Unlicensed Staff and a Client Demand to Sign the Report
Your Albuquerque firm holds a New Mexico private investigations agency license. You are the qualifying party. The firm has one other licensed investigator, a newly hired paralegal named Mateo who has finished 40 hours of pre-licensing coursework but has not applied for a license, and an unpaid intern, Dana. A Texas law firm hires you to locate and interview a former warehouse manager in Las Cruces. The client's budget is $4,500, the deadline is 10 business days, and the client wants daily email updates. On day two, the client emails: 'Send Mateo alone to interview the witness tomorrow; have him sign the report as investigator. Dana can call the witness's current employer posing as a delivery driver to confirm employment.' Mateo has never conducted a witness interview. Dana has no license and no training. The client also asks that the final report omit the fact that the witness was interviewed at his home, because 'it looks unprofessional.'
1. Identify the licensing and supervision problems in the client's instructions. What may Mateo and Dana lawfully do on this case?
Read the worked answer
New Mexico licenses investigators and agencies, and unlicensed staff may not conduct investigations for hire or hold themselves out as investigators. Mateo has only pre-licensing coursework and no license. He cannot conduct the witness interview alone or sign as 'investigator.' You or the other licensed investigator must lead the interview. Mateo may observe or take notes only if the witness consents and the client agrees, and he must be identified as a trainee. Dana cannot make the delivery-driver call: she is unlicensed, and the ruse is a deceptive contact to obtain employment information. Use lawful employment verification instead, such as public records, client-provided documents, or a direct call with disclosure. Correct the client in writing, document the instruction, and do not let budget pressure override licensing rules. If the client insists on unlicensed activity, decline that work and consider whether to continue the engagement.
2. The client wants the report to omit where the witness was interviewed. How should you handle that request?
Read the worked answer
The report must be accurate and complete. The location of an interview is material because it bears on voluntariness, privacy, and witness comfort. Omitting it to 'look professional' is misleading. Include date, time, place, duration, persons present, and whether the witness consented. If the client insists on omission, explain that you cannot submit a misleading report. Offer to add context, for example: 'Interview conducted at the witness's home at his request.' If the client still demands falsification, decline and consider withdrawal under the rules, returning unearned fees. Document the request and your response. This protects the client, the witness, and your license.
3. What written controls should be in place before the firm continues work?
Read the worked answer
Use a written engagement letter that defines scope, budget, deadline, authorized personnel, and supervision. Require client approval for any subcontractor. Keep a case log of contacts, instructions, and expenses. Confirm in writing that no unlicensed person will interview, pretext, or sign reports. Set a communication schedule that meets the daily-update request without promising results. Build in a budget threshold, such as notifying the client at 75% of $4,500, so you do not exceed authorization. Maintain confidential case files separately and do not disclose witness information to unauthorized parties. If the client refuses these controls, decline the engagement.