CHAPTER 3
THE CONCEPT OF SURVEILLANCE IS ONE of the oldest of all civilizations. Numerous Biblical accounts tell of the use of surveillance, sometimes to help the community and at other times for the benefit of an individual. In 2nd Samuel, there is the story of David watching Bathsheba, the wife of Uriah, and planning on how to steal her from her husband. By contrast, Numbers 13: 17–20, provides guidance on the work to be performed in surveillance. They were instructed to collect information and the terrain, the local population, the quality of the soil, and whether or not it supports trees. This is the vital information that would enable leaders to determine the vulnerabilities of an adversary and how to exploit those weaknesses. This is consistent with the instructions given to modern spies and supports assessments needed for decision making.
As was seen in the book of Numbers, spies are supposed to collect information. However, history shows that they can also spread false information to mislead their enemies. In his book The Enemy Within: A History of Espionage, Terry Crowdy writes that the earliest surviving record of surveillance and espionage dates back to 1274 BC when the Pharaoh Rameses was at war with the Hittites and sent operatives pretending to be deserters from the Pharaoh’s army. The Hittite king sent two spies to the Egyptians with instructions to convince the pharaoh that their army was too far away to pose a threat. Rameses was convinced and sent a small contingent of his forces into the field. As they encountered a large Hittite army much closer to their position than they expected, Rameses’ force was overwhelmed.
Histories of the American Civil War focus on the role of cavalry surveillance units that were supposed to observe but not engage enemy forces. This is consistent with the traditional view that surveillance is an information collection tool. The starting point is the clarification of key points in an operation. The clandestine activity, including a surveillance mission, will be authorized by a specific organization which will be designated as the sponsor. This might be broadly stated as a government itself or, being more specific, a particular agency of the government. Most of the activities considered in this book are conducted by the Central Intelligence Agency.
When dispatched by a governmental agency, the surveillance operation will concentrate on a specific nation, region, or a person. These entities against which clandestine activities are directed will be identified as the targets.
An entity will be designated as a target if it is seen as a threat to national security. If an organization, group, or installation is seen as a threat to national security, it will be designated as the operational target. This goes for an important foreign national who could undermine our national security. He would be regarded as a threat target. An individual who is has great influence over an operational target is designated as an “actively involved personality.” Influence can be determined from the individual’s rank or his participation in fund-raising or recruitment. Should an individual’s participation be limited to open, legal mass activities rather than underground activities, he will be viewed as a “nominally involved personality.”
When the sponsor indicates the requirements for this activity, a mission analysis must be conducted. The first step is to determine if the team has the capabilities required for the mission. Next, the collection tasks must be identified in terms of those which are explicit as well as those that are implied. If the operation is to take place in a distant region, relevant transportation capability is an implied task, for example. A third step is to conduct a search through existing data bases to be sure that these tasks have not already been accomplished at another time by another team. If, after an examination of the intelligence collection requirements, it is clear that that information has not been collected previously, then it will be time to perform a target analysis. This will involve a categorization of the location of the objective and the difficulties associated with penetrating the facility that contains necessary information.
There are several important aspects of surveillance that must be explained. As we’ll discuss, a distinction must be made between the concepts of close surveillance and loose surveillance. The former refers to continuous observations of a target. Even if the surveillants are detected by their target, the observation is not stopped. By contrast, loose surveillance is not continuous and may be stopped if the subject becomes aware of the surveillance team.
If the target is not expected to move, the most useful technique is fixed surveillance. This option is one that does not require more than one surveillant. Ground surveillance is utilized when there might be a particular route that needs to be monitored. For example, if there is a bridge that might be used as a dead drop for enemy agents, ground surveillance would focus on that particular location while waiting for something to happen.
Another concept is that of foot surveillance. This type of surveillance is not likely to be detected unless the surveillant wants to be seen or is just poorly trained. One category of foot surveillance, generally used when the target is stationary, is one-man surveillance. While watching in this setting, the surveillant not only observes a target but he also endeavors to collect information related to the target or his place as part of a larger operation. If two men are employed when the target is moving, one surveillant should be behind the target while the second surveillant observes from across the street or at a distance. The best option in foot surveillance is utilization of a three-man team. Surveillants one and two are behind the target while surveillant three in across the street and slightly to the rear of the target. If the target makes a turn onto another street, surveillance one continues in the same direction while surveillant two will turn to follow the target. Surveillant three will then replace surveillant two and resume the observation.
A simple but effective variation on this procedure is known as leapfrog surveillance. This is useful for preventing detection by the target since the surveillants rotate their positions so the target is unlikely to recognize a surveillant because he sees him too often.
If the target is someone who has a regular routine, leaves home at the same time to go to his office, and returns home at the same time each day, progressive surveillance is an appropriate technique. This is something that can be done on a daily basis for as long as the target sticks to a routine.
Vehicular surveillance can normally use anywhere from one to four vehicles. If only one vehicle is available for this operation, the surveillant will follow the car in which is target is traveling and must determine the safest distance to assume behind the target vehicle. If the target is moving in an urban area in which streets are straight and parallel, two-vehicle surveillance can be employed. Vehicle one is behind the target vehicle while surveillance vehicle two is on a street that is parallel to the one used by the target and surveillance vehicle one. The most effective technique for urban areas is four-vehicle surveillance in which vehicle one is in front of the target and vehicle two is behind him. Vehicle three is on a parallel street to the right while vehicle four travels on a parallel street to the left. The target is effectively boxed in by this technique.
If the objective is broader and focused on an area, the appropriate type of observation is known as reconnaissance. This is a form of surveillance but is different from the traditional notion of surveillance. The goal of a reconnaissance team is activities and resources of an adversary while collecting information about a specific area. This information would include geographic aspects of the area and anything that would affect future operations.
When future clandestine operations are being considered, the reconnaissance process will be described as casing. This is a relatively casual observation of an area that might be selected for an operation. When the Americans and British were considering the construction of a tunnel into the Soviet sector of Berlin, they had to study the neighborhood in which the tunnel would start. Their casing of this area meant observations about the sort of people in that remote part of the Western sector of Berlin, their activities and behavior, the nature of the soil, and the extent to which the location could be seen by East German sentries. Prior to starting the project in Berlin, the CIA practiced by digging a similar tunnel in 
where the soil was similar to that of Berlin. Three decades later, when the CIA was studying how to gain access to cables linking the Soviet Ministry of Defense with a research institute in a closed Moscow suburb, CIA operatives spent two years casing the area and photographing a likely penetration point. In performing work such as this, maps are useful but the best technique is to send an individual who will be working on the operation.
Photography is a vital part of most surveillance operations. When the American, British, and French military liaison teams were working in the Soviet zone of Germany in the 1950s, their leadership would not accept mission reports that were not accompanied by relevant photographs. This was a time when drawings—once viewed as proof of a siting—were being phased out of reports because of the increasing availability of effective cameras that could be used in surveillance operations.
For intelligence operations, there are several types of photographs that are needed. Technical photographs are especially important because a verbal account of a complex instrument would be of limited value. Getting photographs of technical plans is an important objective for any intelligence operation. There is also a great need for photographs of individuals that are high value targets for an intelligence or military organization. In the second Gulf War, photographs of individuals sought by coalition military authorities were placed on playing cards distributed to all military personnel. A clear photograph should show the head and highlight key facial characteristics. If the photo is posed, the camera should be six feet away from the subject. While post-World War II photographic technology was less advanced, “wanted posters” were prominently displayed so people could recognize the war criminals who were objects of Allied searches.
In a broad sense, effective photographic methods are needed to provide documentation about actions taking place in the field. Special methods, such as long-range photography, have been developed to enhance this aspect of intelligence work. Innovations that improve photography in a dark environment have contributed to these operations. Regular photography has been supplemented by video technology while digital photography has led to the creation of cameras with an enhanced storage capacity.
A goal of surveillance is usually the visual acquisition of information. However, information can also be acquired by simply listening to what people say. With this, the operative can gain information through subterfuge, so the target has no idea he is providing useful information to a surveillance team member. This is an indirect process that begins with a casual conversation in which the surveillant establishes rapport. The setting for such an endeavor is important. If the operative is able to encounter a subject in a bar, that represents a good environment. Buying drinks for the target is a good way to establish rapport and get him to speak more freely. The reduction of inhibitions can facilitate indiscreet talk in such a setting.
Sports, weather, or jokes might be the starting point for undertaking this kind of verbal surveillance. At this stage, the operative might act as if he is an expert on all things, somewhat like the bombastic character Cliff Clavin on the popular comedy Cheers. His know-it-all manner could prompt the target to counter with accurate information simply to put the know-it-all person in his place.
Another possible approach is to flatter the target by implying that his opinion on all matters is important. While you begin with a non-relevant subject you can eventually draw the conversation into an area that is consistent with your surveillance interests. Such flattery may encourage the target to speak more freely since he sees you as an admirer. A contrary strategy is to adopt the position of a cynic who disputes everything he hears. The surveillant’s hope is that this might prompt his target to elaborate on his observations as a way of defending his ideas.
You might also spark the subject’s enthusiasm by appearing to lose interest in what he has to say. Sometimes, if the operative seems disinterested, the subject may respond with more information. Or, if the operative remarks that nobody is able to understand that particular topic, the subject might try to demonstrate that he does understand.
One key to successful verbal surveillance is to identify the correct verbal device or phrases that will direct the conversation. By listening carefully to a potential source, you can identify the probes that might be effective. A general question to clarify a point the target might have made could be useful. You indicate your agreement to whatever point he made but ask him to clarify some aspect of his statement. If your source makes a statement that is vague or incomplete, you might indicate that as a non-specialist the concept is beyond your intellectual grasp. Therefore, you can ask for another explanation to help you.
If none of these techniques have worked for an operative, he may decide to become more confrontational. He might point out that there is a contradiction in which the subject said and ask him to resolve this matter. Of course, there is a danger that instead of resolving the contradiction, he might simply contact the security services. Therefore, this technique is only used as a last resort and when the operative is ready to flee if confronted.
These are narrow categories that reflect specific objectives of surveillance. There are, however, broader and more general categories that are more reflective of the technologies being used. Most discussions of surveillance will begin with recognition of the ubiquitous Closed-Circuit Television (CCTV) systems. The CCTV is a necessary component of visual surveillance. It is a fairly basic innovation that has revolutionized large-scale surveillance procedures. Not requiring the services of surveillance teams, this is a cheap way to monitor large areas and have a record of what was seen. Visual surveillance is used to detect and track individuals or objects. They may be in movement or stationary. The CCTV creates a new dimension to surveillance because it is continuous and omnipresent. It does not require a specific surveillance order, but will often provide useful information after the fact when there has been an event or activity of interest to authorities. It is, in short, as relevant to criminal investigations as it is to intelligence operations. Yet, it is a reminder of a negative aspect of our new technologies because it produces such an abundance of data that it is increasingly difficult to process. Having too little information about a target is a difficult situation. Having too much information may be even more difficult.
Another broad type of surveillance involves the use of biometrics. Biometric identifiers are used to note those physiological characteristics of an individual that make him unique. Some of the more common characteristics are fingerprints, facial recognition such as the shape of ears, DNA, palm prints, and retinal recognition. Many airports today will require a retinal scan for recognition of each individual. More colorfully, during interrogations, East Germany’s Stasi, the country’s main intelligence service, would have suspects sit on a cloth stretched across the bottom of a chair. The cloth was stored in a sealed jar upon which was placed a label with the subject’s name. Specially trained dogs would help identify people on the basis of their recorded smell.
One of the most reliable of biometric technologies is the fingerprint. A fingerprint is an impression left by the ridges of a human finger and the individuality of this data is such that there is a statistical improbability of any two fingerprints being identical. We might think of this technology as being recent, but during the time of the Babylonian king Hammurabi (1750 BC) authorities would take fingerprints of people whom they arrested. In the United States, it was not until 1902 when fingerprints were used for the identification, arrest, and conviction of a murderer that fingerprinting came into common use. Over the years, fingerprints have gained acceptance as one of the best ways for identification and the UK government has long debated fingerprinting all children aged eleven to fifteen and creating a data base using the fingerprints.
Retinal recognition has increasingly gained acceptance as a foolproof method of identification. Formation of the retina takes place before birth, and it remains the same throughout a person’s life. It has over 266 distinctive characteristics. Retinal recognition is a relatively new method of confirming the identity of a person by analyzing its random patterns.
There are several shortcomings associated with biometrics. One of the most frequently cited is the issue of how such data is acquired, since much of it can be compiled without a subject’s consent or knowledge. Biometric indicators are immutable, so once a person’s information has been compromised, there is no way of compensating for this. Equally troubling is the possibility that such data might be utilized for identity theft. Recent data breaches have shown how easily personal data can fall into the hands of criminals.
“Dataveillance” is the final type of surveillance in these broad categories of technical surveillance. The demands of modern society have forced people to yield more and more personal information to computerized systems that store a person’s entire life story in data banks that may or may not be secure. During the COVID-19 era, with its lockdowns and quarantines, even more of our transactions have been directed through advanced technologies. If you note the ease with which you can make purchases through DoorDash and other conveniences, you should realize how much is known about your interests, appetites, and payment methods. Major retailers have long created “loyalty cards” that enable them to anticipate your future purchases and understand every aspect of your economic situation. Airlines already provide personal information about travelers on their flights so the government can determine if any of them represent a “terror threat.” This raises the possibility that an authoritarian regime might use the law to require companies to obtain information about their clients if the government deems such information essential for “national security.”