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FBI Law Enforcement Bulletin - November 2003 Issue
Page 1
ISSN 0014-5688
USPS 383-310
Features
Departments
6 Book Review
Patrol Operations and
Enforcement Tactics
14 Police Practice
Responding to Individuals
with Mental Illness
Data Mining and
Value-Added Analysis
By Colleen McCue, Emily S. Stone,
and Teresa P. Gooch
Health Club
Credit Card Theft
By Richard A. Ballezza
Community Corrections
and Community Policing
By David Leitenberger, Pete
Semenyna, and Jeffrey B. Spelman
The Discovery Process and
Personnel File Information
By Richard G. Schott
1
November 2003
Volume 72
Number 11
Exercise enthusiasts have begun to fall
victim to a small number of thieves who
steal credit cards from lockers at health
clubs.
Law enforcement agencies can use data
mining to help them effectively examine
large amounts of data and, ultimately, to
fulfill their missions.
8
19 The Bulletin Honors
24 Bulletin Reports
Drugs
Victims
32 Crime Data
Law Enforcement
Fatalities
20
A partnership between corrections and
police officers can greatly enhance
community supervision efforts.
United States
Department of Justice
Federal Bureau of Investigation
Washington, DC 20535-0001
Robert S. Mueller III
Director
Contributors’ opinions and statements
should not be considered an
endorsement by the FBI for any policy,
program, or service.
The attorney general has determined
that the publication of this periodical is
necessary in the transaction of the
public business required by law. Use
of funds for printing this periodical has
been approved by the director of the
Office of Management and Budget.
The FBI Law Enforcement Bulletin
(ISSN-0014-5688) is published
monthly by the Federal Bureau of
Investigation, 935 Pennsylvania
Avenue, N.W., Washington, D.C.
20535-0001. Periodicals postage paid
at Washington, D.C., and additional
mailing offices. Postmaster: Send
address changes to Editor, FBI Law
Enforcement Bulletin, FBI Academy,
Madison Building, Room 209,
Quantico, VA 22135.
Editor
John E. Ott
Associate Editors
Cynthia L. Lewis
David W. MacWha
Bunny S. Morris
Art Director
Denise Bennett Smith
Assistant Art Director
Stephanie L. Lowe
Staff Assistant
Linda W. Szumilo
This publication is produced by
members of the Law Enforcement
Communication Unit, Training Division.
Internet Address
leb@fbiacademy.edu
Cover Photo
© Don Ennis
Send article submissions to Editor,
FBI Law Enforcement Bulletin, FBI
Academy, Madison Building, Room
209, Quantico, VA 22135.
Officers who intentionally withhold
information that affects their credibility
deprive defendants of their constitutional
right to due process.
25

Page 2
aw enforcement agen-
cies, particularly in view
of the current emphasis
We are drowning in information
but starved for knowledge.
—John Naisbitt
L
on terrorism, increasingly face
the challenge of sorting through
large amounts of information
needed to help them make in-
formed decisions and success-
fully fulfill their missions. At the
same time, resources, particu-
larly personnel, often dwindle.
Described by one agency as the
“volume challenge,”1 local,
state, and federal agencies alike
all struggle with an ever-increas-
ing amount of information that
November 2003 / 1
Data Mining and
Value-Added Analysis
By COLLEEN McCUE, Ph.D., EMILY S. STONE, M.S.W.,
and TERESA P. GOOCH, M.S.
© Adobe Image Library

Page 3
2 / FBI Law Enforcement Bulletin
far exceeds their ability to
effectively analyze it in a timely
fashion.
However, while these issues
have surfaced, an extremely
powerful tool has emerged from
the business community. This
tool, used by mortgage brokers
to determine credit risk, local
supermarkets to ascertain how to
strategically stock their shelves,
and Internet retailers to facilitate
sales, also can benefit law en-
forcement personnel. Com-
monly known as data mining,
this powerful tool can help
investigators to effectively and
efficiently perform such tasks
as the analysis of crime and
intelligence data.2 Fortunately,
because of recent developments
in data mining, they do not have
to possess technical proficiency
to use this tool, only expertise in
their respective subject matter.
WHAT IS DATA MINING?
Data mining serves as an au-
tomated tool that uses multiple
advanced computational tech-
niques, including artificial intel-
ligence (the use of computers to
perform logical functions), to
fully explore and characterize
large data sets involving one or
more data sources, identifying
significant, recognizable pat-
terns, trends, and relationships
not easily detected through
traditional analytical techniques
alone.3 This information then
may help with various purposes,
such as the prediction of future
events or behaviors.
Domain experts, or those
with expertise in their respective
fields, must determine if infor-
mation obtained through data
mining holds value. For ex-
ample, a strong relationship
between the time of day and a
series of robberies would prove
valuable to a law enforcement
officer with expertise in the in-
vestigation pertaining to this in-
formation. On the other hand, if
investigators, while reviewing
historical homicide data, noticed
that victims normally possessed
lip balm, they would not, of
course, associate lip balm or
chapped lips with an increased
risk for death.
WHY USE DATA MINING
IN LAW ENFORCEMENT?
The staggering increase in
the volume of information now
flooding into the law enforce-
ment community requires the use
of more advanced analytical
methods. Because data-mining
software now proves user-
friendly, personal-computer
based, and, thus, affordable, law
enforcement agencies at all lev-
els can use it to help effectively
handle this increased flow of
data.
Lieutenant Colonel Gooch serves as
assistant chief of the Richmond,
Virginia, Police Department.
Dr. McCue is the program
manager for the Crime Analysis
Unit of the Richmond, Virginia,
Police Department and holds
faculty appointments at Virginia
Commonwealth University.
Ms. Stone served as a crime analyst with the Richmond, Virginia,
Police Department.

Page 4
November 2003 / 3
The law enforcement com-
munity can use data mining to
effectively analyze information
contained in many large data
sets, even those involving writ-
ten narratives (which represent a
great deal of valuable law en-
forcement information). These
may include calls for service
data, crime or incident reports,
witness statements, suspect in-
terviews, tip information, tele-
phone toll analysis, or Internet
activity—almost any informa-
tion that law enforcement pro-
fessionals encounter in the
course of their work.4
Not only can these data sets
differ by type but they can origi-
nate from different sources,5 po-
tentially giving law enforcement
agencies both a more complete
informational base from which
to draw conclusions and the abil-
ity to identify related informa-
tion in separate databases or in-
vestigations. For example, this
may prove valuable in the area of
illegal narcotics enforcement.
The law enforcement commu-
nity frequently gathers informa-
tion regarding markets, trends,
and patterns, while medical
and social services personnel
store information concerning
substance use and abuse on the
individual level. In instances
where appropriate, the opportu-
nity to combine these data re-
sources can give investigators a
more complete picture and can
help address various narcotics
problems more rapidly, poten-
tially saving both lives and
resources.
Law enforcement agencies
can consider exploring the use of
data-mining applications to as-
sist them in a variety of areas.
Some examples include tactical
crime analysis, deployment, risk
assessment, behavioral analysis,
DNA analysis, homeland secu-
rity, and Internet/infrastructure
protection.
Tactical Crime Analysis
Data mining offers law en-
forcement agencies potential
benefits in the area of tactical
crime analysis. For example, be-
cause agencies can use data min-
ing for such purposes as to more
quickly and effectively identify
relationships and similarities
between crimes and to forecast
future events based on historical
behavioral patterns, they can
develop investigative leads and
effective action plans more
rapidly.6 Major case investiga-
tions, which frequently present
not only large volumes of infor-
mation but also demands for
rapid case resolution, serve as
good examples of how law en-
forcement agencies can benefit
from data mining in this regard.
Deployment
Law enforcement agencies
can use data-mining technology
to help them deploy their re-
sources, including personnel,
more effectively and proactively.
For instance, data mining can
help them identify such key ele-
ments in a case or series of
events as patterns of time and
location—by forecasting future
events based on this historical
data, agencies potentially could
anticipate strategic locations for
deployment.
Data mining also allows
agencies to consider multiple
variables at one time and to add
more weight to those considered
most important to the decision at
hand. For example, patrol offic-
ers, who generally respond to in-
cidents with quick turnaround
rates, may answer to numerous
calls for service and effect many
arrests in a relatively short
amount of time. On the other
hand, death investigations can
require multiple officers’ entire
shifts just to maintain the crime
scene perimeter; as a result, ho-
micide investigators generally
may handle considerably fewer
Because data-mining
software now
proves user-friendly...
and, thus, affordable,
law enforcement
agencies at all levels
can use it....

Page 5
4 / FBI Law Enforcement Bulletin
incidents and arrests. To this
end, by weighing heavily such
factors as the type and duration
of these incidents, law enforce-
ment agencies can develop effec-
tive deployment strategies.
By using data mining, law
enforcement personnel, for pur-
poses of analysis, also can link
incidents, crimes, or changes in
crime trends to other types of
events in making deployment
decisions. For example, an
agency historically may have
noticed relationships between
major weather events, such as
snowstorms or hurricanes, and
decreases in street crimes. Also,
they may have seen how the ar-
rests of key players in organized
crime or drug distribution rings
seem to result in increased vio-
lence as informants are sought
and identified and as new leaders
emerge during reorganization.
As another example, they may
associate increased apprehen-
sion rates and a strong economy
with decreases in property
crimes.7 By using data mining to
consider such relationships, law
enforcement agencies then can
deploy their personnel as they
deem necessary.
Risk Assessment
Much like lenders and credit
companies use data mining to
great effect in assessing the fi-
nancial gamble involved with
lending money or extending
credit to individuals or groups,
law enforcement agencies can
use it to characterize the risk in-
volved in various incidents. For
example, agency personnel can
explore the use of data mining to
identify common characteristics
of armed robberies that ended in
assaults; doing so then can help
identify those that may escalate
into assaults in the future. Simi-
larly, in the past, certain types of
use data mining to identify com-
mon behavioral characteristics
in different cases. Even when not
identifying a specific offender,
investigators may find it possible
to gain some insight into what
type of offender may prove re-
lated to a particular incident. Re-
search in this area, for example,
has resulted in the use of data
mining to efficiently link serious
sexual assault cases based on
similar offender behaviors.9
DNA Analysis
Law enforcement agencies
also can benefit from the use of
data mining when examining
DNA evidence. For example,
when DNA links a new suspect
to an old case, investigators logi-
cally may wonder what other
cases the suspect may be linked
to. Given the amount of informa-
tion involved, law enforcement
personnel can find it virtually
impossible to efficiently and
completely search old case files
each time they identify a new
suspect. To this end, compiling
DNA information into a search-
able database gives law enforce-
ment agencies a powerful tool to
help identify, and potentially
close, additional linked cases.
Homeland Security
Processing and gaining
meaningful insight from the
staggering amount of data
critical to homeland security has
proven difficult.10 Law enforce-
ment agencies can use data
property crimes have proven re-
lated to subsequent stranger
rapes.8 The ability to character-
ize property crimes as similar to
those previously associated with
subsequent sexual assaults can
alert investigators to focus on
certain cases and develop effec-
tive action plans, perhaps pre-
venting many similar situations
from occurring in the future.
Behavioral Analysis
The behavioral analysis of
violent crime represents another
area with significant potential
for data mining. For instance,
law enforcement agencies can
© PhotoDisc

Page 6
November 2003 / 5
mining to help them face this
challenge.
For instance, investigators
would like to anticipate, and
thereby prevent, acts of terror-
ism. By using data mining to
identify relevant historical pat-
terns, trends, and relationships
involving terrorists, they could
accomplish this objective more
effectively.
Also, because data mining
allows law enforcement agencies
to evaluate information in varied
formats and from various data-
bases and agencies, it can enable
them to effectively and effi-
ciently analyze a wide range of
information that potentially
could shed light on terrorist
activity. For example, by analyz-
ing information from multiple
health-related data sources, law
enforcement agencies could
recognize significant patterns
of illness that may indicate
bioterrorism activity or the use of
other weapons of mass destruc-
tion.11 Agencies also can use this
capability to associate general
crimes with terrorist activity by
linking them with additional in-
telligence—recent information
suggesting links between ciga-
rette smuggling and terrorist
financing12 serves as a valid
example.
Internet/Infrastructure
Protection
The law enforcement com-
munity may find that the
capability of data mining in
characterizing and monitoring
normal activity, as well as identi-
fying irregular or suspicious ac-
tivity, proves applicable in the
area of Internet and infrastruc-
ture protection. For example, the
recognition of suspicious pat-
terns of Web site activity not
only can help in the area of tradi-
tional intrusion protection but
also can serve as an important
warning about the release of in-
formation. The FBI’s National
Infrastructure Protection Center
(NIPC) recently underscored the
materials, may prove useful to
entities with malicious intent.
CONCLUSION
Law enforcement agencies
face an ever-increasing flood of
information that threatens to
overwhelm them; this will re-
quire a change in how they
process and analyze data. Data-
mining technology represents a
powerful, user-friendly, and ac-
cessible new tool that agencies
can use to help them in facing
this challenge as they seek to ful-
fill their missions—ultimately,
to ensure the safety and welfare
of the public.
Endnotes
1 Tabassum Zakaria, “CIA Turns to
Data Mining”; retrieved on April 10, 2003,
from http://www.parallaxresearch.com/
news/2001/0309/cia_turns_to.html.
2 The authors based this article largely
on their experience with and research on
the subject of data mining.
3 Bruce Moxon, “Defining Data
Mining”; retrieved on April 10, 2003, from
http://www.dbmsmag.com/9608d53.html.
4 Law enforcement agencies must
address appropriate constitutional and
legal concerns if using public source data
for law enforcement purposes.
5 Law enforcement agencies, when
collecting information from different
sources, must decide how they will address
the issue of cleaning the data, or preparing
data for data-mining activities.
6 Donald Brown, “The Regional Crime
Analysis Program (RECAP): A Frame-
work for Mining Data to Catch Criminals”;
retrieved on April 10, 2003, from http://
vijis.sys.virginia.edu/publication/
RECAP.pdf.
7 Ayse Imrohoroglu, Anthony Merlo,
and Peter Rupert, “What Accounts for the
Decline in Crime?”; retrieved on April 10,
Law enforcement
agencies can consider
exploring the use
of data-mining
applications to assist
them in a variety
of areas.
importance of reviewing all
Internet materials currently
available, as well as those
considered for release, for poten-
tial threats to critical infrastruc-
ture and homeland security.13
This warning comes as many
municipal Web sites are receiv-
ing suspicious activity and
interest.14 This information par-
ticularly includes that which, ei-
ther on its own merits or in com-
bination with other open-source

Page 7
6 / FBI Law Enforcement Bulletin
2003, from http://www.clev.frb.org/
Research/workpaper/2000/wp0008.pdf.
8 Colleen McCue, Georgia Smith,
Robyn Diehl, Deanne Dabbs, James
McDonough, and Paul Ferrara, “Why
DNA Databases Should Include All
Felons,” Police Chief, October 2001,
94-100.
9 Richard Adderley and Peter
Musgrove, “Data Mining Case Study:
Modelling the Behaviour of Offenders
Who Commit Serious Sexual Assaults,” in
Proceedings of the Seventh Association for
Computing Machinery (ACM) Special
Interest Group on Knowledge Discovery in
Data (SIGKDD) International Conference
on Knowledge Discovery and Data Mining
Held in San Francisco 26-29 August 2001,
(New York NY: ACM Press, 2001), 215-
220.
10 Supra note 1; and Eric Chabrow,
“The FBI Must Overhaul Its IT Infrastruc-
ture to Fulfill a New Mandate of Fighting
Terrorism, Cyberattacks”; retrieved on
April 10, 2003, from http://www.
informationweek.com/story/
IWK20020602S0004; and Walter Pincus
and Dana Priest, “NSA Intercepts on Eve
of 9/11 Sent Warning”; retrieved on April
10, 2003, from http://www.secretpolicy.
com/archives/00000073.html.
11 Steve Bunk, “Early Warning: U.S.
Scientists Counter Bioterrorism with New
Electronic Sentinel Systems”; retrieved on
April 10, 2003, from http://www.scenpro.
com/press%2009%20leaders.html.
12 Paul Nowell, “Hezbollah in North
Carolina?”; retrieved on April 10, 2003,
from http://www.abcnews.go.com/sections/
us/dailynews/hezbollah010328.html.
13 National Center for Infrastructure
Protection (NIPC), Highlights, Issue 11-
01, December 7, 2001; retrieved on April
10, 2003, from http://www.nipc.gov/
publications/highlights/2001/highlight-01-
11.htm.
14 Barton Gellman, “Cyber-Attacks by
Al Qaeda Feared”; retrieved on April 10,
2003, from http://www.washingtonpost.
com/wp-dyn/articles/A50765-2002
Jun26.html.
Book Review
Patrol Operations and Enforcement
Tactics by George T. Payton and Michael
Amaral, Criminal Justice Services, San Jose,
California, 1996.
Patrol Operations and Enforcement
Tactics is a comprehensive, straightforward
book involving current law enforcement
activities. Both authors are experts in the
fields of patrol operations, procedures,
tactics, and officer survival. Besides having
written numerous other related books and
articles, they teach extensively at local
colleges and universities and provide
training for many officers throughout the
United States. Each has received much
recognition from peers and various profes-
sional organizations.
They comment that their book is not the
“gospel of patrol operations,” but when read
by those with law enforcement experience,
including those aspiring for participation in
academics, such readers will be impressed
with the book’s depth, practicality, compre-
hensiveness, and application to their jobs and
positions. It is a well-designed and re-
searched effort that contains experiences of
frontline uniform and plainclothes officers
laced with invaluable critical personal
opinions.
It covers most of the latest professional
techniques and methods of operation and
knowledge coupled with skills for the new
recruit, officers with limited experience, as
well as veteran law enforcement personnel.
As a book, it lends itself to the safety and
survival of officers facing grave situations
and assists them in enhancing the lessening
of officer-induced errors and mistakes.
A snapshot of the book’s content reveals
a law enforcement code of ethics and a police

Page 8
code of conduct, detailed preventive and
selective enforcement operations, and types
of patrols ranging from foot to air patrols
coupled with computer-directed enforcement
locations and techniques. The book also
includes the use of forward-looking infrared
systems on air patrols and the advantages
and disadvantages of practical law enforce-
ment communications. The authors address
state and local automated networks, NCIC,
and criminal justice information control,
each involving enforcement operations and
tactics. They also include an interesting
chapter on observation and perception
techniques required by officers with 17
identified and proven “attention getters” that
officers should employ in detecting and
catching criminals. An explanation exists to
assist officers in their approach to citizens
and criminals, as well as safety concerns of
those officers being approached by others.
The book offers four compelling points
among a wide variety of information. First,
it has a major overall professional depth,
practical application, and thoroughness.
Next, it contains an extensive critical list of
88 questions, consisting of the who, what,
when, where, how, and why of operations
and tactics. These questions prove outstand-
ing for both the experienced and inexperi-
enced officer and can enhance patrol investi-
gative report documentation and court
testimony when applied. Third, for the
promotional examination and the department
entrance exam challenger, the book lists 855
study questions relevant to law enforcement
operations. Finally, the book contains some
useful checklist items that will help maintain
an officer’s effectiveness, competency, and
readiness for duty. These include items
officers should consider when preparing to
depart their residences for duty, leaving their
locker rooms (even what officers should keep
in their lockers), handling preparation re-
quirements prior to leaving the squad room,
obtaining necessary information for patrol
duty, and checking out the patrol vehicle and
its care prior to and after departing the garage
area.
The book also covers the latest informa-
tion on conducting standard and emergency
high-risk vehicle stops, pursuit considerations
and effective alternatives, legal and practical
aspects of firearms use, safety and liability,
and special studies involving police weapons
and their applications. In addition, it includes
planning for emergency incidents and officer
safety countermeasures when confronting
specific threats.
Patrol Operations and Enforcement
Tactics is a valuable resource book for state
and local law enforcement departments to
upgrade their operating procedures and
policies and their academies. It can provide
material for the commissions on peace offi-
cers standards and training, departmental in-
service training programs, assessment center
selections and various examinations for
different officer skill levels, and merit promo-
tion boards. The book also could help those
officers looking for a self-study professional
enhancement that they can complete during
shift breaks or at their residences and can
support their specific college academic
courses. It is a must read for all departmental
patrol officers and investigative personnel,
including supervisors and managers.
Reviewed by
Larry R. Moore
Certified Emergency Manager
International Association
of Emergency Managers
Knoxville, Tennessee
November 2003 / 7

Page 9
8 / FBI Law Enforcement Bulletin
uring the FBI’s investi-
gation of the Yugosla-
vian, Albanian, Croa-
D
tian, and Serbian (YACS)
commercial safe burglar groups,1
investigators discovered a spe-
cialized theft crime problem per-
petrated by some of these offend-
ers. The crime pattern involved
the theft of credit cards from the
lockers of unsuspecting health
club members while they exer-
cised. Victims included both
men and women. The thieves
then used the stolen credit cards,
sometimes within hours of the
theft, to obtain cash at casinos.
An examination of this crime
problem, which persists today,
can help investigators under-
stand the modus operandi (MO)
of these unique credit card
thieves and offer some recom-
mendations to help prevent
thefts in the future.
Overview
Beginning in the early to mid
1990s, those law enforcement
agencies principally involved
with investigations of criminal
activity inside casinos began no-
ticing an increase in the use of
stolen credit cards to obtain cash
from the cash-advance mer-
chants in the casinos. The inter-
esting common denominator in
these investigations was that
many of the credit cards used in
the scam had been stolen from
health club lockers. Investigators
noted that the persons caught
passing the cards were primarily
of Yugoslavian or Albanian de-
scent. The thieves’ chance for
successfully avoiding capture
was aided by the fact that
cardholders often did not notice
the theft of the card until they
received the monthly billing
statement weeks after the actual
Health Club Credit Card Theft
A National Crime Problem
By RICHARD A. BALLEZZA
© PhotoDisc

Page 10
November 2003 / 9
The crime pattern
involved the theft
of credit cards
from the lockers of
unsuspecting health
club members....
Special Agent Ballezza serves in the Hudson Valley
resident agency of the FBI’s New York office.
theft. Victims would check their
wallets and notice, for the first
time, the credit card missing, but
would be uncertain as to when or
where the theft occurred. For ex-
ample, a businessperson from
Florida on a trip to New York
stays at a hotel in Bergen County,
New Jersey. The hotel recom-
mends a local health club that the
person uses for a workout. The
businessperson signs in as a day-
use guest, and, during that time,
someone steals a credit card
from the person’s wallet. After-
ward, the businessperson re-
turns to Florida and, several
weeks later, discovers unautho-
rized charges on one credit card.
This represents the typical situa-
tion that confronts victims of
these thefts as they report it to
authorities.
Modus Operandi
Law enforcement reports,
postarrest interviews, analysis of
evidence obtained from search
warrants, and intelligence gath-
ering have made it possible to
describe a typical health club
credit card theft scenario. A
group of between four to six
thieves goes to a health club. At
least one of them will be a mem-
ber, sometimes under an alias, of
the club the group targeted for
locker thefts. Other coconspira-
tors may sign in as guests of the
member or may sign in on a day-
use basis. These thieves also tar-
get health clubs offering 1-week
free, trial memberships. While
the thieves usually do not all en-
ter at the same time, they prob-
ably find the sign-in procedures
familiar through previous sur-
veillance. Undoubtedly, all of
the thieves possess counterfeit
identification in a fictitious name
so as not to arouse suspicion if a
health club employee asks for
identification. Moreover, be-
cause guests entering health
clubs also may have to sign a
guest book or log, thieves often
pay the nominal day-use fee in
cash. They believe that health
club employees keep this fee for
personal use and do not record
when guests come to use the
facilities.
Once the thieves enter the
locker room, they separate into
prearranged roles. At least one
person will act as a “blocker”
and lookout at the main entrance
to the locker room. Other thieves
will target certain lockers and
will carry various “shims”—ex-
tremely thin pieces of metal cut
to a small size—to “shim” open
the combination padlocks on the
lockers. A skilled “shimmer” can
open these padlocks faster than a
person who uses the combina-
tion. The shimmer may have the
additional assistance of another
blocker who may use the locker
next to the targeted one to further
screen the shimmer’s efforts.
The shims are so sharp that
thieves usually wear bandages or
pieces of tape to protect their
fingers.
After opening the lock, the
thieves carefully avoid disturb-
ing the contents in the locker,
looking only into the member’s
wallet to find any credit cards.
They remove one or two of the
credit cards, preferably from a
wallet with many credit cards,

Page 11
10 / FBI Law Enforcement Bulletin
and note the name, address, and
date of birth on the driver’s li-
cense, but never take any cash.
They replace the wallet exactly
as they found it to avoid arousing
any suspicion when the member
returns to the locker. Thieves
normally target several lockers at
the health club, and more than
one person usually shims at the
same time. Thieves generally
steal 15 to 20 credit cards either
from one health club or from
multiple health clubs before
moving to the next phase of the
scam.
Counterfeit Identification
Manufacture
The next phase involves the
thieves producing counterfeit
identification to match the name
on the credit card. In the early
vintage of this scheme, thieves
most commonly made counter-
feit, nonphoto New Jersey
driver’s licenses to use at Atlan-
tic City casinos. They employed
these nonphoto licenses as
backup identification (ID) that
they would show inside the casi-
nos to tellers who requested ID
before providing cash to the per-
son holding the credit card. More
recent trends involve making
counterfeit, color photo driver’s
licenses from different states.
Thieves modified their MO after
the casinos became aware of the
nonphoto New Jersey licenses
and began requiring photo ID as
backup identification. Also, the
thieves expanded their target
area to include health clubs lo-
cated in states without casinos.
This required the thieves to
manufacture counterfeit driver’s
licenses from many states.
The thieves always must
know in advance exactly which
person will serve as the “signer”
inside the casino. Obviously,
that same person’s photo must
appear on the counterfeit driver’s
license. Laptop computers, color
scanners, and color printers have
facilitated the production of such
counterfeit documents.2 The
thieves usually complete the
matching ID within a short time
and then plan their travel to the
casinos. If the casinos are
nearby, they generally travel by
car or van. If the casino is far
away, the thieves, using aliases,
fly on commercial aircraft. They
never use stolen credit cards to
purchase airline tickets when
they fly to a distant location to
steal or to pass credit cards.
The Casino Connection
Before using the cards at the
casinos, the thieves, now a group
of 10 to15 people, make sure that
the health club members have
not reported the theft of the
cards. To accomplish this, the
thieves typically stop at a gas sta-
tion/convenience store and buy a
few gallons of gas at a self-ser-
vice pump or make a small pur-
chase at a gift shop in or near the
casino.3 If a problem arises, the
thieves feign any knowledge and
purchase the gas or gift with cash
and then destroy the card. The
thieves check all stolen cards
prior to entering a casino.
The large group of thieves
now breaks into smaller teams
to begin passing the cards
inside the casinos. This reduces
the risk of detection by casino
gaming commission law en-
forcement authorities or by pri-
vate security personnel inside the
establishment.
Casinos use different mer-
chants to provide the cash-ad-
vance service. Essentially, a card
holder uses the machine by in-
serting or swiping the credit card
and then entering the desired
amount of money. The service
adds a small fee to that amount
and, as long as sufficient credit
remains on that credit card, gen-
erates a receipt. The card holder
takes the receipt to a nearby teller
window where the teller has re-
ceived a similar approval for the
transaction. The teller matches it
with the receipt handed by the
customer and asks to see the
credit card, as well as backup ID,
before giving the requested
Once the thieves
enter the locker
room, they separate
into prearranged
roles.

Page 12
November 2003 / 11
money, less the fee, to the
customer.
The health club locker
thieves who use the same service
at the casino, but with stolen
credit cards, do not know how
much credit is available on a par-
ticular card. The thief may have
to try different amounts, reduc-
ing the amount requested each
time, before obtaining approval.
Investigators can retrieve com-
puterized records regarding
these transactions and usually
will find multiple attempts to ob-
tain cash. Thieves may use the
same card at different casinos
until they reach the credit limit
for that card. During this phase,
the thieves maintain contact with
each other through pagers and
cell phones.
The Profit Split
The thieves split the profits
in thirds: the person who steals
the card, the one who makes the
counterfeit ID, and the “signer,”
or the person who passes the
card, each receive one-third of
the profits. If a thief fulfills two
of the roles, that person will get
two shares. Groups of more than
10 persons using 20 to 30 stolen
cards have made $60,000 to
$100,000 in only 1 weekend in
Las Vegas. Thieves involved in
this criminal activity are well or-
ganized and experienced inter-
state criminals. After completing
the scam, the thieves return to
the New York metropolitan area.
Recent Trends
While stealing thousands of
credit cards and reaping millions
of dollars worth of currency,
some thieves appeared repeat-
edly in the same casinos. As law
enforcement became more aware
of the identity of the known
credit card thieves, new perpe-
trators, or “fresh faces,” have be-
gun to actually pass the cards in
primarily from New Jersey and
New York in the early stages of
these crimes, the theft of cards
from health clubs in states all
across America has blossomed.
In addition, more and more states
are establishing casinos within
their borders, and it is only a
question of time before these ca-
sinos become victimized as well.
Detection Problems
Detection problems fall into
three basic categories: health
club, credit card company, and
casino. Health club security
measures vary greatly. They
rarely have any videotape to
record persons entering the
club and, for obvious reasons,
employ no closed-captioned
television inside the locker
rooms. Some fitness centers do
not use photo membership cards
to identify their members. Others
merely ask members to say their
four-digit number upon entering
the club. Some may not require
day guests or trial members to
show photo identification to gain
admittance to the club. Several
clubs have no small, secure valu-
ables lockers (located behind the
front desk) for use by members
who then, because of a lack of
these type of lockers, have to
store their wallets in a typical
locker in an unsupervised locker
room.
Credit card companies vary
in their internal controls and
“flags” programmed into their
the casinos. The known thieves
usually are nearby, but not at the
teller window with the conspira-
tor who is obtaining the cash.
Currently, the Yugoslavians and
Albanians in these schemes ap-
pear to be using Romanians
without arrest records to pass
the cards. Further, even though
the greater travel distance to
Las Vegas can be a risk to the
thieves from New York, Las
Vegas offers many more casinos
compared with Atlantic City
and, therefore, proves enticing
to the credit card thieves. Al-
though credit cards were stolen
© Digital Stock

Page 13
12 / FBI Law Enforcement Bulletin
computer software. One con-
victed thief admitted that he
generally stayed away from
one credit card because the
company’s employees moni-
tored the use of the cards more
closely and were apt to call a
cardholder if unusual activity oc-
curred, even if the card was not
reported stolen. Such preventive
action could derail the scam be-
cause the delay in the discovery
of the theft of the card provides
the thief with a greater window
of opportunity to exploit what-
ever credit remains on a particu-
lar card.
The delay in the discovery of
the theft of the card also has the
detrimental spillover effect of
hampering investigators as they
try to find evidence of the person
who used the card in the casino.
Companies who operate the
cash-advance service in the casi-
nos may only keep their teller
window videotapes for 1 or 2
weeks at a time before recording
over them. Investigators found
that in some cases, the video-
taped transaction, which would
clearly show who passed the sto-
len credit card, had been erased
due to the passage of 4 to 6
weeks since the actual theft oc-
curred. It is possible that thieves
who know which cash-advance
companies maintain the video-
tapes for the shortest period of
time actually may target those
companies when passing the sto-
len credit cards. Further, thieves
also have used the assistance of
employees who work behind the
teller window area while they
pass the credit cards.
Countermeasures
Prospective members tour-
ing a health club consider the
fitness equipment, programs,
and cost of membership before
deciding to join. However, they
manager how the club handles
day-use guests, such as guests
from local hotels or conventions
or other visitors. They should de-
termine if guests are required to
show a photo ID and if the front
desk makes a copy of the ID. If
people already belong to a club
that does not offer lockers near
the front desk, they should try to
get in the habit of quickly check-
ing their wallets immediately af-
ter getting dressed before leaving
the health club, making sure that
all credit cards are present, par-
ticularly those cards that are to-
ward the back of the stack of
cards. If one is missing, they
should immediately notify local
police and the credit card com-
pany. The credit card company
may be able to help police appre-
hend the thieves should the
thieves try to use the card. The
credit card company should re-
main especially alert for any at-
tempt to use the card to obtain a
cash advance at a casino.
In addition, the management
at the health club needs to know
about the theft because other
members undoubtedly had credit
cards stolen at the same time. If
the health club has a computer-
ized system, such as a bar-coded
ID card shown on the way into
the club, the manager may be
able to contact other members
and advise them to check their
wallets.
Because a relatively small
group of criminals is responsible
also should assess the security
features at the facility. The pres-
ence of the small valuables lock-
ers, located immediately behind
or next to the front desk, for the
storage of a wallet and keys can
reduce the chance of any credit
card theft. A convicted thief
advised that if the health club
had those small valuables lock-
ers near the front desk, his group
did not even try to steal any
credit cards from the locker
room. The thieves just went to a
different health club that did not
use those type of lockers. Per-
sons should ask the health club
Thieves may
use the same card
at different casinos
until they reach
the credit limit
for that card.

Page 14
November 2003 / 13
for the majority of this national
crime problem, law enforcement
agencies, particularly those that
recently have made their first ar-
rests of persons involved in these
type of thefts, should contact law
enforcement agencies covering
Atlantic City and Las Vegas ca-
sinos. Agencies new to these
scams can e-mail a color arrest
photo to those law enforcement
agencies having more experi-
ence with these credit card
thieves. This prompt networking
may help correctly identify the
arrestee who could be assuming
a false identity. If this contact is
done quickly, the arrestee’s cor-
rect identity could be known be-
fore arraignment. Also, some
agencies have photos of indi-
viduals who have passed stolen
cards but do not know their iden-
tities. Therefore, the recent arrest
in one jurisdiction may identify
the unknown suspect in another
agency’s theft case.
Local crime prevention of-
ficers should take time to meet
with health club managers
within their jurisdictions to ad-
vise them of this criminal pattern
and to discuss their clubs’ secu-
rity measures. Police responding
to any suspicious person or ve-
hicle call in the parking lot of a
health club should consider the
possibility that the suspicious
person or vehicle may participate
in these type of thefts. Police of-
ficers should note any bandages
or tape on the suspicious
person’s fingers and the exist-
ence of any “shims,” credit cards
not in the name of the person, or
a “prop” gym bag that contains
dry clothing because these
thieves do not exercise or shower
at the targeted facility.
Conclusion
As more health clubs open
and as additional states begin li-
censing casinos, health club
credit card thieves will continue
to have ample opportunity to per-
petrate their interstate fraud. The
enticement to make thousands of
dollars will keep a steady flow
of interested recruits into this
unique criminal specialty.
However, small changes in
the personal habits of members
following workouts, along with
improvements in security both at
fitness centers and at the cash-
advance merchants inside casi-
nos, could help prevent thefts or,
with prompt discovery of the
theft, could help thwart the
successful passing of the card
inside a casino. Further, in-
creased vigilance by credit card
company watchdogs looking
for suspicious credit card activity
coupled with enhanced network-
ing by those law enforcement
agencies principally involved in
investigating crime within the
casinos ultimately could lead to
a dramatic reduction in profits
for these interstate criminal
gangs.
Endnotes
1 For additional information, see
Richard A. Ballezza, “YACS Crime
Groups: An FBI Major Crime Initiative,”
FBI Law Enforcement Bulletin, November
1998, 7-12.
2 Evidence seized after execution of
federal search warrants in the New York
area corroborate the thieves’ use of these
techniques.
3 Reports have surfaced that some
thieves even have a toll-free telephone
number similar to those used by merchants
calling to check on a particular credit card.
Credit card thieves use different thicknesses of sheet
metal to cut open padlocks on health club lockers.

Page 15
14 / FBI Law Enforcement Bulletin
Moving Past What to How—
The Next Step in Responding to
Individuals with Mental Illness
By Douglas Gentz, Ph.D., and William S. Goree
L
Police Practice
aw enforcement officers accept the need
for firearms instruction before going to
the range to practice what they have learned.
After they have the necessary education on
weapons, their training time can be more effec-
tively spent on the range. Perhaps, training
officers to improve the skills used to respond to
citizens with mental illness can be enhanced with
a similar approach—a high priority on practice.
Tulsa, Oklahoma, like most other communi-
ties across the country, has long experienced the
difficulties of the increasing pressure on individu-
als with mental illness and their families as a
result of state funding problems and constant
changes in mental health care delivery systems.
Most of the responsibility for providing services
to those seriously ill or less able to pay for ser-
vices has shifted from one agency to another,
sometimes more than once. Because of this
challenge, the Tulsa Police Department’s (TPD)
apprentice police officer (APO) academy training
has included a component similar to the “Mem-
phis Model”1 since 1988. Integrating front-line
mental health professionals into the broad,
multidisciplinary training given to APOs for
almost 15 years has helped TPD field officers
become proficient in the task of responding
effectively to individuals with mental illness.
To answer a growing need, the TPD resolved
to go beyond refresher classes for incumbent
officers and, instead, committed to developing an
advanced mental health response officer school.
The school was designed to help police and
mental health professionals work in a collabora-
tive partnership as both instructors and students.2
THE GUIDING PRINCIPLE
The guiding principle for the school’s devel-
opment, the “operational triangle,” represents a
model the TPD has used for many years to in-
struct APOs. The foundation of the operational
triangle is safety. Ensuring safety is the first step
in all interactions between officers and citizens.
Only after this is established and maintained
should an officer focus on using communication
skills to form an effective relationship with a
subject. Officers first must have a safe environ-
ment before they can apply interpersonal skills
directed toward possible problem solving.
Once officers establish a state of safety, they
are tempted to move directly to problem solving.
Yielding to this temptation means skipping the
middle section of the triangle and, often, results
in ineffectiveness. Increasing officers’ confidence
in their abilities to effectively use interpersonal
communication skills improves the likelihood
that they will incorporate each section of the
operational triangle.
© Comstock Images

Page 16
November 2003 / 15
Over the last 20 years, the law enforcement
profession has made huge strides in raising
officers’ awareness and competence in the areas
of citizen and officer safety. Agencies should
devote attention to increasing officers’ awareness
of the essential step between safety and problem
solving. These human relation skills, like officer
safety skills, improve with practice. Enhanced
interpersonal skills will amplify the ability of
officers to project a powerful influence with
citizens they serve, especially those with mental
health issues.
THE INSTRUCTIONAL OBJECTIVE
The school’s mission is to assist people
in need of mental health services in a way
that secures the safety of all concerned,
respects the dignity of the person in
need of attention, and increases the
chances of a good outcome with
mental health service providers
following the law enforcement
contact. This statement defines
the instructional objective of
maximizing the time spent
conducting collaborative
cross training between
law enforcement
officers and mental
health professionals
most likely to have direct contact with individuals
in need of mental health services. Minimal time
expended on reviewing mental health knowledge
(e.g. facts, diagnostic categories, mental disorder
descriptions) in lecture-type presentations allows
instructors to spend more time on practical
applications of interpersonal communication and
intervention skills.
CURRICULUM DEVELOPMENT
Various departments of the TPD and the
mental health community designed the school’s
40-hour curriculum in the spring of 2002 over a
6-month period. Classes are limited to 20 police
officers and 5 mental health professionals. At-
tendees are divided into smaller groups composed
of four officers and one mental health profes-
sional with a TPD special operations team crisis
negotiator acting as facilitator/instructor because
of this person’s experience and expertise.
Upon completion of the school, sworn law
enforcement graduates earn department certifica-
tion as advanced mental health response (AMHR)
officers. Further, mental health professional
graduates are certified AMHR responders and
can receive continuing education credits as
well.
CURRICULUM
Day 1
The entire first day centers on the
middle section of the operational
triangle—effective interpersonal
communication skills—divided
into five segments. The first
segment reviews basic active
listening, then focuses on
more advanced verbal
concepts in the second
segment. Both are
followed by an exer-
cise requiring students
to use active listening skills, as well as the addi-
tional verbal skills, in a role-play situation where
an observer evaluates performance and provides
feedback.
The third segment concentrates on nonverbal
components of communication followed by an
exercise requiring students to deliberately add the
nonverbal component to the rapport-building
process. The relationship between autonomic (i.e.,
involuntary) nervous system arousal levels (de-
gree of physical and psychological tension) and
the ability to effectively use interpersonal com-
munication skills also is discussed. Instructors
Problem
solving
Interpersonal
communication
skills that build a
relationship
Safety

Page 17
16 / FBI Law Enforcement Bulletin
emphasize that functioning effectively from the
bottom level of the operational triangle (safety)
requires a relatively higher level of autonomic
arousal. Functioning effectively from the middle
section (interpersonal communication skills
aimed at rapport building) requires a relatively
lower level of autonomic arousal. Instructors also
examine potential safety problems inherent in
negotiators lowering their arousal levels enough
to engage in rapport building. A subsequent
exercise helps attendees review
and practice a simple relaxation
technique that leads to a de-
crease in arousal level.
Next, students receive a
lesson on understanding, appre-
ciating, and applying the idea
that power can be divided into
two subtypes: authority and
influence. In this model, au-
thority is the ability to make
things happen by force, while
influence gets its power from
the strength of a relationship.
The tactics of authority strate-
gies range from a uniform
presence to deadly force interventions. Authority
strategies generally call for functioning from the
bottom or top level of the operational triangle.
Influence strategies focus on the rapport estab-
lished with a subject and call for functioning
from the middle of the operational triangle. The
lesson concludes with a very challenging role-
play exercise requiring students to demonstrate
both authority and influence strategies in the
context of a simulated possible emergency order
of detention (EOD) call.3
Day 2
The second day consists of a field trip to a
local juvenile inpatient facility that receives
individuals taken into protective custody under an
EOD. Presentations and practical exercises are
given later on various topics, such as psychotro-
pic medications, chemical dependency, and
bipolar disorder.
Day 3
One of the most valuable experiences, accord-
ing to students, is a “virtual hallucination”4
exercise. Each group member listens to a short,
commercially produced audiotape simulating the
experience of auditory hallucinations while being
interviewed by group members. Presentations on
the medications and illnesses
commonly seen regarding
homeless individuals follow
this exercise.
Next, the Tulsa Mental
Health Association, a panel of
mental health consumers, and
their family members lead a
presentation and open panel
discussion to humanize the
school’s objectives. Following
the discussion is a presentation
of the “third criteria,” which
provides an option for EOD
subjects to be taken into protec-
tive custody if they have a history of serious
mental illness, currently demonstrate worsening
symptoms, and it is reasonably believed that
treatment will prevent a progressively more
debilitating mental impairment. Clearly, the
option proves a very positive choice in some
situations and, in others, may provide fertile
ground for disagreement between police officers,
mental health professionals, and individuals with
mental illness.
Day 4
Because mental health consumers often are
incarcerated, students tour the county jail’s
diversion program. The program seeks to appro-
priately identify and provide a basic level of care
for persons with mental illness while in the
Most of the
responsibility for
providing services to
those seriously ill or
less able to pay for
services has shifted
from one agency to
another....

Page 18
November 2003 / 17
facility. Because health professionals and police
officers have different experiences and percep-
tions regarding suicidal subjects, students also
hear a presentation on suicide prevention. Mental
health professionals often are more aware of the
passive, depressive symptoms that develop
gradually over time. In most cases, when officers
have contact with a suicidal subject, the person
likely has shifted to an angry, ambivalent, and
possibly violent state of mind, which calls for an
alert approach.
Next, attendees complete a practical exercise
to use polished interpersonal skills, combined
with information from the presentation, to inter-
vene with a suicidal subject in a role-play
scenario. Observations on safety, interpersonal
skills, and problem solving follow each scenario.
The day ends with presentations on developmen-
tal disabilities and dementia.
Day 5
On the final day, the TPD’s psychologist
presents a lecture on personality disorders
followed by a presentation and open class discus-
sion on violence and threat assessment. A final
practical exercise challenges students to apply
skills and knowledge gained throughout the
week. Nonclass member mental health profes-
sionals are recruited from the community to role-
play the parts of mental health consumers in a
Day 1
Active Listening Skills
Advanced Verbal Concepts
Nonverbal Components
Autonomic Nervous System
Arousal Levels
Interpersonal Communication
Skills
Power Subtypes
Day 2
Juvenile Inpatient Facility Tour
Psychotropic Medications
Chemical Dependency
Bipolar Disorder
Training Curriculum
Day 3
“Virtual Hallucination”
Schizophrenia
Open Panel Discussion
The “Third Criteria”
Day 4
County Jail’s Diversion Program Tour
Suicide Intervention
Developmental Disabilities
Dementia
Day 5
Personality Disorders
Violence and Threat Assessment
Role-Playing Scenario
Evaluation

Page 19
18 / FBI Law Enforcement Bulletin
variety of scenarios. Instructors provide observa-
tions and feedback to each student on safety
issues, interpersonal skills, and problem solving
throughout the course of the exercise.
Finally, all class members and crisis negotia-
tors participate in an evaluation and discussion
session. Although the school’s organizers place a
very high priority on small group practical exer-
cises, students usually feel that even more time in
future classes should be dedicated to practical
application activities. Further, one student sug-
gested that a standing commit-
tee composed of selected gradu-
ates of the school, crisis
negotiators, other appropriate
mental health professionals, and
Tulsa Police Department admin-
istrators be formed and meet
quarterly to advise on ongoing
changes in the community’s
mental health environment.
CONCLUSION
Two interwoven key factors
have contributed to the success
of the advanced mental health
response officer school. First,
the inclusion of mental health professionals as
students and instructors helps build a collabora-
tive partnership between law enforcement profes-
sionals and individuals in the mental health care
system. Equally important is the decision to place
a higher value on how to intervene with individu-
als with mental illness than on academic presen-
tations about mental health knowledge.
The small group exercises accomplish three
very important functions. First, they help students
polish their interpersonal communication skills in
the context of interacting safely and effectively
with individuals with mental illness. Second,
both a police and a mental health perspective are
present. Finally, and perhaps most important,
officers and mental health professionals are
together in a cooperative educational setting that
encourages the development of positive, personal
relationships and a genuine appreciation for the
differences and similarities in both jobs. Combin-
ing all of these factors helps ensure that law
enforcement officers receive the best possible
training to respond effectively to individuals with
mental illness.
For additional information, contact Captain
Tracie Crocker, Tulsa Police Department, at
918-596-1105 or Tcrocker@
ci.tulsa.ok.us.
Endnotes
1 For more information, visit the
Memphis, Tennessee, Police Department’s
Web site at www.memphispolice.org
2 The authors acknowledge Chief
David Been whose interest, involvement,
and insistence on excellence in officer
response to individuals in the mental
health system ensured the development
and implementation of this school. They
also acknowledge retired Tulsa, Okla-
homa, Police Officer Charles V. Miller
who served as the first special operations
crisis negotiator team leader, as an academy instructor, and as the
major influence that prepared officers to receive, and crisis
negotiators to provide, the most valuable portion of the training
that takes place in this school.
3 An EOD occurs when individuals need treatment because
they are considered a danger to themselves or others.
4 Virtual Hallucination, Janssen Pharmaceutics, April 1997,
cassette.
Agencies should
devote attention to
increasing officers’
awareness of the
essential step between
safety and problem
solving.
Dr. Gentz provides psychological counseling, consulting,
and training for Tulsa, Oklahoma, Police and Fire Depart-
ment employees.
Sergeant Goree currently is a field supervisor and the
special operations crisis negotiator team leader for the
Tulsa, Oklahoma, Police Department and formerly served
as the department’s training supervisor.

Page 20
November 2003 / 19
The Alaska State Troopers
present this law enforcement
memorial located in Anchorage,
Alaska, in front of the agency’s
Scientific Crime Detection
Laboratory. This statue was
formally dedicated on June 9,
1986, to law enforcement offi-
cers who have lost their lives in
the line of duty. It consists of a
bronze figure of a police officer,
identified on his name plate as
“A Friend,” holding a small girl
in his arms and standing on a
black marble pedestal containing
individual name plates for each
of the officers killed in Alaska
since statehood.
Nominations for The Bulletin Honors should include at least one color 5x7 or 8x10 photograph (slides also are
accepted) of a law enforcement memorial along with a short description (maximum of 200 words). Contributors
should send submissions to the Editor, FBI Law Enforcement Bulletin, FBI Academy, Madison Building, Room
209, Quantico, VA 22135.
The Alaska State
Troopers Memorial
The Bulletin Honors

Page 21
20 / FBI Law Enforcement Bulletin
ooperation between cri-
minal justice agencies
can draw on the strengths
C
of all entities involved to effec-
tively accomplish common ob-
jectives. In Richland County,
Ohio, community corrections
and community policing have
formed a partnership that has
seen enhanced corrections ef-
forts, as evidenced by a reduced
number of new crimes by con-
victed offenders under adult su-
pervision services within the
county.
Partnership and
Enhanced Supervision
Enacted on July 1, 1996,
Ohio Senate Bill 2, also known
as the “truth-in-sentencing”
law, eliminated indeterminate
sentences1 and parole in Ohio in
favor of a system of deter-
minate sentences2 and post-
release control (PRC),3 or super-
vision of an offender after the
completion of a court-ordered
sentence. This focus on PRC
challenged the criminal jus-
tice community to develop new
community-oriented corrections
programs. Richland County
formed a community corrections
board, composed of citizens and
representatives from the court
system, law enforcement agen-
cies, local government organiza-
tions, social service agencies,
and victim services, to study cur-
rent supervision and treatment
methods and criminal offender
profiles in Richland County to
determine how best to safely and
effectively supervise correc-
tional clients in the community.
Community Corrections
and Community Policing
A Perfect Match
By DAVID LEITENBERGER, PETE SEMENYNA,
and JEFFREY B. SPELMAN, Ph.D.

Page 22
November 2003 / 21
Mr. Semenyna serves as
supervisor of the Richland
County, Ohio, Adult Court
Services.
Chief Leitenberger heads the
Richland County, Ohio, Adult
Court Services.
Dr. Spelman is an assistant
professor at Ashland
University in Ashland, Ohio.
In response to this need for
enhanced community supervi-
sion standards, in 1998, officers
from the Richland County Adult
Probation Office initiated a part-
nership with officers of the
Richland County Sheriff’s De-
partment, the Mansfield Police
Department, the Mansfield
Adult Probation Department,
and the regional office of the
State Parole Authority. Interest
in community corrections and
community policing cooperation
began with the idea that collabo-
ration might compliment the
power of each office, thus in-
creasing public protection.
This new partnership made
possible the intensive supervi-
sion program (ISP), which em-
ploys electronic monitoring
bracelets that allow any police or
corrections officer equipped
with a drive-by or hand-held unit
to identify and closely monitor
offenders. This program also
uses a system of sanctions and
incentives and follows a step-
down and step-up approach (a
decrease or increase of controls,
depending on client behavior).
Not only does the ISP offer more
effective surveillance and safer
communities but it also allows
officers to identify clients that
may need treatment or other
services.
The ISP improved in 2001
with the implementation of
the first felony reentry court in
Ohio, a partnership between
Richland County and state au-
thorities. Out of this partnership
came the creation and incorpora-
tion of a single set of community
supervision standards that be-
came applicable to all persons
under adult supervision in
Richland County, whether sub-
ject to county community control
or state probation, parole (for
those sentenced prior to July 1,
1996), or postrelease control.
Under these standards, par-
ticipants must seek and maintain
employment, obey curfew, make
restitution to victims, submit to
frequent random drug and alco-
hol testing and maintain treat-
ment requirements, avoid bars
and high drug-trafficking loca-
tions, refrain from carrying cell
phones or pagers, and shun gang
or other criminal associations.
Officers enforce these conditions
through a more flexible supervi-
sion system in which they moni-
tor clients on a 24-hour-per-day,

Page 23
22 / FBI Law Enforcement Bulletin
7-day-per-week basis; have 33
percent of their contacts with cli-
ents during evenings and week-
ends; and make sufficient con-
tacts with treatment providers,
employers, and appropriate gov-
ernment agencies.
Cooperation and Success
The interaction between cor-
rections and police officers has
served the enhanced supervision
in Richland County well; their
assignments facilitate this im-
portant relationship. Community
police handle specific clients;
this contact enhances police fa-
miliarity with supervised offend-
ers and allows them to take an
active part in supervision. Like-
wise, corrections officers gener-
ally supervise offenders in the
police department zone where
they reside; consequently,
they already have considerable
knowledge of both the citizenry
and the neighborhood of their as-
signed zone. Assigning commu-
nity police and corrections offic-
ers in this way helps them to
work together effectively.
Officers from each agency
involved also meet regularly to
share information. This informa-
tion sharing has helped commu-
nity police officers to investigate
and solve crimes, to identify cli-
ents with community supervi-
sion status and unique supervi-
sion conditions, and to recognize
persons who have absconded
from community supervision.
Likewise, information sharing
assists community corrections
officers. They more quickly be-
come aware of clients and others
with outstanding arrest warrants,
local gang involvement, specific
crime problems, and criminal
associations.
The cooperation between
community corrections and
community policing has made
the partnership a success. For ex-
ample, the Richland County
Community Policing and Com-
munity Corrections Partnership
Program received the 1999
Governor’s Award of Excel-
lence of the state of Ohio. This
award honors a partnership that
has seen lower crime rates for the
citizens it serves through the ISP
and great success in its major
joint operations.
Statistics seem to support the
assertion of Richland County au-
thorities that unified supervision
programs result in lower crime
rates. Local crime statistics re-
leased by the Richland County
Sheriff’s Office for 2000 and
2001 showed a 4.5 percent re-
duction in violent and property
crime within its primary policing
jurisdiction and a 13 percent re-
duction in Madison Township,
served jointly by the Richland
MONTHLY MINIMUM SUPERVISION STANDARDS
Home Visit Office Visit Other Treatment Total Drug Tests
Intensive 3/mo.
1/mo.
1/mo. 2/mo.
6+/mo. 8+/mo. (2/week)
High
2/mo.
1/mo. 1/mo. 1/mo. 5+/mo. 4/mo. (1/week)
& 1 R/mo.
Medium 1/mo.
1/mo. 1/mo. 1/mo. 4+/mo. 1/mo. & 2 R/mo.
Note: R= random drug testing

Page 24
November 2003 / 23
County Sheriff’s Office and the
Mansfield Police Department
with a special emphasis on the
police-corrections partnership.
Data furnished by the Richland
County Court Services Depart-
ment indicated that in 2000, the
Richland County ISP case fail-
ure4 rate was 8.5 percent, well
below the 37 percent new arrest
average for a 1-year period for
ISP programs.5
Teams of community polic-
ing and community corrections
officers have conducted four ma-
jor joint operations since 1999
with great success. These four
operations and their results after
the first 3 years include Sam and
Charles Night Out, in which
joint inspections of local bars re-
sulted in the arrests of over 143
violators; Lights Out, in which
joint searches for curfew viola-
tors found over 211 persons on
probation status in violation of
curfew (these curfew violations
have since decreased); Fugitive
Surveillance, in which joint
searches for clients of the ISP,
electronic monitoring, or house
arrest programs who have ab-
sconded from supervision re-
sulted in 252 arrests; and Day
and Night Ride Along, which in-
volved a total of 2,625 joint vis-
its of client homes or places of
employment.
Future Expectations
In 2002, corrections officers
joined police officers to perform
many new community policing
initiatives. Local criminal jus-
tice administrators would like to
increase the number of partici-
pating agencies in these pro-
grams. Some examples include
bicycle patrols, park-and-walk
patrols, public speeches, and
crime prevention training. An-
other partnership initiative now
in the planning stages, a fugitive
response unit, aims to capture
specific violators who present a
high risk of violence to the
community.
Conclusion
Effectively and safely super-
vising correctional clients in the
community can prove difficult
for criminal justice agencies.
Drawing on the strengths of both
community corrections and com-
munity policing, this unique
partnership in Richland County,
Ohio, has successfully addressed
this challenge. For other locali-
ties willing to unite corrections
and police officers in this regard,
such cooperation can help pro-
vide effective offender supervi-
sion and a lower crime rate in
their communities.
Endnotes
1 In an indeterminate sentencing
system, a judge sets a minimum and a
maximum amount of time for an offender
to serve; the exact length of the sentence is
largely dependent on parole.
2 In a determinate sentencing system, a
judge sets a fixed sentence prescribed by
law.
3 Postrelease control is mandatory or
discretionary, depending on the type of
offense or felony level.
4 Offender arrests or violations of
supervision rules.
5 Joan Petersilia and Susan Turner,
U.S. Department of Justice, National
Institute of Justice, Evaluating Intensive
Supervision Probation/Parole: Results of
a Nationwide Experiment (NCJ 141637)
(Washington, DC, 1993), 5.
...cooperation began
with the idea that
collaboration
might compliment
the power of each
office....
Richland County also wants
to expand its partnership and
operations into neighboring cit-
ies and counties. For example,
officers have teamed up with
Ashland County’s police, mu-
nicipal court probation, and
state officers to help identify pro-
bationers and parolees from
Richland County who have been
patronizing Ashland County bars
to avoid detection by authorities.

Page 25
24 / FBI Law Enforcement Bulletin
Bulletin Reports
The Office of Community Oriented Policing Services (COPS) presents
An Evaluation of the COPS Office Methamphetamine Initiative, a COPS-
funded study conducted by the Institute for Law and Justice and 21st
Century Solutions that evaluates COPS’ first six methamphetamine
grants. The COPS office provided funding to agencies in six cities (Phoe-
nix, AZ; Salt Lake City, UT; Dallas, TX; Oklahoma City, OK; Little
Rock, AR; and Minneapolis, MN) to combat the production, distribution,
and use of methamphetamines. These grants encouraged law enforcement
agencies to respond to methamphetamine problems with advanced tech-
nologies and creative problem-solving strategies. This evaluation focuses
on the histories of the methamphetamine problems in these cities and
includes detailed process evaluations of each grant’s implementation. This
report provides insight into the ways in which these agencies responded to
their methamphetamine
problems and should be
of great interest to those
dealing with similar drug
problems in their jurisdic-
tions. This publication is
only available electroni-
cally at http://www.cops.
usdoj.gov/default.asp?
Open=True&Item=848.
Drugs
When Your Child Is Missing: A Family Survival Guide
provides parents with helpful insights into what families
should do when a child is missing. This Office of Juvenile
Justice and Delinquency Prevention (OJJDP) guide was
written by parents and family members who have experi-
enced the disappearance of a child. It contains their advice
about what to expect when a child is missing, what needs to
be done, and where to go for help. It also explains the roles
that various agencies and organizations play in the search for
a missing child. This guide is available from the National
Criminal Justice Reference Service at 800-851-3420 and can
be accessed electronically at http://ojjdp.ncjrs.org/pubs/
missingsum.html#170022.
Victims
Bulletin Reports is an edited collection of criminal justice studies, reports, and
project findings. Send your material for consideration to: FBI Law Enforcement
Bulletin, Room 209, Madison Building, FBI Academy, Quantico, VA 22135. (NOTE:
The material in this section is intended to be strictly an information source and
should not be considered an endorsement by the FBI for any product or service.)

Page 26
November 2003 / 25
aw enforcement agen-
cies go to great lengths
to ensure that they hire
with their positions of trust. A
single lie can taint an officer’s
credibility forever and render
the officer virtually useless as
a courtroom witness. An ex-
ample is the recent release of
several convicted defendants in a
sweeping drug investigation in
Tulia, Texas. Texas Judge Ron
Chapman concluded that the
investigator involved in the
case had “falsified reports, mis-
represented the nature and extent
of his investigative work, and
misidentified various defendants
during his investigation.”1 As a
result, all 38 convictions in the
case likely will be vacated. It is
hard to imagine the officer in-
volved ever testifying as a pros-
ecution witness again after this
finding.
The reason officers with
credibility problems lose their
viability as witnesses is based on
the constitutional principle that
every criminal defendant in this
country is entitled to a fair trial.2
The notion of due process, or
fundamental fairness, is a basic
right guaranteed by the Fifth and
Fourteenth Amendments of the
Constitution.3 This article exam-
ines how the due process clause
L
individuals of good character
and with backgrounds contain-
ing no, or minimal, negative in-
formation. In this regard, police
employers are no different from
other employers: they hope to
hire people who will present the
fewest personnel issues with
which to deal. However, law en-
forcement employers have an-
other important reason to screen
potential hires, and to ensure that
their employees conduct them-
selves in a manner consistent
The Discovery Process
and Personnel File
Information
By RICHARD G. SCHOTT, J.D.
Legal Digest
© Image Club Graphics

Page 27
26 / FBI Law Enforcement Bulletin
impacts the judicial discovery
process and adversely affects
police officers with credibility
problems.
The Discovery
Process in General
The goal of the American
criminal justice system is to al-
low the truth to prevail. One way
that courts endeavor to find the
truth is through pretrial discov-
ery. During discovery, the pros-
ecution and defense disclose to
each other certain evidence they
intend to use at trial. With such
disclosure, the parties can
prepare in advance to test that
evidence through cross-exami-
nation or expert testimony, en-
suring that the judge or jury hears
all sides of the case before they
decide guilt or innocence.
Avoiding trial by surprise is a
surer route to the truth.
Although “there is no
general constitutional right to
discovery in a criminal case,”4
criminal procedure rules dictate
the type of information that must
be shared by the adversaries in
any criminal proceeding. For ex-
ample, Rule 16 of the Federal
Rules of Criminal Procedure
outlines what material the gov-
ernment shall provide to the de-
fense and, likewise, what mate-
rial the defense shall provide to
the government.5 However, the
Federal Rules of Criminal Proce-
dure and the Federal Rules of
Evidence6 are silent regarding
information relating to the cred-
ibility of witnesses, including
law enforcement witnesses. This
is where the notion of “funda-
mental fairness,” or due pro-
cess,7 comes into play.
From Napue to Brady
In 1959, the U.S. Supreme
Court decided the case of Napue
v. Illinois.8 In the case, a witness
falsely testified at trial that he
had received no consideration in
return for his testimony. In fact,
he had received consideration
from the state, but the prosecutor
did nothing at trial to correct the
falsehood. Napue was convicted
of murder, but appealed his con-
viction when he discovered the
false testimony. Not surpris-
ingly, the Supreme Court de-
cided that the government’s use
false evidence at trial of violated
the due process clause of the
Fourteenth Amendment. It did
not matter to the Court that the
falsehood related only to the
credibility of the government’s
witness. The Court emphasized
that the “truthfulness and reli-
ability of a given witness may
well be determinative of guilt or
innocence, and it is upon such
subtle factors as the possible
interest of the witness in testify-
ing falsely that a defendant’s
life or liberty may depend.”9
This recognition of the impor-
tance of witness credibility set
the stage for a series of Supreme
Court decisions regarding the
government’s obligations con-
cerning witness credibility dur-
ing discovery.
In 1963, the U.S. Supreme
Court decided that constitutional
due process guarantees the ac-
cused the right to discover
exculpatory evidence in the
possession of the government.
Exculpatory evidence is any evi-
dence that is favorable to the
accused and material to either
guilt or punishment. In Brady v.
Special Agent Schott is a legal instructor at the FBI Academy.
...constitutional due
process guarantees
the accused the right
to discover
exculpatory evidence
in the possession of
the government.

Page 28
November 2003 / 27
Maryland,10 John Brady was
convicted of first-degree murder
and sentenced to death. Brady
testified at his trial about his par-
ticipation in the crime, but stated
that his companion was the ac-
tual murderer. Before trial,
Brady requested statements pro-
vided to the government by the
companion. The government de-
livered some statements, but
failed to provide the statement
in which the second individual
admitted actually killing the
victim.
Brady learned of the exist-
ence of this statement after he
was convicted and sentenced to
death. The Supreme Court de-
cided that Brady’s conviction
should stand, but that he was en-
titled to present his accomplice’s
statement in an effort to avoid
the death sentence. The court
found that “suppression [of
evidence] by the prosecu-
tion...violates due process where
the evidence is material either to
guilt or to punishment....”11 The
well-known obligation of the
government to provide the de-
fense with exculpatory evidence,
or “Brady material,” came from
this landmark decision.
Extending Brady to
Impeachment Material:
Giglio and Henthorn
As noted previously, the Su-
preme Court recognized in the
Napue case that guilt or inno-
cence of an accused may turn on
the credibility of witnesses at
their trial. Given the importance
of witness credibility, it was a
short step for the Supreme Court
to take to decide that due process
requires the government to dis-
close to a defendant information
regarding witness credibility
prior to trial. The Court took that
short step in Giglio v. United
States.12
information regarding the earlier
promise should have been re-
vealed to the defense.14
The Brady-Giglio require-
ment that the government dis-
close to the defense any informa-
tion regarding the credibility of
witnesses obviously extends to
police officers called by the gov-
ernment to testify. What type of
information contained in person-
nel files of law enforcement of-
ficers is required to be released
to the defense pursuant to Brady-
Giglio and the due process
requirement of fundamental
fairness?
The Ninth Circuit Court of
Appeals confronted this issue in
United States v. Henthorn.15
Donald Gene Henthorn was con-
victed of conspiring to import
and possess cocaine with intent
to distribute and for travel in in-
terstate and foreign commerce in
aid of racketeering enterprises.
Prior to his trial, Henthorn’s at-
torney asked the prosecution “to
produce the personnel files of
all law enforcement witnesses
whom it intends to call at the
trial...for evidence of perjurious
conduct or other like dishonesty,
in camera, to determine if those
portions of the officers’ person-
nel files ought to be made avail-
able to the defense counsel for
impeachment purposes.”16 The
government objected, saying “it
had no obligation to examine the
personnel files absent a showing
by the defendant that they con-
tained information material to
In Giglio, the assistant U.S.
attorney (AUSA) who presented
the case to the grand jury made
a promise of leniency to a key
witness. The prosecuting AUSA
was unaware of the promise.
The witness testified at trial that
he had not received anything
(including the promise of le-
niency) for his testimony. After
being convicted, Giglio ap-
pealed, arguing that the promise
to the witness should have been
revealed to the jury for their con-
sideration of his credibility.
Based on its decision in Napue,13
the Supreme Court found that the
Upon receipt of this
information, the
prosecutor must
decide whether
disclosure is required,
or should be reviewed
by the presiding judge.

Page 29
28 / FBI Law Enforcement Bulletin
his defense.”17 The district court
denied Henthorn’s request be-
cause he had not identified spe-
cific wrongdoing on the part of
the law enforcement witnesses.
The Ninth Circuit Court of
Appeals reversed the district
court decision and remanded the
case. The appellate court found
the government to be “incorrect
in its assertion that it is the
defendant’s burden to make an
initial showing of materiality.
The obligation to examine the
files arises by virtue of the
making of a demand for their
production.”18
It should be noted that the
initial request for records does
not obligate the government to
turn over information contained
in law enforcement witness per-
sonnel files. Rather, the request
merely obligates the government
to review the files. The files, or
information contained therein,
“need not be furnished to the
defendant or the court unless
they contain information that
is or may be material to the
defendant’s case.”19 Ironically,
following remand to the district
court, it was determined that the
files contained nothing bearing
on Henthorn’s case. In fact, they
contained numerous commenda-
tions, but nothing indicating dis-
honesty or perjurious conduct.20
In light of Henthorn, many
prosecutors and law enforcement
agencies implemented proce-
dures to ensure compliance with
the notion of fundamental fair-
ness required by due process. For
example, in 1996, the attorney
general issued a U.S. Depart-
ment of Justice (DOJ) policy re-
garding the disclosure of poten-
tial impeachment material for all
DOJ investigative agencies. The
policy obligated each investiga-
tive agency employee to inform
prosecutors of potential im-
peachment material as early as
possible prior to providing a
fulfilled.21 It is then incumbent
upon the government attorney to
determine whether the informa-
tion should be provided to the
defense or reviewed by the judge
presiding over the matter to
make that determination.
Because the parameters of
potential impeachment informa-
tion are not easily identifiable,
the DOJ policy gives concrete
guidance regarding the type of
information that investigative
agencies must provide to pros-
ecutors. The following must be
disclosed:
• substantiated allegations—
any finding of misconduct
demonstrating bias or lack
of candor or truthfulness;
• pending investigations or
allegations—any credible
allegation of misconduct
that reflects upon the truth-
fulness or possible bias of
the employee who is the
subject of a pending
investigation;
• criminal charges—any past
or pending criminal charge
against the employee; and
• allegations that are unsub-
stantiated, not credible, or
have resulted in exonera-
tion—when the allegations
(unsubstantiated, not cred-
ible, or which resulted in
exoneration) can be said
to go to the truthfulness of
the employee, even they
must be revealed to the
prosecutor under certain
circumstances.
sworn statement or testimony in
any criminal investigation or
case. Putting this obligation on
the investigative agency em-
ployee relieves government
prosecutors from searching for
such material. It does not, how-
ever, change the fact that locat-
ing and producing material
evidence contained in a law en-
forcement witness’ personnel
file is the obligation of the entire
government prosecution team.
When the investigative agency
employee notifies the prosecutor
of potentially incriminating
material, his duty has been
© Corbis

Page 30
November 2003 / 29
Upon receipt of this informa-
tion, the prosecutor must decide
whether disclosure is required or
should be reviewed by the pre-
siding judge.
Limitations
on Discovery
Naturally, judges or jurors
who consider the testimony of
witnesses should be aware of is-
sues affecting credibility. There
are, however, limits on what de-
fendants (and subsequent triers-
of-fact) are entitled to learn
about law enforcement wit-
nesses, notwithstanding the fact
that the information relates to the
witnesses’ veracity.
Even when information ex-
ists that clearly could be consid-
ered Brady material, due process
may not require its disclosure.
For example, in Pennsylvania v.
Ritchie,22 the U.S. Supreme
Court stated that “[e]vidence is
material only if there is a reason-
able probability that had the
evidence been disclosed to the
defense, the result of the pro-
ceeding would have been differ-
ent. A ‘reasonable probability’ is
a probability sufficient to under-
mine confidence in the out-
come.”23 Determining this mate-
riality is vital because, as the
Court reiterated in Ritchie, “the
government has the obligation to
turn over evidence in its posses-
sion that is both favorable to the
accused and material to guilt or
punishment.”24 Of course, the
difficult question is determining
what information is reasonably
probable to change the result of a
proceeding. In fact, after the pre-
ceding discussion in the Ritchie
case, the Supreme Court ruled
that Ritchie was entitled to a re-
mand so that the file in question
could be “reviewed by the trial
court to determine whether it
contain[ed] information that
probably would have changed
the outcome of his trial.”25 This
with the time element involved.
The Ninth Circuit Court of Ap-
peals has examined when im-
peachment material becomes
stale. In Harrison v. Lockyer,27
Jewel Harrison was charged with
attempted armed robbery, pos-
session of a firearm by a felon,
assault with a firearm, and dis-
charging a firearm at an occupied
motor vehicle. Harrison sought
discovery of police department
records for impeachment infor-
mation regarding his arresting
officer, including records of
complaints involving events oc-
curring more than 5 years before
the incident at issue, and all
documents in another officer’s
personnel file.28
Relying on California evi-
dentiary statutes,29 the trial court
denied discovery of records pre-
dating the incident by more than
5 years. Harrison appealed, con-
tending that the 5-year cutoff
violated his due process rights to
a fair trial. Based on a decision of
the California Supreme Court
from an analogous case ques-
tioning the constitutionality of
the 5-year cutoff,30 the Ninth
Circuit Court of Appeals held
that “despite the statutory cut-
off, citizen complaints against
officers are subject to disclosure
if they are ‘exculpatory.’”31
The statutory 5-year cutoff,
however, was not deemed
unconstitutional.
While examining the statute
at issue in the state case,32
the California Supreme Court
difficulty in determining just
what is “material to guilt or pun-
ishment” has caused many inves-
tigative agencies to err on the
side of caution and at least
provide potentially material in-
formation to prosecutors so that
they (and possibly the judge in
camera) can make the final deci-
sion as to dissemination.26
Another factor affecting
whether potential Brady material
concerning a law enforcement
witness is discoverable has to do
...locating and
producing material
evidence contained in
a law enforcement
witness’ personnel file
is the obligation of the
entire government
prosecution team.

Page 31
30 / FBI Law Enforcement Bulletin
addressed whether the prosecu-
tion has an obligation to retain
evidence (including impeach-
ment material in an officer’s per-
sonnel file) for an indefinite pe-
riod of time. Citing the fact that
“[m]any if not most law enforce-
ment agencies have a policy of
routinely destroying citizen
complaints after 5 years,”33 the
court held that “[a] law enforce-
ment agency’s destruction of a
citizen’s complaint violates a
defendant’s right to due process
only when the complaint’s ex-
culpatory value to a particular
criminal case is readily apparent
before its destruction.”34 In al-
lowing the destruction of 5-year-
old records except in the “readily
apparent” situation, the Califor-
nia Supreme Court acknowl-
edged that “after 5 years a
citizen’s complaint of officer
misconduct has lost considerable
relevance.”35 Law enforcement
agencies should consider these
issues of timeliness and materi-
ality when deciding what, if
any, information to purge from
employee personnel files.
Ramifications
of Nondisclosure
The Supreme Court relied on
the constitutional provision
of due process in rendering
its Brady decision. If the require-
ment of disclosing information
material to a defendant’s guilt
or innocence, or his sentencing,
is violated, the government
has violated that defendant’s
Brady when they turn exculpa-
tory and impeachment evidence
over to the prosecutor.”37 Be-
cause this type of information
had not been provided to the
prosecutor in the case, the three
individuals were not entitled to
qualified immunity. Rather, the
relevant case law “clearly estab-
lished that an accused’s due pro-
cess rights are violated when the
police conceal exculpatory or
impeachment evidence.”38 When
officers intentionally withhold
Brady material from the pros-
ecutors with whom they work,
they are clearly subjecting them-
selves to personal liability for
violating a defendant’s constitu-
tional rights to due process.
Related Issues Concerning
Release of Personnel
File Information
A defense attorney in a re-
cent drug conspiracy case made
an interesting request for infor-
mation. In Kallstrom v. City of
Columbus,39 a group of under-
cover police officers involved in
a federal investigation of a vio-
lent gang in Columbus, Ohio,
objected to the release of per-
sonal information contained in
their departmental personnel
files. Unfortunately, by the time
of their suit against the city of
Columbus, the information had
been released to the attorney.
Consequently, the officers
sought compensatory damages
and an injunction to prevent
further dissemination of their
constitutional right to a fair trial.
The denial may result in a con-
viction being overturned, a sen-
tence being vacated, the prosecu-
tion having to conduct a second
costly and time-consuming trial,
or the decision to pursue a differ-
ent remedy against the aggrieved
defendant. The constitutional
violation also may have severe
consequences for the law en-
forcement officer who intention-
ally withholds Brady material.
In McMillian v. Johnson,36
Walter McMillian sued the sher-
iff, an investigator for the district
attorney, and an Alabama Bu-
reau of Investigation agent for,
among other allegations, with-
holding exculpatory and im-
peachment evidence during his
murder trial. In deciding whether
the law enforcement officials
were entitled to qualified immu-
nity from the lawsuit for a consti-
tutional violation, the Eleventh
Circuit Court of Appeals recog-
nized that “[i]nvestigators sat-
isfy their obligations under
© Adobe Image Library

Page 32
November 2003 / 31
personal information. It should
be noted that the attorney who
received the information from
the city did so pursuant to a re-
quest under the Ohio Public
Records Act,40 not as part of the
discovery process involved in
the criminal trial. Nevertheless,
the officers claimed that the city
of Columbus violated their rights
to privacy as guaranteed by the
Fourteenth Amendment of the
Constitution.
The Sixth Circuit Court of
Appeals, while refusing to pro-
vide the officers with a “blanket
prohibition against the future re-
lease of information contained in
their personnel files,”41 did rule
that a party could avoid disclo-
sure of highly personal informa-
tion if releasing the requested
private information would place
“an individual at substantial risk
of serious bodily harm, possibly
even death, from a perceived
likely threat,”42 and the court de-
termines that the individual’s
privacy interest outweighs the
public’s need for disclosure.43
Clearly, the requirements of
Brady and due process do not
require the release of highly per-
sonal, nonmaterial information
relating to police officers.
Conclusion
Law enforcement officers
take an oath to support the
U.S. Constitution.44 If an officer
fails to provide information fa-
vorable to a criminal defen-
dant—regarding either guilt
or sentencing—that officer has
violated the defendant’s right to
due process. Information reflect-
ing upon the credibility of a gov-
ernment witness is information
that a defendant is entitled to
have his trier-of-fact (whether
judge or jury) consider. This rule
applies when the government
witness is a law enforcement
officer. Officers who intention-
ally withhold information that
that the person is not a viable
witness would be both frustrat-
ing and costly. It is equally im-
portant to provide training to
current employees so that they
understand the potentially far-
reaching ramifications of a bad
decision that affects their cred-
ibility. That single mistake in
judgment will affect them for
their entire law enforcement
career.
Endnotes
1 Lee Hockstader, “For Tulia, ‘It Feels
So Good’: Texas Inmates Freed After Four
Years in Prison on Suspect Charges,” The
Washington Post, June 17, 2003, p. A1.
2 U.S. CONST. amend. VI ensures that
“In all criminal prosecutions, the accused
shall enjoy the right to a speedy and public
trial, by an impartial jury....”
3 U.S. CONST. amend. V, which
pertains to the federal government,
prohibits the deprivation of life, liberty, or
property without due process of law. U.S.
CONST. amend. XIV provides, “...nor
shall any State deprive any person of life,
liberty, or property, without due process of
law.”
4 Weatherford v. Bursey, 429 U.S. 545,
559 (1977).
5 All states have rules dictating their
discovery process similar to those found in
the federal system.
6 Rule 402 of the Federal Rules of
Evidence provides that “[a]ll relevant
evidence is admissible,” while “[e]vidence
which is not relevant is not admissible.
7 Supra note 3.
8 360 U.S. 264 (1959).
9 360 U.S. at 269.
10 373 U.S. 83 (1963).
11 Id. at 87 (emphasis added).
12 405 U.S. 150 (1972).
13 Supra note 8.
14 405 U.S. at 155.
15 931 F.2d 29 (9th Cir. 1991), cert.
denied, 503 U.S. 972 (1992).
16 Id. at 30.
A single lie can
taint that officer’s
credibility forever and
render the officer
virtually useless as a
courtroom witness.
affects their credibility deprive
defendants of their constitutional
right to due process. No matter
how destructive to the prosecu-
tion, or personally embarrassing
the information may be, it must
be disclosed at least to the gov-
ernment prosecutor. Only then
can the prosecutor determine
whether the information should
be disseminated to the defense or
reviewed by a judge in camera
for making that determination.
Clearly, law enforcement
agencies are justified in going to
great lengths when they conduct
extensive background checks on
prospective employees. Hiring
someone only to discover later

Page 33
32 / FBI Law Enforcement Bulletin
17 Id.
18 Id. at 31.
19 Id.
20 United States v. Henthorn, 985 F.2d
575 (9th Cir. 1992) (unpublished opinion).
21 See, e.g., McMillian v. Johnson, 88
F.3d 1554 (11th Cir. 1996), cert. denied,
521 U.S. 1121 (1997).
22 480 U.S. 39 (1987).
23 Id. at 57, citing United States v.
Bagley, 473 U.S. at 682 (opinion of
Blackmun, J.).
24 Id. at 57 (emphasis added).
25 Id. at 58.
26 See, e.g., the DOJ’s policy discussed
in this article regarding the sharing with
government prosecutors of potential
impeachment information.
27 316 F.3d 1063 (9th Cir. 2003).
Law enforcement officers of other than
federal jurisdiction who are interested
in this article should consult their legal
advisors. Some police procedures
ruled permissible under federal
constitutional law are of questionable
legality under state law or are not
permitted at all.
28 Id. at 1065.
29 Cal. Evid. Code Sects. 1043 and
1045.
30 City of Los Angeles v. Superior
Court, 52 P.3d 129 (Cal. 2002).
31 Supra note 27 at 1066.
32 Supra note 30.
33 Supra note 30 at 135 (citing People
v. Jackson, 920 P.2d 1254 fn. 10 (Cal.
1996)).
34 Supra at 135-136 (citing California
v. Trombetta, 467 U.S. 479, 488 (1984)).
35 Supra at 135.
36 Supra note 21.
37 88 F.3d at 1567.
38 Id. at 1569.
39 136 F.3d 1055 (6th Cir. 1998), on
remand, 165 F. Supp. 2d 686 (S.D. Ohio
2001).
40 Ohio Rev. Code Section 149.43. The
Ohio General Assembly subsequently
amended this law to limit access to peace
officer records. The amendments took
effect in December 1999.
41 136 F.3d at 1067.
42 Id. at 1064.
43 Id. at 1064-1065.
44 U.S. CONST. art. VI.
Crime Data
n the year 2002, 147 law enforcement officers across the nation were killed in the line of
duty, well below the decade-long average of 165 deaths annually and a major drop from
Law Enforcement Fatalities, 2002
I
2001, when 230 officers were killed (including 72 officers in the September 11 attacks).
According to preliminary figures released by the National Law Enforcement Officers
Memorial Fund (NLEOMF) and the Concerns of Police Survivors (COPS), the states that
suffered the most fatalities were Texas (15), South Carolina (9), California (8), North Caro-
lina (7), Maryland (6), New York (6), Arizona (5), Florida (5), Illinois (5), and Missouri (5).
The figures also include 10 federal law enforcement fatalities.
Of the 147 officers killed during 2002, 55 were shot to death, 44 died in automobile
accidents, 14 were struck by automobiles while on duty outside their vehicles, 8 succumbed
to job-related illnesses, 7 died in motorcycle accidents, 7 were killed in aircraft accidents, 3
drowned, 2 were struck by a train, 2 were beaten to death, 2 were stabbed to death, 1 was
killed in a bomb-related incident, 1 was killed by a falling object, and 1 was killed in an
accident involving a horse. Fourteen of the officers were women, which tied the record high
total set in 1998 for female officer deaths.
Additional information is available through the NLEOMF Web site at http://www.nleomf.
com/media.

Page 34
The Bulletin Notes
Law enforcement officers are challenged daily in the performance of their duties; they face each
challenge freely and unselfishly while answering the call to duty. In certain instances, their actions
warrant special attention from their respective departments. The Bulletin also wants to recognize
those situations that transcend the normal rigors of the law enforcement profession.
Sergeant Baker
Deputy Nettles
Responding to a call of
alleged trespassers and a strong
odor of propane gas in a vacant
house, Sergeant Sam Baker and
Deputies James Nettles and
Jaime Swetich of the White Pine
County, Nevada, Sheriff’s Office
arrived at the house. The indi-
vidual who reported the informa-
tion advised that he had turned
off the propane gas, but when
returning from calling the sheriff’s office, someone had turned the gas on again. After the
deputies shut off the gas, a cursory search of the house located two men huddled in the base-
ment. The young men were not breathing but still had light pulses. The young men were taken
outside where their breathing returned to normal before other emergency personnel arrived. It
was determined that the two young men were intent on committing suicide, but the quick and
decisive actions of Sergeant Baker and Deputies Nettles and Swetich saved their lives.
Deputy Swetich
Officer Tuckman
Early one morning, while refueling his vehicle, Officer Earl Tuckman
of the Kenilworth, Illinois, Police Department witnessed smoke billow-
ing from a nearby home. Officer Tuckman rushed to the burning estab-
lishment and was able to wake up the sleeping mother, father, and three
children. Once making sure the family was safe from the fire, Officer
Tuckman helped the family secure lodging for the evening and remove
personal effects from the home. Officer Tuckman’s courage and compas-
sion helped save the lives of an entire family and helped them cope with
their tragedy.

Page 35
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