oversight

Investigators' Guide to Sources of Information

Published by the Government Accountability Office on 1997-04-01.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

               United States General Accounting Office

GAO            Office of Special Investigations




April 1997

               Investigators’
               Guide to Sources
               of Information




GAO/OSI-97-2
      United States
GAO   General Accounting Office
      Washington, D.C. 20548

      Office of Special Investigations

      April 1997

      This 1997 Investigators’ Guide to Sources of Information is published as a
      service to the investigative community by GAO’s Office of Special
      Investigations. It is intended to be a useful investigative tool for identifying
      sources of information about people, property, business, and finance. This
      year’s guide is organized so that all of the information about a single
      source is located in a single definitive category. An index has been added
      to locate sources of information about a topic that may be discussed in
      one or more places in the guide. Finally, to make the guide useful in an
      increasingly electronic environment, we have added Internet addresses
      wherever possible and a chapter on how to use the Internet to gather
      information valuable to the investigative process.

      Additionally, for the first time, this year’s guide will be accessible
      electronically from GAO’s home page ( http://www.gao.gov ) by first
      selecting “Special Publications and Software” and then “Investigators’
      Guide to Sources of Information (GAO/OSI-97-2).” From this screen, certain
      sections of the report are interactive, enabling the investigator to initiate
      national and international links to a wide range of organizations. These
      links can be established by “clicking on” either an underlined and
      highlighted agency name or a specific Internet address in the guide.

      The information provided in this guide is current as of the date of
      publication. As with the two previous editions of the guide, we request
      your assistance in updating and improving the guide periodically. Please
      submit any updates or suggestions on how the guide can better meet users’
      needs directly to us by e-mail at soiguide.osi@gao.gov or by fax at
      (202) 371-2442. You may also write to us at the Office of Special
      Investigations, U.S. General Accounting Office, 441 G Street, N.W.,
      Washington, D.C. 20548.




      Donald J. Wheeler
      Acting Director




      Page 1                     GAO/OSI-97-2 Investigators’ Guide to Sources of Information
About the Guide


              The 1997 Investigator’s Guide to Sources of Information contains five
              chapters, four on information sources and a fifth on how to access
              information through the Internet.

              The first four chapters—on local and state governments; federal agencies;
              directories, reference works, and other sources; and electronic
              databases—discuss selected information sources in definitive categories
              that investigators will find helpful. The guide’s descriptions of information
              found in specific electronic databases were furnished by the organizations
              that administer the databases and have not been validated by GAO.
              Depending on their specific needs, users of the guide may want to
              independently validate the currency and accuracy of information in the
              databases. Tables in chapters 1 and 2 provide details on topics discussed
              in the chapters.

              Chapter 5 is a guide to using the Internet for investigative purposes. In
              addition to sections on how to access the Internet and the tools and
              functions available for Internet interaction, chapter 5 contains a sample
              search that may be of particular interest to the novice Internet user.
              Chapter 5 also informs the user about the types of information available
              from the Internet. For specific information on the Internet and specific
              web browsers, please consult applicable software manuals, local
              bookstores and libraries, and/or various Internet service providers.

              Chapters 2 and 5 list selected Internet addresses for investigators’ use,
              including addresses for federal agencies and electronic databases.
              Because Internet addresses change frequently, GAO will periodically update
              the electronic version of the guide to reflect such changes.

              The guide’s table of contents, supplemented by its index, should help users
              to locate specific subject matter. While major topics such as federal
              government agencies, federal contracting, state and local government, and
              directories are listed in the index, subtopics such as counterfeiting,
              criminal history, income tax, and driver’s licenses are also listed.

              This guide is not intended to be an exhaustive compilation of all sources of
              information available to investigators. There are many other sources of
              valuable information that may be useful for investigative purposes. The
              specific sources of information identified in the guide exemplify the types
              of information available to investigators, many of which have proven
              useful in the past. The inclusion of specific products or services should not
              be viewed as an endorsement by GAO.



              Page 2                    GAO/OSI-97-2 Investigators’ Guide to Sources of Information
About the Guide




The images in the “SEARCHING THE NET” section of chapter 5 are
reprinted with the permission of the copyright owners.1


As a user of this guide, you should be aware that, in many cases,
information in the sources we cite may be privileged or confidential and,
therefore, unavailable. Generally, the Privacy Act, 5 U.S.C. 552a (1994),
prohibits federal agencies from disclosing a record from “system of
records” from which information may be retrieved by individual identifier,
e.g., name, number, or symbol. However, federal agencies may disclose a
record to another agency or governmental instrumentality for a lawful civil
or criminal law enforcement activity. To receive a record, the head of the
requesting agency must request the record in writing from the agency that
maintains the record, specifying the portion of the record desired and the
law enforcement activity for which the record is sought. The Privacy Act
imposes criminal penalties on agency employees who wrongfully disclose
protected information and on any person who wrongfully requests or
obtains protected information under false pretenses. (5 U.S.C. 552a(i)).




1
 Figures 5.1 through 5.10 of this guide contain images that are the property of Netscape, copyright 1997
Netscape Communications Corporation, all rights reserved. Netscape is a trademark of Netscape
Communications Corporation, which is registered in the United States and other countries. The images
in figures 5.1 through 5.10 are reprinted here with the permission of Netscape.

Figures 5.1 and 5.2 of this guide contain images that are the property of C | net, copyright 1996-97, all
rights reserved, and are reprinted here with permission.

Figures 5.3 through 5.10 of this guide contain images that are the property of Cornell University Legal
Information Institute and are reprinted here with permission.



Page 3                              GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Contents



Letter                                                                                                     1


About the Guide                                                                                            2


Chapter 1                                                                                                  8
                         Local Government                                                                  8
Local and State          State Government                                                                 11
Governments
Chapter 2                                                                                                 17
                         Cabinet-Level Departments and Associated Agencies                                17
Federal Agencies         Financial Institutions and Related Federal Administrations and                   28
                           Corporations
                         Independent Agencies and Government Corporations                                 31
                         Legislative Branch Agencies                                                      38
                         Judicial Branch                                                                  39
                         Inspectors General                                                               43

Chapter 3                                                                                                 52
                         Directory About Directories                                                      52
Directories, Reference   Directories Focusing on Businesses                                               52
Works, and Other         Directories Focusing on Individuals                                              55
                         Directories of Associations                                                      58
Sources                  Directories of Banks and Financial Institutions                                  59
                         Law Firm and Law Enforcement Directories                                         60
                         Lloyd’s Directories About the Shipping Industry                                  61
                         Other Directories, Indexes, and Reference Works                                  62
                         Other Sources                                                                    64

Chapter 4                                                                                                 67
                         Government Investigative and Law Enforcement Databases                           67
Electronic Databases     Other Databases                                                                  77

Chapter 5                                                                                                 84
                         Internet: the Storehouse of Government Information                               84
Investigators’ Guide     Accessing the Internet                                                           85
to the Internet          Examples of Internet Functions and Tools                                         85
                         Searching the Net                                                                86
                         Internet Sites Provide Valuable Information                                      97
                         Security on the Internet                                                         99




                         Page 4                   GAO/OSI-97-2 Investigators’ Guide to Sources of Information
          Contents




Index                                                                                     102


Tables    Table 1.1: State Attorneys General                                                12
          Table 2.1: Sale Dates of U.S. Savings Bond Series                                 24
          Table 2.2: Designated Geographic Areas for Social Security                        37
            Number Issuance
          Table 2.3: Directory of U.S. Courts                                               40
          Table 2.4: Federal Inspectors General                                             45
          Table 2.5: Federal Agency Internet Addresses                                      49
          Table 5:1: Tools of the Internet                                                  86
          Table 5.2: Selected Internet Sites for Investigative Reference                    97

Figures   Figure 5.1: Selecting From the Search Menu                                        87
          Figure 5.2: The Search Request                                                    88
          Figure 5.3: Cornell’s Legal Information Institute Web Site                        89
          Figure 5.4: The LII Annotated Table of Contents                                   90
          Figure 5.5: The U.S. Code Web Page                                                91
          Figure 5.6: Access Path for Information                                           92
          Figure 5.7: U.S. Code Titles and Headings                                         93
          Figure 5.8: Chapter Within Title 17 - Copyrights                                  94
          Figure 5.9: Sections Within Chapter 5 - Copyright Infringement                    95
            and Remedies
          Figure 5.10: Full Text of 17 U.S. Code, Section 506                               96

          Abbreviations

          ALR             Art Loss Register
          ATF             Bureau of Alcohol, Tobacco and Firearms
          CFTC            Commodity Futures Trading Commission
          CIS             Central Index System
          CLASS           Consular Lookout and Support System
          CRS             Congressional Research Service
          CTR             Currency Transaction Report
          DCII            Defense Central and Investigations Index
          DEA             Drug Enforcement Administration
          DECA            Development of Espionage Counterintelligence and
                               Counterterrorism Awareness
          DLR             Division of Labor Racketeering
          DOD             Department of Defense
          DOJ             Department of Justice
          EDGAR           Electronic Data Gathering and Retrieval
          EFF             Electronic Frontier Foundation



          Page 5                    GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Contents




e-mail       electronic mail
EPIC         El Paso Intelligence Center
ERISA        Employee Retirement Income Security Act
EX-Im Bank   Export-Import Bank of the United States
FAA          Federal Aviation Administration
FBI          Federal Bureau of Investigation
FCC          Federal Communications Commission
FDA          Food and Drug Administration
FDIC         Federal Deposit Insurance Corporation
FERC         Federal Energy Regulatory Commission
FHWA         Federal Highway Administration
FinCEN       Financial Crimes Enforcement Network
FIRS         Fingerprint Identification Records System
FMS          Financial Management Service
FPDC         Federal Procurement Data Center
FTP          File Transfer Protocol
GAO          General Accounting Office
GILS         Government Information Locator System
GPO          Government Printing Office
GSA          General Services Administration
HHS          Department of Health and Human Services
IBIS         Interagency Border Inspection System
IBM          International Business Machines
ICTS         International Criminal Police Organization
                  Case-Tracking System
IFAR         International Foundation for Art Research
III          Interstate Identification Index
INS          Immigration and Naturalization Service
INTERPOL     International Criminal Police Organization
IRC          Internet Relay Chat
IRS          Internal Revenue Service
JMIE         Joint Maritime Information Element
LESC         Law Enforcement Support Center
MAGLOCLEN    Middle Atlantic-Great Lakes Organized Crime Law
                  Enforcement Network
MOCIC        Mid-States Organized Crime Information Center
NADDIS       Narcotics and Dangerous Drugs Information System
NAIL         NARA Archival Information Locator
NAILS        National Alien Information Lookout System
NARA         National Archives and Records Administration
NASA         National Aeronautics and Space Administration


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Contents




NCIC       National Crime Information Center
NCMEC      National Center for Missing and Exploited Children
NCUA       National Credit Union Administration
NESPIN     New England State Police Information Network
NFIC       National Fraud Information Center
NICB       National Insurance Crime Bureau
NIIS       Nonimmigrant Information System
NLETS      National Law Enforcement Telecommunications
                System
NRC        Nuclear Regulatory Commission
NTC        National Tracing Center
OSI        Office of Special Investigations
RISS       Regional Information Sharing System
RMIN       Rocky Mountain Information Network
ROCIC      Regional Organized Crime Information Center
SBA        Small Business Administration
SEC        Securities and Exchange Commission
SPICIN     South Pacific Islands Criminal Intelligence Network
SSA        Social Security Administration
TECS       Treasury Enforcement Communications System
USDA       U.S. Department of Agriculture
USMS       U.S. Marshals Service
USNCB      U.S. National Central Bureau
VA         Department of Veterans Affairs
WAIS       Wide Area Information Server
WHD        Wage Hour Division
WSIN       Western States Information Network
WWW        World Wide Web




Page 7             GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Chapter 1

Local and State Governments



Local Government

Building Inspector             The following information is available from a building inspector’s office:

                           •   building permits, which generally show the name of the applicant, the
                               address of construction, the estimated cost of construction, and the name
                               of the builder or contractor;
                           •   blueprints and plans, which show construction details and are often
                               submitted with applications for building permits; and
                           •   building inspectors’ reports, which contain information regarding
                               compliance with construction specifications.


Coroner/Medical Examiner       Coroner registers generally contain the name or description of the
                               deceased; date of inquest, if any; property found on the deceased and its
                               disposition; and the cause of death.


Court Clerk                    Court clerks often maintain court files on such civil actions as liens, name
                               changes, and divorces. These files generally include the complaint
                               (identifying the plaintiff(s), the defendant(s), and the cause of action); the
                               answer to the complaint; and the judgment rendered. Also, depositions
                               introduced as exhibits become part of the court records. The court clerk’s
                               minutes or the file jacket may indicate whether a transcript of the
                               proceedings was taken.

                               Divorce case complaints usually identify the plaintiff and defendant; place
                               and date of marriage (which points to the appropriate county recorder’s
                               records); date of separation, if applicable; names, ages, and birthdates of
                               any children; community property; and grounds or charges, if any; and the
                               attorneys retained by the parties. The plaintiff’s signature is usually on the
                               complaint and the defendant’s signature can be found on the
                               cross-complaint or answer.

                               Probate indexes will list probate actions alphabetically, by name of the
                               estate or petitioner, and will give the filing date and the docket number.
                               Individual case files often list causes of action and rulings regarding the
                               estate, and status of potential beneficiaries who may be minors, adopted,
                               incompetent, or insane.




                               Page 8                    GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                           Chapter 1
                           Local and State Governments




                           Court clerks also maintain criminal court files, which may contain
                           information describing the crime and the charges in an indictment. These
                           files may also contain the complainant’s signature (exemplar); a transcript
                           of the preliminary hearing (usually consisting of testimony of the
                           complainant, defendant, witnesses, and arresting officer); the names of the
                           prosecuting and defense attorneys; the probation officer’s report, with
                           complete background investigation of the defendant; and any subpoenas
                           issued in the case.


Health Department          Health departments often license and inspect properties, identify and
                           investigate local health problems, educate businesses on local health
                           issues, and provide direct emergency services.

                           Death certificates are usually available at health departments. A death
                           certificate provides the decedent’s name; address; sex; age; race; social
                           security number; birthplace; birthdate; and date, place, and time of death.
                           Additionally, a death certificate generally provides the medical and
                           coroner’s certificate and information about the decedent’s parents,
                           including their occupations.


Personnel Department       Personnel departments maintain the following information:

                       •   personal history statements on employees and political leaders; and
                       •   employment records, efficiency reports, and records of salary liens on
                           employees.


Public Schools             Public schools maintain the following information:

                       •   student records showing grades, disciplinary actions, and, in some school
                           districts, biographies; and
                       •   teacher biographies showing personal background, education, and former
                           employment.


Recorder                   Recorder offices maintain the following information:

                       •   documents pertaining to real estate transactions, including deeds, grants,
                           transfers, mortgages, releases of mortgages, powers of attorney, and
                           leases that have been acknowledged or approved;



                           Page 9                        GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                          Chapter 1
                          Local and State Governments




                      •   mortgages on personal property;
                      •   wills admitted to probate;
                      •   Uniform Commercial Code filings;
                      •   official bonds;
                      •   notices of mechanics’ liens;
                      •   transcripts of judgments that are made on real estate liens;
                      •   notices of attachment of real estate;
                      •   papers pertaining to bankruptcy;
                      •   certified copies of decrees and judgments of courts of record;
                      •   Department of Defense DD 214 forms that are recorded by some veterans
                          as evidence of veteran status, particularly in those states that grant
                          veterans reduced property tax rates; and
                      •   marriage licenses and certificates that can provide the names, ages, cities
                          of residence, and places of birth of the licensees; date and place of
                          marriage; names of witnesses to the marriage and their residence; and
                          names of the cleric, judge, or justice of the peace who performed the
                          ceremony.


Registrar of Voters       Registrars of voters may maintain the following:

                      •   affidavit of registration, which includes the registrant’s name and age,
                          occupation, and address at the time of registration, and
                      •   nomination papers of candidates for public office.


Regulatory Agencies       Applications for business licenses, which are filed by local regulatory
                          agencies, have valuable information on certain types of businesses and
                          professions. Also, such applications often have useful information about
                          individuals engaged in those businesses or professions. In many cities, the
                          following types of businesses and professions would be regulated and
                          their owners and/or practitioners would be required to apply for licenses:

                      •   businesses seeking liquor licenses;
                      •   professionals, including those trained as certified public accountants,
                          dentists, doctors, plumbers, electricians, and optometrists;
                      •   businesses that health and fire departments periodically inspect, including
                          restaurants, bars, and night clubs; and
                      •   businesses operating under names other than the owners’ names (such
                          businesses must register under assumed names and are included in the
                          “doing business as” files).




                          Page 10                       GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                         Chapter 1
                         Local and State Governments




Surveyor                 Surveyor offices maintain maps of elevations, baselines, landmarks,
                         important sites, roads, rights of way, and easements.


Tax Assessor             Tax assessor offices maintain maps of real property, including information
                         on a property’s dimensions, address, owner, taxable value, and
                         improvements.


Tax Collector            Tax collector offices maintain the following information:

                     •   names and addresses of payers of property taxes, including payers who
                         are not the apparent owners;
                     •   legal descriptions of property;
                     •   amounts of taxes paid on real and personal property;
                     •   delinquency status of taxes; and
                     •   names of former owners of property.


Welfare Commission       Information filed by welfare commissions is gathered by social workers,
                         psychologists, and physicians. Generally, the information
                         gathered—frequently provided by welfare recipients—is not verified.
                         Welfare commission files contain such information as the recipient’s
                         address, previous employment, prior earnings, and property owned.
                         Welfare files also contain information on (1) the property owned by the
                         recipient’s relatives and (2) the relatives’ health and criminal records.



State Government

Attorney General         State attorneys general are good sources of information on (1) efforts
                         made in the areas of statewide criminal justice, civil enforcement, and
                         consumer protection and (2) the functions or administrative structure of
                         the state offices responsible for these areas. The following table lists
                         addresses and telephone numbers for state attorneys general.




                         Page 11                       GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                                     Chapter 1
                                     Local and State Governments




Table 1.1: State Attorneys General
State                                           Address                                                  Telephone number
Alabama                                         State House, 3rd Fl.
                                                11 South Union Street
                                                Montgomery, AL 36104-3760                                     (334) 242-7300
Alaska                                          Post Office Box 110300
                                                Diamond Court Building
                                                Juneau, AK 99811

                                                123 Fourth Street, 6th Fl.
                                                Diamond Court House
                                                Juneau, AK 99801                                              (907) 465-3600
Arizona                                         1275 West Washington Street
                                                Phoenix, AZ 85007                                             (602) 542-4266
Arkansas                                        323 Center Street
                                                200 Tower Building
                                                Little Rock, AR 72201                                         (501) 682-2007
California                                      1300 I Street
                                                Post Office Box 944255
                                                Sacramento, CA 94244-2550                                     (916) 323-5370
Colorado                                        1525 Sherman Street, 5th Fl.
                                                Denver, CO 80203                                              (303) 866-4500
Connecticut                                     55 Elm Street
                                                Post Office Box 120
                                                Hartford, CT 06141-0120                                       (860) 566-2026
Delaware                                        Carvel State Office Building
                                                820 North French Street
                                                Wilmington, DE 19801                                          (302) 577-8338
District of Columbia                            Office of the Corporation Counsel
                                                441 4th Street, N.W., Rm. 1060 North
                                                Washington, D.C. 20001                                        (202) 727-6248
Florida                                         The Capitol Building
                                                Plaza Level, Suite 01
                                                Tallahassee, FL 32399-1050                                    (904) 487-1963
Georgia                                         40 Capitol Square
                                                Atlanta, GA 30334-1300                                        (404) 656-4585
Hawaii                                          425 Queen Street
                                                Honolulu, HI 96813                                            (808) 586-1282
Idaho                                           700 West Jefferson Street
                                                Post Office Box 83720
                                                Boise, ID 83720-0010                                          (208) 334-2400
Illinois                                        James R. Thompson Center
                                                100 West Randolph Street, 12th Fl.
                                                Chicago, IL 60601                                             (312) 814-2503
Indiana                                         Indiana Government Center South, 8th Fl.
                                                402 West Washington Street
                                                Indianapolis, IN 46204                                        (317) 233-4386
                                                                                                                  (continued)



                                     Page 12                       GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                Chapter 1
                Local and State Governments




State                      Address                                                  Telephone number
Iowa                       Hoover State Office Building, 2nd Fl.
                           Des Moines, IA 50319                                          (515) 281-3053
Kansas                     Judicial Building
                           301 S.W. 10th Street
                           Topeka, KS 66612                                              (913) 296-2215
Kentucky                   Capitol Building, Suite 116
                           700 Capitol Avenue
                           Frankfort, KY 40601                                           (502) 564-7600
Louisiana                  300 Capitol Drive
                           Post Office Box 94005
                           Baton Rouge, LA 70804                                         (504) 342-7013
Maine                      Six State House Station
                           Augusta, ME 04333                                             (207) 626-8800
Maryland                   200 Saint Paul Place
                           Baltimore, MD 21202-2021                                      (410) 576-6300
Massachusetts              One Ashburton Place
                           Boston, MA 02108                                              (617) 727-2200
Michigan                   Law Building, 7th Fl.
                           Post Office Box 30212
                           525 West Ottawa Street
                           Lansing, MI 48909-0212                                        (517) 373-1110
Minnesota                  102 State Capitol
                           St. Paul, MN 55155                                            (612) 296-6196
Mississippi                Post Office Box 220
                           Jackson, MS 39205

                           450 High Street
                           Jackson, MS 39201                                             (601) 359-3692
Missouri                   Post Office Box 899
                           Jefferson City, MO 65102

                           207 W. High Street
                           Supreme Court Building
                           Jefferson City, MO 65101                                      (573) 751-3321
Montana                    215 N. Sanders
                           Post Office Box 201401
                           Helena, MT 59620-1401                                         (406) 444-2026
Nebraska                   2115 State Capitol Building
                           Lincoln, NE 68509                                             (402) 471-2682
Nevada                     198 South Carson Street
                           Carson City, NV 89710

                           100 North Carson Street
                           Carson City, NV 89701-4717                                    (702) 687-4170
New Hampshire              33 Capitol Street
                           Concord, NH 03301                                             (603) 271-3658
                                                                                             (continued)




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                 Local and State Governments




State                       Address                                                    Telephone number
New Jersey                  Dept. of Law and Public Safety
                            Office of Attorney General
                            Richard J. Hughes Justice Complex
                            CN 080
                            Trenton, NJ 08625                                               (609) 292-4925
New Mexico                  Post Office Drawer 1508
                            Santa Fe, NM 87504-1508

                            407 Galisteo Street, #260
                            Santa Fe, NM 87501                                              (505) 827-6000
New York                    N.Y. State Dept. of Law - the Capitol
                            Albany, NY 12224                                                (518) 474-7330
North Carolina              Post Office Box 629
                            Raleigh, NC 27602-0629

                            2 E. Morgan Street
                            Raleigh, NC 27601                                               (919) 733-3377
North Dakota                State Capitol
                            600 East Boulevard Avenue
                            Bismarck, ND 58505-0040                                         (701) 328-2210
Ohio                        Rhodes Tower
                            30 East Broad Street, 17th Fl.
                            Columbus, OH 43215                                              (614) 466-4320
Oklahoma                    2300 North Lincoln Boulevard
                            Suite 112
                            Oklahoma City, OK 73105                                         (405) 521-3921
Oregon                      1162 Court Street, NE
                            Salem, OR 97310                                                 (503) 378-6002
Pennsylvania                Strawberry Square, 16th Fl.
                            Harrisburg, PA 17120                                            (717) 787-3391
Rhode Island                150 South Main Street
                            Providence, RI 02903                                            (401) 274-4400
South Carolina              Post Office Box 11549
                            Columbia, SC 29211-1549

                            1000 Assembly Street
                            Columbia, SC 29202                                              (803) 734-3970
South Dakota                500 East Capitol
                            Pierre, SD 57501                                                (605) 773-3215
Tennessee                   500 Charlotte Avenue, Suite 114
                            Nashville, TN 37243                                             (615) 741-6474
Texas                       Post Office Box 12548
                            Austin, TX 78711

                            209 W. 14th Street
                            Austin, TX 78701                                                (512) 463-2191
Utah                        236 State Capitol
                            Salt Lake City, UT 84114                                        (801) 538-1326
                                                                                                (continued)


                 Page 14                         GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                             Chapter 1
                             Local and State Governments




State                                   Address                                                  Telephone number
Vermont                                 109 State Street
                                        Montpelier, VT 05609-1001                                     (802) 828-3171
Virginia                                900 East Main Street
                                        Richmond, VA 23219                                            (804) 786-2071
Washington                              1125 Washington Street S.E.
                                        Post Office Box 40100
                                        Olympia, WA 98504-0100                                        (360) 753-6200
West Virginia                           State Capitol, Building 1, Rm. E26
                                        1900 Kanawha Boulevard East
                                        Charleston, WV 25305-0220                                     (304) 558-2021
Wisconsin                               Post Office Box 7857
                                        Madison, WI 53707-7857

                                        114 E. State Capitol
                                        Madison, WI 53702                                             (608) 266-1221
Wyoming                                 123 Capitol Building
                                        Cheyenne, WY 82002                                            (307) 777-7841


Bureau of Vital Statistics   Bureaus of Vital Statistics have birth certificates on file and are an
                             excellent source of information about people. Birth certificates can
                             provide a child’s name, sex, date of birth, and address of place of birth; the
                             names of the attending physician, midwife, and/or other assistants; the
                             parents’ names, ages, addresses, race, places of birth, and occupations; the
                             mother’s maiden name; and the number of siblings. (In some states, birth
                             certificates may be found at the local level, such as at the health
                             department.)


Department of Motor          State Departments of Motor Vehicles maintain information on driver’s
Vehicles                     licenses, vehicle registrations, titles, automobile transfers and sales, car
                             dealers, car salespersons, emission inspection facilities, and—in some
                             states—auto repair businesses. Of those states requiring that photographs
                             of licensed drivers appear on their licenses, most maintain the
                             photographs. Many states are changing to digital photographs.


Regulatory Agencies          Departments and agencies that regulate individual and business activities
                             within a particular state can be valuable sources of information.
                             Individuals obtain licenses for activities such as driving, hunting, and
                             fishing and for such professions as medical, legal, and public accounting.
                             Businesses are also often required to obtain licenses and permits to
                             operate and file periodic reports such as for worker’s and unemployment




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    Chapter 1
    Local and State Governments




    compensation, sales tax, and state income tax. The following state
    regulatory departments and agencies maintain information valuable to
    investigators:

•   Bureau of Professional and Vocational Standards or Department of
    Licensing;
•   Controller/Treasurer;
•   Department of Agriculture;
•   Department of Industrial Relations;
•   Department of Natural Resources;
•   Gambling Commission/Horse Racing Board;
•   Secretary of State;
•   Department of Corrections;
•   Liquor Commission;
•   Lottery Commission;
•   Securities Commission; and
•   Utility Commission.




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Cabinet-Level
Departments and
Associated Agencies

Department of Agriculture       Various USDA agencies maintain information on
(USDA)
                            •   meat or poultry companies;
                            •   feedlot owners or operators, livestock brokers, and meat packers or
                                canners; rural electric or telephone cooperatives;
                            •   logging (tree harvesting) companies that remove timber from national
                                forests;
                            •   certain improvements to farmland;
                            •   the import or export of agricultural commodities, animals, or plants; and
                            •   current or former USDA employees.

                                Some USDA agencies maintain—or have access to—financial records at the
                                state and local levels concerning

                            •   contracts with the agency;
                            •   recipients of various benefits, such as food stamps;
                            •   retail grocery stores authorized to accept food stamps; and
                            •   free or reduced-price school lunch meals.

                                Other USDA agencies maintain data on applicants/recipients of agriculture
                                loans, such as

                            •   loan applications and financial statements,
                            •   bank account particulars,
                            •   crop yields and business profits,
                            •   applications for and indemnities paid by federal crop insurance, and
                            •   plats of property and location of other assets.

                                In addition, USDA has information—including certain financial
                                data—concerning the ownership, management, and operation of farms
                                and ranches that participate in various USDA programs.


Department of Commerce          The Department of Commerce has information on international trade,
                                social and economic statistics, patents, trademarks, ocean studies,
                                domestic economic development, and minority businesses.



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Department of Defense          To obtain information concerning military pay, dependents, allotments,
(DOD)                          deposits, and other financial information, contact Defense Joint Military
                               Pay System; Director, Military Pay Directorate, Room 404; Defense
                               Finance and Accounting Service -Headquarters; Crystal Mall #3; 1931
                               Jefferson Davis Highway; Arlington, VA 22202 or at (703) 607-1373.

                               Records—that survived a July 1973 fire—concerning the personnel and
                               medical histories of former military personnel are located at the Military
                               Personnel Records Center; General Services Administration; 9700 Page
                               Boulevard; St. Louis, MO 63132-5100. To obtain such information, contact
                               the Army at (314) 538-4122; the Air Force at (314) 538-4218; and the Navy,
                               Marine Corps, and Coast Guard at (314) 538-4200. Records destroyed in
                               the fire may be reconstructed. If you wish to have a record reconstructed,
                               call (314) 538-4144.

                               For information on DOD investigations, see the discussion on the Defense
                               Central and Investigations Index in chapter 4.


Department of Energy
Federal Energy Regulatory      Electric utility and natural gas companies are required to file annual
Commission (FERC)              reports with FERC. The reports provide excellent financial pictures of the
                               companies as well as other information, e.g., names of officers, directors,
                               and stockholders who own more than 10 percent of the company. FERC
                               also maintains license and permit information concerning companies
                               within its regulatory control.


Department of Health and
Human Services (HHS)
Food and Drug Administration   FDA is an enforcement agency of HHS. FDA investigators in the field conduct
(FDA)                          investigations of drug firms under the jurisdiction of the FDA.




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Department of Justice
(DOJ)
Drug Enforcement                      DEA maintains information on individuals and businesses licensed to
Administration (DEA)                  handle narcotics obtained under the Controlled Substances Act and
                                      persons in violation of federal drug laws and regulations.

                                      DEAadministers the El Paso Intelligence Center and the Narcotics and
                                      Dangerous Drugs Information System, both of which are discussed in
                                      chapter 4.

Federal Bureau of Investigation       FBIcan provide information on criminal records and fingerprints, as well
(FBI)                                 as nonrestricted information pertaining to criminal offenses and
                                      subversive activities. It also can provide information about foreign
                                      fugitives and wanted, missing, and unidentified persons.

                                      FBI administers the National Crime Information Center which maintains
                                      information on a variety of subjects, such as stolen vehicles, license plates,
                                      and guns. See chapter 4 for more information on the Center.

                                      FBI   also maintains the following indexes:

                                  •   State Criminal History Records,
                                  •   Criminal History Records of Federal Offenders,
                                  •   National Stolen Property Index (stolen government property), and
                                  •   National Fraudulent Check Index.

                                      See also the entries on the Fingerprint Identification Records System and
                                      the Interstate Identification Index in chapter 4.

Immigration and Naturalization        INSretains the following information: alien registration records in effect
Service (INS)                         since August 27, 1940 (from July 1, 1920, to August 27, 1940, immigrants
                                      were given identification cards); lists of passengers and crew on vessels
                                      from foreign ports; passenger manifests and declarations (ship, date, and
                                      point of entry); naturalization records (names of witnesses to
                                      naturalization proceedings and acquaintances of the individual); records of
                                      deportation proceedings; and financial statements of aliens and persons
                                      sponsoring their entry.

                                      See chapter 4 for information on INS’ Central Index System, Law
                                      Enforcement Support Center, National Alien Information Lookout System,
                                      and Nonimmigrant Information System.



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U.S. Marshals Service    USMS maintains (1) information on individuals wanted as fugitives by the
(USMS)                   federal government and (2) records on the seizing, managing, and selling
                         of assets forfeited by drug traffickers and other criminals.


U.S. National Central    USNCB represents the United States in INTERPOL, operating continuously to
Bureau for the           provide international support for U.S. law enforcement. USNCB provides an
International Criminal   essential communications link between the U.S. police community and its
                         counterparts in over 176 foreign member countries. USNCB, therefore, can
Police Organization      request information regarding ownership, previous investigations, vessels
(USNCB-INTERPOL)         possibly involved in narcotics trafficking, cultural property and art work
                         that might have been stolen, and any other information legally releasable
                         from any of the INTERPOL member countries around the world. The degree
                         of information available is determined by the laws of the countries from
                         which the information is requested. USNCB can place an INTERPOL
                         international lookout for persons who have committed an extraditable
                         offense in the United States and are believed to have fled to another
                         country.

                         Seventeen federal and state law enforcement agencies are part of USNCB,
                         and all 50 states have established INTERPOL liaison offices. The following
                         agencies are part of USNCB: Bureau of Alcohol, Tobacco and Firearms;
                         Criminal Division, DOJ; Environmental Protection Agency; Office of the
                         Inspector General, USDA; Diplomatic Security Service, Department of State;
                         DEA; FBI; Federal Law Enforcement Training Center; Massachusetts State
                         Police; INS; Internal Revenue Service; Naval Criminal Investigative Service;
                         Office of the Comptroller of the Currency; U.S. Customs Service; USMS; U.S.
                         Postal Inspection Service; and U.S. Secret Service. For information about
                         the liaison offices, contact USNCB at (202) 616-1051 or 1-800-743-5630.

                         See chapter 4 for information on the INTERPOL Case Tracking System.


Department of Labor      The Department of Labor has information about the Federal Employees
                         Compensation Act, Job Partnership Training Act, Occupational Safety
                         Health Act, and Mine Safety Health Act. The Department conducts
                         programs under these acts and retains substantial data on businesses that
                         participate in special work programs with the agency.

                         Labor organizations must submit to the Department annual financial
                         reports, which include statements of assets and liabilities and statements
                         of receipts and disbursements. They must also complete supporting



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    schedules: loans receivable; other investments; other assets; other
    liabilities; fixed assets; loans payable; sales of investment and fixed assets;
    disbursement to officers; disbursement to employees; purchases of
    investment and fixed assets; benefits; and contributions, gifts, and grants.

    The Department’s Pension and Welfare Benefits Administration conducts
    inquiries into irregularities and complaints on transgressions of pension
    law.

    The Department’s Employment Standards Administration, Wage Hour
    Division (WHD) works to achieve compliance with labor standards through
    enforcement, administrative, and educational programs to protect U.S.
    workers. WHD enforces federal minimum wage, overtime pay,
    recordkeeping, and child labor requirements of the Fair Labor Standards
    Act. It also enforces the Migrant and Seasonal Agricultural Worker
    Protection Act, the Employee Polygraph Protection Act, the Family and
    Medical Leave Act, wage garnishment provisions of the Consumer Credit
    Protection Act, “whistleblower” provisions of several environmental
    impact laws, and a number of employment standards and worker
    protections as provided in several immigration related statutes.
    Additionally, WHD administers and enforces the prevailing wage
    requirements of the Davis Bacon Act, the Service Contract Act, and other
    statutes applicable to federal contracts for construction and for the
    provision of goods and services.

    The Division of Labor Racketeering (DLR) is a component of the
    Department’s Office of Inspector General. DLR maintains information about
    labor unions, benefit plans, and related investigations. DLR’s mission is to
    aggressively identify and reduce labor racketeering and corruption in
    employee benefit plans, labor-management relations, and internal union
    affairs. Major emphasis is placed on investigations involving benefit plans.

    Primary violations investigated by DLR include

•   payoffs from management to labor officials (Taft-Hartley Act violations);
•   embezzlement or misapplication of a union’s general funds or assets;
•   Racketeer Influenced and Corrupt Organizations statute violations;
•   false reports on Employee Retirement Income Security Act (ERISA)
    required documents (ERISA is a comprehensive codification of federal law
    pertaining to employee benefit plans);




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                       •   use of violence to deprive union members of their rights—including the
                           right to nominate and vote for candidates, attend membership meetings,
                           participate in benefit plans, and examine books and records;
                       •   embezzlement from an employee benefit plan, including the participation
                           of ineligible people and payment of charges for services not provided;
                       •   illegal payment (kickbacks) to influence the operations of an employee
                           benefit plan by, for example, providing the administrator of the plan
                           payment in exchange for fund business; and
                       •   extortion—obstruction of interstate commerce by threat or violence.


Department of State        The Department of State maintains information on passport records and
                           import and export licenses. The Department’s Bureau of Diplomatic
                           Security has information on previous investigations conducted by that
                           office.

                           See chapter 4 for information on the Consular Lookout and Support
                           System.


Department of
Transportation
Federal Aviation           FAA  maintains records reflecting the chain of ownership of all civil aircraft
Administration (FAA)       in the United States. These records include documents relative to the
                           manufacture, sale, transfer, inspection, and modification of an aircraft,
                           e.g., bill of sale, sales contract, mortgage, and liens.

                           FAA also maintains records on pilots, aircraft mechanics, flight engineers,
                           and other individuals that it certifies for flight safety positions. These
                           records include information on certificates held by airmen and the medical
                           and law enforcement histories of airmen.

                           The FAA Compliance Enforcement Program will provide a microfiche
                           listing of registrants and their aircraft tail numbers (N number). This
                           Office can provide the registration history of a given aircraft using the
                           aircraft tail number, serial number, or registrant’s name. It can also
                           provide airworthiness information and lien and previous owner data.

U.S. Coast Guard           The Coast Guard is the primary federal agency with maritime authority for
                           the United States. It is a complex organization of people, ships, aircraft,
                           boats, and shore stations that responds to tasks in several mission and



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                                 program areas, including interdiction of drug smugglers and illegal
                                 immigrants.

                                 The U.S. Coast Guard maintains the following information:

                             •   records on documented U.S. vessels,
                             •   names of merchant mariners on U.S. vessels and investigative records
                                 pertaining to them,
                             •   records relating to maritime drug smuggling, and
                             •   records on criminal investigations.

                                 See chapter 4 for information on the Joint Maritime Information Element,
                                 which the Coast Guard manages.

Federal Highway                  FHWA, Office of Motor Carriers, licenses, regulates, inspects, and registers
Administration (FHWA)            all motor carriers operating in interstate commerce. It keeps records of its
                                 inspections of motor carriers and a history of violations of each carrier.


Department of the
Treasury
Bureau of Alcohol, Tobacco       ATF retains (1) data on distilleries, wineries, breweries, manufacturers of
and Firearms (ATF)               tobacco products, wholesale and retail dealers of alcoholic beverages, and
                                 certain other manufacturers, dealers, and users of alcohol;
                                 (2) investigative reports on alleged violations under its jurisdiction;
                                 (3) data on federally licensed firearms manufacturers, importers, and
                                 dealers; and (4) data on federally licensed explosive manufacturers,
                                 importers, and dealers.

                                 ATF can trace firearms that have a serial number and that were
                                 manufactured or imported—from the manufacturer or importer—to the
                                 retailer after 1968. It can trace explosives materials from the manufacturer
                                 to the distributor and/or user. ATF also maintains records on federal
                                 firearms and explosive license holders, including manufacturers,
                                 importers, and dealers.

                                 See chapter 4 for information on ATF’s National Tracing Center.

Bureau of Engraving and          The Bureau of Engraving and Printing can assist law enforcement with
Printing                         tracking currency from its printing offices to federal reserve banks. The
                                 Bureau maintains computer files on all currency research that is done at



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                                        the request of law enforcement agencies. If a match is made, e.g., by serial
                                        numbers, the Bureau will notify the law enforcement agency of the match.
                                        Currency search requests should be sent to the Office of Security,
                                        Investigative Branch; Bureau of Engraving and Printing; Room 510-A; 301
                                        14th Street, S.W.; Washington, D.C. 20228.

Bureau of the Public Debt               The Bureau of the Public Debt maintains information on purchased and
                                        redeemed U.S. savings bonds (registered bonds), marketable securities,
                                        and special securities. Information maintained includes the series of bonds
                                        involved and the surname, given name, middle name or initial, and address
                                        of each person in whose name bonds were purchased. The following table
                                        shows the period during which various series of bonds were sold.

Table 2.1: Sale Dates of U.S. Savings
Bond Series                             Government Bond Series                      Period Bond Offered
                                        A                                           March 1935 through December 1935
                                        B                                           January 1936 through December 1936
                                        C                                           January 1937 through December 1938
                                        D                                           January 1939 through April 1941
                                        E                                           May 1941 through June 1980
                                        EE                                          January 1980 to present (ongoing)
                                        F                                           May 1941 through April 1952
                                        G                                           May 1941 through April 1952
                                        H                                           June 1952 through December 1979
                                        HH                                          January 1980 to present (ongoing)
                                        J                                           May 1952 through April 1957
                                        K                                           May 1952 through April 1957

Financial Crimes Enforcement            FinCEN—an   organization established by the Department of the
Network (FinCEN)                        Treasury—collects, analyzes, and disseminates intelligence on financial
                                        crimes. Its mission is to provide a governmentwide, multisource
                                        intelligence and analytical network to support law enforcement agencies
                                        in the detection, investigation, and prosecution of financial crimes. The
                                        participating agencies are the ATF, DEA, FBI, Internal Revenue Service, U.S.
                                        Customs Service, USMS, U.S. Postal Inspection Service, and U.S. Secret
                                        Service.

                                        FinCEN uses the majority of its resources to assist agencies in their
                                        investigations of financial aspects of the illegal narcotics trade. FinCEN then
                                        prioritizes investigations of such nonnarcotic crimes as money laundering
                                        offenses, Bank Secrecy Act violations, and other offenses of a financial




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                                 nature, e.g., tax and tariff violations; corruption; treason; and bankruptcy,
                                 financial institution, and government contract fraud. In both the narcotic
                                 and nonnarcotic areas, FinCEN concentrates on investigations of national or
                                 international criminal organizations.

                                 FinCEN produces two types of products—tactical support and strategic
                                 analysis. Its tactical support reports either (1) provide information and
                                 leads on criminal organizations and activities that are under investigation
                                 by law enforcement organizations or (2) proactively identify previously
                                 undetected criminal organizations and activities so that investigations can
                                 be initiated. These FinCEN reports will assist agencies in identifying assets
                                 for seizure and forfeiture purposes and in supporting ongoing
                                 investigations. During its strategic analyses, FinCEN collects, processes,
                                 analyzes, and develops intelligence on the merging trends, patterns, and
                                 issues related to activities such as financial crimes and money laundering.

                                 FinCEN’s financial database has information from reports that are required
                                 to be filed under the Bank Secrecy Act, including the Currency
                                 Transaction Report, Report of International Transportation of Currency or
                                 Monetary Instruments, Currency Transaction Report by Casinos, and
                                 Reports of Foreign Bank and Financial Accounts. Furthermore, FinCEN has
                                 access to data from Internal Revenue Service Form 8300 (Reports of Cash
                                 Payments Over $10,000 Received in a Trade or Business).

                                 FinCEN    can be contacted at (800) SOS-BUCK (767-2825) or (703) 905-3520.

Financial Management Service     FMS reconciles all government checks paid by the U.S. Treasury and
(FMS)                            processes all subsequent claims of forgery and non-receipt. It maintains
                                 photocopies of canceled U.S. government checks. However, original
                                 checks that have been determined to be forgeries are maintained by the
                                 U.S. Secret Service, also a Treasury bureau. When information must be
                                 obtained for the issuing disbursing office, the investigation may be
                                 expedited by asking that office to obtain the photocopy of the original
                                 check. In lieu of the original check, FMS’ Check Claims Branch can provide
                                 a certified microfilm copy of the check which is recognized and accepted
                                 in most courts of law. FMS charges a nominal fee for providing check
                                 copies.

Internal Revenue Service (IRS)   There are two distinct law enforcement functions within the IRS: the
                                 Criminal Investigation Division and Internal Security.




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                                       The Criminal Investigation Division investigates allegations of violations of
                                       the Internal Revenue Code as it relates to income tax, the Bank Secrecy
                                       Act, and money laundering statutes. The division’s special agents possess
                                       financial investigative abilities that enable them to solve crimes by
                                       following the money trail. Armed with these financial investigative skills
                                       and clearly defined statutory jurisdiction, this IRS division works closely
                                       with federal, state, and local law enforcement organizations to solve
                                       crimes such as public corruption, telemarketing fraud, health care fraud,
                                       income tax evasion, and those that are narcotics-related.

                                       IRS Internal Security inspectors work for the Chief Inspector. Their mission
                                       is to protect the integrity of the IRS, its system, and its employees. They do
                                       this by investigating allegations of attempts to bribe IRS employees and
                                       allegations of employee misconduct.

Office of the Comptroller of the       The Office of the Comptroller of the Currency regulates national banks
Currency                               and maintains information concerning them. National bank examinations
                                       are made to determine banks’ financial positions and to evaluate bank
                                       assets. Bank examiners’ reports contain information about bank records,
                                       loans, and operations.

                                       In view of their purpose and the basis on which they are obtained, reports
                                       of national bank examinations and related correspondence and papers are
                                       considered confidential. Requests for these documents should include the
                                       subject’s name and address, the information desired, the reason it is
                                       needed, and the intended use.

U.S. Customs Service                   Customs retains the following data:

                                   •   names of businesses that are involved in imports and exports,
                                   •   lists/records of importers and exporters,
                                   •   lists of suspects,
                                   •   records of seized smuggled property, and
                                   •   declaration forms.

                                       Customs’ Office of Investigations investigates alleged violations of import
                                       and export practices. The office’s special agents participate in the
                                       Organized Crime Drug Enforcement Task Force.

                                       See chapter 4 for information on the Treasury Enforcement
                                       Communications System, which is managed by Customs.




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U.S. Secret Service   The Secret Service is responsible for investigating the counterfeiting of
                      currency and securities; forgery and altering of government checks and
                      bonds; thefts and fraud relating to Treasury electronic funds transfers;
                      financial access, telecommunications, computer, and telemarketing fraud;
                      fraud concerning federally insured financial institutions; and other
                      criminal and noncriminal cases.

                      The Secret Service investigates financial systems crimes, including bank
                      fraud; access device fraud; telemarketing and telecommunications fraud
                      (cellular and hard wire); computer fraud; crimes involving automated
                      payment systems, teller machines, and direct deposits; forgery; alteration,
                      false personation, or false claims involving U.S. Treasury checks, U.S.
                      savings bonds, U.S. Treasury notes, bonds, and bills. The Secret Service
                      also investigates electronic funds transfers, including Treasury
                      disbursements and fraud within Treasury payment systems; fraud
                      involving U.S. Department of Agriculture food coupons and Authority to
                      Participate cards; Federal Deposit Insurance Corporation investigations;
                      Farm Credit Administration violations; and fraud and related activity in
                      connection with identification and seizure. Further, the Secret Service
                      coordinates the activities of the U.S. Secret Service Organized Crimes
                      Program and oversees money laundering investigations.

                      The Secret Service has concurrent jurisdiction with DOJ to investigate
                      fraud against any federally insured financial institution. Agents of the
                      Secret Service review thousands of criminal referrals submitted by
                      Department of the Treasury regulators.

                      The Secret Service maintains records pertaining to counterfeit, forgery,
                      and U.S. security violation cases. The Secret Service’s central files in
                      Washington, D.C. contain about 100,000 handwriting specimens from
                      known forgers. An electronic information retrieval system facilitates the
                      comparison of questioned handwriting with the examples on file, for
                      identification purposes.

                      As part of the 1995 Crime Bill, Congress mandated the Secret Service to
                      provide forensic/technical assistance—to federal, state, and local law
                      enforcement agencies, the Morgan P. Hardiman Task Force, and the
                      National Center for Missing and Exploited Children—in matters involving
                      missing and sexually exploited children. Much of the forensic assistance is
                      used in the United States by the Secret Service’s Forensic Services
                      Division. The forensic technology allows the document examiner to scan
                      and digitize text and writings, and later search that material against



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                         previously recorded writings. As a result, Secret Service created a national
                         handwriting repository for comparison purposes for handwritten letters in
                         these types of cases.

                         The Forensic Services Division also operates a hybrid Automated
                         Fingerprint Identification System, the largest of its kind, which is
                         composed of remote latent fingerprint terminals providing connection to
                         fingerprint databases with access to more than 25 million fingerprints.
                         Division staff can search latent fingerprints, developed in cases involving
                         missing and sexually exploited children, through this system for
                         identification purposes.

                         Other services offered by this program are polygraph consultation or
                         assistance; photographic, graphic, age progression/regression; and voice
                         and image enhancement technology.


Department of Veterans   VA retains records of loans, tuition payments, insurance payments, and
Affairs (VA)             nonrestricted medical data related to disability pensions. These records
                         are available at regional offices in several specific large metropolitan areas
                         throughout the country. The data, including photocopies, may be obtained
                         by writing or visiting the appropriate regional office.

                         All requests should include a statement covering the need and intended
                         use of the information. The statement should clearly identify the veteran
                         and, if available, include the veteran’s VA claim number, date of birth,
                         branch of service, and enlistment and discharge dates.



Financial Institutions
and Related Federal
Administrations and
Corporations

Banks                    The relationship between banks and their customers is confidential and
                         privileged. Generally, information from banks may be obtained only by
                         subpoena. The release of information may be subject to the Right to
                         Financial Privacy Act (12 U.S.C. 3401-3422).




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                                The following types of records and information are available from banks.

                            •   Central master files of customers (depositors, debtors, and safe-deposit
                                box holders) are maintained by the bank. The bank usually requires the
                                customer’s consent, a search warrant, or a court order before an
                                authorized bank official can open a safe-deposit box. A record of entry to a
                                safe-deposit box can be obtained by subpoena.
                            •   Bank account applications can provide handwriting samples and certain
                                personal information about the customer, depending on the type of
                                account. Bank account records reflect date of deposit, amounts of
                                currency and checks, and dates and amounts of withdrawals.
                            •   When currency in excess of $10,000 is deposited in a bank account, the
                                customer is required to complete a Department of the Treasury Form 4789,
                                Currency Transaction Report (CTR). The CTR specifies the depositor’s
                                name, address, social security number, and birthdate, and records the total
                                amount of the transaction and various other information. The bank is to
                                retain CTRs and forward copies to the Department of the Treasury.


Export-Import Bank of the       Ex-Im Bank is an independent U.S. government agency that helps finance
United States (Ex-Im            the overseas sales of U.S. goods and services. Its mission is to create jobs
Bank)                           through exports. It provides guarantees of working capital loans for U.S.
                                exporters and it guarantees the repayment of loans or makes loans to
                                foreign purchasers of U.S. goods and services. Ex-Im Bank maintains
                                information about U.S exporters and foreign buyers who are in good
                                standing or who have defaulted on payments.


Farm Credit                     The Farm Credit Administration is the independent federal regulator
Administration                  responsible for examining and ensuring the safety and soundness of all
                                Farm Credit System institutions. The agency is funded by the lending
                                institutions it regulates. The Farm Credit System is a nationwide financial
                                cooperative that lends to agriculture and rural America, providing more
                                than $60 billion in loans to some 500,000 borrowers, including farmers,
                                ranchers, rural homeowners, agricultural cooperatives, rural utility
                                systems, and agribusinesses.


Federal Deposit Insurance       FDICis a federally chartered corporation with two major functions: (1) to
Corporation (FDIC)              determine the safety and soundness of financial institutions and (2) to
                                solve the problems created by insolvent institutions and recover funds
                                through the management and ultimate sale of the institutions’ assets. FDIC



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                         maintains information on FDIC-regulated banks and failed FDIC-insured
                         banks, including their ownership and officers, the identities of loan
                         borrowers, and previous investigations. In addition, FDIC is the successor
                         organization and custodian of records for the former Resolution Trust
                         Corporation, a similarly chartered corporation that liquidated the assets of
                         failed savings institutions from August 1989 until December 31, 1995.

                         FDIC-insured   banks and FDIC savings associations are examined periodically
                         by FDIC examiners. Each examination includes an appraisal of
                         management, directors, officers, and staff. The reports of examination
                         contain an alphabetical list of all directors, officers, and principal
                         employees. The examiner also comments on the capabilities of each
                         individual, gives his/her approximate age, and cites other business
                         affiliations. Additionally, the examiner completes a form on each
                         individual, setting forth his/her estimated net worth, par value of stock
                         owned, and salary.

                         Inquiries regarding types of records available to the public (including
                         records available under the Freedom of Information Act) should be
                         directed to the appropriate FDIC regional office or to the Office of the
                         Executive Secretary, which can be contacted at (202) 898-3687.


Federal Reserve System   The Federal Reserve System is a valuable source of information on banks
                         and bank holding companies. The Federal Reserve has supervisory
                         responsibility over domestic and international operations of all member
                         banks, Edge Act and agreement corporations, U.S.-bank holding
                         companies, and over many of the U.S. activities of foreign banking
                         organizations. The Federal Reserve conducts joint examinations with state
                         agencies or alternates annual examinations with those agencies and
                         cooperates with the states in other areas to reduce duplication and overlap
                         in the examination and supervision of state-chartered banks.

                         The examination of a depository institution generally entails (1) an
                         appraisal of the soundness of the institution’s assets; (2) an evaluation of
                         internal operations, policies, and management; (3) an analysis of key
                         financial factors such as capital, earnings, liquidity, and interest rate
                         sensitivity; (4) a review for compliance with all banking laws and
                         regulations; and (5) an overall determination of the institution’s solvency.
                         In addition to these examinations for the general safety and soundness of
                         state member banks and bank holding companies, the Federal Reserve
                         conducts special examinations of state member banks in certain areas



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                            such as consumer affairs; activities of trust departments, stock transfer
                            agents, and municipal securities dealers; and electronic data processing.
                            The Federal Reserve also is the primary supervisor for bank holding
                            companies.

                            In addition to quarterly reports on condition (which are available to the
                            public), banks and bank holding companies examination reports may be
                            requested for official agency use under the Federal Reserve Board of
                            Governor’s rules regarding availability of information.


National Credit Union       NCUA regulates, insures, and supervises all federal credit unions, as well as
Administration (NCUA)       state-chartered credit unions that apply for its insurance. NCUA has two
                            reporting requirements: federally insured credit unions with more than
                            $50 million in assets must file quarterly reports and those with assets
                            totalling less than $50 million must file semiannually.



Independent Agencies
and Government
Corporations

Commodity Futures           CFTC   maintains the following information:
Trading Commission
(CFTC)                  •   registration information concerning firms and individuals,
                        •   administrative and injunctive actions filed by CFTC against firms and
                            individuals,
                        •   financial reports filed by CFTC registrants, and
                        •   consumer complaints filed against CFTC registrants.

                            The National Futures Association, a self-regulatory organization
                            authorized by the Commodity Exchange Act, operates under the
                            supervision of the CFTC and is a one-stop information source for
                            registration and disciplinary information regarding firms and individuals in
                            the futures industry. This information includes registration status and
                            employment history; disciplinary actions filed by the association, the CFTC,
                            and the commodity exchanges; and customer complaints filed under the
                            CFTC’s reparations program. The association’s information center can be
                            contacted at (800) 621-3570 or, in Illinois, at (312) 781-1410.




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Federal Communications     FCC regulates interstate and international communications by radio,
Commission (FCC)           television, wire, satellite, and cable. It investigates and studies all phases
                           of communication problems and the best methods of obtaining the
                           cooperation and coordination of radio and wire communication systems,
                           including those relative to police, fire, and forestry.

                           The FCC staff is organized, by function, into six operating bureaus: Mass
                           Media, Cable Services, Common Carrier, Compliance and Information,
                           Wireless Telecommunications, and International. The various bureaus
                           maintain data on licensees and users of communication frequencies that
                           include the licensing of radio/telephone circuits and their assigned
                           frequencies for operations.


Federal Maritime           The Federal Maritime Commission investigates applicants for licenses to
Commission                 engage in oceangoing freight-forwarding activities. Applicants provide
                           information to the Commission covering many aspects of their history,
                           including the names and residences of all corporate officers and directors,
                           names of partnership members or individual proprietors, names of direct
                           holders of five percent or more of company stock, names of stockholders
                           with beneficial interest in shipments moving in U.S. foreign export
                           commerce, and employment history of license applicants.


General Services           GSA has considerable information on architects, engineers, personal
Administration (GSA)       property auctioneers, real estate appraisers, construction contractors,
                           sales brokers, and businesses that contract with GSA. GSA also maintains a
                           computerized List of Parties Excluded from Federal Procurement and
                           Nonprocurement Programs.

                           See chapter 4 for discussions on the List and the Federal Procurement
                           Data Center.


National Aeronautics and   Over 85 percent of NASA’s multibillion dollar budget goes to NASA’s
Space Administration       contractors. Procurement files maintained by its procurement office
(NASA)                     contain information about individual firms and their employees.

                           NASA requires that contractors submit with the proposals their
                           qualifications and resumes of the personnel who will be directly assigned
                           to the project. The resumes should include each person’s educational




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                              background, work experience, length of service with the firm, and work
                              projects.


National Archives and         The National Archives and Records Administration operates federal
Records Administration        records centers throughout the country, including the National Personnel
                              Records Center in St. Louis, Missouri, and the Office of the Federal
                              Register in Washington, D.C. It also operates regional archives and the
                              presidential libraries.

                              The Federal Register is the medium for notifying the public of official
                              agency actions; all federal regulations must be published in it. The Office
                              of the Federal Register provides a periodic workshop on the use of the
                              Federal Register as an information source. A handbook on the uses of the
                              Federal Register is also available. For information, call (202) 523-5240.


National Railroad             Amtrak maintains information on passengers’ reservation histories,
Passenger Corporation         method of payment, and dates of travel; the railroad industry; railroad
(Amtrak)                      contractors, subcontractors, and vendors; and train routes and schedules.

                              Amtrak police have access to records of all Amtrak employees. To contact
                              Amtrak police regarding the Amtrak National Communications Center or
                              investigation and police report records, call 1-800-331-0008.


Nuclear Regulatory            NRC regulates commercial nuclear power reactors; nonpower research
Commission (NRC)              reactors; fuel-cycle facilities; medical, academic, and industrial uses of
                              nuclear materials; and the transport, storage, and disposal of nuclear
                              materials and waste. NRC also maintains applications and licenses of
                              persons and companies that export nuclear material and equipment from
                              the United States.


Securities and Exchange       SEC maintains public records of corporations with stock and securities
Commission (SEC)              sold to the public. These records include the following:

                          •   financial statements,
                          •   identification of officers and directors,
                          •   identification of owners of more than 10 percent of a corporation’s stock,
                          •   a description of the registrant’s properties and businesses,




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•   a description of the significant provisions of the security to be offered for
    sale and its relationship to the registrant’s other capital securities,
•   identification of events of interest to investors,
•   identification of accountants and attorneys, and
•   a history of the business.

    SEC maintains files on individuals and firms that have been reported to it as
    having violated federal or state securities laws. The information contained
    in these files pertains to official actions taken against such persons and
    firms, including denials, refusals, suspensions, and revocations of
    registrations; injunctions, fraud orders, stop orders, and cease and desist
    orders; and arrests, indictments, convictions, sentences, and other official
    actions.

    The Securities and Exchange Commission Summary lists the changes in
    beneficial ownership by officers, directors, and principal stockholders of
    securities listed and registered on a national securities exchange or those
    relating to public utility companies and certain closed-end investment
    companies.

    Copies of the documents maintained by SEC are available at its regional or
    branch offices in the following cities: Atlanta, Georgia; Miami, Florida;
    Boston, Massachusetts; Chicago, Illinois; Cleveland, Ohio; Detroit,
    Michigan; St. Louis, Missouri; Denver, Colorado; Salt Lake City, Utah; Fort
    Worth, Texas; Los Angeles, California; San Francisco, California; New
    York, New York; Seattle, Washington; Washington, D.C.; and Philadelphia,
    Pennsylvania.

    Corporate filings include the following:

•   Annual Report of Publicly Traded Company (Form 10-K)—excerpts or
    complete report via DIALOG or LEXIS databases, both of which are
    discussed in chapter 4;
•   Quarterly Report of Publicly Traded Company (Form 10-Q)—same as
    Form 10-K;
•   Special Events in Re Publicly Traded Company (Form 8-K)—transactions
    resulting in change of controlling interest;
•   Registration of Security (Form 8-A)—prospectus, data relative to the
    issuer;
•   Registration of Security by the Successor to (Form 8-B)—name of issuer,
    relationship to primary registrant/issuer;




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                       •   Special Events in Re Foreign Security (Form 6-K)—information similar to
                           Forms 10-K and 8-K, except the security is registered under other U.S. law;
                           and
                       •   Report of Acquisition of Beneficial Ownership of 5% or More of Capital
                           Stock of Public Company (Form 13-D)—identity of each person or firm
                           acquiring beneficial ownership of 5 percent or more of capital stock or
                           constituting a group that acquires such beneficial ownership; description
                           of security; agreements or other undertakings by reporting entity; whether
                           acquisition results in change of control; background on each person
                           reporting; and sources of funds for acquisition, purpose of acquisition, and
                           relationship of parties.

                           See chapter 4 for information on SEC’s Securities Information Center.


Small Business             SBA guarantees loans made by commercial lenders to eligible small
Administration (SBA)       businesses; makes loans to businesses and individuals following
                           federally-declared disasters; and licenses investment companies to provide
                           venture capital to eligible small businesses. SBA also (1) connects small
                           firms owned by socially and economically disadvantaged Americans with
                           contracts set aside by other federal agencies and (2) seeks to increase
                           federal contract opportunities for small businesses in general.
                           SBA-guaranteed loans are made by private-sector lenders, with SBA
                           promising to reimburse a specified percentage of any amount lost by the
                           lender. By law, the amount of SBA’s guaranty under its most popular and
                           least restricted lending program is limited to $750,000 and the loan
                           maturity to 25 years.

                           SBA may be the best source of financial and other information about the
                           small businesses (and their principals) to which it provides assistance;
                           many of them are exempt from public disclosure laws because of their
                           smallness. Records on businesses and individuals that have received SBA
                           assistance are maintained by the division that administers the program
                           involved. The local SBA district office maintains most records. Contact the
                           local office of SBA’s Office of Inspector General, Investigations Division,
                           for assistance in obtaining records and other information.


Social Security            SSA  retains original applications for social security numbers. Applications
Administration (SSA)       list an applicant’s name (maiden and married names for a female),
                           birthdate, birthplace, sex, race, parents’ names, and address at time of
                           application.



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The first three digits of a social security number indicate its assigned area
of issuance. The following table lists the states and their assigned social
security numbers. (Note that some states and Puerto Rico have more than
one series of numbers.)




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Table 2.2: Designated Geographic Areas for Social Security Number Issuance
Number(s)a                             Areab                                                   Number(s)a         Areab
001-003                               New Hampshire                                      425-428, 587, 588c Mississippi
004-007                               Maine                                              429-432, 676-679c Arkansas
008-009                               Vermont                                            433-439, 659-665c Louisiana
010-034                               Massachusetts                                                 440-448       Oklahoma
035-039                               Rhode Island                                       449-467, 627-645         Texas
040-049                               Connecticut                                                   468-477       Minnesota
050-134                               New York                                                      478-485       Iowa
135-158                               New Jersey                                                    486-500       Missouri
159-211                               Pennsylvania                                                  501-502       North Dakota
212-220                               Maryland                                                      503-504       South Dakota
221-222                               Delaware                                                      505-508       Nebraska
223-231, 691-699c                     Virginia                                                      509-515       Kansas
232 - 236                             West Virginia                                                 516-517       Montana
232, 237-246                          North Carolina                                                518-519       Idaho
                c
247-251, 654-658                      South Carolina                                                    520       Wyoming
252-260, 667-675c                     Georgia                                            521-524, 650-653         Colorado
261-267, 589-595                      Florida                                            525, 585, 648-649        New Mexico
268-302                               Ohio                                                          526-527       Arizona
303-317                               Indiana                                            525-529, 646-647         Utah
318-361                               Illinois                                                     530, 680c Nevada
362-386                               Michigan                                                      531-539       Washington
387-399                               Wisconsin                                                     540-544       Oregon
400-407                               Kentucky                                           545-573, 602-626         California
408-415, 756-763c                     Tennessee                                                         574       Alaska
                                                                                                              c
416-424                               Alabama                                            575-576, 750-751         Hawaii
577-579                               District of Columbia                                              586       American Samoa
580                                   Virgin Islands                                                    586       Northern Mariana Islands
580-584, 596-599                      Puerto Rico                                                  586, 617       Philippine Islands
                                                                                                            d
586                                   Guam                                                          700-728       Railroad Board
                                         a
                                          Any number beginning with 000 will never be a valid social security number.
                                         b
                                          When an area is shown more than once, it means that either (1) certain numbers have been
                                         transferred from one state to another or (2) an area has been divided for use among certain
                                         geographic locations.
                                         c
                                          New areas allocated, but not yet issued.
                                         d
                                             Issuance of these numbers to railroad employees was discontinued July 1, 1963.




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U.S. Postal Service and   The U.S. Postal Service maintains the names and addresses of post office
U.S. Postal Inspection    box holders and change of address information. It can verify that an
Service                   individual is receiving mail at a particular address.

                          Requests for photocopies of postal money orders may be made through
                          the local office of the U.S. Postal Inspection Service. Information
                          concerning the mailing addresses, telephone numbers, and fax numbers of
                          U.S. Postal Inspection Service offices nationwide is available on the U.S.
                          Postal Inspection Service home page on the World Wide Web.

                          Information concerning missing U.S. and Canadian money order forms,
                          counterfeit Canadian money order forms, and Invalid Express Mail
                          Accounts can be found on the U.S. Postal Service home page on the World
                          Wide Web.

                          The Postal Inspection Service, through the Judicial Officer, is empowered
                          under 39 U.S.C. 3005 to issue false presentation orders and cease and
                          desist orders in cases where the mail is being used to obtain money from
                          the public by means of false and fraudulent statements. The orders
                          (1) require mail to be returned to the sender, (2) forbid payment of postal
                          money orders connected to the scheme, (3) require the return of money to
                          those who purchased the money orders, and (4) require that cited schemes
                          cease.

                          Postal regulations require commercial mail-receiving agencies to complete
                          a PS Form 1583, Application for Delivery of Mail Through an Agent. The
                          data from that form, which includes personal identification information
                          and references for a specific individual, can be made available to federal,
                          state, and local law enforcement agencies. The mailing addresses,
                          telephone numbers, and fax numbers of Postal Inspection Service offices
                          nationwide are available on the World Wide Web.



Legislative Branch
Agencies

U.S. General Accounting   GAO’s World Wide Web home page provides access to recent GAO audit
Office (GAO)              products and Comptroller General decisions, as well as information on
                          how to order paper copies of both recent and older GAO products. In
                          addition, GAO audit products from fiscal year 1995 forward and recent



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                      decisions are available in electronic form at the Government Printing
                      Office’s Internet site. GAO products, including those not available on the
                      Internet, may also be ordered by calling (202) 512-6000 or TDD
                      (301) 413-0006.


Government Printing   GPO produces and procures printed and electronic publications for the
Office (GPO)          Congress and federal departments and establishments. It prepares
                      catalogs and distributes and sells government publications in printed and
                      electronic formats. Electronic databases prepared for printing are
                      premastered for CD-ROM replication and are used to provide on-line
                      access.

                      GPO sells—through mail orders and government
                      bookstores—approximately 20,000 different printed and electronic
                      publications that originate in various government agencies. Orders and
                      inquiries concerning publications and subscriptions for sale should be
                      mailed to Superintendent of Documents, GPO, Washington, D.C. 20402 or
                      called in to (202) 512-1800. GPO also administers the depository library
                      program through which selected government publications are made
                      available, free of charge, in approximately 1,400 libraries throughout the
                      country.

                      The GPO Access service provides on-line access to key publications of the
                      federal government, including the Congressional Record and the Federal
                      Register, through the Internet. For information about this service, contact
                      the GPO Access support team at (202) 512-1530.



Judicial Branch

Federal Courts        The federal court system has three basic levels: the Supreme Court of the
                      United States, the U.S. Courts of Appeals (by circuits), and the U.S.
                      District Courts.

                      The U.S. District Court has exclusive jurisdiction in bankruptcy, maritime
                      and admiralty, patents, copyright penalties, fines under federal law, and
                      proceedings against consuls and vice consuls of foreign states. In addition,
                      it has jurisdiction when the United States or a national bank is a party and




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                                          when the law specifically states that the U.S. District Court has original
                                          jurisdiction.

                                          In addition, some special courts, such as the following, handle specific
                                          matters.

                                      •   The U.S. Tax Court adjudicates controversies involving assessment and
                                          payment of various taxes.
                                      •   The U.S. Court of Appeals for the Armed Forces is an appellate criminal
                                          court that serves as the final tribunal to review court-martial convictions
                                          of all the Armed Forces.
                                      •   In the federal bankruptcy courts, bankruptcy judges preside over all cases
                                          under Title 11, United States Code, in addition to other bankruptcy matters
                                          referred by the district court.

                                          The table below lists federal courts throughout the United States and their
                                          postal addresses.

Table 2.3: Directory of U.S. Courts
                                          Location                                                      Postal Address
                                          COURTS OF APPEAL
                                          Federal Circuit                                               Washington, D.C. 20439
                                          (United States)
                                          District of Columbia Circuit                                  Washington, D.C. 20001
                                          (District of Columbia)
                                          First Circuit                                                 Boston, MA 02109
                                          (Maine, Massachusetts, New Hampshire, Rhode Island,
                                          and Puerto Rico)
                                          Second Circuit                                                New York, NY 10007
                                          (Connecticut, New York, and Vermont)
                                          Third Circuit                                                 Philadelphia, PA 19106
                                          (Delaware, New Jersey, Pennsylvania, and the Virgin
                                          Islands)
                                          Fourth Circuit                                                Richmond, VA 23219
                                          (Maryland, North Carolina, South Carolina, Virginia, and
                                          West Virginia)
                                          Fifth Circuit                                                 New Orleans, LA 70130
                                          (Louisiana, Mississippi, and Texas)
                                          Sixth Circuit                                                 Cincinnati, OH 45202
                                          (Kentucky, Michigan, Ohio, and Tennessee)
                                          Seventh Circuit                                               Chicago, IL 60604
                                          (Illinois, Indiana, and Wisconsin)
                                          Eighth Circuit                                                St. Louis, MO 63101
                                          (Arkansas, Iowa, Minnesota, Missouri, Nebraska, North
                                          Dakota, and South Dakota)
                                                                                                                         (continued)


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Location                                                   Postal Address
Ninth Circuit                                              San Francisco, CA 94102
(Alaska, Arizona, California, Hawaii, Idaho, Montana,
Nevada, Oregon, Washington, Guam, and the Northern
Mariana Islands)
Tenth Circuit                                              Denver, CO 80294
(Colorado, Kansas, New Mexico, Oklahoma, Utah, and
Wyoming)
Eleventh Circuit                                           Atlanta, GA 30303
(Alabama, Florida, and Georgia)
DISTRICT COURTS
Alabama
Northern District                                          Birmingham, AL 35203
Middle District                                            Montgomery, AL 36101
Southern District                                          Mobile, AL 36602
Alaska                                                     Anchorage, AK 99513
Arizona                                                    Phoenix, AZ 85025
Arkansas
Eastern District                                           Little Rock, AR 72203
Western District                                           Fort Smith, AR 72902
California
Northern District                                          San Francisco, CA 94102
Eastern District                                           Sacramento, CA 95814
Central District                                           Los Angeles, CA 90012
Southern District                                          San Diego, CA 92101
Colorado                                                   Denver, CO 80294
Connecticut                                                New Haven, CT 06510
Delaware                                                   Wilmington, DE 19801
District of Columbia                                       Washington, DC 20001
Florida
Northern District                                          Tallahassee, FL 32301
Middle District                                            Jacksonville, FL 32201
Southern District                                          Miami, FL 33128
Georgia
Northern District                                          Atlanta, GA 30303
Middle District                                            Macon, GA 31202
Southern District                                          Savannah, GA 31412
Guam                                                       Agana, GU 96910
Hawaii                                                     Honolulu, HI 96850
Idaho                                                      Boise, ID 83724
Illinois
Northern District                                          Chicago, IL 60604
Southern District                                          East St. Louis, IL 62202
Central District                                           Springfield, IL 62701
Indiana
Northern District                                          South Bend, IN 46601
Southern District                                          Indianapolis, IN 46204
                                                                             (continued)


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Location                                                 Postal Address
Iowa
Northern District                                        Cedar Rapids, IA 52401
Southern District                                        Des Moines, IA 50309
Kansas                                                   Wichita, KS 67202
Kentucky
Eastern District                                         Lexington, KY 40596
Western District                                         Louisville, KY 40202
Louisiana
Eastern District                                         New Orleans, LA 70130
Middle District                                          Baton Rouge, LA 70802
Western District                                         Shreveport, LA 71101
Maine                                                    Portland, ME 04101
Maryland                                                 Baltimore, MD 21201
Massachusetts                                            Boston, MA 02109
Michigan
Eastern District                                         Detroit, MI 48226
Western District                                         Grand Rapids, MI 49503
Minnesota                                                St. Paul, MN 55101
Mississippi
Northern District                                        Oxford, MS 38655
Southern District                                        Jackson, MS 39201
Missouri
Eastern District                                         St. Louis, MO 63101
Western District                                         Kansas City, MO 64106
Montana                                                  Billings, MT 59101
Nebraska                                                 Omaha, NE 68101
Nevada                                                   Las Vegas, NV 89101
New Hampshire                                            Concord, NH 03301
New Jersey                                               Newark, NJ 07102
New Mexico                                               Albuquerque, NM 87103
New York
Northern District                                        Syracuse, NY 13261
Eastern District                                         Brooklyn, NY 11201
Southern District                                        New York, NY 10007
Western District                                         Buffalo, NY 14202
North Carolina
Eastern District                                         Raleigh, NC 27611
Middle District                                          Greensboro, NC 27402
Western District                                         Asheville, NC 28801
North Dakota                                             Bismarck, ND 58502
Northern Mariana Islands                                 Saipan, N. Mar. I. 96950
Ohio
Northern District                                        Cleveland, OH 44114
Southern District                                        Columbus, OH 43215
                                                                          (continued)




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                     Location                                               Postal Address
                     Oklahoma
                     Northern District                                      Tulsa, OK 74103
                     Eastern District                                       Muskogee, OK 74402
                     Western District                                       Oklahoma City, OK 73102
                     Oregon                                                 Portland, OR 97205
                     Pennsylvania
                     Eastern District                                       Philadelphia, PA 19106
                     Middle District                                        Scranton, PA 18501
                     Western District                                       Pittsburgh, PA 15230
                     Puerto Rico                                            Hato Rey, PR 00918
                     Rhode Island                                           Providence, RI 02903
                     South Carolina                                         Columbia, SC 29201
                     South Dakota                                           Sioux Falls, SD 57102
                     Tennessee
                     Eastern District                                       Knoxville, TN 37901
                     Middle District                                        Nashville, TN 37203
                     Western District                                       Memphis, TN 38103
                     Texas
                     Northern District                                      Dallas, TX 75242
                     Southern District                                      Houston, TX 77208
                     Eastern District                                       Tyler, TX 75702
                     Western District                                       San Antonio, TX 78206
                     Utah                                                   Salt Lake City, UT 84101
                     Vermont                                                Burlington, VT 05402
                     Virgin Islands                                         St. Thomas, VI 00801
                     Virginia
                     Eastern District                                       Alexandria, VA 22320
                     Western District                                       Roanoke, VA 24006
                     Washington
                     Eastern District                                       Spokane, WA 99210
                     Western District                                       Seattle, WA 98104
                     West Virginia
                     Northern District                                      Elkins, WV 26241
                     Southern District                                      Charleston, WV 25329
                     Wisconsin
                     Eastern District                                       Milwaukee, WI 53202
                     Western District                                       Madison, WI 53701
                     Wyoming                                                Cheyenne, WY 82001


                     The Inspector General Act of 1978, as amended, created offices of
Inspectors General   Inspector General at federal agencies. Also, some legislative branch
                     agencies, such as GAO, have established offices of inspector general. Their
                     mission is to increase the economy and efficiency of agency programs and
                     decrease fraud, waste, and abuse in federal departments, agencies, and



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designated entities. Offices of inspector general are sources of information
about businesses and related individuals they have investigated or audited.
Most offices of inspector general maintain centralized index and case file
systems. IGnet, hosted by SBA, provides centralized Internet access to
information about the federal inspectors general and links to related
Internet sites. The following table lists inspectors general and provides
their addresses, telephone/fax numbers, and hotline numbers.




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Table 2.4: Federal Inspectors General
Federal Entity/Mailing Addressa                            Telephone Number          Fax Number       Hotline Number(s)
Agency for International Development
320 21st Street, N.W., Room 5756NS                            (202) 647-7844                              (800) 230-6539
Washington, D.C. 20523                                                            (202) 647-5948          (703) 875-4999
Agriculture, Department of                                                                               (800) 424-9121
1400 Independence Avenue, S.W.                                                                           (202) 690-1622
Room 117-W                                                                                             Hearing Impaired
Washington, D.C. 20250-2301                                   (202) 720-8001      (202) 690-1278         (202) 690-1202
Amtrak
400 North Capitol Street, N.W.
Washington, D.C. 20001-1511                                   (202) 906-4600      (202) 906-4564          (800) 468-5469
Appalachian Regional Commission
1666 Connecticut Avenue, N.W.
Room 215                                                                                                  (800) 532-4611
Washington, D.C. 20235                                        (202) 884-7675      (202) 884-7691          (202) 884-7667
Central Intelligence Agency
Washington, D.C. 20505                                        (703) 874-2553      (703) 734-9649                    None
Commerce, Department of                                                                                  (800) 424-5197
Room 7898C                                                                                               (202) 482-2497
14th & Constitution Avenue, N.W.                                                                        Hearing Impaired
Washington, D.C. 20230-0002                                   (202) 482-4661      (202) 482-0567         (800) 854-8407
Commodity Futures Trading Commission
3 Lafayette Centre
1155 21st St., N.W.
Washington, D.C. 20581                                        (202) 418-5110      (202) 418-5522          (202) 418-5510
Consumer Product Safety Commission
4330 East West Highway
Bethesda, MD 20814-4408                                       (301) 504-0573      (301) 504-0107          (301) 504-0573
Corporation for National Service
1201 New York Avenue, N.W.
Suite 8100                                                    (202) 606-5000
Washington, D.C. 20525                                               ext. 445     (202) 565-2795          (800) 452-8210
Corporation for Public Broadcasting
901 E Street, N.W.                                                                                        (800) 599-2170
Washington, D.C. 20004-2037                                   (202) 879-9669      (202) 737-2902          (202) 783-5408
Defense, Department of
400 Army Navy Drive
Arlington, VA 22202-2884                                      (703) 604-8300      (703) 604-8310          (800) 424-9098
Education, Department of
600 Independence Avenue, S.W.                                                                             (800) 647-8733
Washington, D.C. 20202-1510                                   (202) 205-5439      (202) 260-3821          (202) 205-5770
Energy, Department of
1000 Independence Avenue, S.W.                                                                            (800) 541-1625
Washington, D.C. 20585                                        (202) 586-4393      (202) 586-0948          (202) 586-4073
Environmental Protection Agency
401 M Street, S.W.                                                                                        (202) 260-4977
Washington, D.C. 20460                                        (202) 260-3137      (202) 260-0711
                                                                                                              (continued)


                                        Page 45                GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                                          Chapter 2
                                          Federal Agencies




Federal Entity/Mailing Addressa                              Telephone Number          Fax Number       Hotline Number(s)
Equal Employment Opportunity Commission
1801 L Street, N.W., Room 3001                                                                              (800) 849-4230
Washington, D.C. 20507                                          (202) 663-4379      (202) 663-7204          (202) 663-7020
Farm Credit Administration
1501 Farm Credit Drive                                                                                      (800) 437-7322
McLean, VA 22102-5090                                           (703) 883-4030      (703) 883-4059          (703) 883-4316
Federal Communications Commission                                                                           (888) 863-2244
1919 M Street, N.W.                                                                                         (202) 418-0473
Washington, D.C. 20554                                          (202) 418-0470      (202) 418-2811
Federal Deposit Insurance Corporation
801 17th Street, N.W., Room 1096
Washington, D.C. 20434-0001                                     (202) 416-2026      (202) 416-2906          (800) 964-3342
Federal Election Commission
999 E Street, N.W., Room 940
Washington, D.C. 20463-0001                                     (202) 219-4267      (202) 501-8134          (202) 219-4267
Federal Emergency Management Agency
500 C Street, S.W., Room 825
Washington, D.C. 20472-0001                                     (202) 646-3910      (202) 646-3298          (800) 323-8603
Federal Housing Finance Board
1777 F Street, N.W.                                                                                         (800) 276-8329
Washington, D.C. 20006-5210                                     (202) 408-2544      (202) 408-2972          (202) 408-2900
Federal Labor Relations Authority
607 14th Street, N.W.                                                                                       (800) 331-3572
Washington, D.C. 20424-0001                                     (202) 482-6570      (202) 482-6573          (202) 482-6570
Federal Maritime Commission
800 North Capitol Street, N.W.
Room 1072
Washington, D.C. 20573-0001                                     (202) 523-5863      (202) 566-0043          (202) 523-5865
Federal Reserve Board
20th and Constitution Avenue, N.W.
Mail Stop 300                                                                                               (800) 827-3340
Washington, D.C. 20551-0001                                     (202) 973-5001      (202) 973-5044          (202) 452-6400
Federal Trade Commission
601 Pennsylvania Avenue, N.W.
Room H-494
Washington, D.C. 20580                                          (202) 326-2800      (202) 326-2034          (202) 326-2800
General Accounting Office
441 G Street, N.W.                                                                                          (202) 512-7470
Washington, D.C. 20548                                          (202) 512-5748      (202) 512-2539          (800) 424-5454
General Services Administration
18th and F Streets, N.W.                                                                                    (800) 424-5210
Washington, D.C. 20405                                          (202) 501-0450      (202) 208-7607          (202) 501-1780
Government Printing Office
Building 3, Room C551
732 North Capitol Street, N.W.
Washington, D.C. 20401                                          (202) 512-0039      (202) 512-1352          (800) 743-7574
                                                                                                                (continued)




                                          Page 46                GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                                               Chapter 2
                                               Federal Agencies




Federal Entity/Mailing Addressa                                   Telephone Number          Fax Number       Hotline Number(s)
Health and Human Services, Department of
330 Independence Avenue, S.W.
Room 5250
Washington, D.C. 20201                                               (202) 619-3148      (202) 619-0521          (800) HHS-TIPS
Housing and Urban Development, Department of
451 7th Street, S.W.                                                                                             (800) 347-3735
Washington, D.C. 20410-4500                                          (202) 708-0430      (202) 401-2505          (202) 708-4200
Interior, Department of the                                                                                      (800) 424-5081
1849 C Street, N.W.                                                                                                        TDD
Mail Stop 5341                                                                                                   (800) 354-0996
Washington, D.C. 20240                                               (202) 208-5745      (202) 219-3856          (202) 208-5300
International Trade Commission, U.S.
500 E Street, S.W., Room 515
Washington, D.C. 20436                                               (202) 205-2210      (202) 205-1859          (202) 205-2217
Justice, Department of
950 Pennsylvania Avenue, N.W.
Room 4706
Washington, D.C. 20530                                               (202) 514-3435      (202) 514-4001          (800) 869-4499
Labor, Department of
200 Constitution Avenue, N.W.                                                                                    (800) 347-3756
Washington, D.C. 20210                                               (202) 219-7296      (202) 219-5130          (202) 219-5227
Legal Services Corporation
750 First Street, N.E., 10th Floor                                                                               (800) 678-8868
Washington, D.C. 20002-4250                                          (202) 336-8830      (202) 336-8955          (202) 336-8936
National Aeronautics and Space Administration
300 E Street, S.W., Room 8V69
Washington, D.C. 20546                                               (202) 358-1220      (202) 358-2767          (800) 424-9183
National Archives and Records Administration
8601 Adelphi Road, Room 1300                                                                                     (800) 786-2551
College Park, MD 20740-6001                                          (301) 713-7300      (301) 713-7320          (301) 713-6667
National Credit Union Administration
1775 Duke Street                                                                                                 (703) 518-6357
Alexandria, VA 22314-3428                                            (703) 518-6350      (703) 518-6349          (800) 778-4806
National Endowment for the Arts
1100 Pennsylvania Avenue, N.W.
Room 528
Washington, D.C. 20506                                               (202) 682-5402      (202) 682-5649                    None
National Endowment for the Humanities
1100 Pennsylvania Avenue, N.W.
Room 419
Washington, D.C. 20506                                               (202) 606-8350      (202) 606-8329          (202) 606-8423
National Labor Relations Board
1099 14th Street, N.W., Room 9820
Washington, D.C. 20570                                               (202) 273-1960      (202) 273-2344          (800) 736-2983
National Science Foundation
4201 Wilson Boulevard, Room 1135
Arlington, VA 22230-0002                                             (703) 306-2100      (703) 306-0649          (703) 306-2004
                                                                                                                     (continued)




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                                       Federal Agencies




Federal Entity/Mailing Addressa                           Telephone Number           Fax Number       Hotline Number(s)
Nuclear Regulatory Commission
Mail Stop T5D28
Washington, D.C. 20555-0002                                   (301) 415-5930      (301) 415-5091          (800) 233-3497
Office of Personnel Management                                                                            (202) 606-2423
1900 E Street, N.W., Room 6400                                                                           Health insurance
Washington, D.C. 20415-0001                                                                                        fraud -
                                                              (202) 606-1200      (202) 606-2153          (202) 418-3300
Panama Canal Commission (in Panama)                                                                   (800) 622-2625 ext.
Unit 2300                                                 (800) 622-2625 ext.                                   272-7801
APO AA 34011-2300                                                   272-3142                None           Pan. 272-7801
Peace Corps
1990 K Street, N.W.
Washington, D.C. 20526                                        (202) 606-3320      (202) 606-2459          (800) 233-5874
Pension Benefit Guaranty Corporation
1200 K Street, N.W.
Washington, D.C. 20005                                        (202) 326-4030      (202) 326-4033          (800) 303-9737
Postal Service, U.S.
475 L’Enfant Plaza, Room 2016                                 (202) 268-5600
Washington, D.C. 20260-0020                                                       (202) 268-5623          (202) 268-6686
Railroad Retirement Board
844 North Rush Street, Room 450                                                                           (800) 772-4258
Chicago, Illinois 60611-2092                                  (312) 751-4690      (312) 751-4342          (312) 751-4336
Securities and Exchange Commission
450 5th Street, N.W. (11-7)
Washington, D.C. 20549                                        (202) 942-4460      (202) 942-9653                    None
Small Business Administration
409 3rd Street, S.W., Room 7150                                                                           (800) 767-0385
Washington, D.C. 20416-0005                                   (202) 205-6586      (202) 205-7382          (202) 205-7151
Smithsonian Institution
955 L’Enfant Plaza, S.W., Room 7600
Mail Stop 905
Washington, D.C. 20560-0001                                   (202) 287-3326      (202) 287-3017          (202) 287-3676
Social Security Administration                                                                            (800) 269-0271
6401 Security Boulevard, Suite 300                                                                         SSA employee
Altmeyer Building                                                                                         (800) 772-1213
Baltimore, MD 21235                                           (410) 966-8337      (410) 966-9201            SSA program
State, Department of
Room 6817
2201 C Street, N.W.                                                                                       (202) 647-3320
Washington, D.C. 20520-0001                                   (202) 647-9450      (202) 647-7660
Tennessee Valley Authority
400 West Summit Hill Drive
Knoxville, TN 37902-1499                                      (423) 632-4120      (423) 632-4130          (800) 323-3835
Transportation, Department of
400 7th Street, S.W., Room 9210                                                                           (800) 424-9071
Washington, D.C. 20590                                        (202) 366-1959      (202) 366-3912          (202) 366-1461
                                                                                                              (continued)




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                                         Federal Agencies




Federal Entity/Mailing Addressa                                    Telephone Number                Fax Number        Hotline Number(s)
Treasury, Department of the
1500 Pennsylvania Avenue, N.W.
Main Treasury Building
Room 2418
Washington, D.C. 20220-0002                                              (202) 622-1090         (202) 622-2073          (800) 359-3898
Veterans Affairs, Department of
810 Vermont Avenue, N.W.                                                                                                (800) 488-8244
Washington, D.C. 20420-0001                                              (202) 565-7702         (202) 565-7630          (202) 565-8644

                                         a
                                          Federal Inspectors General may also be reached via the Internet on IGnet
                                         (http://www.sbaonline.sba.gov/ignet/internal/iglist.html).



                                         The following table provides web addresses for federal agencies, most of
                                         which are discussed in this chapter.


Table 2.5: Federal Agency Internet Addresses
Federal Agency                                                             Internet Address
Cabinet-Level Departments and
  Associated Agencies
Department of Agriculture                                                  http://www.usda.gov
Department of Commerce                                                     http://www.doc.gov
Department of Defense                                                      http://www.dtic.dla.mil/defenselink
Department of Education                                                    http://www.ed.gov
Department of Energy
Federal Energy Regulatory                                                  http://www.fedworld.gov/ferc/ferc.html
  Commission
Department of Health and Human                                             http://www.os.dhhs.gov
  Services
Food and Drug Administration                                               http://www.fda.gov
Department of Housing and Urban                                            http://www.hud.gov
Development
Department of the Interior                                                 http://www.doi.gov
Department of Justice                                                      http://justice2.usdoj.gov
Drug Enforcement Administration                                            http://www.usdoj.gov/dea/deahome.htm
Federal Bureau of Investigation                                            http://www.fbi.gov
Immigration Naturalization                                                 http://www.usdoj.gov/ins/245.htm/#257
  Service
United States Marshals Service                                             http://www.gopher.usdoj.gov/bureaus/usm.html
Department of Labor                                                        http://www.dol.gov
Department of State                                                        http://www.state.gov
Department of Transportation                                               http://www.dot.gov
Federal Aviation Administration                                            http://www.faa.gov
U.S. Coast Guard                                                           http://www.dot.gov/dotinfo/uscg
                                                                                                                           (continued)



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Federal Agency                                          Internet Address
Department of the Treasury                              http://www.ustreas.gov
Bureau of Alcohol, Tobacco and                          http://www.ustreas.gov/bureaus
   Firearms
Bureau of Engraving and Printing                        http://www.ustreas.gov/bureaus
Bureau of Public Debt                                   http://www.ustreas.gov/bureaus
Federal Law Enforcement                                 http://www.ustreas.gov/bureaus
Training Center                                         http://www.ustreas.gov/bureaus
Financial Crimes Enforcement                            http://www.ustreas.gov/bureaus
   Network
Financial Management Service                            http://www.ustreas.gov/bureaus
Internal Revenue Service                                http://www.ustreas.gov/bureaus
Office of the Comptroller of the                        http://www.ustreas.gov/bureaus
   Currency
Office of Thrift Supervision                            http://www.ustreas.gov/bureaus
U.S. Customs Service                                    http://www.ustreas.gov/bureaus
U.S. Mint                                               http://www.ustreas.gov/bureaus
Treasurer of the United States                          http://www.ustreas.gov/bureaus
U.S. Secret Service
Veterans Affairs                                        http://www.va.gov
Banks and Related Federal
  Administrations and Corporations
Export-Import Bank                                      http://www.exim.gov
Federal Deposit Insurance                               http://www.fdic.gov
  Corporation
Federal Reserve System                                  http://www.bog.frb.fed.us
National Credit Union                                   http://www.ncua.gov
  Administration
Independent Establishments and
  Government Corporations
Commodity Futures Trading                               http://www.cftc.gov/cftc
  Commission
Federal Communications                                  http://www.fcc.gov
  Commission
General Services Administration                         http://www.gsa.gov
National Aeronautics and Space                          http://www.nasa.gov
  Administration
National Archives and Records                           http://www.nara.gov
  Administration
Amtrak                                                  http://www.amtrak.com
Nuclear Regulatory Commission                           http://www.nrc.gov
Securities and Exchange                                 http://www.sec.gov
  Commission
Small Business Administration                           http://www.sba.gov
Social Security Administration                          http://www.ssa.gov
U.S. Postal Service                                     http://www.usps.gov
U.S. Postal Inspection Service                          http://www.usps.gov/websites/depart/inspect/
                                                        jurisdic.htm
                                                                                                       (continued)


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Federal Agency                                   Internet Address
Legislative Branch Agencies
General Accounting Office                        http://www.gao.gov
Government Printing Office                       http://www.gpo.gov




                              Page 51            GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Chapter 3

Directories, Reference Works, and Other
Sources


Directory About
Directories

Directories in Print     This annual publication thoroughly describes and indexes about 15,000
                         directories of all kinds, including business and industrial directories,
                         professional and scientific rosters, state and city directories, and foreign
                         and international directories. Arrangement is by broad subject category,
                         and indexing is by subject, title/keyword, and alternative (electronic)
                         format. A mid-year supplement adds approximately 700 titles per year.
                         Directories in Print is available electronically through a commercial
                         database.



Directories Focusing
on Businesses

America’s Corporate      Volumes 1 and 2 of this 3-volume annual Dun & Bradstreet directory list
Families                 approximately 11,000 parent companies and over 79,000 subsidiary
                         companies and divisions owned by the parent companies. Parent
                         companies must have at least two locations, 250 employees, and one
                         subsidiary to be included in volumes 1 and 2 of the directory. Volume 3 is
                         the international companion to volumes 1 and 2 and lists approximately
                         7,100 parent companies and 34,000 subsidiaries in the United States and
                         overseas. A company must have at least one U.S. company and one
                         subsidiary elsewhere to be listed in volume 3. Parent company entries are
                         alphabetically arranged and indexes of parent companies and subsidiaries
                         are listed by name, location, and industrial code.


Best Insurance Reports   The annual editions of the Best Insurance Reports (Life-Health and
                         Property-Casualty) present detailed information on the financial position,
                         investments, earnings, operating results, management, history, and group
                         affiliation of 4,950 U.S. and 1,100 international insurance companies. This
                         material is the basis for Best’s credit rating of each company. Weekly
                         updates in Best Week Insurance News and Analysis cover individual
                         corporate rating changes, general insurance news stories, financial
                         reports, executive announcements, and Washington and international
                         events. Best’s Rating Monitor charts rating changes on a similar schedule.




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                             Chapter 3
                             Directories, Reference Works, and Other
                             Sources




Directory of Companies       Published by GPO, this directory lists over 14,000 companies that sell stock
Filing Annual Reports With   on the national exchanges or over the counter and that file annual reports
the Securities and           with SEC. Entries are arranged alphabetically by name and numerically by
                             standard industrial classification code. This directory distinguishes
Exchange Commission          between public and private parent companies.
Under the Securities
Exchange Act of 1934
Directory of Corporate       This 3-volume annual directory provides information on almost 150,000
Affiliations—Who Owns        public and private parent, subsidiary, and associate companies in the
Whom                         United States and overseas. Entries are arranged first by the parent’s
                             location, and then hierarchically by the company’s organization. Criteria
                             for inclusion is revenue in excess of $10 million or a work force in excess
                             of 300 for U.S. companies, and revenue in excess of $50 million for
                             non-U.S. firms. A 2-volume master index provides access by company
                             name, brand name, location, personnel, and standard industrial
                             classification code.


Dun & Bradstreet’s Million   This 3-volume annual Dun & Bradstreet directory contains information on
Dollar Directory             over 20,000 public and 140,000 private utilities, transportation companies,
                             banks, trust companies, mutual and stock insurance companies,
                             wholesalers, and retailers. The type of information available includes
                             annual sales, corporate officers, locations, phone numbers, type of
                             business, and number of employees. To be included in the directory, a
                             company must be a headquarters or a single location and have 250 or more
                             employees, $25 million or more in sales, or a net worth of $500,000 or
                             more. Company names are arranged alphabetically. A 2-volume index is
                             arranged by location and standard industrial classification code.


Financial Yellow Book        This directory lists over 41,000 top executives at leading financial
                             institutions from chief executives to subject-area officers and over 8,500
                             board members and their affiliations. The directory has five indexes—on
                             company, parent organization, geographical location, financial services
                             rendered, and individual name.


Foreign Representatives in   This directory has sections on foreign corporations, foreign-based
the U.S. Yellow Book         financial institutions, foreign governments (embassies and consulates),
                             intergovernmental organizations, non-U.S. media, and personnel who




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                             Chapter 3
                             Directories, Reference Works, and Other
                             Sources




                             represent foreign corporations and government in the United States. It
                             includes officials’ titles, addresses, and telephone and fax numbers.


Moody’s International        This manual contains background and financial information on over 3,000
Manual                       foreign firms. It is arranged by country and gives economic and political
                             information and statistics for each geographical area. It provides statistical
                             information regarding foreign stock exchanges, consumer price indexes,
                             money market rates, imports, and exports.


Moody’s Investors Services   Moody’s broad business sector manuals cover companies whose stock is
                             traded in the New York and American stock exchanges, regional American
                             stock exchanges, and in over-the-counter transactions. Each entry
                             contains history and background; data on acquisitions, mergers, and
                             subsidiaries; business and product descriptions; names and titles of
                             officers and directors; number of stockholders and employees; location of
                             plants and properties; the headquarters phone number and address; and
                             financial statements. Separate annual volumes with weekly supplements
                             cover industries, transportation, utilities, and banking. Another series
                             supplies detailed data on corporate and government bond sales and
                             ratings.


Predicasts Funk and Scott    Issued weekly and cumulated monthly, quarterly, and annually, this
Index, United States         directory indexes articles on products, companies, and industries that
                             appear in most business periodicals and newspapers. Funk and Scott also
                             publishes the quarterly Index of Corporate Change, which lists recent
                             business activities such as mergers and acquisitions. The indexes are
                             available on CD-ROM.


Standard & Poor’s            Originally provided to Standard & Poor subscribers, this directory is now
Corporation Records          available on CD-ROM. The records cover over 12,000 publicly traded
                             companies and 34,000 subsidiaries, affiliates, and privately held firms.
                             Coverage consists of a company’s brief history, financial statements,
                             capital structure, lines of business, subsidiaries, and officers and directors.
                             Information on 70,000 executives is also available.


Standard & Poor’s Register   This 3-volume annual directory lists about 56,000 public and private
of Corporations, Directors   companies and the names and titles of over 400,000 officials. Company
and Executives               information—similar to that provided by the Dun & Bradstreet and Moody


                             Page 54                       GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                          Chapter 3
                          Directories, Reference Works, and Other
                          Sources




                          directories—includes financial data, standard industrial classification code
                          products and services, and number of employees. Indexing is by standard
                          industrial classification code, geographical area, and
                          subsidiaries/divisions/affiliates. The set is updated in April, July, and
                          October.



Directories Focusing
on Individuals

American Medical           Published by the American Medical Association, this source contains
Directory2                listings for the presidents and secretaries of all county medical
                          associations. The directory also has listings of doctors—by state and city,
                          year of birth, medical school and year of graduation, year of license,
                          residence and office addresses, specialties, and membership in associated
                          medical organizations. A name index of all doctors is provided.


Congressional Directory   This directory is prepared by the Joint Committee on Printing and is the
                          official directory of the Congress. It presents short bibliographies of each
                          Member of the Senate and the House—listed by states and districts,
                          respectively—and includes additional data such as his/her committee
                          memberships, terms of service, administrative assistant and/or secretary,
                          and room and telephone numbers. The Congressional Directory also lists
                          officials of the courts; the military establishments; and other federal
                          departments and agencies, including the District of Columbia government,
                          governors of states and territories, foreign diplomats, and members of the
                          press, radio, and television galleries. The directory is available both in
                          paper format and on-line. The database is updated irregularly as changes
                          are provided by the Joint Committee on Printing.


Congressional Staff       One of a series of directories produced by the Congressional Quarterly,
Directory                 this directory has an extensive section on congressional staff biographies.

                          2
                           In addition to the directories focusing on individuals that are listed in this section, several other
                          directories cited in this chapter—under other sections—contain information about individuals. These
                          other directories are the Associations Yellow Book; Directory of Corporate Affiliations—Who Owns
                          Whom; Dun & Bradstreet’s Million Dollar Directory; Law Firms Yellow Book; Martindale-Hubbell Law
                          Directory; Moody’s Bank and Finance Manual; National Directory of Law Enforcement Administrators,
                          Prosecutors, Correctional Institutions, and Related Agencies; National Trade and Professional
                          Associations in the United States; Standard & Poor’s Corporation Records; Standard & Poor’s Register
                          of Corporations, Directors and Executives; and Thomson Bank Directory.



                          Page 55                           GAO/OSI-97-2 Investigators’ Guide to Sources of Information
                        Chapter 3
                        Directories, Reference Works, and Other
                        Sources




                        Two lists—one of large-city mayors and the other of state governors—are
                        also helpful, as are two indexes—key word/subject and
                        individual/personal name. This source is updated every 4 months.


Congressional Yellow    This source has extensive lists of office staff for and party posts of each
Book                    member of the Congress. Additionally, it is updated quarterly and has a
                        three-part index by staff, organization, and subject. It also contains
                        biographical information.


Corporate Yellow Book   This is a directory of the people who manage, direct, and shape the largest
                        public and privately held companies in the United States. It enables
                        subscribers to access corporate leaders, including board members who
                        are taking increased responsibility for corporate decisionmaking. The
                        directory features (1) over 1,000 leading corporations and over 7,500
                        subsidiaries and divisions; (2) names and titles of over 45,000 executives,
                        including more than 10,000 corporate board members and their outside
                        affiliations; (3) over 18,700 direct-dial telephone numbers of executives;
                        (4) business descriptions and annual revenues; (5) addresses, telephone
                        and fax numbers, and Internet addresses of corporate headquarters and
                        domestic and foreign subsidiaries and divisions; and (6) Washington, D.C.,
                        government affairs offices, with addresses and telephone and fax
                        numbers.


Defense Organization    From Carroll Publishing Company, this service provides coverage
Service                 exclusively for the DOD. Detailed charts describe the organization and list
                        the staff of the Office of the Secretary, the Joint Chiefs of Staff, the unified
                        commands, and the individual services. Indexes reference locations,
                        acronyms, key words, personal names, and program elements. This source
                        is updated monthly.


Federal Organization    This loose-leaf chart produced by Carroll Publishing Company provides
Service                 names, addresses, and telephone numbers for staff members in the White
                        House, executive departments, independent agencies, quasi-governmental
                        organizations, and congressional support offices. It has name and key
                        word indexes and it is updated monthly. Due to its high cost and
                        time-consuming maintenance, it is mostly available at selected federal
                        government libraries.




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                            Chapter 3
                            Directories, Reference Works, and Other
                            Sources




Federal Regional Yellow     This yellow book describes federal regional offices located outside
Book                        Washington, D.C. It contains over 3,000 regional directors and over 29,000
                            administrative staff of federal departments and agencies. It also has
                            information on administrators and professional staff at federal
                            laboratories, research centers, military installations, and service
                            academies.


Federal Staff Directory     Another Congressional Quarterly tool, this item is similar to the Federal
                            Yellow Book. One of its strong points is its “Quasi-Official, International
                            and Non-Government Organizations” section that describes the mission
                            and lists the staff of almost 50 such organizations. In addition, it contains
                            over 2,600 biographies of key executives and senior staff as well as entries
                            for U.S. ambassadors to other countries and other countries’ ambassadors
                            to the United States. It is indexed by key word/subject and
                            individual/personal name. It is updated semiannually.


Federal Yellow Book         This quarterly publication provides detailed listings of the names,
                            locations, and telephone numbers of more than 40,000 staff members in
                            the White House, the executive departments, and the independent
                            agencies. Like its congressional counterpart, it has subject, organization,
                            and staff indexes. Over 4,000 fax numbers and e-mail addresses are also
                            included.


Government Affairs Yellow   This yellow book lists over 18,000 government affairs professionals who
Book                        lobby at both the state and federal levels. It details the issues the lobbyists
                            contest as well as the coalitions they form to advance their legislative
                            agenda. Five indexes are included—on organization, subject, current
                            legislative issues, geographical location, and individual name. Biographical
                            data is included on each professional.


Judicial Yellow Book        This directory provides detailed biographical information for state and
                            federal judges and gives information on each judge’s staff, including law
                            clerks. It features more than 2,000 judges in the federal court system and
                            more than 1,200 state judges of the highest appellate courts.


Municipal Yellow Book       This directory provides information on over 30,000 elected and appointed
                            officials in U.S. cities, counties, and authorities, including name, address,



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                           and telephone and fax numbers. It contains sections on cities and
                           counties, which feature complex hierarchies of municipal officials. This
                           directory also has listings for local departments, agencies, subdivisions,
                           and branches.


State Yellow Book          This directory provides information on who’s who in the executive and
                           legislative branches of the 50 state governments, as well as American
                           Samoa, Guam, Puerto Rico, and the Virgin Islands. It has both a subject
                           and personnel index and includes information on government officials,
                           departments, agencies, and legislative committees. Informational profiles
                           of all states and territories are also provided.


Who’s Who Series           This biennial series of international, U.S., regional, and professional
                           biographical sources contains information submitted by the individual at
                           the request of the publisher. Who’s Who in America contains entries for
                           over 100,000 nationally prominent individuals, and the regional and
                           professional volumes cover many thousands more people who are
                           renowned in a locality or an occupation. Each entry includes information
                           about an individual’s family, schooling, profession, writings, and awards
                           and about offices held by the individual. Indexing is by location,
                           profession, who retired, and who died. Non-U.S.-wide titles, while
                           following the same format as U.S. entries, do not have indexes.



Directories of
Associations

Associations Yellow Book   This is a directory of major trade and professional associations.
                           Semiannual editions of the Associations Yellow Book provide current
                           information on chief staff executive turnovers, changes in staff and
                           governing boards, mergers, and name changes. It features (1) over 45,000
                           officers, executives, and staff, with titles, affiliations, education, and
                           telephone and fax numbers, at more than 1,175 associations with budgets
                           over $1 million; (2) addresses and e-mail addresses and telephone and fax
                           numbers of headquarters and branches, and Internet addresses for
                           headquarters; (3) boards of directors, with outside affiliations;
                           (4) committees and chairmen, Washington representatives, political action
                           committees, and foundations; (5) publications, including editors; and



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                            (6) annual budget, tax status, number of employees, and number of
                            members.


Encyclopedia of             This 4-volume annual directory describes more than 22,000 nonprofit
Associations                associations in the United States and some foreign countries. Each entry
                            includes the organization’s name, address, telephone and fax numbers,
                            purpose, recurring publications, and computer services. A 2-volume set
                            covering more than 15,000 international organizations is also available.
                            Since the books are alphabetically arranged by subject, keyword, and
                            name, it is important to use the name, keyword, geographical, or executive
                            index. These resources are also available as a commercial computer
                            database file or on CD-ROM.


National Trade and          This annual directory lists about 7,500 active U.S. national trade and
Professional Associations   professional associations, labor unions, scientific societies, and technical
in the United States        organizations. Alphabetically arranged entries contain the name, location,
                            telephone and fax numbers, executives’ names, history, recurring
                            publication titles, budget amount, membership count, and annual meeting
                            times. The directory has subject, geographical, budget, executive,
                            acronym, and management firm indexes.



Directories of Banks
and Financial
Institutions

Moody’s Bank and Finance    This 4-volume annual manual covers the field of finance represented by
Manual                      banks (including trust companies and savings and loan associations),
                            federal government financial agencies, insurance companies, investment
                            companies, unit investment trusts, and miscellaneous financial
                            enterprises. Information is also given on real estate companies and real
                            estate investment trusts. Material for the manual (history, subsidiaries,
                            officers, directors, financials, policies, and property) comes from the
                            institutions themselves, the stock exchanges, or SEC filings.


Moody’s News Reports        These reports are weekly supplements to the annually published Moody’s
                            manuals which provide information on more than 30,000 publicly traded



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                         companies worldwide, and 20,000 municipal and government entities.
                         There are currently eight manuals and corresponding News Reports,
                         grouped according to size of company, exchanges traded on, and nature of
                         business. The objective of News Reports is to inform customers of
                         announcements that may affect companies’ financial condition, stability,
                         and growth by providing reports on their financial, structural, operational,
                         legal, capital, and market activities.


Thomson Bank Directory   This semiannual directory in 4 volumes is a guide to all U.S. and non-U.S.
(replaces the Rand       banks. Entries include the name, address, and telephone number of the
McNally Bankers          bank; type of charter; funds processor; automated clearinghouse; holding
                         company; asset rank; financial figures; balance sheets; officers and
Directory)               directors; branches; subsidiaries; and foreign offices.



Law Firm and Law
Enforcement
Directories

Law Firms Yellow Book    This directory has information on 715 of the largest corporate law firms in
                         the United States. It focuses on the 4,500 administrators and 10,000
                         attorneys in these firms, and it is indexed by specialties, law schools,
                         management/administrative personnel, geography, and personnel. It is
                         updated semiannually.


Martindale-Hubbell Law   This 19-volume annual directory contains over 900,000 entries consisting
Directory                of profiles of law firms, corporate law departments, state bar associations,
                         and law schools; biographies of lawyers in private and corporate practice;
                         and descriptions of legal service, supplier, and consultant firms in the
                         United States and Canada. Indexing is by individual, firm, specialty, and
                         geographic area. The 4-volume International Law Directory, which is part
                         of the 19-volume work, has similar entries and indexes for non-U.S. and
                         non-Canadian firms and individuals. It includes law digests for 140
                         countries and is available electronically on CD-ROM and LEXIS.




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National Directory of Law     This annual source lists the following information: names, addresses,
Enforcement                   telephone numbers, and fax numbers of city chiefs of police, county
Administrators,               sheriffs, district attorneys, state highway patrols, and federal law
                              enforcement agencies.
Prosecutors, Correctional
Institutions, and Related
Agencies

Lloyd’s Directories
About the Shipping
Industry

List of Shipowners            This list includes over 40,000 owners, managers, and managing agents for
                              vessels listed in the Register of Ships. It is published annually in August
                              and includes postal addresses; telephone, telex, and telefax numbers; fleet
                              lists; and a geographical index. Subscribers receive eight cumulative
                              supplements with the list.


Register of International     This register is available in 3 volumes annually (April, August, and
Shipowning Groups             December). The register is indexed by ship and company name and lists
                              20,000 companies operating on ships of at least 1,000 gross tons or more;
                              ownership of 30,000 ships; registered owners, grouped by ship
                              management company; and subsidiaries and associate companies,
                              identified together with owners’ representatives.


Register of Offshore Units,   This register is published annually in October. It contains sections listing
Submersibles and              mobile drilling rigs, submersibles, underwater systems, work units (ships,
Underwater Systems            barges, and platforms) used for a variety of offshore work, owners, and
                              addresses of offshore support ships with their fleet lists.


Register of Ships             This register is published in 3 volumes annually in July, listing details of
                              over 80,000 merchant ships. Cumulative monthly supplements are
                              provided to update the volumes.


Shipping Index                This index is published every week with reports on current voyages, latest
                              reported movements, and essential characteristics of approximately 22,000



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                              merchant vessels worldwide. There are three sections in the index: (1) the
                              World Fleet Details section which lists 22,000 vessels engaged in
                              oceangoing trade and records over 40,000 changes to their ownership,
                              characteristics, latest positions, and casualty histories; (2) the Marketing
                              Briefing section which highlights major changes in the market, from
                              launches and name changes to demolition sales; and (3) the Buyer’s Guide
                              which lists products and services directly related to the world’s marine
                              market.


Voyage Record                 This record details the recent voyage history of 22,000 vessels in
                              commercial service by reporting movements collected continuously by
                              Lloyd’s agents worldwide. It is a companion to the Shipping Index, which
                              lists the historical movements of vessels.


Weekly List of Alterations    This list is a noncumulative set of amendments—in alphabetical order by
to the Register of Ships      ship name—to details published in the Register of Ships. Although the
                              amendments will appear in the monthly supplements, the Weekly List is
                              intended for those who need to receive updated information expeditiously.



Other Directories,
Indexes, and
Reference Works

Biological and Agricultural   This monthly source, which cumulates quarterly and annually, is an
Index                         alphabetically arranged subject index to English-language periodicals.
                              Subjects include agricultural chemicals, agricultural economics,
                              agricultural engineering, agriculture and agricultural research, animal
                              husbandry, biochemistry, biology, biotechnology, botany, ecology,
                              entomology, environmental science, fishery sciences, food science,
                              forestry, genetics and cytology, horticulture, marine biology and
                              limnology, microbiology, nutrition, physiology, plant pathology, soil
                              science, veterinary medicine, and zoology. A separate listing of book
                              review citations follows the subject entries.


Gale Directory of             This directory provides detailed descriptions of over 5,900 data bases
Databases                     worldwide that are available on-line. Its scope includes all types of



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                             databases in all subject areas. Information under each entry is organized
                             for rapid retrieval via computer. Producer contact information is also
                             included with each entry.


Gale Directory of            This 3-volume annual directory contains information on 38,000 serial
Publications and             publications printed in the United States, Canada, Bermuda, and the
Broadcast Media              Philippines as well as data on radio and television stations and cable
                             systems. Arrangement is alphabetical by location, name, and media type.
(Formerly Ayer Directory     The information given about each publication includes its address, phone
of Publications)             number, frequency of publication, names of editors and publishers,
                             advertising rate, and circulation. Material on electronic media includes
                             programming formats, network affiliations, operating hours, key
                             personnel, advertising rates, and wattage. Indexes of publishers and
                             subjects are included, as are maps showing sites where media originates.


Index to Legal Periodicals   This source covers English-language articles from over 600 regularly
                             published legal periodicals, bar association reports, and judicial council
                             reports of the United States, United Kingdom, Canada, Ireland, Australia,
                             and New Zealand. Arrangement is alphabetical by subject and author.
                             Electronic access is available on the WilsonLine commercial database and
                             on CD-ROM.


Index Medicus                This monthly classified index of the world’s biomedical literature
                             (including research, clinical practice, administration, policy issues, and
                             health care services) is produced by the National Library of Medicine. It
                             covers publications in all principal languages and includes periodical
                             articles and other analytical material as well as books, pamphlets, and
                             theses. The January issue includes lists of the periodicals indexed and
                             medical subject headings used. Quarterly and annual cumulations are
                             provided, and electronic access via commercial databases and CD-ROM is
                             also available.


News Media Yellow Book       Over 31,000 reporters, writers, editors, and producers at more than 2,900
                             national news media organizations are listed in this yellow book. It
                             features 12 media categories—on newspapers, news services, and
                             bureaus; television, radio, and cable stations and networks; publishers;
                             independent journalists; and consumer, trade, and association magazines.
                             This directory is fully updated on a quarterly basis.



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Public Affairs Information   This subject index to the articles, books, documents, microfiche,
Service                      pamphlets, and reports in the public affairs field is published monthly and
                             cumulated annually. Each year, it includes selective indexing to more than
                             1,600 periodicals and 8,000 books from around the world. It contains
                             factual and statistical information about political science, government,
                             legislation, economics, and sociology. It is also available electronically via
                             CD-ROMs and commercial databases.


Reader’s Guide to            This guide indexes articles by subject and author in over 225 popular
Periodical Literature        magazines. It is published semimonthly and cumulates annually. Each
                             entry includes the article’s author, title, and pages as well as the
                             periodical’s title, volume, and date. The presence of graphic material is
                             also noted. This tool is also available electronically on a commercial
                             database and on CD-ROM.


The New York Times Index     This source, published semimonthly and cumulated annually, includes an
                             exact reference to the date, section, page, and column of The New York
                             Times edition in which articles will be found. It contains cross references
                             to names and related topics and has a brief synopsis of articles. Electronic
                             access to the index is available in many forms from many sources:
                             searchable, full-text files in the NEXIS and Dow Jones databases; a
                             searchable, full-text CD-ROM called The New York Times ONDISC; and a
                             searchable, full-text Internet site known as THE NEW YORK TIMES ON
                             THE WEB.

                             Similar resources exist for many large-city newspapers in the United
                             States, including the Wall Street Journal and The Washington Post.



Other Sources

Abstract and Title           Abstract and title companies generally develop an overview of the
Companies                    property, examine the title for liens and other conditions, and prepare a
                             commitment to insure. Information contained in supporting records may
                             include transfer of property, locations, mortgage amounts, and releases of
                             mortgages.




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Better Business Bureaus       Better Business Bureaus are independently operated by Council of Better
                              Business Bureaus in various localities. They (1) maintain records showing
                              the manner in which listed merchants or businesses operate and
                              (2) record and investigate complaints filed against such merchants or
                              businesses.


Bonding Companies             An application for a bond contains the applicant’s (person or firm)
                              financial statement and data. This is essentially the same information as
                              required in loan applications but in greater detail.


Car Fax                       Car Fax is a private service that provides a history of automobiles. It
                              determines whether there is an odometer discrepancy or evidence of prior
                              salvage or title washing. It covers most of the United States and contains
                              over 45 million problem records for over 18 million vehicles.


Credit-reporting Agencies     Routine credit bureau records will disclose identifying information limited
                              to name, address, former address, or current/former places of
                              employment. They may also provide information concerning the number
                              of persons in the family, addresses, bank accounts maintained, and record
                              of judgments. However, in most instances, such information can not be
                              used unless obtained through a grand jury subpoena. (Full-service
                              databases—Equifax; Trans Union; and Experian, formerly TRW—are
                              discussed in chapter 4.)


International Air Transport   This association has information on all international matters dealing with
Association                   aviation security, including counterterrorism efforts worldwide. It also
                              monitors and attempts to prevent fraud against airlines, such as ticket
                              fraud.


International Foundation      IFAR is a non-profit organization established in 1969 to help prevent the
for Art Research (IFAR)       circulation of forged and misattributed works of art. IFAR offers an
                              Authentication Service to help resolve controversies concerning the
                              authenticity of works of art. IFAR also publishes IFARreports ten times a
                              year with articles on authentication research, art law, theft and recovery,
                              and extensive listings of recently reported stolen and missing art and
                              antiques. The IFAR can be contacted at (212) 391-6234.




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                          See chapter 4 for information on the Art Loss Register.


National Association of   This association is the organization of insurance regulators from the 50
Insurance Commissioners   states, the District of Columbia, and the 4 U.S. territories. It provides a
                          forum for the development of policy when uniformity is appropriate. A
                          state regulator’s primary responsibility is to protect the interests of
                          insurance consumers and the association helps regulators fulfill that
                          obligation.


Phonefiche                The Phonefiche Community Cross-Reference Guide is divided into three
                          parts—U.S. directories, Canadian directories, and Puerto Rican
                          directories—and each part is subdivided into sections entitled Community
                          Index and Directory Coverage. The guide is both a compendium to
                          Phonefiche and an independent reference tool. It facilitates the use of
                          telephone directories in any format and provides search assistance for
                          directories included in the Phonefiche program.

                          The guide includes a revised listing of all United States, Canadian, and
                          Puerto Rican telephone books arranged in alphabetical order by state or
                          province.


Select Phone              This six-disk CD-ROM set provides telephone numbers from millions of
                          residential and commercial listings across the United States. Searchable
                          elements include name, street, city, state, zip code, area code, telephone
                          number, and standard industrial classification code. Search results can be
                          sorted, printed, or downloaded. Currency is indicated by the month and
                          the year a listing appeared in a printed directory. This set is updated
                          quarterly.


Western Union             Western Union (1) offers commercial financial and messaging services to
Corporation               businesses as well as worldwide fund transfer services to individuals and
                          businesses and (2) maintains records of these transactions.




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Government
Investigative and Law
Enforcement
Databases

Canadian Interface           The Canadian Interface is a semiautomated link between law enforcement
                             information networks of the United States and Canada. It allows the 50
                             states, federal agencies that are members of the National Law
                             Enforcement Telecommunications System, and their Canadian
                             counterparts to exchange police information through the National Law
                             Enforcement Telecommunications System, using the INTERPOL National
                             Central Bureaus in Washington and Ottawa as the necessary interface.

                             See the discussion in this chapter on the National Law Enforcement
                             Telecommunications System for the type of information available from the
                             Canadian Interface.


Central Index System (CIS)   CIS is an INS system that assists in locating files that contain information on
                             legal immigrants, naturalized citizens, and aliens who have been formally
                             deported or excluded. CIS also contains information on some aliens who
                             have come to the attention of INS because of an investigation or an
                             application for benefits. Available information usually includes name,
                             birthdate, nationality, applicable INS files control office, date of entry, and
                             immigration status. The immigration status should not be considered
                             definitive unless confirmed by an INS officer.

                             Local INS offices or the El Paso Intelligence Center can provide directions
                             to the appropriate state coordinator. Requests may be made by providing
                             either a file number or name and birthdate. The El Paso Intelligence
                             Center is discussed further later in this chapter.

                             Also, see the discussion in this chapter on INS’ Law Enforcement Support
                             Center, the point of contact for federal, state, and local criminal justice
                             agencies that want to know the immigration status of a suspect alien
                             arrested for committing an aggravated felony.


Consular Lookout and         The Department of State’s CLASS consists of an automated database of
Support System (CLASS)       several million names including those of aliens who have been found



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                              ineligible for visas; those whose visa applications require a Department of
                              State opinion prior to issuance; and those who might be ineligible for a
                              visa should they apply for one. CLASS also includes the network of
                              telecommunication lines linking diplomatic posts to the Washington, D.C.
                              computer and the terminals used for CLASS access at posts abroad.


Defense Central and           DCIIis the automated central repository that identifies investigations
Investigations Index (DCII)   conducted by DOD investigative agencies and personnel security
                              determinations made by DOD adjudicative authorities.

                              DCIIis an unclassified system that is operated and maintained by the
                              Defense Investigative Service. Access is limited to DOD and other federal
                              agencies with adjudicative, investigative, and/or counterintelligence
                              missions. Information contained in the DCII is protected by the Privacy Act
                              of 1994.

                              The DCII database consists of an alphabetical index of names and titles of
                              individuals that appear as subjects, cosubjects, victims, or
                              cross-referenced incidental subjects in investigative documents
                              maintained by DOD criminal, counterintelligence, fraud, and personnel
                              security investigative activities. In addition, personnel security
                              determinations are maintained, by subject, in DCII.


El Paso Intelligence Center   EPIC is a cooperative established to collect, process, and disseminate
(EPIC)                        intelligence information concerning illicit drug and currency movement,
                              alien smuggling, weapons trafficking, and related activity. Staffed by
                              personnel from 15 federal agencies, its primary functions are (1) to disrupt
                              the flow of illicit drugs at the highest trafficking level through the
                              exchange of time-sensitive, tactical intelligence dealing principally with
                              drug movement and (2) to support, through the intelligence process, other
                              programs of interest to EPIC’s participating agencies, such as alien
                              smuggling and weapons trafficking.

                              EPIC is mandated to support local law enforcement entities with drug
                              intelligence, all 50 states, Puerto Rico, U.S. Virgin Islands, American
                              Samoa, Guam, District of Columbia, U.S. Forest Service, National Marine
                              Fisheries, Bureau of Prisons, Amtrak, and DOD through South COM, Joint
                              Interagency Task Force, East and West, and Joint Task Force 6.




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                             The EPIC member agencies include DEA, INS, Customs, Coast Guard, ATF,
                             FAA, USMS, FBI, IRS, Secret Service, Department of State, Department of the
                             Interior, Central Intelligence Agency, Defense Intelligence Agency, and
                             DOD. Member agencies have direct access to all EPIC information, with
                             appropriate safeguards to provide for the protection and/or secure
                             communication of highly sensitive or classified information. State and
                             local law enforcement entities have access to EPIC data through a
                             designated group within the respective organization or through a member
                             agency.

                             EPICcan be reached 24 hours a day, 7 days a week at 1-888-USE-EPIC
                             (873-3742).


Electronic Data Gathering,   EDGAR   accelerates the receipt, acceptance, dissemination, and analysis of
Analysis, and Retrieval      time-sensitive corporate information filed with the SEC. It performs
(EDGAR)                      automated collection, validation, indexing, acceptance, and forwarding of
                             submissions by companies and others who are required by law to file
                             forms with the SEC. Not all documents filed with the SEC by public
                             companies will be available on EDGAR for the following reasons: some
                             documents are not yet permitted to be filed electronically, some
                             submissions are voluntary, other documents may be filed manually, and
                             filings by foreign companies are not required to be filed on EDGAR. Public
                             filings to the SEC can be viewed on the SEC home page within 48 hours of
                             being filed.


Federal Procurement Data     FPDC is a convenient source of consolidated federal buying information. It
Center (FPDC)                has governmentwide procurement information beginning with fiscal year
                             1979. The FPDC master file contains detailed data regarding the
                             procurement actions of 60 federal agencies. The system can provide a
                             wide variety of information about federal buying. It contains 24 data
                             elements, including the name of the agency that awarded the contract;
                             contract number including order and or modification number; purchase
                             office and address; date of award; principal product or service; and the
                             name and address of the contractor. A standard report is published each
                             quarter which examines the data from a variety of perspectives.


Fingerprint Identification   Formerly titled the Identification Division Records System, the FBI’s FIRS
Records System (FIRS)        performs identification and criminal history record information functions
                             and maintains those records for (1) federal, state, local, and foreign



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                             criminal justice agencies, (2) noncriminal justice agencies, and (3) other
                             entities. It also provides identification assistance during disasters and for
                             other humanitarian purposes. FIRS represents (1) individuals fingerprinted
                             as a result of arrest or incarceration, (2) persons fingerprinted as a result
                             of federal employment applications or military service, (3) persons
                             fingerprinted for alien registration and naturalization purposes, and
                             (4) individuals who want their fingerprints on record with the FBI for
                             personal identification purposes. In addition to the criminal records of
                             about 24 million people in the automated file, there are approximately
                             10 million older records in the manual files.


INTERPOL Case Tracking       ICTS, located at USNCB in Washington, D.C., contains information about
System (ICTS)                persons, property, and organizations involved in international criminal
                             activity. USNCB can determine the existence of an international connection
                             to an investigation or of any previous international criminal activity.


Interstate Identification    The III system contains information on criminal records of about 24 million
Index (III)                  people who were born in 1956 or later and have an FBI record. The system
                             also contains information on persons born prior to 1956 whose first arrest
                             was recorded with the FBI in 1974 or later, and selected older records for
                             certain fugitives and repeat offenders. See the discussion on the National
                             Crime Information Center in this chapter.


Joint Maritime Information   JMIE—a   consortium of U.S. government agencies from the law
Element (JMIE)               enforcement and intelligence communities—has developed a consolidated
                             maritime database. Consortium members are the Office of Naval
                             Intelligence, Military Sealift Command, DEA, Department of State,
                             Executive Office of the President’s Office of National Drug Control Policy,
                             Customs, Central Intelligence Agency, Coast Guard, Maritime
                             Administration, Department of Energy, Defense Intelligence Agency, INS,
                             and National Security Agency.

                             The system includes information on maritime-related law enforcement and
                             national foreign intelligence data to meet members’ operational missions,
                             such as narcotics interdiction, smuggling, sea and defense zone
                             surveillance, border control, petroleum traffic monitoring, and emergency
                             sealift management.




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                                 Approximately 35 operational sites allow access to data sources that
                                 provide at-sea and in-port location information and characteristics on
                                 commercial and private vessels and vessel registration files for Florida,
                                 California, Delaware, Puerto Rico, and the Virgin Islands.


Law Enforcement Support          INS’ LESC—located in South Burlington, Vermont—provides information on
Center (LESC)                    aliens who have been arrested. The center’s staff queries six INS databases
                                 in responding to requests from federal, state, and local law enforcement
                                 agencies. Direct access to the center is available from the National Law
                                 Enforcement Telecommunications System, 24 hours a day, 7 days a week.
                                 Because of the sensitive nature of the information provided by LESC, it can
                                 only be accessed by agencies authorized to request criminal record
                                 information over the National Law Enforcement Telecommunications
                                 System.


List of Parties Excluded         The List is maintained by GSA for the use of federal programs and
From Federal Procurement         activities. Issued monthly, it identifies those parties excluded from
and Nonprocurement               receiving (1) federal contracts or certain subcontracts and (2) certain
                                 types of federal financial and nonfinancial assistance and benefits.
Programs
Narcotics and Dangerous          NADDIS inquiries should be limited to narcotics-related cases or files,
Drugs Information System         smugglers of funds, other contraband, and aliens. NADDIS is accessible
(NADDIS)                         through EPIC and local DEA offices.

National Alien Information       NAILS is an INS index of names of individuals who may be excludable from
Lookout System (NAILS)           the United States. All names in NAILS are passed to the Treasury
                                 Enforcement Communications System (TECS), which is discussed later in
                                 this chapter. Therefore, a search of NAILS is not necessary if TECS has been
                                 searched.


National Crime                   NCIC is a widely used law enforcement computer system. Most major law
Information Center (NCIC)        enforcement agencies have NCIC connections.

                                 NCIC is often compared to a large “file cabinet,” with each file having its
                                 own label or classification. This cabinet of data contains information
                                 concerning the following:

                             •   stolen, missing, or recovered guns;




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                           •   stolen articles (must have a serial number);
                           •   wanted persons (for questioning or arrest);
                           •   stolen/wanted vehicles (autos, aircraft, motorcycles);
                           •   stolen license plates;
                           •   stolen, embezzled, or missing securities, stocks, bonds, and currency;
                           •   stolen/wanted boats;
                           •   missing persons;
                           •   Index to State Criminal History Records and Criminal History Records of
                               Federal Offenders;
                           •   unidentified persons;
                           •   foreign fugitives;
                           •   ATF Violent Felon File;
                           •   U.S. Secret Service Protection File;
                           •   gang and terrorist organizations file;
                           •   deported felon file;
                           •   Originating Agency Identifier File; and
                           •   protective order file.

                               The NCIC, through the Interstate Identification Index (III) system, can
                               provide an investigator with information on the criminal records of about
                               24 million people. See the discussion on III in this chapter.


National Law Enforcement       NLETS is a sophisticated message-switching network that links all law
Telecommunications             enforcement and criminal justice agencies in the United States; Puerto
System (NLETS)                 Rico; and, through a computerized link, to INTERPOL Canada. Agencies
                               include state and local law enforcement agencies, motor vehicle and
                               licensing departments, and a wide variety of federal enforcement agencies.
                               The latter includes Customs, FBI, DOJ, Secret Service, USMS, Naval Criminal
                               Investigative Service, Air Force Office of Special Investigations,
                               Department of State, Department of the Army, and Department of the
                               Interior. The National Insurance Crime Bureau is also linked to NLETS.

                               A great deal of information is available through the network, including the
                               following:

                           •   vehicle registrations by license or vehicle identification number;
                           •   driver’s license and driver history by name and birthdate or driver’s license
                               number (some states support driver’s license queries by name only);
                           •   criminal records by name and birthdate, state identification number, or FBI
                               number;
                           •   boat registrations by hull number, registration number, or name;



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                          •   snowmobile registrations by registration number, vehicle identification
                              number, or owner’s name and birthdate;
                          •   hazardous material file data by UN number, which is an international
                              recognized code for hazardous material;
                          •   private aircraft tracking data by registration number or date range;
                          •   aircraft registrations by registration number, serial number, or names of
                              registrant;
                          •   directory of participating agencies by originating agency identifier or
                              location;
                          •   registration information on diplomatic license plates;
                          •   index to parole/probation and corrections information; and
                          •   sex offenders registration information.

                              Through an interface to the Royal Canadian Mounted Police’s Canadian
                              Police Information Centre, many files are available, including the
                              following:

                          •   criminal history by name or FPS (Canadian national identification
                              number);
                          •   wanted persons by name and birthdate;
                          •   stolen vehicles by license number or vehicle identification number;
                          •   stolen articles by serial number;
                          •   stolen guns by serial number;
                          •   stolen securities by serial number, corporation name, issuer, or name of
                              owner; and
                          •   stolen boats/motors by license number, hull number, registration number,
                              or name of owner.

                              Users have the capability to send free-form messages to other users either
                              individually or via a broadcast message.


National Tracing Center       NTC, a branch of the Firearms Enforcement Division of ATF, provides
(NTC)                         24-hour assistance to ATF field offices and law enforcement agencies
                              worldwide. Using ATF’s Firearms Tracing System, NTC systematically tracks
                              firearms used to commit crimes from their place of manufacture to the
                              place of sale.


National White Collar         The Center is dedicated to supporting law enforcement in the prevention,
Crime Center                  investigation, and prosecution of economic crimes and computer-related
                              crimes. The Center has a database system that contains information on



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                               individuals and businesses suspected of economic criminal activity,
                               including advanced fee loan schemes, credit card fraud, computer fraud,
                               and securities and investment fraud. It can be contacted at (800) 221-4424
                               or (804) 323-3563.


Nonimmigrant Information       NIISis an INS system that contains information on the arrivals and
System (NIIS)                  departures of nonimmigrants, or aliens entering the United States for a
                               temporary stay. Canadians and Mexicans who visit for pleasure are not
                               entered into the system. NIIS also contains entry and departure data on
                               students, except classes Fl and Ml. Information can be queried and
                               retrieved by nationality, port of entry, admission class, and date of entry.

                               See the discussion on the Central Index System in this chapter.


Regional Information           More than 4,500 local, state, and federal law enforcement agencies are
Sharing System (RISS)          members of RISS. Comprised of 6 regional projects, RISS operates in 50
                               states, the District of Columbia, and Canada.

                               Although the following RISS projects focus on the overall objective noted
                               above, each project is allowed individuality in its choice of
                               multijurisdictional crimes to target and in its range of services by which to
                               support member agencies.

                           •   Middle Atlantic-Great Lakes Organized Crime Law Enforcement Network
                               (MAGLOCLEN)—This project includes the states of Delaware, Indiana,
                               Maryland, Michigan, New Jersey, New York, Ohio, and Pennsylvania. It
                               also encompasses the District of Columbia and two provinces of Canada,
                               Ontario and Quebec. MAGLOCLEN focuses on organized criminal activity,
                               criminal gangs, and violent crime.
                           •   Mid-States Organized Crime Information Center (MOCIC)—This project
                               provides services to member agencies in Illinois, Iowa, Kansas, Minnesota,
                               Missouri, Nebraska, North Dakota, South Dakota, and Wisconsin, as well
                               as Canada. MOCIC focuses on narcotics trafficking, professional traveling
                               criminals, organized crime, criminal gangs, and violent crime.
                           •   New England State Police Information Network (NESPIN)—Encompassing
                               agencies in Connecticut, Maine, Massachusetts, New Hampshire, Rhode
                               Island, and Vermont as well as Canada, NESPIN focuses on narcotics
                               trafficking, organized crime, major criminal activity, criminal gangs, and
                               violent crime.




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                         •   Regional Organized Crime Information Center (ROCIC)—This project
                             includes the states of Alabama, Arkansas, Florida, Georgia, Kentucky,
                             Louisiana, Mississippi, North Carolina, Oklahoma, South Carolina,
                             Tennessee, Texas, Virginia, and West Virginia. It also encompasses Puerto
                             Rico. ROCIC focuses on narcotics violators, professional traveling criminals,
                             organized crime, criminal gangs, and violent crime.
                         •   Rocky Mountain Information Network (RMIN)—This project provides
                             services to member agencies in Arizona, Colorado, Idaho, Montana,
                             Nevada, New Mexico, Utah, and Wyoming, as well as Canada. RMIN focuses
                             on narcotics trafficking, associated criminal activity, criminal gangs, and
                             violent crime.
                         •   Western States Information Network (WSIN)—This project provides
                             services to member agencies in Alaska, California, Hawaii, Oregon, and
                             Washington, as well as Canada. WSIN focuses on narcotics, narcotics
                             trafficking, and criminal organizations/associations.


Scorpio                      This on-line service is maintained by the Library of Congress and its
                             Congressional Research Service (CRS).

                         •   The Library of Congress Computerized Catalog lists works catalogued by
                             the Library of Congress. In addition to being available through the Scorpio
                             system, the catalog, as well as other information from the Library of
                             Congress, is now accessible via the Internet.
                         •   The Bibliographic Citation File contains citations to journal articles on
                             many aspects of public policy, as well as citations to congressional
                             publications, government documents, and independent studies. This file
                             contains material dating back to 1976.
                         •   Congressional Bill Status Files are files that can be searched by subject
                             (e.g., acid rain) or by bill number to determine the status of a bill, such as
                             its resolution, ratification, and amendments, if any. This file can also be
                             searched by Committee, Subcommittee, or Member’s name. In many cases
                             a digest of the bill is provided; however, for electronic access to the full
                             text of congressional legislation, or to search the Congressional Record,
                             use the Internet.


Securities Information       Located in Boston, Massachusetts, the Securities Information Center
Center                       operates SEC’s Lost and Stolen Securities Program. The Center maintains a
                             central database that receives and processes reports and inquiries about
                             missing and stolen securities. Established in 1977 to reduce trafficking in
                             lost, stolen, and counterfeit securities, the Center is used by investment



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                            professionals. The Center’s database currently consists of reports of lost,
                            stolen, and counterfeit certificates.


Sentry                      Sentry is a Federal Bureau of Prisons on-line database that contains
                            information on all federal prisoners incarcerated since 1980. The
                            information includes physical description, inmate profile, inmate location
                            or release location, numerical identifiers, personal history data, security
                            designation, past and present institution assignments, custody
                            classification, and sentencing information. To obtain information, contact
                            the Sacramento Intelligence Unit.


South Pacific Islands       SPICIN is a law enforcement program of the South Pacific Chiefs of Police
Criminal Intelligence       Organization comprising 21 member countries of American Samoa,
Network (SPICIN)            Australia, the Commonwealth of Northern Mariana Islands (Saipan), Cook
                            Islands, the Federated States of Micronesia, Fiji, French Polynesia (Tahiti),
                            Guam, Kiribati, the Kingdom of Tonga, Marshall Islands, Nauru, New
                            Caledonia, New Zealand, Niue, Palau, Papua - New Guinea, Solomon
                            Islands, Tuvalu, Vanuatu, and Western Samoa.

                            The primary purpose of SPICIN is to promote the gathering, recording, and
                            exchanging of information not otherwise available through normal
                            channels. Information made available concerns drug trafficking, mobile
                            criminals, organized/white collar crime, terrorism, the use of the Pacific
                            Island waters and aircraft, and other information of a criminal nature that
                            concerns law enforcement in the Pacific region and elsewhere.

                            In addition to the 21 member countries, SPICIN can provide assistance to
                            the national and international law enforcement communities regarding

                        •   location of suspects/fugitives/witnesses,
                        •   missing/wanted persons,
                        •   criminal history checks,
                        •   firearm checks,
                        •   license plate checks (stolen plates),
                        •   driver’s license checks,
                        •   vehicle registration,
                        •   military checks, and
                        •   stolen vessels.




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Treasury Enforcement          TECS is a Department of the Treasury system managed by Customs. It was
Communications System         designed to provide controlled access to a large database of information
(TECS)                        about suspects and to interface with a number of other law enforcement
                              systems. These capabilities are provided to TECS users through various
                              applications, including the following.

                          •   Inspection/Interagency Border Inspection System (IBIS) applications
                              facilitate passenger processing through the implementation of innovative
                              border control technology.
                          •   Information sharing applications permit on-line entry and maintenance of
                              subject records and provide access to other data sources including
                              NCIC/NLETS and various commercial directories. TECS’ role as the IBIS
                              clearinghouse strongly supports Customs’ information sharing strategy by
                              providing a formal mechanism for acquiring relevant enforcement data
                              from the IBIS member agencies. In support of interagency data exchange
                              agreements, TECS provides both on-line and tape interfaces for capturing
                              information from external data sources. TECS applications allow subject
                              queries and reviews of linkage relationships between subjects and other
                              types of records. Primary query history information is available for person
                              and vehicle subjects.
                          •   Investigative applications permit on-line entry of enforcement reports
                              including the capture, storage, and display of full narrative text.
                          •   Management information applications allow users to view, print, or
                              download previously generated reports.



Other Databases

Art Loss Register (ALR)       ALR, which began operations in 1991, is a private international information
                              clearinghouse on stolen art and antiques that offers several services to the
                              art community, law enforcement, and the insurance industry. The register
                              contains a database of over 80,000 items reported as stolen or missing by
                              INTERPOL, state and local police, insurance companies, the FBI, foreign
                              governments, private collectors, art dealers, and museums. Prospective art
                              buyers may check the ALR to see whether a proposed purchase is stolen
                              property before buying a work of art. Also, theft victims and law
                              enforcement officials may register stolen works of art in the database.

                              Shareholders in the ALR include the IFAR, Sotheby’s, Christie’s, Phillips,
                              Nordstern Insurance, Aon Corporation, the Society of Fine Auctioneers,




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                          and the British Antique Dealers Association. ALR can be reached at
                          (212) 391-8791.


CDB Infotek               CDB Infotek is an on-line source of public records, including more than
                          3 billion records collected from local, county, and state governments all
                          across the United States; the federal government; and various businesses.


CyberHound Online         CyberHound Online provides information on databases, discussion groups,
                          libraries, companies, people, associations, and newspapers that have
                          home pages on the Internet. Each entry includes name; access paths,
                          including gopher, telnet, file transfer protocol, electronic mail, and web
                          addresses; and description of the site. CyberHound covers all subject areas
                          accessible via the Internet and is international in scope.


DataStar                  DataStar, a service of Knight-Ridder Information, Inc. provides worldwide
                          access to over 350 databases and focuses on business data. Information
                          available includes directory-type listings of companies or associations,
                          company financial statements, bibliographic citations, and the complete
                          text of journal articles. Subscribers can reach DataStar databases at its
                          home page or via telnet.


Deluxe ChexSystems        Deluxe ChexSystems provides data on over 11 million individuals and
                          businesses that have had their account closed for cause by their financial
                          institution due to fraud or abuse. Reasons include automatic teller
                          machine fraud, check kiting, and writing checks on closed accounts.
                          Records on abused accounts are maintained for 5 years.


DIALOG                    DIALOG is a Knight-Ridder Information, Inc. service that provides access
                          to over 450 on-line databases and more than 45 CD-ROM titles. DIALOG
                          provides professional librarians and researchers with access to articles,
                          conference proceedings, news, and statistics from many subject areas,
                          such as scientific, technical, medical, business, trade, and academic
                          disciplines. It also has access to over 100 full-text newspapers worldwide
                          as well as thousands of magazines and journals.


Dun & Bradstreet United   This on-line directory contains information on more than 1.1 million U.S.
States                    business establishments with 10 or more employees. Data provided


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                           includes company name, address, and telephone number; type of business,
                           chief executive officer, company status, and subsidiary; language
                           preference and geographic codes; number of employees at a given location
                           and total number of employees; and total sales volume.


Equifax                    Equifax provides credit and commercial information, card processing,
                           check authorization, analytics and consulting, and financial software.
                           Some of the services provided by the Equifax subsidiary CDB Infotek for
                           locating persons or businesses in the United States follow.

                       •   CDB Infotek’s exclusive Info:PROBE, a locating tool available anywhere,
                           can instantly search hundreds of nationwide, regional, and local databases
                           to determine where information exists for a particular subject.
                       •   Nationwide Consumer Reporting Agencies can be used to obtain the most
                           recent address that has been reported to any of the three major
                           nationwide credit reporting agencies and other nationwide consumer
                           reporting sources.
                       •   People Tracker can identify consumer address and demographic
                           information on a nationwide basis.
                       •   National Address Changes can be used to obtain a 3- to 12-year history of
                           address changes for an individual based on federal sources.


Experian                   Experian, which replaced TRW Information Systems and Services,
                           provides services on consumer and business credit, direct marketing, and
                           real estate information services. Key Experian services include credit card
                           processing, risk management, and target marketing. Some of these
                           services follow.

                       •   Property Profile, Recent Home Sales and Home Portfolio Reports help to
                           estimate a home’s value and provide an understanding of a particular
                           neighborhood.
                       •   Business Snapshot Reports summarize credit histories—including
                           payment patterns and legal filings—of small businesses or contractors.


Global Scan USA Inc.       Global Scan USA Inc. is now an integral part of the Equifax Europe group
                           of companies. It has been developing its position in the on-line, business
                           information arena since its formation in 1991. Global Scan is a multilingual
                           (10 languages), multinational on-line gateway service providing
                           subscribers with (1) a way to access credit reports and financial



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                              statements on any public or private company in the world and (2) country
                              reports, including political and trade reports and country filing
                              requirements.


Information America           Information America, an affiliate of West Publishing, offers on-line
                              databases and document services that can be used to obtain background
                              data about businesses, locate assets and people, and retrieve official
                              public records. It can also provide ownership and financial information on
                              businesses. Information America can be reached on the Internet or by
                              calling (800) 532-9876.


International Business        IBM Internet Connection is a large international provider of on-line services
Machines (IBM) Internet       that offers its subscribers Internet connection services, electronic mail,
Connection                    newsgroups, and business services. In addition, it provides more than 860
                              dial-in numbers in approximately 50 countries.


LEXIS-NEXIS                   A division of Reed Elsevier Inc., the LEXIS full-text legal information
                              service contains major archives of federal and state case law, continuously
                              updated statutes of all 50 states, state and federal regulations and public
                              records from major states, and international legal materials from selected
                              countries. LEXIS Public Records Online service provides on-line access to
                              information from selected states about real and personal property assets,
                              Uniform Commercial Code liens, secretary of state corporation filings,
                              verdicts and settlements, and court indices and dockets. The NEXIS news
                              and business information service contains more than 7,100 sources, 3,700
                              of which provide their entire publications on-line. These include the full
                              text of regional; national; and international newspapers, news wires,
                              magazines, trade journals, and business publications. NEXIS service is the
                              exclusive on-line archival source for The New York Times in the legal,
                              business, and other professional markets. Also available are brokerage
                              house and industry analyst reports and public records such as corporate
                              filings, company records, and property records.


MetroNet                      MetroNet, implemented by Metromail Corporation, specializes in
                              consumer and business information. MetroNet provides on-line access to
                              Metromail’s National Consumer Databases for the following purposes:

                          •   address verification,



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                            •   telephone number lookup,
                            •   neighbors lookup, and
                            •   change of address.


National Center for             NCMEC   is a private, nonprofit organization—mandated by the
Missing and Exploited           Congress—that works in cooperation with DOJ’s Office of Juvenile Justice
Children (NCMEC)                and Delinquency Prevention. It is a vital resource for law enforcement
                                agencies throughout the United States in the search for missing children
                                and the quest for child protection. NCMEC operates a 24-hour, toll-free
                                hotline for the recovery of missing children in cooperation with DOJ. It also
                                operates a 24-hour, toll-free child pornography tipline in cooperation with
                                Customs and the Postal Inspection Service. Additionally, NCMEC handles
                                for the Department of State, applications that seek the return of or access
                                to children abducted and brought to the United States under the Hague
                                Convention on the Civil Aspects of International Child Abduction. Among
                                its services is a National Computer Network linked via online services
                                with 49 state clearinghouses, the District of Columbia, the Royal Canadian
                                Mounted Police in Canada, New Scotland Yard in the United Kingdom,
                                Belgium Gendarmerie, Netherlands Police, Australia National Police,
                                INTERPOL, Secret Service Forensic Services, and the Department of State.
                                The network allows the instant transmission of images and information on
                                missing child cases. The NCMEC can be contacted at 1-800-THE-LOST.


National Fraud                  NFIC—a project of the National Consumers League—helps consumers
Information Center (NFIC)       report fraud and offers advice on how to avoid becoming a victim. Incident
                                reports are entered in the NFIC database and referred electronically to the
                                National Electronic Fraud Database administered by the Federal Trade
                                Commission and the National Association of Attorneys General. NFIC
                                incident reports are also referred to a variety of federal and state
                                regulatory and enforcement agencies—the FBI, Secret Service, U.S. Postal
                                Inspection Service, SEC, and U.S. Attorneys.


National Insurance Crime        NICB, a national, not-for-profit, tax-exempt organization established in
Bureau (NICB) Online            1992, is supported by approximately 1,000 property/casualty insurers and
                                self-insured companies. The bureau maintains an on-line computer
                                database of 300 million records that assists law enforcement officials and
                                insurance investigators and claims personnel in detecting fraudulent
                                insurance claims and identifying stolen vehicles. NICB also has an
                                investigative force of 200 experienced special agents who team up with



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                        insurance investigators and law enforcement officials to uncover and
                        prosecute vehicle theft and insurance fraud. To obtain more information
                        and access to NICB, call 1-800-447-6282.


Questel-Orbit           Questel-Orbit, an international on-line information company, has files on
                        patent, trademark, scientific, chemical, business, and news information.


Standard & Poor’s       Standard & Poor, a McGraw-Hill company, offers access to a variety of
Databases               information about companies. For an Internet link to more information
                        about several Standard & Poor resources, the McGraw-Hill Internet site
                        offers a starting point. Some Standard & Poor information is also available
                        as printed directories, some of which are discussed in chapter 3.


Trans Union             Trans Union is an international consumer credit information company
                        whose products include credit reports, credit and insurance risk scoring
                        models, target marketing systems, preemployment evaluation reports, skip
                        tracing and search tools, collection services, customized lists, and
                        transaction services. Some of the search services follow.

                    •   ATLAS is a flexible and comprehensive database that offers a choice of
                        four broad, automated search categories that provide instant access to, or
                        confirmation of, millions of addresses and telephone numbers. Searches
                        are possible by subject or address, surname, or phone number.
                    •   IDSearch is an automated system that helps verify application information
                        or flag customers who provide information that contradicts data on file by
                        returning names, addresses, and social security numbers based on input
                        information.
                    •   TRACE is a search system that, based on the social security index data
                        built into Trans Union’s database, can find the current and previous
                        addresses of any person on file, identified by his/her social security
                        number.
                    •   TRACEplus includes all information contained in the TRACE report plus
                        telephone numbers, aliases, age, employment, and salary history, if
                        available.


USDatalink              USDatalink provides access to individuals’ credit reports, criminal
                        records, education, workers’ compensation claims, and employment
                        histories. A people locator service can search for individuals using social



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          security numbers, names, addresses, phone numbers, and surnames.
          USDatalink also gives information on vehicles from automobiles to
          airplanes. The database contains information on numerous companies
          including asset reports, in-depth general reports, and case records.
          USDatalink provides access to background checks, and other information
          reports, from public record repositories and proprietary databases
          throughout the United States.


Westlaw   Westlaw, a service of West Publishing, is a computer-assisted legal
          research service that contains over 9,000 databases. Coverage includes
          federal and state court cases, the U.S. Code Annotated and state statutes,
          federal regulations, administrative law decisions, topical databases, legal
          periodicals, West’s Insta-Cite, West’s QuickCite, Shepard’s Citations,
          Shepard’s PreView, Black’s Law Dictionary, and public records.




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Chapter 5

Investigators’ Guide to the Internet


                The Internet is made up of more than 80,000 academic, commercial,
                government, and military interconnected communications (computer)
                networks in over 200 countries. Originally developed for the military, the
                Internet became widely used for academic and commercial research in the
                1980s. Currently, the number of Internet users is estimated to be over
                70 million; some 10 million users are said to be connected to the “Net” at
                any given time. It is not unreasonable to expect that, by the year 2000,
                some 1 billion users will have access to the Internet.

                For the investigator, there may be significant advantages to accessing
                sources on-line rather than using a library or another information medium.
                The Internet provides enormous resource potential for investigators in a
                timely and cost effective manner and is often more up-to-date than its
                paper counterparts.

                For those who seek to defraud the public, the Internet provides a ready
                avenue for their schemes. Credit card fraud, money laundering,
                counterfeiting, and extortion are only a few of the ways that high
                technology criminals are using the Net. Criminal investigators are using
                both traditional and “cyberspace” techniques to identify and apprehend
                the malefactors.


                The Internet has become a rich resource for government information, in
Internet: the   part, because work produced by many government agencies is not eligible
Storehouse of   for copyright protection. Many local, state, and federal agencies have
Government      “home pages,” or information sites, on the Internet, thus enabling law
                enforcement investigators to gather information in cyberspace. Internet
Information     users can access hundreds of sources of current government information
                from around the world—census data, Supreme Court decisions, property
                and vehicle ownership records, lien filings, company financial reports, and
                much more.

                One way to access government agencies on-line is a system called
                FedWorld (sometimes referred to as the National Technical Information
                Service System). FedWorld provides access to detailed information from
                over 50 agencies and includes access to about 100 government information
                systems. FedWorld file libraries provide on-line access to more than 14,400
                files, including the full text of selected U.S. government publications.

                Another system, Marvel from the Library of Congress, is considered to be a
                one-stop source for a multitude of government material taken from a



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                         variety of sources such as census data, congressional information, White
                         House documents, crime statistics, and Department of State reports.


                         With a computer, a telephone line, a modem, and an Internet service
Accessing the Internet   provider, anyone may access the Internet. Many government organizations
                         establish a direct connection to the Internet and route it through the office
                         LAN, or local area network, to benefit the largest number of employees.
                         You will also need a “web browser,” which is software that converts
                         messages to a graphical user interface. Two popular browsers are
                         Netscape Navigator and Microsoft Internet Explorer. If you are connecting
                         to direct dial-up systems, you will need software that supports that
                         function. Some Internet service providers provide other popular browsers
                         free with your subscription.

                         Internet browsers are designed to make your search easy, but with the
                         tremendous amount of information and the number of systems available,
                         finding what you need may still be difficult. To help you to maneuver
                         through the system are many different “search engines” that allow
                         keyword and directory-type searches and respond to your search request
                         with an organized group or category. The various search engines use their
                         own unique methods to catalog information. Yahoo, AltaVista, Web
                         Crawler, Infoseek, Lycos, and Magellan are a few of the search engines on
                         the Internet.


                         Most people interact with the Internet using one or more tools that are
Examples of Internet     fairly standard in their functionality. These tools let you send someone a
Functions and Tools      message, retrieve a file from another computer, log onto another network,
                         access databases, participate in newsgroups and forums, and so on. Two
                         primary tools of the Internet are electronic mail (e-mail) and the World Wide
                         Web (WWW). Many of the functions provided by traditional sources
                         described in the following table are Internet utilities that can be used in
                         connection with the WWW.




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Table 5:1: Tools of the Internet
Component                             Function
Electronic Mail (E-Mail)              E-mail allows the user to send and receive electronic messages and files.
List Server (LISTSERV)                LISTSERV is an automated mailing-list distribution system that responds to subscribers’
                                      requests to add or delete their names to/from a particular discussion list. An Internet user
                                      may subscribe to a LISTSERV mailing list by sending an e-mail to the computer on which
                                      LISTSERV is running. By addressing a message to the list, subscribers may exchange
                                      messages with others on the list. Any replies to messages will be delivered to all
                                      subscribers.
Usenet & Bitnet                       The basic building block of Usenet is the newsgroup, which is a collection of messages
                                      with related themes. On other networks these would be called conference, forums,
                                      bulletin boards, or special interest groups. Users may access Usenet from the Internet.
                                      On the other hand, Bitnet discussion groups and mailing lists take place in e-mail.
The World Wide Web (WWW)              The WWW links different Internet servers together all over the world. WWW uses
                                      “hypertext links” that can move from one reference page to another with a single mouse
                                      command. That is, the user clicks on icons or word groups with the mouse in order to
                                      call up the information requested.
File Transfer Protocol (FTP)          FTP is a tool used to retrieve copies of files from other computers on the Internet to your
                                      own computer.
Telnet                                Telnet lets you log on to other servers on the Internet and run a program. After log on,
                                      telnet will provide you with a set of commands or menus to access the functions it
                                      provides. You can “telnet” into databases or into libraries around the world to perform
                                      research. The commands and functions that can be performed will vary with the
                                      particular system.
Gopher                                Gopher is a utility that lets you search hierarchical menus describing Internet files.
                                      Gopher servers were set up to provide a menu for accessing documents that exist on
                                      different computers on the Internet in a manner similar to the WWW. The primary
                                      difference is that gopher servers do not provide hypertext; they are strictly menu-driven.
                                      A gopher menu item will take you to a document or to a list of relevant documents. One
                                      menu can take you to another, which can take you to Internet sites all over the world.
Veronica                              Veronica is a keyword search tool used to search gopher menus and text. Veronica will
                                      search all gopher text to find the key words you are looking for.
Archie                                Archie is a database system that calls up file libraries and finds out what they have
                                      available. You can dial into Archie, type in a file name, and see where on the Internet it
                                      was available. Archie currently catalogs close to 1,000 file libraries around the world.
Wide Area Information Server (WAIS)   WAIS is a system designed for retrieving information from networks. With WAIS, you
                                      enter a set of words that describe what you are looking for, and WAIS digs through
                                      whatever libraries you specify, looking for documents that match your request.
Internet Relay Chat (IRC)             IRC is computer conferencing on the Internet. There are hundreds of IRC channels on
                                      every subject conceivable from more than 60 countries on the Net.



                                      This is a sample Internet search for the full text of U.S. copyright laws.
Searching the Net                     This Netscape browser screen provides hundreds of choices. The purpose
                                      of the search is to find information about violations of copyright law and
                                      penalties assessed for such violations.




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Figure 5.1: Selecting From the Search Menu




                                         In figure 5.1, samples of various topics are shown in the left column, while
                                         choices of search engines are listed closer to the center of the page. For
                                         this particular search, we select “Legal” as the general topic area. We also
                                         select the Yahoo search engine.

                                         This page contains copyrighted material used here with the permission of the respective copyright
                                         holders. See page 3 for more information.

                                         Novell is a registered trademark and the Novell Network Symbol is a trademark of Novell, Inc. in
                                         the United States and other countries.




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Figure 5.2: The Search Request




                                 Figure 5.2 illustrates the response after we select “Legal.” The search
                                 request is “copyright law,” which gives three reference systems from
                                 which to choose. For this search, we select “Cornell University’s Legal
                                 Information Institute.”

                                 This page contains copyrighted material used here with the permission of the respective copyright
                                 holders. See page 3 for more information.




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Figure 5.3: Cornell’s Legal Information Institute Web Site




                                            This screen appears after clicking on “Cornell University’s Legal
                                            Information Institute.”

                                            This page contains copyrighted material used here with the permission of the respective copyright
                                            holders. See page 3 for more information.




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Figure 5.4: The LII Annotated Table of Contents




                                           We scroll down the page and highlight “the full U.S. Code” in order to get
                                           citations on copyright law.

                                           This page contains copyrighted material used here with the permission of the respective copyright
                                           holders. See page 3 for more information.




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Figure 5.5: The U.S. Code Web Page




                                     Selecting “U.S. Code” brings up this screen.

                                     This page contains copyrighted material used here with the permission of the respective copyright
                                     holders. See page 3 for more information.




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Figure 5.6: Access Path for Information




                                          We scroll down the page to select “listing of all Titles” to find the title that
                                          specifically pertains to copyright law.

                                          This page contains copyrighted material used here with the permission of the respective copyright
                                          holders. See page 3 for more information.




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Figure 5.7: U.S. Code Titles and Headings




                                            For our search, we select “Title 17 Copyrights” because we need to know
                                            what the U.S. Code has to say about copyright law.

                                            This page contains copyrighted material used here with the permission of the respective copyright
                                            holders. See page 3 for more information.




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Figure 5.8: Chapter Within Title 17 - Copyrights




                                            From this screen, we select “Chapt. 5. Copyright Infringement and
                                            Remedies” to find information about copyright violations and penalties
                                            assessed.

                                            This page contains copyrighted material used here with the permission of the respective copyright
                                            holders. See page 3 for more information.




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Figure 5.9: Sections Within Chapter 5 - Copyright Infringement and Remedies




                                          For our search, we want to see what the U.S. Code has to say about
                                          criminal offenses as they relate to copyright infringement, so we select
                                          “§ 506. Criminal offenses.”

                                          This page contains copyright material used here with the permission of the respective copyright
                                          holders. See page 3 for more information.




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Figure 5.10: Full Text of 17 U.S. Code, Section 506




                                            Our final selection provides us the information for which we searched.

                                            This page contains copyright material used here with the permission of the respective copyright
                                            holders. See page 3 for more information.




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                                             By accessing the Internet, investigators may gather intelligence
Internet Sites Provide                       information about virtually any issue of interest to law enforcement. As
Valuable Information                         evidenced by the following table, such information—including general
                                             information related to government and law enforcement and specific
                                             information about persons, businesses, and organizations—is available
                                             from a myriad of sources.


Table 5.2: Selected Internet Sites for Investigative Reference
Internet Site                                                        Internet Address
1. Searching for Government Information
  Federal
  Electronic Data Gathering, Analysis, and Retrieval                 http://www.sec.gov.edgarhp.htm
  Federal Procurement Data Center                                    http://tsd.r3.gsa.gov/bsc/bsc_iiie.htm
  IGnet                                                              http://www.sbaonline.sba.gov/ignet/ig.html
  Scorpio
  Library of Congress Computerized Catalog                           http://lcweb.loc.gov/catalog/
  Congressional Record and congressional legislation                 http://thomas.loc.gov
  U.S. Government Printing Office Web Site                           http://www.access.gpo.gov/su_docs
  The Federal Court Locator                                          http://www.law.ville.edu/fed-ct/fedcourt.html
  The Federal Government Web Locator                                 http://www.law.vill.edu/fed-agency/fedwebloc.html
  U.S. Government Internet Resources                                 http://www.ds.internic.net/ds/gov.html
  WINGS
    Federal                                                          http://www.wings.gov/federal/index.html
  World Wide Web Servers (U.S. federal government)                   http://sdf.laafb.af.mil/us_gov.html#us_gov_exec
  State and Local
  State and Local Governments                                        http://lcweb.loc.gov/global/state/stategov.html
  The State Court Locator                                            http://www.law.vill.edu/state-ct
  The State Government Web Locator                                   http://www.law.vill.edu/state-agency/index.html
  WINGS
    State                                                            http://www.wings.gov/state/index/html
2. Searching for Persons, Businesses, or Organizations and
Detailed Information About Them
  AltaVista                                                          http://altavista.digital.com/
  C | net                                                            http://www.search.com
  DIALOG                                                             http://www.dialog.com/dialog/dialog1.html
  Dun & Bradstreet                                                   http://www.dnb.com
  Equifax                                                            http://www.equifax.com
  Experian                                                           http://www.experian.com
  Infomine                                                           http://www.lib-www.ucr.edu/govinfo.html
  Infoseek Guide                                                     http://www.infoseek.com
                                                                                                                            (continued)


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Internet Site                                                        Internet Address
  LEXIS-NEXIS                                                        http://psweb1.lexis-nexis.com/lncc/about.html
  National Fraud Information Center                                  http://www.fraud.org
  Standard & Poor                                                    http://mcgraw-hill.com/financial-markets/finprod.htm
  Switchboard: Find People and Businesses                            http://www.switchboard.com
  Teleport Internet Services: White and Yellow Pages                 http://www.teleport.com/news/ypwp.shtml
  The World EMail Directory                                          http://worldemail.com
  Trans Union                                                        http://www.tuc.com
  WhoWhere?: Searches for People                                     http://www.whowhere.com
  Yahoo                                                              http://www.yahoo.com
3. Department of Justice and the FBI
  The Justice Information Center                                     http://www.ncjrs.org
  Department of Justice                                              http://justice2.usdoj.gov
  FBI DECA (Development of Espionage Counterintelligence and         http://www.fbi.gov/deca.htm
  Counterterrorism Awareness)
  FBI Fugitive Policy                                                http://www.fbi.gov/fugitive/fpphome.htm
  FBI Ten Most Wanted Fugitives                                      http://www.fbi.gov/mostwant/tenlist.htm
  Federal Bureau of Investigation                                    http://www.fbi.gov
  Federal Bureau of Investigation National Computer Crime Squad      http://www.fbi.gov/compcrim.htm
  Kidnapping                                                         http://www.fbi.gov/kidnap/violi.htm
  The FBI Law Enforcement Bulletin                                   http://www.fbi.gov/leb/leb.htm
4. Other Law Enforcement and Legal References
  Criminal Justice Organizations                                     http://www.pima.edu/DPS/organiz.htm
  COPNET: Police Resource List                                       http://www.copnet.org
  Police Officer’s Internet Directory                                http://www.officer.com
  U.S. Army Criminal Investigation Command                           http://www.belvoir.army.mil/cidc/index.htm
  High Technology Crime Investigation Association                    http://htcia.org
  National Law Enforcement and Corrections Technology Center         http://www.nlectc.org
  U.S. Code, Rules of Evidence, and Civil Procedure                  http://www.law.cornell.edu/lii.table.html
  Westlaw                                                            http://www.westpub.com/WLAWInfo
5. International Justice and United Nations References
  International Centre for Criminal Law Reform and Criminal Justice http://www.law.ubc.ca/centres/icclr/icclr/guide/guide.html
  Policy: Guide to Internet Resources in Criminal Law and Criminal
  Justice
  National Institute of Justice                                      http://www.ncjrs.org/nijhome.htm
                                                                     http://www.ncjrs.org/unojust
  United Nations International Drug Control Programme                http://www.undcp.org/index.html
6. Official Weather Resource
  Department of Commerce, National Oceanic and Atmospheric           http://www.noaa.gov/index.html
  Administration
7. Maps
                                                                                                                            (continued)


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Internet Site                                                          Internet Address
  MapBlaster: Map Generating Site                                      http://www.mapblast.com
  MapQuest - zoom in on any street in the United States and find       http://www.mapquest.com
  the best way to drive there
8. News Resources
  Deja News: News Searches of All Newsgroups                           http://www.dejanews.com
  FedNews - Full text speeches, news releases, congressional           http://www.fnsg.com
  hearings, and Supreme Court debates.
  Industrial Technology Institute Electronic Publications              http://www.iti.org/staff/ezines.html
  NewsLink - An index of newspapers and weekly magazines               http://www.newslink.org
  Newspage - News collected from hundreds of different sources,        http://www.newspage.com
  sorted by topic.
9. Document Indices
  Government Information Locator Service (GILS)                        http://info.er.usgs.gov/gils/index.html
  Library of Congress Catalog                                          http://lcweb.loc.gov/z3950
  NARA (National Archives and Records Administration) Archival         http://www.nara.gov/nara/nail.html
  Information Locator (NAIL)
  National Academy Press                                               http://www.nap.edu/readingroom
  Rand                                                                 http://www.rand.org
  Search FinanceNet                                                    http://www.financenet.gov
10. Legislative Branch Resources
  C-SPAN                                                               gopher://c-span.org
  Thomas - Library of Congress Legislative Server                      http://thomas.loc.gov
11. Guides and Tutorials to the Internet
  EFF’s (Electronic Frontier Foundation’s) (Extended) Guide to the     http://www.eff.org/papers/eegtti/eegttitiop.html
  Internet
  Planet Earth Home Page - Virtual Library - text version              http://www.nosc.mil/planet_earth/info_modern.html
  TileNet: Indexes of Listservs by Name and a Brief Description        http://www.tile.net/tile/listserv/about.html


                                               Internet users should take precaution when writing e-mail or using any
Security on the                                other Internet tool. Users should always assume that mail or files sent will
Internet                                       never be erased and may be accessed or read by thousands. It is not
                                               recommended that you use the Internet to place in e-mail sensitive
                                               material—such as passwords or other information—that you would not
                                               readily make available to the public. The material you write in e-mail is
                                               analogous to the words on a postcard. You do not know how many people
                                               will actually read the information.

                                               There are secure services, however, for the use of the Internet. These
                                               software programs generally require matching software, such as web
                                               browsers with encryption capability, for the sender and receiver. In



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addition, many implementations of electronic commerce over the Internet
provide for security. For example, many major credit card companies offer
secure electronic commerce over the Internet for software that conforms
to their secure electronic transaction specifications.




Page 100                       GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Page 101   GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Index


        Abbreviations 5-7
        Abstract and title companies 64
        Agriculture 16, 17, 29, 62
        Agriculture, Department of 7, 17, 20, 27, 45, 49
        Aircraft (See Aviation)
        Alcoholic beverages 23
        Alcohol, Tobacco and Firearms (ATF), Bureau of 20, 23, 24, 50, 69, 72, 73
        Aliens 19, 67, 70, 71, 74
          Central Index System (CIS) 67
          Consular Lookout and Support System (CLASS) 67-68
          El Paso Intelligence Center (EPIC) 19, 68-69
          Federal Bureau of Investigation (FBI) 19, 20, 49, 69, 70, 98
          Fingerprint Identification Records System (FIRS) 69-70
          Immigration and Naturalization Service (INS) 19, 20, 49, 69, 70, 71, 74
          Interpol Case Tracking System (ICTS) 70
          Law Enforcement Support Center (LESC) 71
          National Alien Information System (NAILS) 71
          Nonimmigrant Information System (NIIS) 74
        Amtrak 33, 45, 50, 68
        Art
          Art Loss Register 77
          forgery and theft 20, 65
          Associations 58-60, 66, 78
          Attorneys General 11, 12-15, 81
          Autos (See Property-vehicles)
        Aviation 22, 65
          Aircraft ownership, pilots, repair/maintenance records 22, 65, 72, 73
          Airports, civilian 22
          International Air Transport Association 65


        Banking (See Finance)
        Better Business Bureau 65
        Bonding companies 65
        Border control (Also see Aliens, INS) 70, 77
        Building inspection, permits, blueprints 8
        Bureau of Alcohol, Tobacco and Firearms (ATF) 20, 23, 24, 50, 69, 72, 73
        Bureau of Engraving and Printing 24-25, 50
        Businesses
          affiliates 53, 54, 56




        Page 102                  GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Index




  assets 17, 20, 25, 26, 29-30, 31, 33, 80
  capital structure 33, 54, 59
  corporate filings 34, 80
  corporate officers 33, 53, 56, 59, 79
  “doing business as” (DBA) 10
  financial data and reports 17, 20, 24, 26, 31, 54, 59, 78, 80
  foreign representatives 53
  insurance companies 52, 53, 59, 66, 77, 81
  investment companies 33, 34, 35, 59
  law firms 60
  lobbyists 57
  organization 33, 54, 56,
  ownership 17, 21, 29-30, 33-34, 80
  real estate companies, sales and transactions 9, 59, 80
  sales and revenue 34, 78
  small businesses 35
  standard industrial classification 53, 55, 66
  stock and securities 31, 33-35, 53-54
  subsidiaries 52, 53, 54, 56
  trust companies 56, 59
  utilities 53, 54

Canadian Interface 67
Canadian Police Information Centre 73
Car Fax 65
Cease and desist orders 33, 38
Central Index System (CIS) 67
Commodity Futures Trading Commission 31, 45, 50
Commerce, Department of 17, 45, 49, 98
Congress, Members, districts, staff 55, 75, 84
Consular Lookout and Support System (CLASS) 67-68
Corrections (See People)
Counterfeiting 27
Courts, U. S. 39-44, 57
Credit-reporting agencies 65
Criminal history (See People)
Cultural property (See Art)
Currency, currency transactions 23-24, 25, 26, 72

Defense Central and Investigations Index 68
Defense, Department of 18, 45, 49, 68
Defense Organization Service 56



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Index




Diplomatic license plates 73
Directories
  America’s Corporate Families 52
  American Medical Directory 55
  Association Yellow Book 58
  Best Insurance Reports 52
  Biological and Agricultural Index 62
  Congressional Directory 55
  Corporate Yellow Book 56
  Directories in Print 52
  Directory of Companies Filing with Securities and Exchange
    Commission 53
  Directory of Corporate Affiliates—Who Owns Whom 53
  Dun & Bradstreet’s Million Dollar Directory 53
  Encyclopedia of Associations 59
  Federal Organization Service 56
  Federal Regional Yellow Book 57
  Financial Yellow Book 53
  Foreign Representatives in the U. S. Yellow Book 53
  Gale Directory of Databases 62
  Gale Directory of Publications and Broadcast Media 63
  Government Affairs Yellow Book 57
  Index Medicus 63
  Index to Legal Periodicals 63
  Judicial Yellow Book 57
  Law Firms Yellow Book 60
  List of Shipowners 61
  Lloyd’s Register of Ships/Lloyd’s Weekly List of Alternations 61, 62
  Lloyd’s Voyage Record/Lloyd’s Shipping Index 61
  Martindale Hubbell Law Directory 60
  Moody’s Bank and Finance Manual 59
  Moody’s International Manual 54
  Moody’s Investors Services 54
  Moody’s News Report 59
  Municipal Yellow Book 57
  National Directory of Law Enforcement Administrators, Prosecutors,
    Correctional Institutions, and Related Agencies 61
  National Trade and Professional Associations in the United States 59
  News Media Yellow Book 63
  Predicasts Funk and Scott Index, United States 54
  Reader’s Guide to Periodical Literature 64




Page 104                 GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Index




  Register of International Shipowning Groups 61
  Register of Offshore Units, Submersibles and Underwater Systems 61
  Register of Ships/Weekly List of Alterations 61, 62
  Shipping Index 61
  Standard & Poor’s Corporation Records 54
  Standard & Poor’s Register of Corporations, Directors and Executives 54
  State Yellow Book 58
  The New York Times Index 64
  Thomson Bank Directory 60
  Voyage Record 62
  Who’s Who Series 58
Driver license (See People)
Driver history (See People)
Drugs (See Narcotics)
Drug Enforcement Administration (DEA) 19, 20, 24, 49, 69, 70, 71

El Paso Intelligence Center (EPIC) 19, 68-69, 71
Electronic data base Internet addresses 97
Electronic data bases 67-83, 96
Export-Import Bank of the United States (Ex-Im Bank) 29

Farm Credit Administration 29, 46
Federal contracting 32
  Federal Procurement Data Center (FPDC) 69, 97
  Parties Excluded from Federal Procurement and Nonprocurement
Programs 71
Federal courts (see Courts, U. S. )
Federal Aviation Administration 22, 49, 69
Federal Bureau of Investigation 19, 20, 24, 49, 69, 70, 72, 98
Federal Communications Commission 32, 46, 50
Federal Deposit Insurance Corporation 29-30, 46, 50
Federal Energy Regulatory Commission 18, 49
Federal government agencies
  Alcohol, Tobacco and Firearms, Bureau of 20, 23-24, 50, 69, 72, 73
  Amtrak 33, 45, 50, 68
  Agriculture, Department of 17, 20, 27, 45, 49
  Commerce, Department of 17, 45, 49, 98
  Commodities Futures Trading Commission 31, 45, 50
  Defense, Department of 18, 45, 49, 68
  Drug Enforcement Administration 19, 20, 24, 49, 69, 70, 71
  Engraving and Printing, Bureau of 24, 50




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  Farm Credit Administration 29, 46
  Federal Aviation Administration 22, 49, 69
  Federal Bureau of Investigation 19, 20, 70-72, 98
  Federal Communications Commission 32, 46, 50
  Federal Deposit Insurance Corporation 29-30, 46, 50
  Federal Energy Regulatory Commission 18, 49
  Federal Highway Administration 23
  Federal Maritime Commission 32, 46
  Food and Drug Administration 49
  General Accounting Office 38, 46, 51
  General Services Administration 32, 46, 50, 71
  Government Printing Office 38, 46, 51, 53
  Health and Human Services, Department of 18, 47, 49
  Housing and Urban Development, Department of 47, 49
  Immigration and Naturalization Service, U. S. 19, 20, 49, 69-71, 74
  Inspectors general 44-49
  Internal Revenue Service 20, 25-26, 50, 69
  Justice, Department of 19, 27, 47, 49, 72, 81, 98
  National Aeronautics and Space Administration 32, 47
  National Credit Union Administration 31, 47, 50
  National Railroad Passenger Corporation (See Amtrak)
  Nuclear Regulatory Commission 33, 48, 50
  Securities and Exchange Commission 33-35, 48, 50, 53, 75, 81
  Small Business Administration 35, 48, 50
  Social Security Administration 35, 36, 50, 48
  State, Department of 22, 48-49, 67-70, 72, 81
  Transportation, Department of 22, 48, 49
  Treasury, Department of the 23-28, 49-50, 77
  U. S. Coast Guard 22, 49, 69, 70
  U. S. Customs Service 26, 50, 69-70, 72, 77, 81
  U. S. Department of Agriculture 17, 20, 27, 45, 49
  U. S. General Accounting Office 38, 46, 51
  U. S. Marshals Service 20, 24, 49, 69, 72
  U. S. National Central Bureau - INTERPOL 20, 67, 70, 72, 77, 81
  U. S. Secret Service 20, 27-28, 50, 69, 72, 81
  Veterans Affairs, Department of 28, 49, 50
Federal prisons 76
Federal Highway Administration 23
Federal Maritime Commission 32, 46
Federal Organization Service 56
Federal Procurement Data Center (FPDC) 67, 69




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Index




Federal Reserve System 30, 46, 50
Finance
  Banks, savings and loans, credit unions 28, 53, 60
  Bureau of the Public Debt 24, 50
  Currency 23-26, 72
  Federal Deposit Insurance Corporation (FDIC) 29-30, 46, 50
  Federal Reserve System 30, 46, 50
  Financial Crimes Enforcement Network (FinCEN) 24-25, 50
  financial data and reports 29, 31, 52-54
  financial institutions and key executives 59-60
  Financial Management Service (FMS) 25, 50
  U. S. Savings Bond Series 24
Financial crimes 24-25, 26, 27, 73, 78
Financial Crimes Enforcement Network (FinCEN) 24-25, 50
Fingerprint Identification Records System 69-70
Firearms (Also see Property) 23, 68, 71-73
  ATF 20, 23, 24, 50, 69, 72, 73
  Dealers 23, 73
  FBI 19, 20, 24, 49, 69, 70, 71, 72, 98
  Importers 22, 23, 26, 73
  manufacturers 23
  National Tracing Center 73
  NCIC 71-72, 79
Food and Drug Administration 49
Food stamps 17, 27
Foreign fugitives (See People)
Foreign representatives 53
Fugitives (See People)

General Accounting Office 38, 46, 51
General Services Administration 32, 46, 50, 71
Government Printing Office 38, 46, 51, 53, 97

Hazardous material 73
Health and Human Services, Department of 18, 47, 49
Housing and Urban Development, Department of 47, 49




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Interagency Border Inspection System 77
International fugitives 19, 20, 70, 72, 76
Interstate Identification Index 70
Immigration and Naturalization Service (INS) 19, 20, 49, 69, 70, 71, 74
Importers 29
Income tax 16, 25
Individuals (See People)
Inspectors general 44-49
Insurance fraud 66, 81-82
Insurance companies 52, 53, 56, 81
Internal Revenue Service 20, 25-26, 50, 69
International Air Transport Association 65
International Foundation for Art Research (IFAR) 65
International fugitives (See People)
Internet 49-52, 84-100
International Criminal Police Organization (Interpol) 20
Interpol Case Tracking System (ICTS) 70
Interstate Identification Index (III) 70
Investment companies 34, 35, 59

Joint Maritime Information Element (JMIE) 70
Judges 39, 57
Justice, Department of 19, 27, 47, 49, 72, 81, 98
Labor, Department of 20-22
Labor organizations 20, 21, 58, 59
Labor unions 20, 21, 58, 59
Law Enforcement Support Center (LESC) 71
Law firms 60
Local government (See State and local government)
License plates (See Vehicles)

Middle Atlantic-Great Lakes Organized Crime Law Enforcement Network
     74
Mid-States Organized Crime information Center 74
Military personnel 18
Money (See Banks, Finance)




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Index




Mortgages 9, 64
Municipalities (See State and local government)
Narcotics 19, 20, 23-25, 26, 68-69, 70, 71, 74, 75, 76
Narcotics and Dangerous Drugs Information System (NADDIS) 71
National Aeronautics and Space Administration 32, 47
National Alien Information Lookout System (NAILS) 71
National Association of Insurance Commissioners 66
National Center for Missing and Exploited Children (NCMEC) 27, 81
National Credit Union Administration 31, 47, 50
National Crime Information Center (NCIC) 71-72
National Fraud Information Center (NFIC) 81, 98
National Insurance Crime Bureau (NICB) 72, 81
National Law Enforcement Telecommunications System (NLETS) 72-73
National Railroad Passenger Corporation (See Amtrak)
National Tracing Center 73
National White Collar Crime Center 73
New England State Police Information Network (NESPIN) 74
Nonimmigrant Information System (NIIS) 74
Nuclear material and equipment 33
Nuclear Regulatory Commission 33, 48, 50

Parole/Probation (See People)
People
  addresses, current and previous 79
  aliens (Also see listing on page 107) 19, 67, 70, 71, 74, 102
  banking information 28
  bankruptcy 10, 40
  biographies, professional 55-58
  birth date 9, 10, 15, 55-58
  birthplace 9, 10, 15, 55-58
  bonding companies 65
  children, missing/exploited 81
  corrections 16, 73
  court records of civil and criminal cases 8-9, 10, 39-44
  credit information 78, 79, 80
  criminal history 20, 71-73, 74, 76
  death 8, 9
  divorce 8
  doctors 10, 55
  driver history 15, 72




Page 109                   GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Index




  driver’s licenses 15, 72
  employment 9, 11, 20-21, 65, 82
  foreign fugitives 20, 72, 73
  fugitives and wanted persons 20, 72, 73, 77, 98
  judgments 10, 65
  liens 8-10, 64
  marriage records 10, 15
  missing persons 72
  name changes 8, 82
  occupation 10, 15, 82
  parole/probation 9, 74
  passport records 22
  People Tracker 79
  Phone Fiche 66
  security investigations 68
  sex offenders 73
  signatures 8, 9
  social security number 9, 16, 35-36, 82
  social security number issuance, designated geographic areas 37
  stock ownership 33-34, 54
  tax 11, 25, 40
  unemployment compensation 16, 20
  veteran status 10, 18, 28
  vital statistics 15
  Who’s Who 58
  wills 10
Powers of attorney 9
Probate indexes 8
Property
  aircraft ownership, repair and maintenance records 22, 65, 72, 73
  art forgery and theft 20, 65, 77
  blueprints and floorplans 8
  building permits, inspections 8
  construction costs 8
  firearms (See listing on page 107)
  judgments, garnishments, chattel mortgages, other liens 10
  legal description 11
  real estate taxes 11
  sale and transfer 9, 10, 11
  securities 16, 24, 31, 33-34, 53, 54, 59, 69, 75
  values and assessments 11, 79-80




Page 110                 GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Index




  vehicles 15, 19, 23, 65, 72, 73, 74, 81
  vessels 19, 22, 23, 32, 61-62, 70, 73, 76
  wills, inheritances, and gifts 8, 10
  Public Affairs Information Service 64

Railroads (See Amtrak)
Real estate companies 59
Real estate transactions 9
Regional Information Sharing System (RISS) 74
Regional Organized Crime Information Center (ROCIC) 75
Rocky Mountain Information Network 75

Scorpio 75
Securities 16, 24, 31, 33-34, 53, 54, 59, 69, 75
Securities and Exchange Commission 33-35, 48, 50, 53, 75, 81
Securities Information Center 75-76
Sex offenders (See People)
Shipping 22-23, 32, 61-62, 71, 72-73, 76
  arrivals, departures; docks, floating, dry, and wet; freight forwarding
  activities, marine insurance companies and associations; offshore
  drilling rigs; ownership; Register of International Shipowning Groups;
  Register of Offshore Units, Submersibles and Underwater Systems;
  Register of Ships; ship movement; shipbuilders; Shipping Index;
  terminals; tonnage
Small Business Administration 35, 48, 50
Social Security Administration 35, 36, 48, 50
Social security numbers 9, 29, 35-36, 82
South Pacific Islands Criminal Intelligence Network (SPICIN) 76
Standard industrial classification 53, 55, 66
State and local government
  Attorneys general 11, 12-15
  building inspector 8
  chiefs of police 61
  consumer complaints 11, 31, 65
  coroner 8, 9
  corrections 16, 73




Page 111                   GAO/OSI-97-2 Investigators’ Guide to Sources of Information
Index




  county sheriffs 61
  court clerk 8-9
  district attorneys 61
  executives and legislative officials 57-58
  health department 9
  licensing 15-16
  liquor commission 16
  lottery commission 16
  motor vehicle administration 15
  natural resources 16
  property taxes 11
  public records 78-79
  recorder 9, 10
  registrar of voters 10
  regulatory agencies 10, 15-16
  surveyor 11
  tax assessment and collection 11
  utilities 16
  vital statistics 15
  welfare commission 11
Stock
  consumer complaints 34
  financial reports 33-34, 53, 54, 69
  registration 33, 53, 54, 69, 75
  transactions 34, 53, 54, 69, 75
Subsidiaries 53-54, 56, 59

Terrorism 65, 72, 76
Trade and professional associations 59
Treasury Enforcement Communications System (TECS) 77
Treasury, Department of the 23-28, 49, 50, 77
Trust companies 53, 59

U. S. Coast Guard 22, 49, 69, 70
U. S. Customs Service 26, 50, 69, 70, 72, 77, 81
U. S. Department of Agriculture 17, 20, 27, 45, 49
U. S. General Accounting Office 38, 46, 51
U. S. Marshals Service 20, 24, 49, 69, 72




Page 112                  GAO/OSI-97-2 Investigators’ Guide to Sources of Information
           Index




           U. S. National Central Bureau 20, 67, 70, 72, 77, 81
           U. S. Secret Service 20, 27-28, 50, 69, 72, 81
           Utilities 16, 18, 53, 54

           Vehicles (See Property)
           Vessels (See Property)
           Veterans Affairs, Department of 28, 49, 50
           Vital statistics 15

           Wanted persons (See People- fugitives)
           Weapons (See Firearms)
           Western States Information Network 75
           White collar crime 73, 76




(600415)   Page 113                  GAO/OSI-97-2 Investigators’ Guide to Sources of Information
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