Investigative Surveillance – Importance and Methodologies

The definition of ‘surveillance’ as per oxford dictionary is ‘Close Observation’, especially of a suspected spy or criminal. But in the profession of Private Investigation, let us understand that “Surveillance is the art of continuously watching someone, someplace, or some object in order to document and identify any contacts, activities and whereabouts”. In this context the person, place or object being observed during surveillance is called ‘target’ (We in India call it ‘subject’).

Why Surveillance?

The Investigator must arrive at the decision of conducting surveillance only after he is fully satisfied that it is an essential task to be undertaken if the investigative assignment is to be justified by way of results. The first step is to interview the prospective client to ascertain his real motive in engaging the Investigator. He must seek as much information about the case as is possible both about known facts and unknown possibilities.

In surveillance, the field investigator is always in danger of exposure to the target and others including law-enforcement agencies. Investigator must ascertain whether any surveillance was conducted previously and the result of that surveillance. It must also be ascertained whether the target had come to know about it because he is likely to anticipate future surveillance.     The investigator should decide whether to accept the case or to refuse it. If the client is asking for doing something unethical or illegal, if the expertise or equipment required to do it is not available with the investigator and if the target is out of bound by way of jurisdiction of the investigator,the assignment must not be accepted. Legal angles must be examined to exclude complexity in any criminal activity. It is important not to give false hopes to the client. Not all cases can be resolved. If surveillance alone is the only thing the client wants you to do, prepare a contract (or an MOU) limiting the scope of surveillance within legal parameters and get it signed. Please remember that Private Investigators do not enjoy police powers, they are not lawyers, and they are not magicians. Results of surveillance are always unpredictable. Surveillance is generally conducted to prevent a crime, to obtain evidence of a crime, to obtain evidence of wrongful act, to document an individual’s location, movements, to pin-point activities at a location, to obtain any information or intelligence for a futuristic eventuality etc.

Characteristics of Surveillance 

Surveillance could be stand alone exercise or maybe initial part of a deeper investigation.         It is essential to know that surveillance is a painstaking task and it involves waiting, watching, observing,recording and reporting. If the case cannot proceed without using surveillance techniques and if the likely evidence would be a good corroborative evidence, surveillance becomes inevitable. A competent surveillance investigator is a mix of complex qualities coexisting even with opposite traits within one person. He should have an outgoing personality, exceptional communication skills, ability to act spontaneously with honesty of purpose and patience. Additionally he should be very observant, detail-oriented, good at remembering, able to blend into surroundings, flexible, focused and resourceful. So select the investigator carefully.                 

Types of Surveillance    

After it has been decided that surveillance has to be undertaken, there are other decisions to be taken about the way it is to be conducted. First thing is to decide on human or mechanical surveillance. Will it be overt or covert – meaning thereby whether the investigator would be physically present and (thus) exposed or would he be hidden (camouflaged)? Will it be stationary or mobile surveillance? How many persons are to be deployed in each shift? Choosing the right surveillance methodology depends on expected results and budget available.      

Human vs. Mechanical Surveillance:

Eye sight is considered to be the most accurate of the five senses. That is why eye-witness account (or statement) is given more weightage in a court of law. The advantages of putting up a person for surveillance over using a mechanical surveillance are many. A person can see three dimensions, can be more accurate in observing and recording what is seen and most importantly the eye and brain can immediately interpret activities and decide next course of action on the spot. A good investigator has to be trained in the art of observation and the science of recall. He must practice looking at and then registering people, places, objects and events.Observation includes studying details rather than just looking at things.                      It includes estimating time, speed, direction and distances accurately. One should label colours and sizes by using hue, density and light. After observing he should visualize i.e try to accurately recall from memory what he has seen. And he must remain focused on the target and points pertinent to the investigation. As against human deployment for surveillance, the equipment does not get tired, bored or detached and it can record multiple locations simultaneously.                                                    

Equipment can capture and  cover wider area and still preserve the details in vicinity, background and surroundings. Hence deployment of both human and mechanical resource for surveillance, at the same time, if feasible, is to be considered before deciding on single option. Then there are options of overt or covert surveillance. Overt surveillance is conducted in the presence of people. It can be noticed. By law enforcement agencies.Overt and visible surveillance methodology is widely used to prevent crime by making their presence felt but private  investigators are generally not engaged by the client for this purpose.

Hence they have to resort to covert surveillance most of the time. Human resource, the investigator can also use mechanical devices to effectively add advantages of observation by recording the events under observations. But he must remember that he himself is also a subject of observation by people, by CCTV devices fixed in and outside buildings, at traffic control points and such other locations as are being constantly monitored. Not only his physical presence in the area but his activities and movements may get automatically recorded.        And in case of exposures, his involvement in surveillance can well be established. Justifications for activities have to be available or must be prepared in advance by way of strategy.Covert surveillance is focused on detecting problems. The investigator does not want to be seen or detected. Covert mechanical surveillance includes wiretapping; hidden tracking device on a car etc. Conducting a covert surveillance must also involve methodologies for concealing the identity of investigator and his role of deployment by the detective agency as it is not possible to hide physically. Pretext presence and answerable and accountable explanations should be ready with on field investigator & detective agency deploying him. Cover stories to explain the investigator’s presence in the target’s environment must be authentic and verifiable. No identity cards issued by the detective agencies or contact numbers and addresses of the deployers should be available on the person who is causing surveillance. Even his own mobile set should be constantly cleaned to remove phones called or sms sent. The deploying detective agencies generally want to keep close track of their investigators in order to ensure their presence on the spot or their whereabouts so that the field staff does not give a false report. Such constant and close tracking of investigators by their employers often leads the target or the law-enforcement agencies in establishing deployment for surveillance. Then false charges can be added about attempt for kidnapping, criminal trespass and obstruction of passage and movements. Human surveillance requires utmost planning, foolproof methodologies and ready explanations on the part of deploying agency and on the spot investigator. Surveillance has to be conducted at a single location as well as on mobile targets. Fixed location surveillance and mobile targets require different methodologies. 

Stationary surveillance is at a fixed location observing a person, object, building or location.      It requires a lot of patience and luck on the part of observer. Mobile surveillance requires the investigator to move with the target. It could be on foot, in a private vehicle, using public transport as boarded by target or using combination of all.

Single observer or a team? 

       

It is rather difficult for a single person to perform an effective surveillance although short-term stationary surveillance can be done. A mobile surveillance has a much greator chance of failure when only one person is deployed. The benefits of using a team of people are more.          It provides greater flexibility for operation, reduces fatigue and boredom of a single operative and increases the chance of positive results. It is desirable to use a male/female team.      Then again the team members can always change positions to reduce risk of identification and detection. They can also come to the rescue of each other if a problem arises. But team structure has to be planned, co-ordinated to help communication and reporting for help etc. 

A team leader must be designated who would conduct pre-surveillance briefings to team members, set-up communication methods and signals, assign roles and responsibilities and ensure that the target is not lost. Sometimes, a base station or control room - other than deploying detective agency’s office (set-up) has to be established. The base station reviews all available reports, update data for reporting results. The team leader decides course correction whenever anything goes wrong.

Investigative Surveillance Plan:

When planning surveillance start with easiest and most economical and accurate technique. Then move on to more complex and expensive techniques. Start with the activity that is most likely to produce positive results. Update the findings, discuss with client and then revise the methodology accordingly. Investigative Surveillance plan organizes the thought process of investigator by reducing it in writing on a paper and helps in determining scope of operation.    It also helps in calculating expenditure involved and presentation to the client.

Take following points into consideration while preparing the plan:

1. The objective of surveillance has to be identified.

2. Identification of facts, documents and their availability.

3. Preparing initial list of surveillance activities.

4. Points for conducting thorough location search.

5. Decide on type of surveillance static or mobile.

6. Identification of field investigators & equipments.

7. Prepare reporting schedule, structure and methodology.

8. Conducting background investigation of target or subject.

9. List available facts and figures for development.

10. Prepare input forms in control office to record reportings.

11. Locate entrance and exit points of buildings.

12. Examine parking lots and systems.

13. Fix vantage points for placing observer/investigator.

14. Ascertain typical route of target when leaving the building.

15. Locate target’s vehicles, colours, numbers & drivers.

16. Determine common community activities like timings for trash collection, school bus stops, public transportation routes closeby, schedules of workers. Police patrols, guard room activities, entry system.

17. Notice neighbourhood style of dress, language, work force, timings etc.

18. Visit the building and neighbourhood at different hours before surveillance.

19. Mark unusual activities to eliminate surprises.

20. Be prepared for night surveillance. Visibility counts. Sophisticated equipment like night vision, starlight scope, high speed telephoto lenses in camera night (infra-red) binoculars may be required.

Mobile Surveillance

A surveillance investigator observes the target (subject as we in india call the target) and moves as the target moves. Actions, contacts, routes and destinations are recorded through notes and equipments. Depending on the case, the investigator may need either to remain in ‘close’ contact with the target, or ‘loose’ stay at a distance from the target. Using different surveillance vehicles and piecemealing the surveillance makes it difficult for the target to detect that he is being followed. In team surveillance, the investigators should use cell phones or pre-arranged nonverbal signals. It is desirable to keep the target under eye-view all the time and one should have studied reports about target’s possible routes, habits and places frequented generally by him. One should carry money, change etc for public transports or to make distracting purchases. The follower should use reversible jackets, scarves etc of different colours and should blend with crowd. Sometimes the target may suspect that he is being followed.           Investigator should take preventive actions in such cases, like going into crowd, walking around a corner, riding the elevator, boarding a train/bus/trolley and getting off from front etc.       If confroned by the target, the investigator should act natural, act indignant and walk away in the same direction as before being confronted, use a pretext, can plead mistaken identity or cease the surveillance for the day.

Surveillance vehicles should be non-descript and blend into the place with other vehicles of same type, cost and standards. Rental cars can also be used but with precautions.             Make sure that the vehicle has a full tank of gas. Make sure to have tokens, exact change, or passes that will allow quick passage on a chartered route through toll stations etc. Black out the interiors of car in night, the dome light, if any should be removable, front and back seat should have provisions for pulling curtains-partitions etc. If a team is of investigators in the surveillance vehicle, assign duties to observe the target, another to operate equipments like camera, third person to prepare notes and use mobiles to be in touch with second surveillance operator in another vehicle. The drivers can also change seats to avoid suspicion. In moderate to light traffic you can sandwitch the target. Car between team’s two vehicles. Avoid being seen in target’s rearview mirror, keep a long distance away if target is covering highway or long stretches of road, consider putting on hats, caps, glasses and scarves. Even keep extra number plate ready when covering long distances’ or on reverse trips. Be prepared for unexpected behaviour of the target. If takes a sudden left turn, then go through the intersection and make a U turn, and make a right turn to follow  the target. If the target takes an illegal turn, go through the intersection, take a U turn and then the legal turn to follow the target. If the target runs a traffic light, you should not do so. Hope that the next light will make you catch up with the target.      If the target takes a sudden U-turn, keep going straight for a while and watch the target in rearview and then take next U-turn to follow the target.

Precautions are to be taken that you do not break any traffic rules while conducting mobile surveillance. That you do not worry even if you lose you target on traffic light. There would be chance that you can catch up with the target or else you can wait after taking a U-turn and pick him up on his way back. But do take measures to rectify the lost chance by informing your controlling authority or the team member in another vehicle. Yet another precaution is to remember that your target may have a legitimate entry pass or identity to enter a building not meant for public to enter without permission. Do not try to follow the target by circumventing rules and procedures, and do not forcibly enter any prohibited office area/building without due permission. You can afford to miss the target on one day but you would come to know that the target has valid entry into the premises. There would be another day to follow suit.

Undercover Surveillance

An Investigator is placed in workplace as an employee, casual worker or such like assignment as permits him to visit and serve in a place, factory or office during working hours.                    In India, we generally call it as undercover operations but it is actually a type of operation which fits into and justifies the definition of surveillance as (continous watching of some place, someone or some object etc). This methodology is generally adopted to detect malpractices in a work place, employee misconduct or as anti-espionage measure. Example could be to prevent regular theft, to observe use of drugs, harrassment and compliance of conduct rules.           This exercise helps the client in taking preventive measures to curb undesirable activities and to protect company assets.

Characteristics:

Undercover surveillance requires investigators with specialized training and work experience of the particular trade, it is an interactive job, it allows collection of evidence in a cool and calculated manner, it can provide witness testimony but it could be long term assignment and therefore costly. Even more than other types of surveillance, undercover operations requires extensive planning and preparation in planting the investigator(or a mole) in an outfit which is not that of the client. If it is in a rival group, it becomes competetive intelligence gathering amounting to espionage activity which is prohibitive for private investigators. The three critical issues involved in undercover surveillance are privacy, legality and ethics. In preparing for planting an undercover operative one has to understand company policies, labour contract agreements, past practices, employee culture, union activities etc. For a successful undercover operation the following aspects are important. Management supports in placement of operative, clear objectives, likely outcomes and careful planning.

The undercover operation can fail if it is not properly planned, enough of attention to details is not paid, too many people (or operatives) are involved and the operative lacks tactical skills.

It is very important to select a proper job for the undercover operative according to his qualifications and skills. It should also involve greatest freedom of movement, least or peripherial responsibility involving minimal supervision by other regular staff of the outfit.     The job should be temporary rather than permanent so that a replacement of operative becomes easier, goodjobs are, security guards, maintainence technician, material handler, errand boy in office, mail delivery clerk or a canteen employee. The jobs of supervisors, quality controllers or auditors are not very appropriate.

For getting employed it could be a cold hire by way of normal recruitment process; controlled hire through client’s management system or political hire wherein the client hires directly allegedly under influence of powers that be. The cover story has to be convincing in as much as the cover name and falsified or tailor-made resume must be acceptable on face value.        Once hired the undercover operative must learn the intricacies of the new job and do justice to it. The purpose of deploying an undercover investigator is to observe and gather knowledge about the activities in the workplace. Conversations with employees provides requisite information. Investigator must remain aware of each employee’s role, duties so as to draw proper information. The operative could organize secret interviews with employees, likely witnesses, supervisors who can be drawn into involuntary disclosures.

Reporting:

The final report of the operative must enclose documents compiled during the surveillance. Based on the findings an employee can be terminated, got arrested, or dragged into a civil suit. The evidence gathered by the investigator plays a key role in the client getting a successful outcome. The investigator should quit the job before initiating any action against the persons involved but never before the work is completely done and decision is taken to cause severance of the operative. But imminent dismissal of the operative by management may raise eye-brows.

The undercover report must be based on facts, it should be accurate, complete, objective, concise, clear and be delivered in time. There must be the details of documents including how collected, from where collected and by where collected and by whom maintained.              An undercover operative may also be required to provide testimony in a deposition or infront of a judge, or disciplinary authority. He should be properly briefed to answer questions about his deployment, activities noticed by him, roles played by concerned person and legitimacy of his own actions. The report to be submitted to the client should not be directly by the undercover operative. It should be submitted by the controlling authority of the detective agency whose employee he is. If there was a contractual engagement of the detective agency by the client the report must conform to the terms and conditions of the agreement. No unethical or illegal activity should be covered. If there is no contractual written agreement between the agency and client, the agency need only send the report of surveillance as an attachment or enclosure with the forwarding letter of the agency and preferably unsigned report even though the forwarding letter can be official and duly signed.

All said and done, surveillance in all its form is a tough job and needs to be accomplished meticulously. But it is the most workable tool of professional investigation and the art has to be mastered.   

V M PANDIT