplicated. re- be earched against the bank r ob- or O'a nized. and indexed on all or any bery portion of the co mputerized file. part of the information entered into While th e resulting computerized lat- it. For example. each fil e card in the ent fin gerprint search fil e would not fil e could contain minutiae data from he a large as a general criminal 10- each individual fin gerprint, the fin gerprint file, it would still be much LATENT PALM PRINT LIFT classifi cation by pattern of each in- la rger th an previou manual single- dividual fin ger, the composite classifi- fingerprint fil e counterparts. cati on by card sets. and th e ph ysical Having establi hed the merits of description of the per on fin ger- searching a FI DE R­read fin gerprint IJrinted_ fil e, the question ari es as to how the The more informa ti on the examiner latent crime scene prints would be has regarding the latent prints to be computerized for ea rches against the earched, the smaller the area of the file. The anSll'er will depend in part on fil e which must be searched. For in- the condition of the latent prints and stance, if a fragmentary latent fin ger- in part on the availability of equip- print were found at the scene of an ment. Some latcnt fin gerprints may unwitnessed burglary. the fil e mi ght equal the quality of well­inked fin ger- be searched sequentially on the basis print impressions and therefore can of minutiae comparisons alone. How- be read automatically by the FINDER ever, if a latent print were found at reader. However, most latent print BINARY IMAGE OF LEFT PORTION OF PALM PRINT the scene of a witnessed bank robbery are of such poor quality that they and it had been determined that th e cannot be read automaticall y by FIGURE 10. pattern type was an arch, it came from FI DER. uch a case i shown in Fig- READI:R ENHANCED BINARY IMAGE OF LATENT ure 11 . But, even if the prints are read- PALM PRINT WITH MINUTIAE DETECTIONS SHOWN the right index fin ger, and that the AS CIRCLES criminal was a white male, then the able b y FI DER, an agency may not

"FINDER will encode the inked fingerprints auto- matically and, since the file is computerized, it can be duplicated , reorganized, and indexed on all or any part of the information entered into it."

February 1975 29 be able to afford that type of equip• minutiae on the screen, a small com• more efficient with each additional ment. puter to digitize and record the mi• item of information added to the There are, however, alternative nutiae data, and a control keyboard. search argument; (3) The latent ex• methods of encoding digital finger• The semiautomatic device is oper• aminer is in charge and makes all the print minutiae. The first method is ated in the following manner: First, final deci ions, including identifica• to use an optical display system to the operator places a print under the tion. In regard to this latter point, no enlarge the prints so that manual TV camera so that an enlarged image aspect of the automated system should methods can be used to mark and appears on the TV display screen. He pose a problem to the examiner's ap• measure the locations and direction then uses the control or light pen to pearance in court as an expert witness angles of the minutiae in the prints. place a small dot of light at the loca• since he will prepare his testimony, The measured data are then key• tion of each minutia. As he moves evidence, and exhibits in the tradi• punched for entry into the computer. from minutia to minutia, he will signal tionally accepted manner. Obviously, this is a very tedious and th~ computer to digitize the location The FBI's approach to latent finger• time-consuming process. of each dot. The direction of a minutia print searching has advanced beyond A more efficient, yet relatively low• is determined by placing a second dot mere theorizing. Limited experiments cost, alternative is the use of semiauto• in the direction of ridge flow and sig• using manually coded latents and matic encoding equipment. This naling the computer to determine the FI DER-read inked fingerprints have equipment generally consists of a tele• angle made by the two dots with the resulted in encouraging results. Fur• vi ion (TV) camera to view a print, horizontal axis. ther, a semiautomatic fingerprint en• a TV tube to display it on, an inter• uch ~emiautomatic encoding coding system has been built and is active control device or light pen by equipment would require 3 to 5 min• undergoing evaluation at the ew which the operator can mark the utes per print encoded, and it there• York State Division of Criminal fore is not well suited to compiling a Justice Services (DCJS) at Albany, large file of computerized fingerprints. .y'o The FBI is presently participat• It is better suited to encoding prints ing in a joint effort with DCJS to that are to be searched against an demonstrate the compatibility of mi• automatically read and compiled file. nutiae data read from latent finger• Therefore, the FBI has adopted an prints using the DCJS semiautomatic approach to latent fingerprint search• reader and those from rolled inked ing wherein both fully automatic prints read by the FBI's fully auto• FI DER readers and semiautomatic matic Fl DER reader. Although the encoding devices are used. The tudy has not yet been completed, the F[\'DER readers will be used to com• re ult to date indicate that there is no

ACTUAL LATENT FINGERPRINT CHEMICALLY pile the earch file, and the semiauto• fundamental impediment to the DEVelOPED matic encoding devices will be used to achievement of compatibility between code latent fingerprints that cannot be the two ystems. read by FI DER. In this way, the high-speed reading capability of Remote Fingerprint Reading FI DER readers will be utilized to Terminals perform the onerous task of en mas e codincr of inked fingerprint cards for Over the years, the most commonly the file, while the knowledge, experi• u ed mean of transmitting finger• ence, and intuition of the latent ex• print cards to the FBI Identification aminer will be brought to bear in his Divi ion has been by mail. Thi prac• use of the emiautomatic device to tice has been adequate (except in code the latent print for earching. urgent ca es where facsimile equip• This approach has several advan• ment is used) in view of the time re• FINGERPRINT READER ENHANCED BINARY tage : (1) It employs the trengths of quired to earch the card at the Divi• IMAGE FROM ABOVE LATENT IMPRESSION each system to offset the weaknesses sion using manual method and the of the other; (2) The latent file can {act that the reply is normally by mail. FIGURE II. be searched with a minimum of in• However, "ith the advent of com• ENHANCEMENT OF lAT~NT FINGERPRINT BY FINDER READER . formation, but the earch become puterized on-line arrest record storage

30 FBI Law Enforcement Bulletin and retrieval systems such as the Na- mitted in just over one second, which "The increasing activity, tional Crime Information Center's is much faster than presently possible mobility, and sophistication Computerized Criminal History File, with any known facsimile equipment of the modern criminal there arises a need to accomplish the in use today. Another advantage is present new challenges to fingerprint identification task much the fact that the data would be ready law enforcement." faster so as not to nullify the bene- for immediate processing in the Iden- fits of faster record retrieval. The tification Division's automated finger- The story is becoming all too realization of the automatic fin ger- print searching system, wherea a fac- common about the individual who was print searching system described in simile printout would have to be re- arrested on a local charge and re- Section IV of this paper will greatly • scanned by a FI DER reader. leased, and later it was found out increase the speed by which finger- We believe it is well within the through a delayed fin gerprint identifi- print cards are processed internally state­of­the­art of technology to de- cation report that the person was a at the Identification Division. The velop remote terminal readers. These fugitive wanted in another j urisdic- new automatic system will also have might take the form of smaller, but tion. Also, consider the frustration of the capabilily of furnishing on­line more advanced, versions of the the law enforcement officer who finds replies to the contributors of the cards. FI DER II reader, utilizing solid- excellent latent fingerprints at the Therefore, the only remaining im- state scanners and large­scale inte- scene of a crime, but without addi- pediment to achievement of an efficient grated circuitry. These devices could tional clues has no way of searching fingerprint processing system would be designed to read inked cards and/ them against a fin gerprint file. be the lack of a faster means of trans- or directly from fingers. The marriage between EDP tech- mitting fin gerprint card data to the nology and the science of fingerprints Division. Other Extensions of the is long overdue. This is especially The most obvious solution to this FBI's Technology inadequacy is to expand the usage of evident when one views how success- fully EDP has been utilized in other facsimile equipment as a means of This paper has dealt with the ap- technical areas. It is true that the prob- transmitting fingerprint images to the plication of FI DER and its associ- lem of fingerprint identification has FBI. This approach has the advan- ated processing logic for the auto- tage of dealing with an available and matic registration, classification, and for a long time defied the application proven technology and therefore may matching of fingerprints only in of conventional EDP techniques. be a reasonable means of fulfilling However, we believe that the develop- recyard o to law enforcement identifi- the need. However, facsimile has its cation problems. It takes little imagi- ment of the FINDER prototype finger- shortcomings, too. It is a cumber- nation to foresee it extended appli- print reader system represents positive some process; and, since it requires a cation to other areas requiring proof that the problem is not insolu- relatively long transmission time to high­speed identific ation of persons, ble. send high­resolution fingerprints, I such as security access control and Although much remains to be ac- " communications costs associated with commercial credit transactions. complished before the FBI achieves its facsimile are relatively high. goal of a fully automatic fingerprint The FI DER technology presents VI. Conclusion identification system, we believe it is a more attractive alternative. Since now only a matter of time before it be- the data generated by the FI DER The increasing activity, mobility, comes a reality. But, when at last our readers are digital, they are amen- and sophistication of the modern trans~ission goal is achieved, we will no doubt feel able to using standard criminal present new challenges to law much like Sir Winston Churchill did data communications techniques. Fur- enforcement. As a further complica- when he wrote, " I pass with relief from ther, since FI DER reduces the vol- ti on, in recent years, landmark court ume of data contained in a fingerprint decisions have made it necessary for the tossing sea of Cause and Theory from about 2 million bits of raw law enforcement to rely more and to the firm ground of Result and Fact" image data down to about 2,500 bits more on positive scientific evidence (The Malakand Field Force, 1898). of meaningful identifying informa- such as fingerprints. However, the REFERE CE tion, there is much less data to be traditional time­consuming manual o Thornburg, D. D., and Madrllzo, F. G., "Semi. transmitted than in facsimile methods. fin gerprint identification procedures automated Latent Fingerprint Proccuing System," Using a standard telephone line, one are proving to be i nadequate to meet Proceedings 0/ the 1972 Carnahan Conference on. Electronic Crime Countermea.5Ure.s. University of FI DER­read print could be trans­ the new challenges_ Kentucky, Lexington, Ky., April 1972.

February 1975 31 • Nationality___ . American. J Scars and WANTED BY THE FBI marks______V·shaped scar cen· .I ter of forehead, I scar right fore· arm, scar left side of abdomen, scar inner right knee; tattoos of "KIN G S TON COURT, MIS· SION BEACH" right shoulder ; bull's head, Scor- pio insignia with "LINDA" left forearm. Occupations __ . Laborer and a self- employed truck driver. Social Security LEWIS ALBERT SANDERS, JR., also known as Larry A. Kingston, No. used__ __ 557­60­4215. Larry Albert Sanders, Jr., Larry Lanier Sanders, Lewis Allen Sanders, FBI No. _____ . 7, 064 E. Fingerprint Jerry Turner, Larry Craig Williams classification : 18 0 29 W 100 19 Ref: 29 I 20 W 101 24 NCIC clas- Theft from Interstate Shipment; Bond Default sification: PO PI 18 PO 19 DI PI 15 PI 16 Lewis Albert Sanders, Jr., is wanted by the FBI for theft Caution from interstate shipment and Sanders has been convicted of bond default. Federal warrants possession of marihuana, re- for his arrest were issued on ceiving stolen property, and in. May 24, 1971, and on June 3, terstate transportation of a 1971, at Fresno, Calif. stolen motor vehicle. He has possessed a pistol in the past, The Crime Right ri ng fl ngerprint. and should be considered armed and dangerous. Sanders was arrested on having been granted a delay of February 10, 1971, by the Cali- sentence to settle his affairs. Notify the FBI fornia Highway Patrol at Dos Palos, Calif., in connection with Description Any person having informa- the theft of copper wire from an tion which might assist in locat· inter tate shipment. He appeared Age______30, born April 26, ing this fugitive is requested to in the U.S. District Court, Fres- 19<14, Amarillo, notify immediately the Director Tex. of the Federal Bureau of no, Calif. on May 3, 1971, and HeighL______. 6 feet to 6 feet 1 was sentenced to serve a term in inch. Inve tigation, U.S. Department the cu tody of the Attorney Gen- WeighL______160 to 165 pounds. of Justice, Washington, D.C. eral of the United States. On Build______. Slender. 20535, or the Special Agent in June 3, 1971, a Federal grand H aiL______Brown, sandy Charge of the nearest FBI field jury sitting at Fresno, Calif., blond. office, the telephone number of Eyes______Blue. charged him with failing to sur- Complexion___ Medium. which appears on the first page render to the U.S. Mar hal after Race______White. of most local directories.

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