FOIPA COVER SHEET
FREEDOM OF INFORMATION
AND
PRIVACY ACTS
SUBJECT: MANUAL OF INVESTIGATIVE
OPERATIONS AND GUIDELINES (MIOG)
VOLUME 3
SECTIONS 14 -23
FEDERAL BUREAU OF INVESTIGATION
I
THE BEST COPY
OBTAINABLE IS
INCLUDED IN THE
REPRODUCTION OF
THESE DOCUMENTS.
PAGES INCLUDED THAT
ARE BLURRED, LIGHT, OR
OTHERWISE DIFFICULT
TO READ ARE THE
RESULT OF THE
CONDITION OF THE
ORIGINAL DOCUMENT.
NO BETTER COPY CAN BE
REPRODUCED.
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VOLUME III
Manual of
Investigative
Operations
and Guidelines
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Manual of Investigative Operations and Guidelines
Part II ■-.,::r--v-';. ■ ■ ■-- ■.■ -.;.....:...;• ■■•.■;
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PAGE 14.-V" 1:
SECTION 14. FINGERPRINT IDENTIFICATION
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HISTORICAL DATA CONCERNING FBI CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) DIVISION (FORMERLY THE
IDENTIFICATION DIVISION)
j. The insistent demand by police officials for one
cooperative system for the compilation and exchange of criminal
ident ification data on a natio nal scale 1 e d to t he format i on of t he
FBI Identification Division on July 1, 1924. The fingerprint fileT
from the Leavenworth Penitentiary and the National Bureau of Criminal
Identification, which totaled 810,188 records, became the foundation
I of the FBI fingerprint card repository. | The Identification Division
and the Criminal Justice Information Services (CJIS) Division merged
5/1/93. The merger was to eliminate duplication and better conform to
the new organizational structure. This consolidation of services
enhances communications and services to local, state, federal, and
international criminal justice agencies. (See MIOG, Part I, Section
32.)
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EFFECTIVE: 12/13/95
14-2 FBI I CRIMINAL JUSTICE INFORMATION SERVICES (CJIS) [DIVISION
RECORDS SYSTEM
EFFECTIVE: 03/10/94
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PAGE 14
U-2.1
Categories of Individuals Covered by the System
^1) Individuals fingerprinted as a result of arrest or
incarceration.
(2) Persons fingerprinted as a result of Federal
employment applications, military service, alien registration and
naturalization processes, and individuals desiring to have their
fingerprints placed on record with the FBI for personal identification
purposes.
EFFECTIVE: 05/25/90
14-2.2
Categories of Records in the System
(1) Criminal fingerprint cards and related criminal
justice information submitted by authorized agencies having criminal
justice responsibilities.
(2) Civil fingerprint cards submitted by Federal agencies
and civil fingerprint cards submitted by persons desiring to have
their fingerprints placed on record for personal identification
purposes.
(3) Fingerprint cards relating to missing persons and
unidentified dead persons which are submitted by authorized agencies
having criminal justice responsibilities.
(4) Identification records sometimes referred to as "rap
sheets" which are compilations of criminal history information
pertaining to individuals who have criminal fingerprint cards
maintained in the system.
(5) A name index pertaining to each individual whose
fingerprints are maintained in the system. The criminal records and
the civil records are maintained in separate files. The criminal
records are contained in either an automated file or a manual file
depending on date of birth (refer to 14-10.1.2). The civil records
are contained in a manual file. Both the criminal and civil files
have an alphabetical name index related to data contained therein.
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EFFECTIVE: 05/25/90
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM AND USE OF
SYSTEM'S RECORDS
EFFECTIVE: 05/25/90
14-3.1 Statutory Authority for FBI | Criminal Justice Information
Services (CJIS) loivision
I
The system is established, maintained, and used under
authority granted by Title 28, United States Code (USC) , Section 53A;
Public Law 92-5A4 (86 Stat. 1115); Public Law 9A-29 (89 Stat. lAO) ;
Public Law 95-A05 (92 Stat. 87A) ; and Public Law 99-399 (100 Stat.
853). The authority is also codified in Title 28, Code of Federal
Regulations (CFR), Section 0.85 (b) and (j), and Sections 20.1-20,38.
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EFFECTIVE: 03/10/94
14-3.2 Uses of Records Maintained in thejCriminal Justice
Information Services (CJIS) (Division
'Wi'
The FBI operates the(CJIS |Division Records System to
perform identification and criminal history record information
functions for Federal, state, and local criminal justice agencies, and
for noncriminal justice agencies, and other entities, where authorized
by Federal statute, state statute pursuant to Public Law 92-544,
Presidential Executive Order, or regulation of Attorney General of the
United States. In addition, identification assistance is provided in
disasters and for other humanitarian purposes. Record requests are
also processed in accordance with Public Law 94-29, known as the
Securities Acts Amendments of 1975; Public Law 95-405, known as the
Futures Trading Act of 1978; and Public Law 99-399, known as the
Omnibus Diplomatic Security and Anti-Terrorism Act of 1986.
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14-4 DISSEMINATION GUIDELINES FOR FBI | CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) | DIVISION RECORDS I (See MAOP,
Part II, 9-2.8 & 9-3.1.1.) I
EFFECTIVE: 03/10/94
14-4.1
Authorized Dissemination
1
EFFECTIVE: 09/26/90
14-4.1.1 FBI Criminal History Records Made Available: (See MIOG,
Part II, 14-5.1.)
(1) To criminal justice agencies for criminal justice
purposes free of charge.
(2) To federal agencies authorized to receive them
pursuant to federal statute or Executive order. Effective 1/3/94, an
$18 user fee may be charged for processing fingerprint cards submitted
by federal government agencies for nonlaw enforcement, noncriminal
justice licensing and employment purposes. A user fee ranging from
$2.00 to $8.00 may be charged for name-check requests submitted by
federal agencies for national security purposes. The fee will vary
for the name-check requests depending upon whether a paper or magnetic
tape format is used.
(3) To officials of federally chartered or insured
banking institutions to promote or maintain the security of those
institutions and, if authorized by state statute and approved by the
Attorney General, to officials of state and local governments for
purposes of employment and licensing (Public Law 92-544); to certain
segments of the securities industry for record checks on persons
involved with the transfer of securities (Section 14(f)(2) of Public
Law 94-29); to the Commodity Futures Trading Commission for record
checks on persons applying for licenses as commodities brokers (Public
•f.
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Law 95-405); and to nuclear power plants for record checks on persons r'S
with unescorted access to nuclear power plants or individuals granted -!*
access to Safeguards Information by power reactor licensees (Public *!i^"
Law 99-399). Effective 1/3/94, a user fee of $24.00 per inquiry (non- iS
Federal applicant fingerprint card submissions) is being charged for *.,
this service. ■•-•■*•=
I (4)Effective 7/1/94, a user fee of $18,00 will be -
charged to federal criminal justice agencies for processing applicant ,
fingerprint cards for firearms and related permits. Effective
10/1/94, a user fee of $24.00 will be charged to state and local - j
criminal justice agenci ejB_jsubmitti_ng^ppJJ_cant^ f i^ngerprint_ cards for ■>:
firearms and related permits. | ~ ~~
EFFECTIVE: 12/02/94
(..| I 14-4.1.2 JDeletedj
EFFECTIVE: 09/26/90
14-4.2 Unauthorized Disseminations
The exchange of FBI criminal history records authorized by
14-4.1 is, subject to cancellation if dissemination is made outside the
receiving departments or related agencies. Such misuse may also be a
violation of the Privacy Act of 1974 (see Part I, Section 187 of this
manual). FBIHQ should be advised of such unauthorized or illegal uses
without undue delay.
EFFECTIVE: 09/26/90
14-5 INDIVIDUAL'S RIGHT TO ACCESS FBI CRIMINAL HISTORY RECORDS
EFFECTIVE: 09/25/91
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14-5.1 Access to the Record | (See MIOG, Part II, 14-A.l.l &
14-23.) I
Any" individual may obtain a copy of his/her FBI
identification record by submitting to the FBI | Criminal Justice
Information Services (CJIS) |Division a written request, accompanied by
satisfactory proof of identity, and a certified check or money order
in the amount of ($18.00|made payable to the Treasurer of the United
States. Satisfactory proof of identity is defined as full name, date
and place of birth, and a set of rolled-inked fingerprint impressions.
For full details refer to T itle 28, CFR . Sec tions 16.30-16.34, or
Departmental Order 556-73, a copy of which is on file in each field
office. ThejCJIS [Division is available to fingerprint any person in
the Washington, D.C., area who wishes to obtain a copy of his/her
identification record. In the field, local agencies are usually
available which will fingerprint persons for employment, licensing,
and other purposes. Each field office should ascertain the identities
of such agencies in its area where requesters may be referred.
However, where fingerprinting services are not otherwise available;
p or, where available but a person who wishes to obtain a copy of
his/her identification record is experiencing difficulty in obtaining
his/her fingerprints, the field office should fingerprint the person.
EFFECTIVE: 03/10/94
14-5.2 Challenge to Information in FBI Identification Record
If, after reviewing his/her identification record, the
subject thereof believes that it is incorrect or incomplete iii any
respect and wishes changes, corrections or updating of the alleged
deficiency, he/she should make application directly to the [agency
which contributed the questioned information. The contributor jshall
promptly notify the FBl|of any corrections necessary, | and, upon
receipt of such a notification, the FBI will make any changes
necessary in accordance with the corrections supplied by the
contributor of the original information. ' The subject of a record may
also direct his/her challenge as to the accuracy or completeness of
any identifiable entry on his/her record to the FBI. The FBI will
then forward the challenge to the agency which submitted the data
requesting that agency to verify or correct the challenged entry.
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EFFECTIVE: 05/1A/93
14-6 NOTIFICATION OF PENDING LEGISLATION OR PROJECT REQUESTS
EFFECTIVE: 09/25/91
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14-6.1
Pending Legislation
Field offices should advise FBIHQ, Attention:
I [Criminal Justice Information Services (CJIS) |Division, of any pending
legislation that might curtail or restrict the legal right of state or
local criminal justice officials to fingerprint arrested persons.
I Field offices should also advise the |CJIS(Division of the passage of
any law, ordinance, or regulation requiring fingerprinting for
licensing or local/state employment.
EFFECTIVE: 03/10/94
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14-6.2
Project Requests
Field offices should promptly advise the|CJIS|Division of
any requested fingerprinting projects. Information concerning the
availability of such services should, be addressed to FBIHQ, Attention:
|CJIS|Division. The field should make no commitments to handle any
"project" involving submission of fingerprints to the JCJIS [Division.'
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EFFECTIVE: 03/10/94
14-7
INKED FINGERPRINT IMPRESSIONS - TAKING
EFFECTIVE: 03/23/92
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14-7.1
General Instructions
on Services
images made from black
ng methods, and specific
(2) The booklet, "The Science of Fingerprints," if
carefully read, should thoroughly acquaint even a novice with the
process of inked fingerprints. With the exception of the actual ink
preparation, the principles provided also apply to taking chemically
_PJrodMed_AnOi vers^m generated^ f ingerpHnt^s . _ Live-scan fingerprints
cannot be used for obtaining fingerprint images fromdeformed fingersT
(3) Frequently officials fail to comply with all the
instructions and illegible prints result. Accurate classification
depends upon the existence of the focal points known as cores and
deltas, between which ridges may be traced and/or counted. Each
finger must be fully rolled from one nail edge to the other. Practice
with the fingerprinting method selected will reveal the best possible
fingerprint images. It is imperative, that properly prepared prints be
I furnished the|CJIS|Division in order that errors may be reduced to the
minimum.
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EFFECTIVE: 03/10/94
14-7.2 Common Faults
(1) Failure to properly cleanse the subject's hands or
the equipment before | inking or scanning the fingers. |
(2) Failure to fully roll the impressions in thelcorrect
finger block.
(3) Uneven inking.
(4) Overinking.
(5) Applying too much or too little pressure when rolling
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(7) Fingers excessively dry. |
EFFECTIVE: 03/23/92
PAGE 14 -
14-7.3
Major Case Prints
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The Latent Fingerprint Section, Laboratory Division will
retain major case fingerprint cards submitted to the CJIS Division by
the FBI and other federal agencies, which are appropriately recorded
_and„inclu,ded^on_arresJ:_^ingejrpH^^ ( Form FD-24 9 ) . The Latent
Fingerprint Section will review and examine the fingerprint card and
palm prints. If the Latent Fingerprint Section has no interest in the
subject, the prints are forwarded to the Special Processing Unit,
[identification Services Section, CJIS Division, | for handling. Major
case prints submitted by all other agencies are returned to the
contributor.
EFFECTIVE: 12/13/95
14-7.3.1 Equipment
The necessary equipment consists of the regular
fingerprint inking material and fingerprint cards, plain 8- by 8-inch
cards, and cylindrical object three inches or more in diameter. Place
an 8- by 8-inch white card on the cylinder. This card is then held in
place by rubber bands.
EFFECTIVE: 03/23/92
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14-7.3.2 Procedure
(1) Set of fingerprints taken in the usual manner.
(2) Record main palm print of right hand. With a roller,
roll ink on the inking plate so that the entire roller is covered with
a thin and even amount of ink. Take the subject's right hand and
apply the ink with the roller directly to the subject's hand. The
entire surface of the palm and fingers should be inked. Take the
subject's inked hand and place the heel of the palm on the card at the
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lower edge. Then by using the cylindrical object placed on a desk as '■ -^.^
a roller, the inked palm print can be taken. The right hand,
including the fingers, should be taken. The fingers are kept stiff '•
and outstretched in the process of rolling the cylinder. Fingerprints '#
are taken as a part of the process so that the palm prints can receive '^
proper attention in theJLatent Fingerprint Section, Laboratory
Division, I for filing purposes. s-.
(3) Record impressions of the outer edges (little finger
and thumb sides) of the palm. After the usual impression is made on
the card with the right palm lying flat, the ridges under the little t'
_finger_and_thumb_should_be_inked_to_the_bottom_of_the palm_and out t o
the smooth skin. Remove the card from the holder and lay flat on the
table. The right side of the palm is placed at a A5-degree angle to ;^
the right of the previously printed right palm and rolled onto the #
card. Next the left side of the right palm is placed at a ^-degree .,%
angle to the left of the already recorded main palm print and rolled ■^'
onto the card.
(4) Prints of the sides, lower joints, and tips of the
fingers of right hand obtained as follows, after having placed the
card on a smooth flat surface and securing by means of tape or thumb
tacks:
(a) Ink the fingers from side to side for their
entire length.
(t>) First, an impression is made by laying the
finger on its left side (45-degree angle) and raising it up to the
nail.
(c) A second impression is made just to the right of
the first impression laying the finger flat and raising inward to the
nail.
(d) A third print is made just to the right of the
second impression by laying the finger on its right side and raising
to the nail.
(e) A fourth impression is made above the other
three impressions by placing the tip only on its left side and rolling
completely to the right, producing a rolled print of the tip only.
(f) Lastly, to the immediate right of the four
impressions, record a fully rolled print of the entire areas of the
lower joints of the finger. To accomplish this, hold the finger
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horizontally and place one side of the finger straight down on the
card. Then, roll the finger 180 degrees to the other side, ensuring
that all areas of the lower joints are clearly recorded. In recording
the rolled impression of the lower joints of each finger, the
direction of the roll should be the same as when recording a set of
rolled fingerprints on a regular fingerprint card — that is, roll the
thumbs toward the subject's body and the other fingers away from the
subject's body.
(g) The end results consist of five different
impressions of each finger, i.e., two side-to-tip impressions, one
-flal.~to-^ip imp£iMs^iqn, one tip^ i^^ one fully rolled
impression of the lower joints. Prints of the same finger should be"
grouped on the card and identified as to right thumb, right index,
etc. As many finger groups as possible may be placed on the same card
and several cards may be used, if necessary; however, prints should be
recorded on one side only.
(5) The same process is followed with the left hand.
(6) If more than one impression of any area is made to
ensure legibility, all prints should be submitted for comparison.
(7) Every card, regardless of the type of print appearing
on it, must bear the subject's name, the name of the person taking the
prints, and the date taken.
EFFECTIVE: 12/13/95
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14-7.4
Live-Scan Electronically Produced Fingerprint Impression
(1) On November 10, 1988, the Identification
Division! (now CJIS Division) (published the document, "Minimum Image
Quality Requirements for Live-Scan, Electronically Produced,
Fingerprint Cards." This document established the criteria that live-
and
jysl
scan fingerprint cards must meet to be accepted for processing
retention in the|FBI's identification records system. I
(2) Since that time, the|CJIS|Division and Underwriters
Laboratories, Inc., have performed an aggressive series of tests to
ensure that the requirements are realistic, and that fingerprints
produced on live-scan systems support the |CJIS|Division*s processing
needs.
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(3) As a result of these tests, live-scan fingerprint
cards produced on specific equipment configurations are now being
accepted for |CJIS|Division processing and retention. Appropriate
announcements are made as live-scan systems are evaluated and accepted
forjCJIS|Division use.
(4) On August 30, 1991, the Identification Division] (now
CJIS Division) (published a revision to the requirements document. The
revision more accurately reflects the fingerprint processing needs of
the FBI.
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EFFECTIVE: 03/10/94
14-8
FINGERPRINT CARD DATA
EFFECTIVE: 03/23/92
14-8.1
Submitted by FBI
EFFECTIVE: 03/23/92
14-8.1.1 Subjects Incidental to Arrest
When fingerprinting, an arrestee, at least two sets of
fingerprints should be taken on the criminal fingerprint card (Form '
FD-249) . Both cards should be filled out completely with particular
attention given to the following:
contributor.
(1) The card should reflect the local FBI office as the
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(2) Set forth complete charge in narrative form in the
"Charge" block; statute citation should go on the back of the
fingerprint card.
(3) Date of arrest.
(4) Full name and descriptive data.
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(5) Check appropriate "Photo Available" block on back of
card; retain photo in field office file (do not attach to the
fingerprint card).
(6) Show the local United States Marshals Service (USMS)
Originating Agency Identifier Number (ORI#) and address in the "Send
Copy To" block on the back of the fingerprint card (local USMS ORI#
can be obtained from the USMS or through an inquiry' of the NCIC) .
This notation ensures that the USMS office assuming custody of the
arrestee will receive a copy of the(Criminal Justice Information
.Se-rvi-CM_JCJIS)_| Division, res po_^^^^
record or a notification that he/she had no prior criminal record.
The USMS should be provided the duplicate set of prints and should be
advised that the original fingerprint card has been forwarded to the
FBI|CJIS|Division. This will assure the USMS that they will receive
the results of the criminal history record check of the|CJIS|Division
and will eliminate their need to fingerprint the arrestee. This also
applies to situations in which a Federal prisoner (who is incarcerated
in an area where there is no deputy marshal) is released at a hearing
or arraignment before the marshal can obtain the prisoner's
fingerprints. { (See MIOG, Part II, 14-8.2.) I
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ascertained.
(7) Disposition, if known, or submit it promptly when
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EFFECTIVE: 03/10/94
14-8.1.2 Suspects Only
(1) "Suspect" to be indicated in space marked "Charge" on
fingerprint card.
(2) Fingerprints returned to field office after search
and to be filed in 1-A section of investigative case file.
(3) If identification ia made with a previous arrest
record, a copy of record will be furnished to the field at time
fingerprint card returned.
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14-8.1.3
Informants
(1) Us,^cii»4narfingerprij^t3.ar3^^^ and f orward to
\mm. I Inf ?i^»ant | Vnif^l tttel 1 iggafej ggt i oC'Cr iSiif^"'^TS??I?I?StI^^-
rision, for referral to th'e|CJISlbivision*f' " i;....;' , .^i* .,
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card.
(2) 'Contributor is FBI field office.
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..Plaferthe word '"inquiry "- in "Cha r g e " space^'fa^ b^
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(4) Full name and descriptive^ daYa7/
(5).
classifiable
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ion if
EFFECTIVE: 03/10/94
14-8.1.4 Juveniles
Juveniles may be fingerprinted in accordance with the
provisions of Title 18, USC, Section 5038 (see Part II, Section 4 of
this manual) .
EFFECTIVE: 03/23/92
14-8.1.5 FBI Applicants (See MIOG, Part I. 67-11,3.8. 67-17.1.7.)
FBI support applicants, who are favorably recommended, are
to be fingerprinted at the time they are interviewed. FBI Special
Agent applicants are to be fingerprinted at the time of their panel
interview. Cards are to be submitted to FBI Headquarters,
Attention: jPersonnel [Division, along with application, interview
sheets, questionnaires and examination papers. In every instance,
applicant for FBI position should be fingerprinted by FBI personnel.
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EFFECTIVE: 04/21/94
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14-8.2
Submitted by U.S. Marshals Service
Primary duty of U.S. Marshals Service (USMS) is to
fingerprint every Federal prisoner (except juveniles, see 14-8.1.4)
without delay as soon as custody is assumed. USMS should be shown as
contributor together with date of arrest, charge, and other data.
Reverse side of card should be marked to designate copy of reply to
_inter.es ted_FBI_field_office_or_offices_, Howeyer,_a„defendant_:.turned_
over to the custody of the USMS will not be fingerprinted, provided
the arresting agency assures that it has already done so and has
included the USMS in the distribution of the criminal history in the
"Send Copy To" block of the FD-249 (see Section 14-8.1.1).
rm
EFFECTIVE: 09/25/91
14-8.3 Submitted by Other Criminal Justice Agency for FBI
Where subject is fingerprinted by another criminal justice
agency for the FBI pursuant to arrest for which Federal process
outstanding, FBI field office should be shown as contributor, together
with date of arrest, charge, and descriptive data. Fingerprint card
should be marked for copy of reply to local criminal justice agency if
latter interested.
■??■
EFFECTIVE: 09/25/91
14-8.4 Submitted by Local Criminal Justice Agency on a Local
Charge
When subject is fingerprinted by a local criminal justice
agency on a local charge, such as car theft, and FBI interested as
possible ITSMV violation, local criminal justice agency should be
shown as contributor, together with local charge, date of arrest and
descriptive data. Copy should be indicated for appropriate FBI field
office I by indicating in the "Send Copy To" block on the back of the
fingerprint card, the field office Originating Agency Identifier
Number (ORI#) and address.]
Sensitive
PRINTED: 02/18/98
ffKmfi'^^^^rf^
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Manual of Investigative Operations and Guidelines
Part _II^ , ■:'^f-. ^_ - -
EFFECTIVE: 09/25/91
PAGE 14 - 16
14-9
FINGERPRINT CARDS - TYPES
EFFECTIVE: 09/25/91
Mt
14-9.1 Distributed to Criminal Justice Agencies Without Charge
EFFECTIVE: 09/25/91
14-9.1.1 Criminal Fingerprint Card (FD-249)
1-^3
This card is used by criminal justice agencies to record
the finger impressions of those persons who have been arrested or
incarcerated in a penal institution. The criminal card includes
information regarding the arrest charge, the disposition, and other
information relating to the physical description. Space is provided
for the FBI number and should be indicated when it is known. Spaces
are also provided for the contributor of the fingerprints to indicate
whether or not a reply is desired and if a collect wire reply or
collect telephone reply is desired. Due to the requirements of the
[Criminal Justice Information Services (CJIS) [Division's automated
services system, when a contributor places an FBI number on the
fingerprint card, it is also necessary to submit a full set of
fingerprints.
' -'in
EFFECTIVE: 03/10/94
.?#
Sensitive
PRINTED: 02/18/98
Sensitive
Manual of Investigative Operations and Guidelines
Part II ,,
. ■' ' ' . ' ' . .7' ,
14-9.1.2 Applicant Fingerprint Card (FD-258)
PAGE 14 - 17
This fingerprint card is used in submitting fingerprints
to the|CJIS|Division on persons directly employed in or applying for
criminal justice positions ^or in those instances where authorized by
Federal statute, Presidential Executive Order, state statute pursuant
to Public Law 92-544, or regulation of the Attorney General of the
United States.
EFFECTIVE: 03/10/94
14-9.1.3 Personal Identification Card (FD-353)
This card is used solely for recor
of those persons who voluntarily submit their
purposes of identification only. These cards
who desires to forward his/her fingerprints to
retention. With regard to the fingerprints of
printed by parents for identification purposes
to retain the child's prints which should be f
appropriate law enforcement authorities only i
missing. They are not searched against the cr
identification fingerprint cards are filed in
ICJISlDivision.
ding finger impressions
fingerprints for
are available to anyone
the|CJISJDivision for
children who have been
, the parents are urged
orwarded to the
f the child becomes
iminal file. Personal
the civil file of the
EFFECTIVE: 03/10/94
14-9.1.4 Personnel Fingerprint Card (FD-380)
This card is used exclusively for the taking of
fingerprints of FBI personnel at the time they enter on duty. It is
distributed to FBI field offices only.
EFFECTIVE: 09/25/91
.'>•:!
Sensitive .
PRINTED: 02/18/98
m
Sensitive "' '■''Tf#
EFFECTIVE: 09/25/91
14-9.2.3 U.S. Coast Guard Fingerprint Card
EFFECTIVE: 03/10/94
,»v-J^'
Manual of Investigative Operations and Guidelines
Part 11,^.:; ..-.■ ■■ :■.- ;; ■ . - page 14 - . 18 '^,
■ . ■ ■ ' . ■: ■ . ■ -ga.
14-9.2 Not Distributed by FBI but Processed in thejCriminal
Justice Information Services (CJIS) [Division
■ ■ "%;■>
EFFECTIVE: 03/10/94 -=
14-9.2.1 Office of Personnel ManageWent (OPM) Fingerprint Card
This card (SF-87) used for taking of fingerprints of U.S. ;
Government employees who come within purview of Government security %
program. ,'
EFFECTIVE: 09/25/91
^ 14-9.2.2 Armed Forces Fingerprint Card '^f.
This card (DD-2280) used by Army, Air Force, Marine Corps, .i-:
and Navy for taking of fingerprints of military personnel. ?*'-
This card (DD-2280) used for personnel of U.S. Coast ^t|
Guard. Identification Division] (now CJIS Division) |has filed since '#
11/15/48 a copy of these fingerprint cards as part of|its|civil M
fingerprint file. Coast Guard maintains a separate fingerprint file. -If
/M^(i,iS
*^; (
Sensitive f '.'
PRINTED: 02/18/98 . , J^ :i|«#|l"
\J
Sensitive
Manual of Investigative Operations and Guidelines
Part II.- -v;. -i -
PAGE U - • 19-
14-9.2.4 Alien Registration Fingerprint Card! (See MIOG, Part II,
14-10.2.1 & 14-10. 2. 2. )| r
This card (AR-4) was used by State Department and U.S.
Immigration and Naturalization Service. Identification Divisionj (now
CJIS) |has filed these fingerprint cards since 1940 when Alien
Registration Act went into effect concerning fingerprinting of aliens.
The fingerprinting requirement in the Act was rescinded in 1986 and,
therefore, cards are no longer being received for filing. No other
fingerprint file is maintained on alien registrations.
EFFECTIVE: 03/10/94
14-10
FILES IN THE (CRIMINAL JUSTICE INFORMATION SERVICES (CJIS) I
DIVISION
^?mM.
sS
m
.V3«t;
EFFECTIVE: 03/10/94
14-10.1
Criminal File
m.
EFFECTIVE: 09/25/91
^vs^
14-10.1.1 Fingerprint Card File
The first retain fingerprint card received on persons
arrested or incarcerated by local, state, and/or Federal authorities
is assigned an FBI number. This card Ib filed in the Technical
Section Master Criminal Fingerprint File by the fingerprint
classification formula. This file is divided into male and female
sections as well as age group. When a subsequent set of retain
fingerprints is submitted and found to be identical with the first
arrest in the CJIS Division's automated services system, the retain
print will be maintained on microfilm. If the record has not been
fully automated, the|record will be fully automated before processing
of the retain fingerprint card is complete. | Alljwanted, flash and
Sensitive
PRINTED: 02/18/98
HSH
I
Sensitive -'^^
Manual of Investigative Operations and Guidelines
^"^ ^^.••;;,../ ;, ■ • .,:. , , PAGE 14- '20, ■ '^^'$
missing persons [notices are placed injthe subject's computerized -'
criminal name record.] Unidentified missing person notices are i
returned to the sender. Unidentified missing person fingerprint cards ' <^r;
are filed m the criminal file, which is indexed by the fingerprint
classification formulia.
EFFECTIVE: 08/18/9A
_14rJ0_.J_^2_ — Criminal. Name__Indi.ces__ (See MIOG, Part II, 14-2.2(5) &
14-12.2.) ' " " -
The name and descriptive information (e.g., aliases, sex,
race, date and place of birth, social security number, etc.) appearing
on criminal fingerprint cards submitted to the CJIS Division are
indexed in the division's criminal name indices. All such data
relating to offenders born on or after 1/1/29 is computerized. Data
relating to offenders born prior to 1/1/29 is still maintained on name
index cards and searched manually. If the current retain criminal
card IS found to be identical to a [manual record, [ thejsubject 's | record
will be maintained in the CJIS Division's automated services system.
A match on the basis of name and. other descriptors cannot be reported
as a positive identification without a subsequent fingerprint
comparison.
"Vrf.-
■^
EFFECTIVE: 08/18/9A '^
14-10.2 Civil File Jf'
EFFECTIVE: 03/23/92 ' '.%
Si
Sensitive
PRINTED: 02/18/98 : ;iv- , . .^..^f,^
'i^'&^f
Sensitive
Manuial of Investigative Operations and Guidelines
Part II r' „ .• J',;; -f*'..-.- '-'■ ■■ * .....^ - '■.■.
lA-10.2.1 Fingerprint Card File :-^-.--
PAGE 14 - 21
... JiTi
This file contains fingerprint cards of military
personnel. Federal employees, aliens, miscellaneous applicant-type
fingerprints, and fingerprints submitted for personal identification.'
With the exception of the aliens and personal identification cards,
these cards are placed in this file provided no criminal card is
located in the criminal file. In the case of personal identification
fingerprint cards and alien registration fingerprint cards, no search
is made by either name or fingerprint classification and the cards are
automatically filed in the civil file. This file is divided into male
_and_female_.
EFFECTIVE: 03/23/92
'•-;,>*:■•
IA-IO.2.2 Civil Name Indices
3
m
Names appearing on fingerprint cards of military
personnel. Federal employees, aliens, miscellaneous applicant-type
fingerprints, and fingerprints submitted for personal identification
are indexed on 3- by 5-inch cards. On this index card appear name,
race, height, weight, date of birth, fingerprint classification,
registry number (military service, alien registration, etc.) and
submitting agency. This file is divided into male and female. (Refer
to 14-9.2.4 — No new alien fingerprint cards are being added to file.)
EFFECTIVE: 03/23/92
14-10.3 Missing Person Fingerprint File (See MIOG, Part I,
7-14.8(4), 79-1.2; Part II, 16-16.3(2).)
.fA-"-.
This file contains fingerprint cards of persons reported
missing to law enforcement agencies and entered into the National
Crime Information Center (NCIC) Missing Person File under any of the •
NCIC entry criteria. The criteria are. set forth in the NCIC OPERATING
MANUAL, Part 8, Section 1, Subsection I.l, Page 8-1. The fingerprint .
card for a person reported as missing is kept in the CJIS Division
Information Services Section's (ISS) (formerly Technical Section)
Master Criminal Fingerprint File until advised by the contributor to
remove the card, or until the missing person reaches the age of 199.1
-.'■:*r
Sensitive
PRINTED: 02/18/98
tyi^-l'^^ri'^^i.
Sensitive
Manual of Investigative Operations and Guidelines
Part II
PAGE 14 - 22 -;
EFFECTIVE: 05/13/96
■1
1.4-10.4
FBI Number
All criminal fingerprint cards which are to be retained in
the CJIS Division files are given an FBI number if one has not been
assigned previously. A number is assigned upon receipt of the first
set of prints. FBI numbers are assigned in numerical sequence and no
distinction is made between males and females. Assignment of an FBI
jLumber^does_not_mean_thaL an i ndividua l has^an arrest record because
certain civil fingerprint cards are assigned FBI numbers. When FBI
number is known for an individual, it should be referred to in
correspondence. An FBI number will be found:
(1) On|microfilmed|3- by 5-inch index cards in the manual
name index files.
(2) I Deleted I "
(3) In the CJIS Division's automated services system.
(4) On "master" fingerprint card in the manual
fingerprint card file of the ISS.
(5) On other fingerprint cards filed in folders called
jackets which contain a variety of criminal history records for an
individual.
(6) |Deleted|
(7) On fingerprint cards/records on microfilm.
EFFECTIVE: 08/18/94-^
14-10.5 Deleted
-.fV,
1
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EFFECTIVE: 03/23/92
,M
Sensitive
PRINTED: 02/18/98
'i^l^^T
LJ-lLl-.i.l..l.li.....UJii.l.lJl.l.^—
Sensitive
Manual of Investigative Operations and Guidelines
Part. II ^^, ; ' r; ■■■'■;■. ,
lA-10.5. 1 Deleted
EFFECTIVE: 03/23/92
l'A-10.5.2 Deleted
PAGE lA - 23
,>.■.•-■.■«;.■
EFFECTIVE: 03/23/92
14-10.5.3 Deleted
EFFECTIVE: 03/23/92
■*SSi
14-10.6
Dead File (See MIOG. Part I, 79-1,2: & Fart II.
14-15.2.)
(1) Effective 10/1/88, the| Identification Division
(now (Criminal Justice Information Services (CJIS) Division) will
deactivate an identification record and move the record to its Dead
File only when a current fingerprint (s) submission which the CJIS
Division knows was taken from the deceased body is matched to the
record or a Fingerprint Identification Indicator (FII) submission is
received from a state in conjunction with the National Fingerprint
File (NFF). When a fingerprint (s) taken from a deceased individual or
an FII from an NFF state is received and matched to fingerprints on
file in the CJIS Division's Criminal File, the subject's record is
removed from the active file and placed in the Criminal Dead File and
later filmed. Since 1/3/84, all criminal deceased name records have
been entered in the|former Identif icationJDivision's Automated
Services System] (IDAS) (now CJIS)|and retained for seven years, if the
year of birth is 1929 or after. Also, effective 10/1/88, when a
fingerprint (s) of a deceased individual is matched to fingerprints in
the[former Identif icationJDivision's | (now CJIS) jCivil File, the civil
print is retained in the Civil Dead File for seven years with a
stamped notation on the back as to why the record was deactivated and
moved to the Dead File. A fingerprint card of an unidentified
deceased person which is received at the CJIS Division as "John Doe,"
"Jane Doe," or "Unknown" will be searched in the Criminal, Civil, and
Missing Person Fingerprint Files; and, if no identification is
effected, the fingerprint card will be retained for a period of seven
years and then destroyed.
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PRINTED: 02/18/98.
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Sensitive
Manual of Investigative Operations and Guidelines
Part II "■.. -:.,.,-■■ .••-■,••- ^ ■ .
PAGE 14 - 24
(2) The processing of fingerprint cards for deceased
persons whose identities are known will be rejected at point of
receipt. I The CJIS Division will accept and process all known deceased
fingerprint cards that are accompanied by correspondence or a notation
on the fingerprint card itself seeking positive verification of
entitlement to veterans benefits.!
■:■' ■;;;;^«,
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EFFECTIVE; 03/10/94
14-11
PROCESSING OF FINGERPRINT CARDS IN THE I CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) IdIVISION
Fingerprint cards received in the|CJIS|Division are in the
nature of inquiries demanding prompt replies. All fingerprints
received are handled on a priority basis consistent with urgency in a
particular case. Generally speaking, arrest-type fingerprints from
criminal justice agencies are given top priority followed by various
categories of applicant-type fingerprints. Processing involves the
following:
(1) Deleted
(2)
basis,
Recording the number of prints received on a daily
■■-;■■*•
(3) Indicating any special handling, such as wire answer
or search of military files. ^
(4) Record the date of receipt of the fingerprint card by
assigning a Process Control Number.
(5) Search all incoming fingerprint cards through th6
Automated Name Search. If no tentative identification is effected, an
Automated Technical Search is performed. A manual name and technical
search is performed on those subjects with a date of birth prior to
1932. •• . ■•' ;■ . . , ..
(6) Those tentatively identified with prior records are
verified by comparison of the finger impressions.
(7) Deleted
Sensitive-
PRINTED: 02/18/98
-viji^rif
Sensitive
Manual of Investigative Operations and Guidelines
Part II ^- /..:'5-,^-r. ,■.-,■•:■-:.■,--..-- - .
PAGE 14 - 25:
W When an identification has been effected and-
verified, the complete record is assembled, consolidated, and
necessary replies forwarded to the interested agencies.
EFFECTIVE: 03/10/94
:..AlM
-mm-
'ft"
-i^~^2 REQUES TING RECOR DS FROM TjHE J CRIMJNAi^. .TtTS INFORMATION
SERVICES (CJIS) I division! (See MAOP, Part ll,"T-2".i7)"
EFFECTIVE: 03/10/94
r.:;ste
14-12.1 Requirements for Positive Identification - One of the
Following:
(1) Actual comparison of the fingerprints.
(2) Submission of name plus FBI number. The Interstate
Identification Index (lll)„ should be accessed initially to determine
if an arrest record is available through the III before an inquiry is
made of the|CJIS(Division (see Section 14-12,3.3).
(3) Submission of name plus local arrest, commitment,
registry, applicant, or military service number. There are exceptions
in this category, such as, common names, which may make a search of'
the voluminous automated or manual name file impractical.
EFFECTIVE: 03/10/94
.,.„,r-:.ai»v
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PRINTED: 02/18/98
■■•■ ..r^^'^i^
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Sensitive
Manual of Investigative Operations and Guidelines
Part II
PAGE U
14-12.2
Possible Identification
_ ^ A possible identification of a name and general
descriptive data may be made by searching the Interstate
Identification Index (ill) or the automated or manual name file
(depending on date of birth, refer to 14-10.1.2). While good results
may often be obtained when only general information is available,
specific identifiable information produces better results and
considerable savings of time and effort.
-ElFECIiyE;_09/25 /91
14 12.3 Procedures for Requesting Records for Field Offi
26
«
m
ces
EFFECTIVE: 09/25/91
14-12.3.1 Submission of Fingerprint Card by Field Office
I ^„^ ^ ^^^ Preprinted fingerprint cards bearing contributor and
I OKI number are furnished by the |CJIS|Division.
(2) Only the field office or agency to which OKI number
is assigned should use this card, and CARD SHOULD NOT BE EXCHANGED
BETWEEN OFFICES OR AGENCIES.
^. , ,. P^ ^° "°t <*elay submission of fingerprint cards pending
final disposition of case.
(*> Reply will be furnished to office or agency appearing
m ORI space on card, and this agency will be listed on identification
record as the arresting agency.
(5) Cover letters need not be used.
(6) FBI number, when available, should be placed on card
in space designated.
(7) Full identifying data to appear in spaces provided.
• .. ^11 Investigative file number, when available, is placed
in your no. OCA" space on the face of the card.
Sensitive
PRINTED: 02/18/98
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Part II ;-^;;-',"-:o;^^>.u-;-: - "; ■ ^ page 14 - 27 ; ::;;^
■'■■'■ ; ■ ■ •■■■'■/?$*
(9) Note on back of card any special handling desired '^
before a specific date, as such eliminates the necessity of a letter "tS'
or teletype'. " "" ^T^^S
14-12.3.2 Notation on Fingerprint Card Submitted by Another Agency
ii)_ S pecifica lly req uests copy of record be forwarded to
interested field office.
(2) No cover letter necessary.
(3) If FBI Agent present at time individual involved in
FBI investigation is fingerprinted by another agency, ensure above
notation is placed, and best obtainable set of prints forwarded to
ICJISlDivision.
EFFECTIVE: 03/10/94
14-12.3.3 Form FD-9|(See MIOG, Part I, 26-3(2) & Part II, 14-12.1.)
L'&.
■v*V
EFFECTIVE: 03/10/94 -^}m
0-
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(4) Each field office should have a definite arrangement ;^v
with U.S. Marshal, as well as criminal justice agencies of larger .:!>
cities, for ensuring above notation placed on back of fingerprint card ""Si'
when warranted. . itSjj
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(1) If an NCIC computer terminal is readily available,
the Interstate Identification Index (III) should be accessed to w
determine if an arrest record is indexed for your individual before
submission of FD-9. If the individual inquired upon has a date of.
birth of 1956 OR LATER and no record is located in III, no record
exists in the FBI's |CJIS|Division and no submission of an FD-9 is .
needed. If the individual has a date of birth PRIOR to 1956 and, no .'!??
record is located, an FI>-9 should be submitted to the FBI's |CJIS"
Division I because an arrest record may exist which is not automated and ^0
indexed in the III. Refer to your NCIC OPERATING MANUAL, Part 10, 't
which includes the III User's Guide for specific guidelines for
accessing III. ' "^^
■ ■ ■ ^^^^
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PRINTED: 02/18/98
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Part II . i^r.
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(2) When a large volume of record checks is needed and '
descriptive data can be obtained from an existing automated file, an . '
alternative to using the III or the FD-9 is Name Searching by Machine '-;'
Readable Data (MRD) . The data is formatted into thejCJISJDivision
standard format and theii Name Checks can be processed by magnetic tape
and results provided automatically. . -
of Form FD-9:
(3) The following instructions pertain to the submission
(a ) Name and arrest num ber or other number un der
which fingerprints have been submitted.
(b) FBI number if known.
(c) All known aliases.
(d) Fingerprint classification, if FBI number not
known.
request.
form.
(e) No file copy of FD-9 necessary.
(f) Notation made in field office file showing
(g) FD-9 returned to field office with results.
1. No record, so noted on form.
2. If identified, copy of record attached to
3. Serialize and place in file.
(h) FD-9 can be submitted in legible hand printing.
EFFECTIVE: 03/10/94
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PRINTED: 02/18/98
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14-12.3.4 Form Fp-165 (See HIOG, Part I, 137-9.)
• ■■T'<'v ■■ This form serves a dual function and is used to place' Vj:4-'^-?i^*t^-\f^"'"'' n^^^^^
Bureau field division stop whenever the field requests a wanted tor.;'''"' --A'-mm^.
questioning and/or interview, without a federal warrant or, whenever,
the field requests a flash be placed for informants, applicants for .
federal pardons, Pretrial Diversion, etc. (See MIOG, Part I, 73-8.3,
and Correspondence Guide-Field, 3-13.)
(1) Causes a stop to be placed against the CJIS
Division's criminal record file when wanted for questioning and/or.
interview if fin gerprints exist. I f no fin gerprints e xist on the
subject, then a stop is placed in the automated name indices file.
(2) Causes a stop to be placed against the CJIS
Division's criminal record file when a flash is requested for
informants, applicants for federal pardons. Pretrial Diversion, etc.,
if fingerprints exist. If no fingerprints exist, the FD-165 is
returned to the originating field office. When a flash is requested
for an informant and no fingerprints exist, a name stop is placed.
(3) At the time a stop is placed, the FD-165 can also be
used to request the identification record on the subject. The
identification record will be forwarded to the office submitting the
FD-165. Thereafter, this record can be accessed through the III for
any additional requests for the identification record.
EFFECTIVE: 11/18/96
'•^r^^C''
'»"■.■'^^'Vj^'w!^r
■m
14-12.3.5 Request for Photographic or Laminated Copy of Fingerprint
I Card by FBI Field Office | (See MIOG, Part II, 21-23(22). )|
(1) Direct airtel, memorandum, or teletype to FBIHQ,
1 Attention: | CJIS | Division. ' . .^ .
. (2) FBI number and number of copies needed should be' f.'
indicated in request., ■ ' ,• . „ ; ;;
(3) If fugitive, the Office of Origin should ensure'*®'. ;.'
fugitive's FBI number is entered in his/her Wanted Person File record
in NCIC before requesting copies of the fingerprint card.
Sensitive
PRINTED: 02/18/98.
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■ . . ■ . •■ ' vft?'
Manual of Investigative Operations and Guidelines ^'s;
Part II .:: PAGE 14- 30 t-
EFFECTIVE: 03/10/94
14-13 PHRASEOLOGY OF RECORDS FURNISHED BY THE | CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) I DIVISION
EFFECTIVE; 03/10/94
14-13,1 Identifiable Records
Since fingerprint records furnished by the |CJIS|Division
under FBI numbers contain civil as well as criminal notations, they
should be referred to as "identification," rather than "criminal,"
records.
EFFECTIVE: 03/10/94
14-13.2 Nonidentif iable Records
When a search is made against the criminal fingerprint
file and no record is found, thejCJIS |Division will use the
phraseology, "No arrest record FBI." FBIHQ and field offices likewise
should use such phraseology in their communications when applicable.
EFFECTIVE: 03/10/94
Sensitive
PRINTED: 02/18/98
Sensitive
Manual of Investigative Operations and Guidelines
Part II .
PAGE 14 - 31
14-13.3 "Bureau" Page
data per
i.e., th
date on
identifi
"Bureau"
the nota
Persons
the FBI
are not
When information transcribed for FBI use only, such as
taining to a' previously processed "Return" fingerprint card,
e contributor of the fingerprint card, the subject's name, the
the card, and reason fingerprinted, etc., is added to an
cation record, it is placed on a special page called the
page. At the bottom of this page in capital letters will be
tion "THIS PAGE SHOULD NOT BE DISSEMINATED OUTSIDE THE FBI."
forwarding copies of identification records to sources outside
should be governed accordingly. Be aware that "Bureau" pages
tra nsmi tted with III resp onses to on-line information requests
ough NCIC. ~
made thr
EFFECTIVE: 12/10/91
14-14
CERTIFICATION OF IDENTIFICATION RECORDS AND FINGERPRINTS
II
Identification records will be certified by the Assistant
Director or one of the Inspector-Deputy Assistant Directors of the
Criminal Justice Information Services (CJIS) |Division upon issuance of
a court order requiring certification. Such records are typed with or
without abbreviations, as long as consistent, throughout document, and
the certification is in accordance with Title 28, USC, Section 1733.
Fingerprints also can be certified under the same citation. Requests
for certifications should be limited to court cases or other special
situations requiring the production of such a record. | (See
Correspondence Guide-FBIHQ, 1-2.1.) I
EFFECTIVE: 03/10/94
';' .■■■•.X'o*'.'
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14-15 FORMS FOR I SUBMITTING, OBTAINING, AND VERIFYING]
IDENTIFICATION INFORMATION
EFFECTIVE: 12/10/91
14-15.1 Final Disposition Report (R-84)
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EFFECTIVE: 12/10/91
14-15.1.1 Use by Field OfficesjCSee Correspondence Guide-Field,
3-61.) I
(1) Reporting final dispositions of criminal cases in
which fingerprint cards have been previously submitted and retained by
the Criminal Justice Information Services (CJIS) Division.
(2) Serves as a follow-up to a specific arrest.
(3) Only one disposition form should be used to record
the dispositions against any one individual.
(4) Only the original need be sent.
(5) Deleted
(6) One copy retained in field office file.
(7) In any case, where a field office takes credit on an
FD-515 for the arrest or conviction of an FBI subject in connection
with violations of a federal law, the Office of Origin of this case
must ensure that the CJIS Division is advised of the final disposition
or any amended disposition. This can be accomplished by forwarding a
Final Disposition Form (R-84) to the CJIS Division. If the Office of
Origin has determined that another field office or other criminal
justice agency has already submitted the disposition to the CJIS
Division, it is not necessary to forward the R-84. However, the
Office of Origin must document in the investigative file the identity
of the agency or auxiliary office which submitted the R-84, and
similarly note such information in the "Remarks" section of the
FD-515, (See MAOP, Fart II, 3-5.4 & 4-6.)
EFFECTIVE: 07/19/95
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PRINTED: 02/18/98
"T-t iy ■ . p^i i^^ n i ft^y^
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Part II . ■ ' ;. PAGE 14 - 33
14-15.1.2 Use by Local and State Criminal Justice Agencies
Submitted in each case at whatever level - law
enforcement, prosecutor, or court - upon receipt of final disposition.
EFFECTIVE; 03/23/92
14-15.1.3 Not Used
(1 ) If final d is position known at time fin g er prin ts
submitted to|CJIS|Divi8ion, then disposition data should be recorded
on fingerprint card thus eliminating need for R-84.
(2) If subject not fingerprinted, there is no arrest
record against which disposition data can be posted.
(3) If the fingerprint was returned by thejCJIS JDivision
as unclassifiable, etc., and the fingerprints were not resubmitted by
;i the contributor.
(4) If reporting new arrest information, since such
information must be furnished on a fingerprint card.
EFFECTIVE: 03/10/94
14-15,1.4 Data for Preparation of Form
(1) Contributor of fingerprints.
(2) Name and number under which fingerprints submitted to
FBI, and State Identification number, if available.
(3) If the FBI arrested the arrestee, the form should
reflect the field off ice. file number. U.S. Marshal's number should be
furnished in every instance in which the U.S. Marshal has
fingerprinted a prisoner and assigned a number. If this number is not
available in the FBI field office, it must be obtained from the U.S.
Marshal's office.
(4) Date arrested or charged.
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(5) Original charge for which arrested or committed. If 7"'^
penal code citations are used, they should be supplemented with a .-fc-
brief explanation of the type of charges (s); i.e., ITSMV, burglary,
etc.
(6) Final disposition and Date thereof;
(a) Include dispositions for all counts of the ~
indictment (s)
(b) If sentence imposed relates to a charge other
th an the c harg e for which arrested , state this and als show how
disposition relates to original charge.
(7) FBI number, if known.
(8) Sex
(9) Fingerprint classification, if available.
I , (10) Age or date of birth
(11) Submitting agency.
EFFECTIVE: 03/23/92
14-15.1.5 Return of Form to Contributor
(1) A disposition form should include sufficient
information to allow the|CJIS|Division to handle it without referring
to previous submissions. If the required information is not
furnished, the disposition form is either returned to the contributor
with reason(s) for the return indicated or it may be destroyed.
(2) The subject's arrest fingerprint card showing the
offense quoted on the disposition form must be in the|CJIS|Division's
Criminal File in order to post the disposition. . If no fingerprints
for the offense are on file in the |CJIS {Division's Criminal File, the
disposition form will be appropriately disposed of.
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PAGE 14 - 35
(5) FBI number should always be shown when available.
EFFECTIVE: 03/10/94
t^
14-15.1.7 Accountability for Dispositions
All missing dispositions on identification records
received by the field must be accounted for. SAC may, at his/her
discretion, authorize an exception in "nonfugitive-prosecutive"
matters where FBI interests are best served by not m aking a
dispositional inquiry; e,g.,|
EFFECTIVE: 09/26/90
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EFFECTIVE: 03/10/94
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14-15.1.6 FD-10 in Lieu of Final Disposition Report (R-84)
FD-10 is used by FBI field office to request dispositions
from a local criminal justice agency (if request is for New York City,
send two copies of FD-10 to the New York Division of Criminal Justice
Services, Executive Park Tower, Stuyvesant Plaza, Albany, New York
12203-3764, rather than the New York City Police Department). | (See
MIOG, Part II, 23-3.1(2).)! ■
(1) Place notation of request in investigative file.
(2) Upon return of FD-10, note pertinent information in
investigative file.
(3) Forward to|CJIS|Division in lieu of R-84 if final
disposition is set forth or its unavailability is so stated.
(4) Office of origin has responsibility of sending FD-10
and advising auxiliary offices, if necessary, of any pertinent data
obtained.
:*,>
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■ i' i ' | ''' J ii J. ii »U Wi' HU | iL i -
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Manual o£ Investigative Operations and Guidelines
Part II
I 14-15.2 Death Notice (R-88) ( (See KIOG, Part II, 14-10.6.)
PAGE 14 - 36
1%
■ '3*,.
This form, previously furnished to criminal justice
agencies, was used to report the death of an individual whose
I fingerprints are on file in the|CJIS|Division. This form has been
discontinued. Correspondence, includine the R-88 form, containing a
I fingerprint impression(s) that the |CJIS|Division matches to a record,
will not cause the identification record to be placed in
I thejCJISJDivision's Dead File unless the|CJIS|Division is positive
that the incoming fingerprint (s) is an impress ion (s) taken from the
__body.p„f_thfe_de_c eased person. Unconfirm ed deceas ed infor mation , i.e. .
not supported by a print (s) from the body, will be added to the record
to show that the subject of the record was reported deceased on a
particular date by a specific agency. The record will remain active
and be subject to dissemination upon request. No cover letter is
necessary when the R-88 form is used; however, its continued use is
discouraged. Submission of the individual's fingerprints taken from
the body of the deceased on the arrest fingerprint card (Forin FD-249)
.., , is the best method of advising the |CJIS [Division of the death of an
'■•-i individual with a criminal record.
EFFECTIVE: 03/10/94
14-15.3
Deleted
EFFECTIVE: 03/23/92
14-15.4 Fugitive Airtel (FD-65) (See MIOG, Part II, 21-4; MAOP,
Part II, 7-2.1.)
Submitted when subject becomes an FBI fugitive. This form
provides FBIHQ, Criminal Investigative Division, with notification of
subject's fugitive status. [This form also provides the Savannah
Information Technology Center (SITC) with notification of the
fugitive's status and provides it with the basic background to conduct
appropriate record checks available through the SITC. The SITC will
provide the Office of Origin with additional background information,
if available, resulting from these record checks.) The Office of
Origin uses this form to enter the fugitive warrant into the National
Crime Information Center (NCIC) Wanted Person File; this results in
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i
(3) Deleted
(4) Do not delay the submission of the form to obtain
additional descriptive information not readily available.
EFFECTIVE: 03/23/92
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PRINTED: 02/18/98
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Part II- r' PAGE 14- 37:. -«
the automatic entry of the warrant information into the subject's i 'i^S^
automated criminal identification record and/or name indices file if ' -'-aM'
such a record exists. If no fingerprint file exists on the subject, iS^.
then a notice is placed in the CJIS Division's automated name indices '|^^|
file only. '{\
EFFECTIVE: 10/11/94. .^
J4-15 .Jt .1 Data for Prepa ration o f Fo rm .' fi>;%
(1) Title appearing on form should contain the names of .ffej-.
all fugitives involved in the case in accordance with MAOP, Part II, 'f|-
Section 10-16.7 through 10-16.7.2. V^
(2) The original, marked for the attention of the ^^
Criminal Investigative Division, should be sent immediately after r'^'.
fugitive process is obtained. %;f
14-15.4.2 Data for Supplemental Submission 7®
rt i'^i
(1) Pertinent additional descriptive information obtained 'H|^'
subsequent to initial submission. '.Tf*.
(2) Mark appropriate block on form.
(3) Refer to date of initial submission. , ^^SS
(4) If the information previously furnished ia no longer . ^^l^^
accurate, insert either the new information or the word "delete" in ■. • ^^^
the appropriate spaces on the form. s^2%^
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PAGE 14 - 38
?-fe
EFFECTIVE: 03/23/92
14-15.4.3 No Initial Submission
An initial fugitive airtel is not necessary in cases
involving parole or mandatory release violators or deserters.
However, a supplemental form should be submitted to show any changes,
additions, or deletions to identifying data furnished in
correspondence from FBIHQ initiating the investigation.
EFFECTIVE: 04/19/91
14-15.4.4 No Supplemental Submission
It is not necessary to submit a supplemental form when the
subject's FBI number and fingerprint classification are furnished by
FBIHQ. However, these items should be modified in the subject's NCIC
Wanted Person File entry when a positive identification is indicated
via Form 1-374.
Ms
EFFECTIVE: 04/19/91
14-15.4.5 Results of Submission
(1) When NCIC provides the |CJIS JDivision with the warrant
information which has been entered into the Wanted Person File, the
wanted notice on any Federal fugitive is routinely placed in the
|CJIS(Division criminal record *or in the automated name indices if no
record exists.
■■KJ.,
(2) Arrest and disposition data should be promptly
forwarded to thejCJIS JDivision in all fugitive matters. Any
photographs of the fugitive should not be furnished to the
|CJIS [Division but should be retained in the field office files.
(a) Six months after an individual is declared a
fugitive, the office of origin must review its files to determine
desirability of requesting background data from the|CJIS(Division.
SAC must personally approve each such request. If it is believed that
background information in a subject's identification record might
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Manual of Investigative Operations and Guidelines
Part II -;
PAGE lA - 39
cause prompt apprehension, request nay be made at any time provided
SAC personally approves same.
(b) Background data furnished from subject's
identification record is forwarded by Form 1-374, the pertinent
portion of which should be included in the next investigative report.
Descriptive data furnished by|CJIS|Division may be duplicated for
inclusion in investigative report. These instructions do not alter
the policy of quoting complete identification record of all subjects
in an investigative report. 1 (See MAOP, Part II, 10-17.11.1.) |
'1^
EFFECTIVE: 03/10/94
14-15.5 FBI Field Office Wanted-Flash-Cancellation Notice (FD-165)
EFFECTIVE: 04/19/91
14-15.5.1 Submitted for the Placing of Flash Notice in
Criminal Justice Information Services (CJIS) Division
when:
(1) Federal arrest warrant has not been issued.
(2) Background Investigation - Pardon Attorney's Office
investigation is being conducted. (See MIOG, Part I,|73-8,3; Part II,
14-15.5.3.) I
1(3) Arrestee is in the Pretrial Diversion Program. | (See
MIOG, Part II, 14-15.5.3.) |
EFFECTIVE: 11/18/96
•fc-:
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14-15.5.2 Submitted for the Cancellation of Flash Notice when: >-
Need no longer exists in natters referred to in (1) above.
Submit promptly.
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EFFECTIVE; 04/19/91
14-15.5.3 Not Submitted for Cancellation when:
(1) Involves matter referred to in 14-15.5.1 (2) above.
Such flashes are automatically removed by FBIHQ upon notification from
Pardon Attorney or after five years, whichever occurs first. (See
MIOG, Part I, 73-8.3.)
„(2) Involves matte r referred to in 14-1 5.5.1 (3) above.
For instructions regarding removal of flashes in these instances, see
14-16.7(2).
(3) Fugitive airtel (FD-65) has been submitted to FBIHQ,
since FD-65 automatically takes precedence over any prior flash
notices.
EFFECTIVE: 11/18/96
14-15.5.4 Preparation of Form for Placing Flash Notice
(1) Make duplicate of original for field office file.
(2) No yellows necessary.
(3) Indicate on form if fingerprint classification of
subject desired.
EFFECTIVE: 03/23/92
14-15.5.5 Preparation of Form for Cancelling Flash Notice
(1) No field office file copy necessary.
(2) Stenographer should mark field office file copy of
original submitted form to show date cancellation notice submitted and
initial and date this notation.
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PRINTED: 02/18/98
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EFFECTIVE: 03/23/92
lA-15.6 Criminal Justice Agency Wanted-Flash-Cancellation Notice
(1-12)
This form is available to all local, state, and Federal
criminal justice agencies. It is not to be used by FBI field offices.
EFFECTIVE: 05/14/93
14-15.6.1 Use of Form
(1) Alleviates necessity of preparing a letter to the
CJIS Division.
i
(2) Same form is used to place or cancel a wanted or
flash notice.
I (3) |Deleted|
(A) |a flash notice will only be placed when fingerprints
supporting flash offense are on file in CJIS Division or submitted
with the 1-12. FBI number must be quoted on the 1-12 if prints not
being submitted with the 1-12. |
. (5) I Deleted I
(6) Deleted
EFFECTIVE: 05/13/96
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Manual of Investigative Operations and Guidelines
Part 11 . PAGE 14 - 41 "^-
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Part II
14-15.6.2 Preparation of Form
The form should be completely filled in so that the
identification record for the subject can be located. FBI number
should bejeivenjif known. |lf not knovm, fingerprints should be
submitted.!
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PAGE
14 -
42
It the
• ■■ '-':^^
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EFFECTIVE: 03/23/92
14-15.7
Deleted
-•;•;/,
EFFECTIVE: 07/19/95
Mi
14-16 ACKNOWLEDGMENT OF FINGERPRINTS BY [CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) I DIVISION
,■■■,:?>-
"-^
EFFECTIVE: 03/10/94
j-'.£?;-
14-16.1 . If Submitted Fingerprints are Identical with a Prior
Record (an "Ident")
..:,m:
When a search through the identification files discloses
prior record, the fingerprint currently received is acknowledged by an
FBI identification record which sets forth in detail the fingerprint
record available on the individual and furnishes an FBI number which
should be quoted in all subsequent communications. Copies desired for
other agencies should be indicated by the contributor on the
fingerprint card and not in a cover letter. Requests for additional
copies should be kept to a minimum.
EFFECTIVE; 12/10/91
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PRINTED: 02/18/98
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Hanual of Investigative Operations and Guidelines
Part II -.-,, ■^■■a-7--. -..:\ -tr-, ;- - " "/■' '■ .: -
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14-16.2 I£ Submitted Fingerprints are not Identical with a Prior V"-
Record (a "Nonident")
When a search fails to reveal prior arrest data, an 8 1/2- •
X 11-inch nonident response which reads, "A search of the fingerprints
on the above has failed to disclose prior arrest data" is furnished to'
the contributor of the fingerprint card. Copies of this response are
forwarded to the agencies which will subsequently assume custody of
the individual and to the FBI field office when requests for such
copies are noted on the fingerprint card by the contributor. Copies
will also be furnished to the State Bureaus, except when acknowledging
fingerprint s from a F ederal agency. Beginning in February, 1983.
State Bureaus participating in the Interstate Identification Index
program began receiving nonident responses on-line via the NCIC
network.
EFFECTIVE: 12/10/91
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14-16.3
Fingerprints Submitted Involving Nonserious Offenses
All criminal fingerprint cards showing only nonserious
charges are returned to the contributor without being searched through
the|CJIS|Division files. However, when a fingerprint card bearing
such data in the "charge" block is submitted to resolve a question of
identity or for a current investigative purpose, it is searched
through the files of the|CJIS|Division and both it and the results of
the search are returned to the contributor. An agency which requested
a flash or wanted notice and the contributor of the current
fingerprints are notified if a match is made. Fingerprint cards
returned to a contributor are not made a part of the FBI
identification record.
H;'
EFFECTIVE: 03/10/94
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Part II •■
PAGE 14 - 44
14-16.3.1 Examples of Nonserious Offense Return Fingerprint Cards
(not all inclusive)
(1) Juvenile offenders as defined by state law (unless
tried as an adult).
(2) Charge of drunkenness and/or vagrancy.
(3) Certain public order offenses,
(a) Disturbing the peace.
■■m§
■ ■..:■*>•
s
(b) Curfew violation.
$
(c) Traffic (except arrest for manslaughter, driving
under the influence of drugs or alcohol, and hit and run).
(4) Charges of "suspicion" or "investigation"
(unaccompanied by criterion charge) .
EFFECTIVE: 12/10/91
■-■■<s^,.
f
14-16.4
Deleted
-■'i?!
EFFECTIVE: 03/23/92
'^:
14-16.5 Fingerprints Submitted by Local, State, and Federal
Criminal Justice Agencies
in.v
EFFECTIVE: 03/23/92
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14-16.5.1 Multiple Submissions
PAGE 14 - 45
Agents in daily contact with local, state and Federal
criminal justice agencies should be alert to detect instances of
multiple fingerprinting of the same individual by two or more agencies
on the same or a related offense. This causes unnecessary work by the
[CJIS |Division and could be eliminated by a notation on the reverse
side of the fingerprint card requesting additional copies of record(s)
for agencies which might otherwise fingerprint the individual for the
offense.
EFFECTIVE: 03/10/94
14-16.5.2 Unacceptable Submissions which Request that Copy of Record
Be Mailed to FBI Field Office
■'^■■
-t
(1) When fingerprints bearing the notation "Send copy to
FBI office" are received from a local, state, or Federal criminal
justice official and these fingerprints are not acceptable for
I CJIS I Division files, a copy of a form letter returning the prints to
the contributor will be designated for the field office indicated on
the fingerprint card. Stamped on the field office copy of this form
letter is the following statement: "If this individual is subject of
Bureau case, you should follow to ensure that acceptable fingerprints
are submitted to FBIHQ. If prints cannot be obtained, advise FBIHQ by
letter giving reason."
(2) There will be occasions when new prints are not
readily obtainable because subject is no longer in custody, charges
have been dismissed, or it would not be feasible to insist on
fingerprints. This information and your recommendations should be
forwarded to FBIHQ in a UACB letter.
(3) When dealing with local, state, or Federal criminal
justice agencies, remember that if an acceptable set of fingerprints
had been received, the reply would have been mailed in the form of an
identification record with copies to the appropriate field offices if
the subject had prior criminal prints on file. If the |CJISjDivision
had no prior criminal history record for the subject, the
reply would have been in the form of a "nonident" response.
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Part II . .. /■'■■':: :'■....■
EFFECTIVE: 03/10/94
14-16.6 Mail and Wire Service
EFFECTIVE: 11/21/89
PAGE 14
r 46,
vi.(.«,.-,,.. ;
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14-16.6.1 First-Class Mail
All written acknowledgments to requests received in'the
I jCJISJDivision are sent by first-class mail. In addition to this
standard procedure, answers forwarded in excess of 350 miles are
transported by air. If requested by submitting agency, the
acknowledgment is sent by registered mail.
I
EFFECTIVE: 03/10/94
14-16.6.2 Hires on Wanteds
Hires are sent via the National Law Enforcement
Telecommunications System, Inc. (NLETS) when NCIC agency identifiers
(ORIs) are available; otherwise, wires are sent collect.
«.
EFFECTIVE: 11/21/89
14-16.6.3 Special Handling
~\
A notation on the reverse side of the fingerprint card in
the space provided to indicate "special handling" is sufficient and no
cover letter is necessary.
EFFECTIVE: 11/21/89
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14-16.6.4 Not Automatically Forwarded
Program I (PDP)
(1) I In the event the fingerprint card precedes the
FD-165, the PDP offense should be indicated on the form.j The U.S.
Attorney determines the eligibility of an offender for the|PDP,|and
then refers the case to the Chief Pretrial Services Officer. In cases
not under FBI investigative jurisdiction, the PDP Coordinator submits
the divertee's fingerprints to the FBI CJIS Division on the criminal
. Jl fingerprint card (Form FD-249) , together with an 1-12 Flash Notice
indicating diversion, the expiration date of the diversion period, and
a request that the Pretrial Services be notified if an arrest occurs
during the supervised diversion period. The charge should be
indicated in the "Charge" block of the fingerprint card and "Pretrial
Diversion" in the "Disposition" block. Upon completion of the
diversion period, the Chief Pretrial Services Officer will submit a
Final Disposition Report (R^84) to the CJIS Division. This
information will be added to the divertee's identification record to
indicate "Successful Completion - Charges Dropped."
(2) In a diversion case under the FBI's investigative
jurisdiction, the Office of Origin must ensure that the subject's
fingerprint card (FD-249) is submitted to the CJIS Division, together
with an FD-165 Flash Notice indicating the diversion and the
expiration date of the diversion period, and requesting that the FBI
field office be notified if an arrest occurs during the supervised
diversion period. The "Charge" should be indicated in the charge
block of the fingerprint, card and "Pretrial Diversion" in the
disposition block. The Office of Origin must also ensure that the
CJIS Division is advised by FD-165 to cancel the flash if the ■'-.
diversion period is terminated at any time prior to its expiration.
Upon completion of the diversion period, the Office of Origin must
ensure that a Final Disposition Report (R-84) is submitted to the CJIS
Division. This information will be added to the divertee's
identification record to indicate "Successful Completion -
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PRINTED: 02/18/98
Current copies of arrest records are not forwarded -.ifSv
automatically to agencies which had previously submitted fingerprint ' ,^
cards unless agency has posted a wanted or flash notice against the ij
record. . " ;{■
EFFECTIVE: 11/21/89
14-16.7 Finger prin ts Submitt ed Inv olving Pretrial piyers_io_n
■...'("
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■■ ■ .-s^
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Hanual of Investigative Operations and Guidelines "'^;^>
Part II -.^ ' ■ PAGE 1^ - 48 v -^i^
Charges Dropped." (See MIOG, Part II, 14-15.5.3(2).) " ; ^If
Sensitive
EFFECTIVE: 12/02/94
m
(3) The CJIS Division will retain the PDP information and
disseminate this information to all authorized recipients of the 'a^f
record for the period of the diversion and for three years after the ^/^J
successful completion of the diversion period. If the PDP is revoked, %A>
proper notification should be submitted to CJIS Division via Form R-84 :-/s^
indicating the PDP has been revoked and the date of revocation. IE no'' ' ^}
information is received by the CJIS Division indicating the divertee I
failed to successfully complete the diversion period, the CJIS ,.%
Division will handle the record, as if the diversion period was -5'^
successfull y comp leted. After the three- year period, there will be no ■,--;^g-.
further dissemination of the information pertaining to the Pretrial .-j;;
Diversion. Once the three years have expired after the successful ''j^-
completion of the diversion program, any fingerprint cards regarding .-^^
the diversion will be expunged from the CJIS Division file and .-.^Sr
destroyed. If an additional arrest fingerprint card is received by ■■^..
the CJIS Division within the period of diversion or the three years
following the diversion period, the Pretrial Diversion record will not
be expunged and will be retained indefinitely.
-!*i»-
!-''">'
(4) Fingerprint card submissions involving PDP CHILD
PORNOGRAPHY CASES are permanently retained by the CJIS Division. The '^
record of the Pretrial Divertee' s involvement with CHILD PORNOGRAPHY "S'?
will not be expunged and is subject to dissemination regardless of
whether the Pretrial Divertee successfully completed the Pretrial
Diversion Period. In each case this is based upon a Pretrial
Diversion agreement between the divertee and the U.S. Attorney's
Office which provides that the FBI may maintain a permanent record of
the fingerprint card and of the divertee 's involvement in the PDP as a
result of the CHILD PORNOGRAPHY CASE.
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Manual of Investigative Operations and Guidelines
Part II ■■::■.-■ ■ ' • ■ ^- ■ v-
PAGE - lA .- 49
14-16.8 Fingerprints Submitted Involving Federal Youth Correct ions'-x^ '.
Act ■ ■ ., --^ %. .•;■/•' ■ " • .
(1) With the enactment of the Sentencing Reform Act of
1984 (a part of the Comprehensive Crime Control Act of 1984, Public
Law 98-473 which was signed into law on October 12, 1984), the Federal
Youth Corrections Act was repealed. The Department of Justice has
taken the position that the repeal of the Act is applicable only to
offenses committed after the date of enactment.' Although the Act may
still be applied to crimes committed prior to October 24, 1984, if
Judges so choose, Government attorneys should argue in individual
ca ses that Judges should not exercise the ir discretion to impose
sentence under the Act. """ .
(2) When an individual has been sentenced under the
provisions of the Federal Youth Corrections Act, the United States
Parole Commission (USPC) is authorized to grant an "unconditional
discharge" before the expiration of the maximum sentence imposed
(Title 18, use. Section 5021). In such case, the USPC automatically
sets aside the conviction and issues the youthful offender a
"Certificate Setting Aside Conviction."
(3) Upon receipt of a copy of the cer
aside the conviction, the FBI |CJIS|Division, with
United States Department of Justice, returns the c
fingerprint card(s) to the original contributor(s)
identification record has not been automated. If
identification record is an automated record, the
fingerprint card(s) is removed from|CJlS|Division'
destroyed. The return/destruction of the fingerpr
in the complete expunction of the arrest and convi
ICJISJDivision's Criminal File.
EFFECTIVE; 03/10/94
tificate setting
concurrence of the
orresponding
if the FBI
the FBI
corresponding
s Criminal File and
int card(s) results
ction data from FBI
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14-17 EXPUNGEMENT OF FINGERPRINTS BY THE [CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) I DIVISION
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Part. II |v-;' ^ •;..-,^^, ■■ PAGE 14 -.,50 ' ' iS'
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EFFECTIVE: 03/10/94
14-17.1 Fingerprints Submitted by Federal Criminal Justice
Agencies
The U.S. Department of Justice has advised that arrest
fingerprints taken by a Federal agency or by a non-f'ederal agency at
the request of a Federal agency are official U.S. Government records.
As such, they cannot be destroyed, except upon the issuance of a
Federal co u rt order. U SAs have been instructe d to vigorous iy_gppj?se
motions to expunge Federal criminal history records unless the USA is
convinced that the interests of justice require that a record be
expunged. For example, expunction may be appropriate when an arrest
is based upon a case of mistaken identity. Complete instructions
pertaining to requests for expunctions (fingerprints and photographs)
relating to Federal cases are found in Department of Justice
Memorandum Number 765 to All United States Attorneys, dated March 6,
., 1972, captioned "Motion for discovery, " or expungement of, arrest •-.
:k records held by FBI." J"^^
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EFFECTIVE: 11/21/89 '\
14-17.2 Fingerprints Submitted by Local and State Criminal Justice "■;!*..
Agencies ^1■S1
(1) The FBI I CJISJ Division is the central J.
repository for fingerprint cards submitted by local or state
criminal justice agencies. Therefore, a request from the submitting
agency to delete arrest data from an FBI identification record will
be complied with. The corresponding fingerprint card(s) results in
the complete expunction of the arrest data from the Criminal File.
(2) The I CJIS {Division limits notifications regarding
expungements to the agency which contributed the arrest data being
deleted and the state identification bureau servicing that agency. An
exception to this general rule is made when a court order directing
the expungement /sea ling of an arrest specifically states that all
prior recipients of the identification record are to be notified of
the deletion and/or furnished with a current identification record.
Sensitive . •^'
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Sensitive
Manual of Investigative Operations and Guidelines
Part II -i. ■• /,.- ■ . -. -
EFFECTIVE: 03/10/94
14-18 FINGERPRINT CLASSIFICATION FORMULA
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14-18.1.2 Examples
(1) Small letters and capital letters,
6 laUta 10
1 Tr
(2) Letters and numerals.
8 5 U lOI 16
I 19 W Mil
EFFECTIVE: 11/21/89 ^.
Mf
14-18.1.1 Submission Accompanying Request for Record .\y.
Supplementing request for identification records with the S\
fingerprint classification formula assists in making a search, 'fi'i-.,
particularly in the case of common names. In quoting fingerprint . ■■:^.
classifications in requests, care should be exercised not to confuse <^jf-
letters with numerals or small letters with capital letters. 'Sfe
rj'r.
EFFECTIVE: 11/21/89 S
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The portion of the classification Mil would read as inner, outer, 'X
inner, over meeting, inner, inner. The booklet, "The Science of "?*►
Fingerprints," should be consulted for assistance in this matter. .-:>
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Pai^t II ■; -■ PAGE 14 - 52:: • .•:!;:;$
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EFFECTIVE: 11/21/89 \4
14-18.2 NCIC Classification 7%
EFFECTIVE: 05/25/90 :
14-18.2.1 Derivation -M
NCIC fingerprint classification is derived from
description of each fingerprint beginning with right thumb, which is
#1 and continuing through finger #10, with left thumb being #6. Two
characters are used in describing each pattern. The designation of
the arch is AA; the tented arch is TT. The ulnar loop is described by
using the actual ridge count. For example, the number 08 and 15
represent ulnar loops with eight and fifteen ridge counts,
respectively. Radial loops are described with their actual ridge
p count plus fifty. For example, 62 would refer to a 12 count radial
loop. Whorls are designated by type and tracing with the first
character indicating type, and the second the tracing, i.e., P for
plain whorl; C for central pocket loop; D for double loop and X for
accidental type whorl; I for inner; M for meeting; and for outer
tracings. For example, a double loop whorl with inner tracing would
be designated by the letter DI. Missing fingers are indicated by the
characters XX and mutilated or completely scarred patterns are
indicated by the letters SR.
EFFECTIVE: 05/25/90
14-18.2.2 Example
The following is an example of NCIC fingerprint
classification when //I is an ulnar loop, 7 count; ^2, radial loop, 16
count; #3, plain arch; #4, tented arch; #5, plain whorl, inner
tracing; #6, double loop whorl, meeting tracing; #7, central pocket .
loop whorl, outer tracing; #8, accidental whorl with meeting tracing;
#9, finger is missing; and #10, pattern mutilated and/or completely
scarred:
07 66 AA TT PI DM CO XM XX SR
Sensitive
PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part ,11 > :
EFFECTIVE: 05/25/90
I 14-19 JCRIMINAL JUSTICE INFORMATION SERVICES (CJIS) | DIVISION'S
AUTOMATED SERVICES SYSTEMS
I The|CJIS|Division's automated services computerized system
has, in part, replaced the traditional manual fingerprint card
j processing functions within the I CJIS I Division.
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EFFECTIVE: 03/10/94
14-19.1
Three-Phase Plan
EFFECTIVE: 05/25/90
14-19.1.1 Phase I
m
This phase of aut
It provided for the computeri
descriptors, and arrest data
cards of first-time offenders
Record" responses to the cont
were entered into automated f
subsequent arrest and disposi
sheets could be generated in
omation was implemented in August, 1973.
zation of the names, physical
appearing on the incoming fingerprint
and for the computer generation of "No
ributors of the cards. Once the records
iles, they could be updated with
tion data, and computer-printed rap
response to requests for such records.
EFFECTIVE: 09/25/91
.■•^m
14-19.1.2 Phase II
This phase became operational in October, 1979. It
provided expanded Phase I capabilities, as well as automated name
searching of the computerized arrest record file.
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PRINTED: 02/18/98 ^,^w,..
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Manual of Investigative Operations and Guidelines
Part II . s. ., . . , ' PAGE 14 - 54
EFFECTIVE: 09/25/91
14-19.1.3 Phase III
This phase became operational in June, 1989. It provides
greatly enhanced Phase I and Phase II capabilities, as well as the
ability to perforin automated on-line name and fingerprint searches/
This system permits a much shorter processing time.
EFFECTIVE: 09/25/91
14-19.2 Automatic Fingerprint Reader System (AFRS)
An automatic fingerprint reader system (AFRS) is a
computerized system which will electronically scan and read a
fingerprint, enhance its ridge structure, and detect and record, in
digital form, the characteristic minutiae data in a processing time of
less than one second per fingerprint. The prototype of this system
was called FINDER (contraction of FINgerprint reaDER) . However, this
name is a proprietary term belonging to the company that developed
FINDER, and is no longer used by the FBI except as a historical
reference. There are five production model AFRSs in the
I CJIS {Division. These systems were used to convert the massive file of
master criminal fingerprint cards of all criminal subjects having 10
finger impressions who were born on or after 1/1/29. Current incoming
fingerprint cards of all individuals are read by the AFRSs if an ident
is not made against the Automated Name Search and, using other
specialized computers developed to perform high-speed matching, are
searched against the master criminal fingerprint card digital file at
computer rates of speed.
EFFECTIVE: 03/10/94
14-20 INTERNATIONAL EXCHANGE OF FINGERPRINTS
EFFECTIVE: 09/25/91
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PRINTED; 02/18/98
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14-20.1 History:^. r, , '• v . r^
The 'international exchange of fingerprints and related
identification data was inaugurated in 1932. -
EFFECTIVE: 09/25/91
14-20.2 Submission Requirements j (See MIOG, Part II, 14-20.3.)
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(3) Exact date and place of birth.
(4) Last known foreign address.
(5) Names of parents.
(6) Mother's maiden name.
(7) Names and addresses of any relatives residing in the
country concerned.
EFFECTIVE: 03/10/94
:ii-m
4i
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(1) Individual's fingerprints must be submitted to the .,^^-^
Criminal Justice Information Services (CJIS) loivision in duplicate. ■ '■^®:
(a) One copy is searched, acknowledged, and retained
in the files of the |CJIS|Division.
, ...■jSt;'
Cb; Other copy and available criminal history . ;|i.
information are transmitted to the country of birth for storage in its ,%
files. tt^f.
(2) Fingerprints must be legible to be referred to - l^f
foreign bureaus. J^t
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PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part II .. . '
14-20.3 Necessity for Personal Data
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AGE 14 -
56
(1) Except in United States and British possessions, the'
personal data outlined above (3) through (7) are necessary to ensure a
thorough search.
handled.
(2) Foreign inquiries unsupported by fingerprints will be
EFFECTIVE: 12/20/82
w.
14-20.4 Acknowledgment of Foreign Search
(1) Foreign search information received by the
|CJIS|Division is transmitted to the original contributor of the prints
for any action deemed advisable.
(2) Follow-ups are maintained in ail instances until
cases are completed.
■:':-'iK
:'-'~bo
EFFECTIVE: 03/10/94
14-21
SURVEYS OF FINGERPRINT BUREAUS
ThejCriminal Justice Information Services (CJIS) foivision
will conduct surveys and assist in the establishment of a fingerprint
identification bureau in a local criminal justice agency. It is
desired that the SAC advise FBIHQ, Attention: (CJIsjDivision,
concerning the request for survey or establishment of a fingerprint
bureau in a local agency. Any additional facts concerning a local
agency's needs for survey or whether it can be performed by an Agent
in the office should also be submitted. FBIHQ will determine whether
it should be performed by an Agent in the field office or by one of
thejCJIS JDivision's technical experts.
EFFECTIVE: 03/10/94
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PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part II. ;v -. . ^,A^-cr-'-ir^ : . ■.- ■■•■ ' .^
PAGE 14 - 57
' ■ .■'■:m
14-22 . FBI LITERATURE CONCERNING [CRIMINAL JUSTICE INFORMATION
SERVICES (CJIS) I DIVISION WORK AND FUNCTIONS
EFFECTIVE: 03/10/94
14-22.1
"The Science of Fingerprints"
This booklet is not available for general distribution to
criminal justice agencies; however, it ia available to the field for
distribution, free of charge, to class members in basic fingerprint
schools handled by FBI personnel if the student does not already
possess a copy. Requests by criminal justice agencies for more than
one copy will not be processed by the FBI. To obtain multiple copies
of this booklet, a criminal justice agency should address a letter to
the Superintendent of Documents, Government Printing Office,
Washington, D.C. 20402, and enclose the necessary] remittance. |
- ,'1.C
1%,
EFFECTIVE: 12/20/82
14-22,2
Other Literature
FBIHQ-has available for distribution to criminal justice
agencies literature concerning all phases of identification matters,
•latent prints, and the Latent Fingerprint Section. These pamphlets
are reprints of articles which have appeared in the FBI Law
Enforcement Bulletin.
EFFECTIVE: 11/21/89
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PRINTED: 02/18/98
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PAGE 14 - 58
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Manual of Investigative Operations and Guidelines
Part II .■■.:. ■
14-23 SUMMARY OF THE SERVICES OF THE CRIMINAL JUSTICE
INFORMATION SERVICES (CJIS) DIVISION
(1) Will Iprocess I criminal, law enforcement/criminal
justice, applicant and personal identification cards. Applicant cards
for other than law enforcement/criminal justice [(agencies , will be
processed for a fee.) (Refer also to 14~4.1.1 and 14-5.1.)
(2) JDeletedl
(3) Will place wanted notices, flash notices and missing
person notices in th e|C JIS Divisio n. Automated Services System. )
:;-t
exchange.
(4) JDeletedj
(5) Deleted
(6) Deleted
(7) Deleted
(8) Will handle fingerprint cards for international
(9) Deleted
(10) Deleted
EFFECTIVE: 08/18/94
■ ---^
14-24
FBIHQ SUPERVISION
'ftp;
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EFFECTIVE: 11/21/89
Sensitive
PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part II V 4. ,f. ", "i-^ ''■■■-- ':p"' '' . r 'r;-';:^ •; :
14-24.1, Request for Information
PAGE. 14 - 59;
(1) During workday (8 a.m. to 4:30 p.m.) call extens
ion v^t
on workday before 8 a.m. and
(2) During nonworkda,
alEter 4:30 p.m., call extension
(3) Direct written request to office of Inspector-Deputy
Assistant Director (Operations), Room 11262, JEH Building.
■-, ■■...,-«i-.-
EFFECTIVE: 03/23/92
li!-^..-
14-24.2
Request for Fingerprint Cards and Jackets
Due to their voluminous number and the necessity to have
them immediately available, fingerprint cards and jackets are not sent
outside the CJIS Division, except to the Investigative Operations and
Support Section of the Laboratory Division and the Violent
Crimes/Fugitive Unit of the Criminal Investigative Division.
Personnel from these work areas are to obtain and handle them as
follows:
(1) If FBI number not known, call extension
direct written request to Room 11262, JEH Building.
jacket.
(2) If FBI number is known, call|/
or
■to obtain
(3) Cards or jackets will have attached 7- by 8-inch pink
card (Form 1-210) containing instructions regarding handling and
transfer. This form also serves as a routing slip to return card or
jacket to the CJIS Division, and should not be removed.
%■.
(4 ) To t ransfer individual criminal fingerprint card,
call extension!
To transfer individual civil fingerprint card, call
To transfer a fingerprint jacket, call
The above transfers are necessary even though the card or jacket is
Sensitive
PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part II --■••'--• ;'r~v:- '...,' .*r.;->f-. ■ ■ '--■-., r^SV --.. ■
.^ t.. Zr^.-y^', "■■]';^%'^- 'l^' . ■-...■..,[■ 'J^i,.-- ,. " -.■ft^j'r''-:
being forwarded to an individual or section in the CJISi Division forf >-'
handling prior to hieing filed. Cards and jackets shall not be heldi' ■,.
more than one week; however, if necessary to retain longer, recharge ■■-'■
by telephoning above-referred-to numbers. Cards and jackets are to, be
returned to the CJIS Division in a routing envelope. ' ' • -, -Ir
HiCrofilming of fingerprint cards is being done to save space within
the CJIS Division. If a requested jacket or fingerprint card is on
microfilm, a copy of the microfilmed record or fingerprint card will
be made and sent in answer to the request. Microfilmed jackets are
complete copies of the original hardcopy jackets. Microfilmed
finger print cards are com plete co pies of the ori g inal f in gerpr int
•rlJV-H '•
card. Copies of microfilmed jackets or fingerprint cards do not have
to be returned. They may be disposed of (e.g., destroyed) in a secure
manner .
v^a?^
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EFFECTIVE: 12/13/95
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PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part II •e-:.-.-;-;-,:^.. ■■■'^r ;;,. ...■-- .,,,/-■'; --.■/:,- ; ' /3,.:;;^ -" .pAGE^v 15 r.: .--Ui
SECTION 15. LATENT FINGERPRINT IDJENTIFICATION '
v,!'i^' V ■-'*'■.- ■
15-1 DUTIES OF LATENT FINGERPRINT SECTION | (See KIOG, Part I,
7-14.9(1) (b), 7-14.11(8). 9-7(3). Section 32, 91-17.3(1),
91-18, 145-2(3), 192-16.1(1), 192-16.3(1), Part II,
13-6.4.5 & 13-17.) I
. All wo rk_p_er.tAining to the develo p ment and comparison of
latent prints, the comparison of infant i footprints, automated latent
fingerprint searching, the National Unidentified Latent File, and the
examination of fingers and hands of deceased individuals, is handled
in the Latent Fingerprint Section. Senior fingerprint specialists of
the Section form the nucleus of the FBI Disaster Squad which assists
in the identification of victims of major disasters. The Section
handles all court testimony needed in regard to fingerprint
examinations and also conducts training classes regarding fingerprint
matters.
EFFECTIVE: 09/24/93
15-2
FILES
EFFECTIVE: 11/21/89
15-2,1 Automated Searching of Latent Fingerprints (See MIOG, Part
I,|91-18.1, 145-2(3), 192-16.2.)!
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(1) JAutomated Fingerprint Identification System (AFIS)
technology has provided the Latent Fingerprint Section (LFPS) the
capability to conduct computer-based latent fingerprint searches
against the FBI database of 28 million criminals' IQ-print
fingerprints. This process isknown as ALPS (Automated Latent
Fingerprint Search), which was previously referred to as ALSA3.' The
Criminal Justice Information Services Division (CJIS) maintains the
automated criminal 10-print fingerprint database, which is now called
Identification Automated Searches. I
Sensitive i -
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Part, II • PAGE 15 - 2 ;#
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(2) [The ALPS provides a means to solve crines by
searching unidentified latent fingerprints against the known
fingerprint records of criminals. This capability is intended to be a - -
last effort to solve a crime from a fingerprint standpoint. The .^V
traditional practice of naming suspects/subjects from the
investigative process, along with the acquisition of elimination
fingerprints from victims and others, is expected to continue. It is
not necessary to specifically request an ALFS search as each case
submitted for latent fingerprint examination is evaluated by the LFPS
to determine if it meets the criteria for initiating a search.
However, if it is known at the time of submitting the case that there
are no sus p ects develo ped and the only purpose of submittijig the case
is for an ALFS search, then the request should be specifically ~~ ^
stated, j i>
(3) I When requesting an ALFS search, it should be
understood that not all latent fingerprints are suitable for this type
of search. Although the latent fingerprints may be of value for ''
identification purposes by a fingerprint specialist, it may not be
sufficient for the computer-based search. The ALFS search relies on
the ability of the fingerprint specialist to determine an approximate V',
fingerprint classification and finger position of the latent
fingerprint and the availability of a physical description of the
suspect (s),
(4) To better facilitate the ALFS search, submit all ■.;
physically descriptive information known about the suspect (s). The
physical descriptors which can be utilized in an ALFS search include
sex, race, age range, height range, weight range, eye color, hair
color, place of birth (state or country), and scars, marks and tattoos
(the location on the body). All these physical descriptors are not
necessary to conduct an ALFS search, but as much of this information '''
as known should be included in your correspondence.
(5) ALFS searches may also be restricted to specific
geographic areas (on state or country level) and any crime~type
category.
(6) Before the LFPS fingerprint specialist determines
that an ALFS search can be performed, it may be necessary to contact
the requesting office for further clarification or additional
information to more efficiently use this capability.
(7) The ALSM (Automated Latent System Model) capability
has been discontinued and is no longer available. ALSM was strictly a
model and plans are being made to provide a similar yiet more robust
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capability within the future Integrated Automated Fingerprint ' "•
Identification System (lAFIS) . | ••'
EFFECTIVE: 07/21/95
15-2.2 National Unidentified Latent File
This file consists of classifiable latent fingerprints
developed a nd remainin g uniden tified in certa in type s of Burea u cases
having an unknovm subject. Categories in this file consist of Bank *
Robbery, Bank Burglary, Bank Larceny, Bank Matters-Devices, Interstate ^-A:
Transportation of Stolen Property-Checks, Major Theft (ITSP) , Theft ",
From Interstate Shipment, Police Killings, Airline Threats, Interstate
Transportation of Obscene Material, Interstate Transportation of
Stolen Motor Vehicle, Kidnaping, Sabotage, Espionage, Explosives,
Extortion, JHobbs Act and Terrorism.} The inked fingerprints or major
case prints of subjects received in the Latent Fingerprint Section in
connection with these violations are compared with the latent prints 'ii.
in the specific type of violation. For example, the fingerprints or
major case prints of subjects submitted in a current bank robbery case
are compared with the latent prints remaining unidentified in the bank '*'
robbery section of the National Unidentified Latent File. | (See MIOG,
Part I, 91-9(1) and 91-18.2.) I
EFFECTIVE: 05/14/93
15-3 LATENT PRINT EXAMINATIONS
EFFECTIVE: 11/21/89
15-3.1 Examination of Evidentiary Materials - Bureau Cases, State
and/or Local Facilities
EFFECTIVE: 11/21/89
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15-3.1.1 ■ utilize Technical Expertise o£ FBI's Latent Fingerprint
Section
Materials o£ evidentiary value located at crime scenes, or
otherwise obtained during our investigative activities, offer S
invaluable potential for investigative information and probative
results. The laboratory facilities in the Latent Fingerprint Section
and- technical expertise of FBI latent fingerprint personnel are
recognized as the finest in the world. These technical fingerprint
experts are devoted 100 percent to the science of latent print
technology. Also, the file data base of persons represented in the
fingerprint files of the FBllCriminal Justice Informat i on
Services [Division is far greater than that available to state and/or
local authorities^ For these reasons the technical superiority of the
Latent Fingerprint Section should be utilized in Bureau cases
requiring latent print examinations.
EFFECTIVE: 04/01/96
15-3.1.2 Joint Jurisdicti
on
Instances may arise in matters of joint jurisdiction where
state and local crime laboratories handle materials obtained by local
criminal justice agencies prior to our involvement, or have custody of
items located during their investigations of concurrent violations.
Such situations call for the exercise of diplomacy and good judgment
to avoid creating the impression that the FBI lacks respect for the
investigative, technical or scientific competence of local
authorities. However, the laboratory facilities in the Latent
Fingerprint Section and technical expertise of FBI latent fingerprint
personnel are recognized as the finest in the world and should be
utilized if at all possible. It should be borne in mind that the
Latent Fingerprint Section utilizes laser |and other light sources | for
the detection of latent prints, and this should be taken into
consideration, inasmuch as local authorities may not have access to
(these light sources. [ In matters of joint Federal/local jurisdiction,
we must be positive to ensure that in the event of Federal
prosecution, the U.S. Attorney may be certain that the more stringent
Federal safeguards for the handling of evidence have been followed..
Processing by the Latent Fingerprint Section will offer this
guarantee.
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15-3.1.3 Conditions to Be Met for Use of State or Local Facilities
When circumstances and good judgment dictate that
consideration be given to utilizing state or local fingerprint
technicians and/or crime laboratory personnel in Bureau cases, the
following conditions must be met before your decision is made:
(1) The SAC must be fully aware of _ the . facts of the cas e
and the nature of the examination(s) to be conducted. Inasmuch as the
Latent Fingerprint Section utilizes a laser and other light sources as
the initial process in the detection of latent prints, consider
whether this technique is available at the local or state level.
(2) Extenuating circumstances must exist which justify
SAC approval of the utilization of state/local facilities and
personnel.
(3) As soon as time permits, the FBI Laboratory Division
should be contacted to assure that all necessary examinations are
being performed. Bear in mind, that concurrent violations frequently
require different elements of proof. State and local facilities must
therefore be alerted to the nature of Bureau requirements so that
nothing will be done to the evidentiary material that will destroy its
usefulness from our standpoint. They should also be made aware of our
willingness to consult with them on scientific and technical aspects
of their examinations as well as provide additional examinations that
may not be possible locally.
(4) In each case where local examinations are conducted,
a copy of the report of same should be furnished the FBI Laboratory
Division when such becomes available.
EFFECTIVE: 09/24/93
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15-3.1.4 Negative Aspects of Preliminary Local Analyses
Under no circumstances should "curbstone" opinions be
sought of local scientific or technical personnel to assess the
potential value of evidentiary materials prior to submitting these
items to PBIHQ for examination. Any preliminary local analyses could
cause alteration and/or contamination of these materials and a
possible conflict of opinion due to variation in testing procedures.
This could severely hamper the effectiveness of our' efforts, as well
as possible unduly complicate the "chain of custody."
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15-3.2 Searching for Latent Prints
The search for latent prints should be conducted in a
systematic, intelligent manner. Articles bearing or suspected of
bearing impressions must be handled with care as most impressions are
extremely susceptible to injury. ' The slightest contact with another
surface will usually be sufficient to destroy them; consequently, it
is not an adequate safeguard if the person handling such articles
merely protects his/her hands with gloves. By doing so, he/she may
prevent impressions of his/her own hands being left, but even his/her
gloved hands must not come in contact with a surface which might bear
impressions. JAvoid handling articles when wearing thin skintight
rubber-type gloves since it is possible that latent impressions can be
left due to the thinness and tightness of the gloves. | If an article
must be handled, it should be done in such a way that the hands
whether bare or protected, do not touch a receptive surface. Should
that be impossible, the part of the article which it is desired to
handle should first be examined for visible and latent impressions.
The light from a flashlight or the lights of a fingerprint camera are
sometimes helpful in locating latent prints as the light reflected at
an angle often shows the presence of latent prints. Latents should be
searched for in the following circumstances:
(1) Surfaces and articles which might have been handled
by the criminal at the scene of the crime. | Circumstances may warrant
examining certain areas of a victim's body for latent prints left on
the skin. |
(2) Property recovered in any circumstance if it is
believed to be the proceeds of theft.
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(3) Vehicles, weapons, tools, and other articles which-'
nay have been used in the commission of a crime even though they are
recovered at a distance from the crime. \ . "■ -
When impressions have been caused by a substance which contrasts in
color with the surface on which they are made, they will usually be
visible, though they may not be conspicuous. Such impressions would
result from a dirty, oily or bloody hand coming in contact with a-
relatively clean surface. If the impressions have been made in
plastic substances, such as wax, clay, etc., they will, of course, be
visible.
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15-3.3 Development of Latent Impressions (See MIOG, Part II,
15-4.1.)
■■3
(1) All evidence that is not too bulky or valuable to be
shipped should be submitted to the Latent Fingerprint Section,
Laboratory Division, for latent, print examination. Examination with
the laser is the initial process used for detecting latent prints;
that is, it should be used before treatment with fingerprint powders
or chemicals. After the laser examination and prior to the
utilization of fingerprint powders. Latent Fingerprint Section
specialists can enhance the possibility of developing latent prints on
certain nonporous articles, such as plastic bags and other pliable
plastics, by subjecting them to fumes from cyanoacrylate glue.
jConsideration should be given to contacting field office Evidence
Response Team (ERT) members for possible treatment of nonporous items
with cyanoacrylate glue prior to submitting to the Latent Fingerprint .
Section. ERT members also are knowledgeable in the packaging of
specimens for shipment to the Laboratory. |
(2) The powders in use at the present time are gray,
black, aluminum, "dragon's blood," and bronze. Black and gray powders
should be generally used inasmuch as they most often give the best
results. Black powder is used on surfaces with a light background and
gray powder on dark surfaces. It is desirable to emphasize that in
many instances it is not necessary that any powder be applied to a
latent impression to develop it, as sometimes these impressions appear
clearly. Visible prints should be photographed before any attempt is
made to improve by powdering. Conventional powders are to be used to
bring the print to a point where it may be photographed or otherwise
recorded. Fluorescent powders should not be routinely used iand only
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automobile, no powder should be used. Where powders are utilized,
those which contrast in color with the surface should be used.
Mirrors and highly polished surfaces photograph black, and this must
be kept in mind in selecting the proper powder to use. Powders should
generally be used only on nonporous surfaces such as metal, glass and
porcelain. Powder generally should not be used on paper, cloth or
unfinished wood, since these specimens are chemically treated by the
specialists of the Latent Fingerprint Section.
(3) Some chemicals which are used to develop latent
prints are irritating to eyes, nose and throat when not used under
proper conditions and will stain skin and clothing. Use of these
chemicals requires close observation by a trained technician to ensure
proper development of all latent prints. If a human body is to be
examined for latent prints on the skin, the examination should be done
immediately utilizing the cyanoacrylate powder method or any other
available process. When porous-type evidence is too bulky or valuable
to be shipped, a request can be made for field processing by a latent
fingerprint specialist. In an instance of field processing of a crime
scene by a specialist of the Latent Fingerprint Section, a Special '
Agent must provide security by remaining with the specialist during
the processing unless appropriate security is being provided by
another agency.
EFFECTIVE: 11/21/97
15-3.4 Photographing Latent Prints
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considered after conventional powders prove nonproductive. The *
visualization of fluorescent prints requires a special light source
and the photography of such prints is more time consuming. Further,
surfaces processed with fluorescent powders should be thoroughly
cleaned as the presence of fluorescent powder cannot be readily
detected without the aid of a light source and may pose a health risk
if subsequently handled. Any item which bears a latent print in blood
(or resemblance of a latent print in blood) should not be examined
using powders, but should be submitted to the Latent Fingerprint
Section. All visible latent prints on items to be shipped to the "*;■
Latent Fingerprint Section should be photographed before shipment. *
JftLere_a_p.rint„may_show_.distinctly_J.n_.the_oiJ.__and_gr_ease_on_an ■■■<•:'■
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15-3.4.1 The Fingerprint Camera
I (1) Photographs of latent prints will show more contrast
in the ridge detail than most lifts will of the same impression. It
is recommended that a medium format camera, i.e., Hamiya, be used. It
is not necessary to photograph the latent prints at their natural size
(1:1). A fingerprint camera that has a fixed focus, its own self~
contain e d li g ht source and uses 120 film ma y also be used. If
necessary, a small format 35mm camera can be used in lieu of a medium
format camera. Due to its negative size, medium format cameras will
produce higher quality photographs. Photograph all latent prints
whether they are of good quality or not (no field evaluations).
(2) The first frame of each roll of film should depict
the photographic log showing the roll number, subjects for the film
and the camera settings.
(3) Each latent print should be photographed individually
for better clarity. The following steps should.be utilized when
photographing latent prints: (a) all latent prints must be
photographed with an identification tag, (b) the identification tag
must include a scale, reference number, location of prints, and
initials, (c) the identification tag should be placed on the same
plane as the latent print, (d) fill the frame completely with the
latent prints and the identification tag, (e) photograph latent
prints that are close to one another in one frame, if possible,
especially if they are simultaneous prints, (f) use T-Hax 400 film,
(g) set the f/stop to f/8, (h) adjust the shutter speed setting
until the green light appears, (i) make two exposures of each latent
print by bracketing — the first exposure should be what the camera
suggests with the green light and the second exposure should be one
stop overexposed by adjusting the shutter speed dial, and (j)
maintain a photographic log. The information should correspond with
the latent print log and the evidence recovery log. |
EFFECTIVE: 07/21/95
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Care must be exercised to see that all latent prints
developed and photographed for possible use are marked properly so
that they may be identified readily. It is advisable to record in the
notebook of the investigator the exact location where the latent
prints were found - position on a safe door, car window, etc. Noting
these facts may affect the entire presentation of the case, and all
photographs or exhibits should contain reference thereto. Latent
prints should be lifted after photographing whenever possible.
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15-3.5
Lifting of Latent Impressions
Sometimes, due to poor contrasts, reflections of light,
multicolored surfaces, or the physical location of a latent" print , it
is not possible to photograph the impression effectively. In all such
eases, latent prints should be lifted. Latent prints should also be
lifted even though photographs have been made of the impression. A
black rubber lift is used for lifting latent prints where gray or
aluminum powder was used in developing the latent print. The white
rubber lifting tape is used for the black, dragon's blood and bronze
powders. A piece of the tape large enough to cover the entire latent
print to be lifted is selected. The lift must be marked properly for
identification purposes. Approved transparent tape may be similarly
used with the exception that the tape should be mounted on a black or
white card contrasting with the color of powder used. Rubber tape
generally gives better results than transparent tape on curved or
uneven surfaces.
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15-3.6
Elimination Prints
:M:
The fingerprints of all persons who have legitimately
handled the articles must be taken for comparison with any latent
prints. If latent palm prints are developed, it will be necessary
also to take palm prints for elimination purposes. Consideration
should be given to obtaining the prints of a deceased individual
before interment. Agents should be extremely careful in handling
objects so as not to leave their own prints thereon. If inadvertently
handled, such information should be indicated in letter transmittal.
All fingerprints submitted for elimination purposes, or as suspects,
should have th e nec essary descriptive data on the cards. Major c ase
prints submitted for elimination purposes, or as suspects, should
appropriately be taken on separate cards. The palm prints should
never be taken on the reverse side of a fingerprint card.
EFFECTIVE: 05/11/87
15-4
SUBMISSION OF EVIDENCE
EFFECTIVE: 05/11/87
15-4.1 Letters Submitting Evidence or Articles for
Examination (See MIOG, Part I, 91-9(1) & Part II,
15-3.3.)
(1) Three copies of a letter submitting photographs or
the lifts of latent impressions, as well as articles to be examined,
should be forwarded to FBI Headquarters. The letters and packages
should be addressed in the usual manner, | marked ("At tent ion: Laboratory
|Division, Evidence Control Center. "| When evidence is transmitted as
an enclosure to correspondence, an evidence envelope (FD-632) should
be used as the enclosure envelope. After the information is completed
on the envelope, place the evidence in the envelope and seal, and
staple the completed correspondence to the yellow flap of the^
envelope. In each instance where the evidence is too bulky to be sent
enclosed, yellow transparent tape should be placed over the address
label on each package. A copy of the letter should be placed in the
package, and the original letter and a copy should be sent separately.
Letters transmitting evidence and requesting examinations should set
forth briefly all pertinent material and information which would be of
value to' the specialist in the course of the examination. Evidence to
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be transmitted to the Latent Fingerprint Section for examination
should not be powdered for the development of latent impressions.
Fragile articles should be carefully packed and the package marked
fragile. On the inside wrapper of the object to be sent, the gummed
labels of the Latent Fingerprint Section designating the enclosure as
"Evidence" should be used.
(2) In any case where it is known that an article or
specimen to be submitted may have been contaminated by a person
infected with, or suspected of being infected with, acquired immune
deficiency sjmdrome (AIDS), tuberculosis, or hepatitis, the Latent
Finger print Section m ust be cont acted prior to submission to determine
if the examination will be conducted.
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15-4.2 Latent Fingerprint Section Reports|(See llAOP, Part II,
10-13.13.)]
Each auxiliary office should request FBIHQ to furnish
original latent fingerprint reports and, if appropriate, the evidence
to the office of origin upon completion of the latent examinations.
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15-4.3 Submission of Fingerprint Cards (or Major Case Prints) for
Comparison
In submitting fingerprint cards for comparison with latent
fingerprints in connection with any specific case, a letter should
also be directed with the fingerprints to the | Laboratory Division,
Evidence Control Center, | requesting such comparison. When fingerprint
cards are submitted for comparison purposes with any latent
fingerprints, the criminal-suspect or noncriminal-elimination nature
of these prints should be indicated. Criminal prints that do not
contain the necessary data for retention in the Criminal Justice
Information Services Division files, as well as suspect and
elimination prints, are returned to the contributor.
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15-4.4 Preservation of Specimens During Shipment
(1) In sending exposed films to the Latent Fingerprint
Section, Laboratory Division, in connection with latent fingerprint
cases, the outside of the package should be marked "undeveloped
films," in order that they may be handled properly at FBIHQ. All
articles, with the exce pti on of pape r s pecimens, shou ld be p acked for
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transfer in such a manner that surfaces which bear latent impressions
cannot come into contact with any other surface or substance. The
most effective method to do this is to mount the articles on a
baseboard. The board can then be fastened inside a stout container.
With reasonable ingenuity, practically any article can be secured so
that its surfaces are protected. Absorbent material, such as
newspapers, cotton, or cloth, should never be placed next to the
article. Generally, when photographic negatives and photographs of -j|
;E latent prints are submitted by the field, they will be retained in the
Latent Fingerprint Section. Other material submitted for latent
fingerprint examination will be returned unless the letter covering
the submission of the evidence requests its destruction.
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(2) In the event it is necessary to transmit the fingers,
hands, or feet of a deceased individual to the Latent Fingerprint
Section for | examination, theyjshould be placed in a container of 70
percent solution of alcohol, and this should be stated in accompanying ,nS
correspondence. Entire hands should not be submitted unless there is
a special need to do so. When submitting the fingers, each finger
should be amputated and placed in an individual container, and
appropriately labeled (right thumb, right index, etc.). |Requirements
for labeling, marking and shipping of body parts should be determined
by contacting the carrier. |
EFFECTIVE: 11/21/97
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15-5 REQUESTS FOR COPIES OF LATENT PRINTS
Inasmuch as all latent fingerprint comparisons are to be
conducted by the experts of the Latent Fingerprint Section, requests
for photographic copies of latent prints will not be honored unless
the letter requesting such photographs states specifically the use to
which these photographic copies are to be placed.
EFFECTIVE: 05/11/87
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15-6 LIAISON WITH U.S. AND PROSECUTING ATTORNEYS
Maintain close liaison with U.S. and Prosecuting Attorneys
to ensure prompt notification of trials or changes in trial dates
involving testimony of latent fingerprint specialists. Communications
regarding such are to be marked for Attention: Latent Fingerprint
I Section, [Laboratory Division, | and should refer to the pertinent latent
case number (s) .
EFFECTIVE: 09/24/93
15-7 COURT DECISIONS
EFFECTIVE: 05/11/87
15-7.1 Latent Fingerprint Testimony
Latent fingerprint testimony is universally accepted today
by the courts of all civilized countries. Field offices should advise
} thelLatent Fingerprint Section, Laboratory|Division of any current
decisions involving any phase of fingerprint testimony. In this
country, such testimony is accepted in Federal, state and military
courts when it is shown that the witness is a competent expert because
of his/her experience and knowledge of the subject matter. Numerous
court decisions in this country uphold the validity and competence of
such testimony, several of which hold as follows:
(1) Holt V. U.S., 218 U.S. 245, 1910, the U.S. Supreme
Court in considering the contention of the defendant's counsel that
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15-7.2 Latent Palm Print Testimony
(1) Davis V. Dunn, 90 Vt. 253, 259, 98A, 81 Ann Cas.,
1918D, 994, 1916, court stated, "This knowledge (identification by use
of fingerprints) of the courts goes so far as to enable them to say,
without proof, that the imprint of the palm side of the human hand,
when fairly taken, presents reliable,' individual, and unchanging
characteristics of the papillary ridges."
(2) Supreme Court of the State of Nevada held in State v.
Kuhl, 175 Pac 190, 1918, that an expert may testify positively as to
the identity of two palm impressions rather than be limited to his/her
belief or judgment. Further, that "all the learned authors, experts,
aind scientists on the subject of fingerprint identification agree that
these patterns, formed by the papillary ridges on the inner surface of
the human hand and the sole of the foot, are persistent, continuous
and unchanging from a period in the existence of the individual
extending from some months before birth until disintegration after
death."
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the taking and use of fingerprints of a person and the use of same at -''$j
the trial of the accused is a violation of the constitutional v
provision against self-incrimination held, "the prohibition of ;;|«j;
compelling a man in criminal court to be a witness against himself is ' ''^■.
a prohibition of the use of physical or moral compulsion to extort -,:
communications from him, not an exclusion of his body as evidence when
it be material." ■
(2) Duree, et al., v. U.S., 297 Fed 70, 1924, District ^^
Court of U.S. for Western District of Oklahoma held that photographs Tit
of latent prints on a bottle were admissible in evidence.
(3) Newton Grice v. Texas, 142 T.C.R. 4, 1941, Supreme ''ft
Court of Texas held that testimony by a competent fingerprint expert ''-'-^'
concerning a latent fingerprint which was identified as the
fingerprint of the accused, was in itself sufficient evidence to ,~
authorize the jury's finding of the accused guilty of burglary, even «
in the absence of collateral evidence.
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15-7.3
Latent Footprint Testimony
In the case of Conunonwealth v. Oscar Bartolini, 299 Mass.
503, 1938, the Supreme Court of Massachusetts (3-1-38) held that there
was no error in permitting a witness to testify as an expert witness
where it is shown that, "There was ample evidence of special study and
knowledge by the witness of the subject of footprints as well as of
-fingerprints ..J^:^ The_Court_als_o_recognizM_the_lact,JJ:hat_^^^
like fingerprints, remain constant throughout life and furnish an
adequate and reliable means of identification."
EFFECTIVE: 09/25/91
15-8
SERVICES OF DISASTER SQUAD
EFFECTIVE: 09/25/91
15-8.1
Limitations of Assistance
The FBI Disaster Squad assists in | the fingerprint |
identification of | casualties | in major disasters. A request for the
assistance of the FBI Disaster Squad will be honored if it originates
from one of the following: the ranking law enforcement official
having jurisdiction over the disaster scene; the medical examiner,
coroner, or other ranking official, such as the Mayor or Governor; an
official of the U.S. Department of Transportation (National
Transportation Safety Board or Federal Aviation Administration); or an
official of the U.S. Department of State in foreign disasters
involving American citizens. Unless complete background information
needed in a case wherein the FBI has investigative jurisdiction,
|utilization of Agent personnel should be minimal, such as to assist
IS
FBI's participation will be
casualties jas possible by
the Disaster Squad at the scene. The
limited to identifying as many of the
fingerprints. This limitation should be clearly explained to the
requesting official at the time the request for the Disaster Squad's /
assistance is received in order that the requester will be on notice'
of the extent of FBI services that can' be expected.
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EFFECTIVE: 09/25/91
15-8.2
Action to Be Taken By Field Office Covering Disaster Site
(1) Advise FBIHQ by telephone of disaster and whether
services of the Disaster Squad have been requested.
(2) FBIHQ will give instructions as to which office will
be designated office of origin for identification phase of case if
conflict exists.
(3) Assign experienced Agent personnel to disaster scene
to develop any information indicating a federal violation within the
Bureau's investigative jurisdiction.
(4) If transportation facility involved, establish close
liaison with company office so as to obtain, as quickly as possible,
passengers' full names and descriptions. Office covering point of
origin of transportation carrier usually in best position to do this.
(5) Furnish names and descriptive data immediately to
thejCriminal Justice Iniformat ion Services [Division so search can be
made for fingerprints which may be in our files.
EFFECTIVE: 04/08/96
I
15-8.3 |Suggested|Action to Be Taken at Scene |by the Official
Having Jurisdiction Over the Disaster |
(1) Institute uniform body numbering system and tag
remains of each | casualty) with assigned number. Severed portion of
remains should be maintained in a separate area and labeled as to
location where found.
(2) During search of disaster scene for jcasualties, |
personal effects not definitely attached to bodies should be labeled
and kept separate. Personal items removed from bodies, such as
clothing, rings, etc., should be placed in individual containers and
identified by number corresponding with body number. Identity of
person performing this task should be recorded. FBI personnel are not
to assume custody of personal valuables.
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(3) Encourage use of a single central morgue. In absence
of adequate conventional morgue facilities, consider gymnasium,
armory, or similar large, well-lighted, well-ventilated structure and
availability of a refrigerated truck.
(A) Each] casualty! should be fingerprinted, photographed,
and|a| detailed physical description taken prior to release of body,
regardless of means used to identify remains.
I (5) I Ensure that detailed and careful search is made
-oX|ca^g.ual_ty_^t_jcLorguej_to_record^^^^j cloth ing, scars, marks . .
tattoos, and any other identifying factors. Property removed from
each victim should be kept in a separate container appropriately
documented where found.
I (6) I Suggest that services of a dentist be obtained for
detailed charting of the teeth.
I (7) I Suggest complete pathological examination of remains
with particular emphasis on evidence of previous removal or repair to
^ internal organs, age estimate, and physical build.
I I (8) I Relatives visiting scene or morgue should be
interviewed by local officials.
EFFECTIVE: 09/25/91
15-8. A Instructions for Auxiliary Offices
I (1) |Deleted|
I (2) |Deleted|
(3) In cases where FBI has investigative jurisdiction in
I the disaster, auxiliary offices will be expected to | immediately]
forward items such as dental charts and fingerprints. In these
instances, the cooperation of commercial aircraft personnel should be
obtained to expedite delivery to the FBI Disaster Squad at the scene.
Use envelopes bearing postage indicia.
Sensitive '
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Manual of Investigative Operations and Guidelines
Part II ' -
EFFECTIVE: 09/25/91
15-8.5
Commercial Airlines
PAGE 15 - 19
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If commercial airlines involved in disaster, see also Part
I, Section 149, of this manual for instructions regarding
investigations under destruction of aircraft or motor vehicle
statutes.
EFFECTIVE: 09/25/91
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'3;$'"
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PAGET 16 -
SECTION 16. TECHNICAL SERVICES
16-1
COMMUNICATIONS SERVICES | (See MAOP, Part II, 10-5.)
Communications services include the transmission and
receipt of official information in textual or graphical form through
the use of secure and nonsecure teletype and facsimile systems.
EFFECTIVE; 07/15/93
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FOIPA
DELETED PAGE INFORMATION SHEET
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Pagc(s) withheld entirely at this location in the file. One or more of the following statements, where indicated ii'
explain this deletion. ' '
Deletions were made pursuant to the exemptions indicated below with no segregable material available for ''
release to you.
l/(b){2)
a (b)(3)
Section 552
□ (b)(7)(A)
n (b)(7)(B)
O (b)(7)(C)
n (b)(7)(D)
ZI B^bXTX^
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□ (d)(5)
n 0)(2)
n (k)(i)
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D (b)(4)
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□ (k)(4)
n (k)(5)
n (k)(6)
□ (kjjf )
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n Information pertained only to a third party with no reference to the subject of your request or the subject of your
■ request is listed in the title only.
D Documents originated with another Government agency(ies). These documents were referred to that agcncy(ies) ;
for review and direct response to you.
Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a fm^ release determination has not been made. You will be advised as to the •
disposition at a later date.
_ Pages were not considered for release as they are duplicative of
_ Page(s) withheld for the following reason(s): •
ea^The following nimbCTis to be used for reference regarding these pages:
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Part II - ^ " ..■■■;:;vic:l,'":x'":,v'^ ■•;'■■■•■•-. ■•-■■ '
PAGE , 16 - 41,
^1^
EFFECTIVE: 12/14/93
16-7.1.7
Administrative Unit
The Administrative Unit coordinates budget formulation and
fiscal nanag,ement of ES programs, provides support services to the ES
including coordination, security and control of section space,
telecommunications services, including secure and commercial
telephones, facsimile and COMSEC, mail and courier service, automotive
fleet management, inventory, personnel, procurement services, [draft
system, [shipping and receiving; and other administrative support
activities necessary for routine operation of the ES.
EFFECTIVE: 12/07/93
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Manual of Investigative Operations and Guidelines
Part il ■ ' "k; '
I 16-7.1.8 Advanced Telephony Unit (ATU)
PAGE 16 - 42
The mission of the ATU is to formulate strategies,
initiate development of methodologies and ensure the ability of the
FBI to perform court-ordered electronic surveillance with respect to
the emerging and future telecommunications technologies.
EFFECTIVE: 09/25/91
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FEDERAL BUREAU OF- INVESTIGATION > |
FOTPA ■ -^'^
DELETED PAGE INFORMATION SHEET J;
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, f.
explain this deletion. ' ;
H Deletions were made pursuant to the exemptions indicated below with no segregable material available for
release to you.
Section 552 ^
M (b)(1) □ (b)(7)(A)
Sr (b)(2) n (b)(7)(B)
n (b)(3) n (b)(7)(C)
n (b)(7)(D)
(b)(7)(E)
n (b)(7)(F)
D (b)(4) □ (b)(8)
n (b)(5) n (b)(9)
r , ;| n (b)(6)
Section 552a
D
(d)(5)
n
a)(2)
D
(lc)(l)
D
(k)(2)
a
(k)(3)
a
(k)(4)
a
(k)(5)
a
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□ Information pertained only to a third party with no reference to the subject of your request or the subject of your
request is listed in the title only.
D Documents originated with anodier Government agency (ies). These documents were referred to that agency(ies) "
for review and direct response to you.
Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as
to the releasability of this information foUowmg our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the
disposition at a later date.
Pages were not considered for release as they arc duplicative of
Page(s) withheld for the following reason(s):
Gr The followin&numbfir is to be us«l, for reference regarding these pages:
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PAGE 16 - 51
(2) Technically Trained Agent Training Program
This program is responsible for training all field TTAs,
the continued upgrading of the technical training curriculum, and for
administering the TTA On-the-Job Training Program. These
responsibilities include provisioning all training for TTAs, designing
and evaluating new courses, identifying technical training, facilities
and equipment as appropriate. The program is responsible for
maintaining the high level of technical knowledge required by field
TTAs .
■j-s?
(3) Electronics Technicians Management Program (See MIOG,
Part I, 67-10.10; MAOP, Part I, 11-16.3.1.)
This program is responsible for the management of the ET
Program in the field. These responsibilities include maintaining
field ET Program staffing levels, ET staffing for major case/crisis
response incidents, specialty transfer requests, evaluation of the
field ET Programs, and assisting in the recruitment, evaluation, and
hiring of ETs for the field and FBIHQ. This program also oversees the
activities of the Electronics Technician Advisory Committee.
(4) Electronics Technicians Training Program
This program, is reisponsible for training of all field ETs
and the continued upgrading of the training curriculum. These
responsibilities include providing all radio and data communications
training for field ETs, designing and evaluating new courses, and
identifying technical training facilities, vendors, and equipment as
appropriate. This program is responsible for maintaining the high
level of technical knowledge required by field ET personnel.
Sensitive
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Manual of Investigative Operations and Guidelines
Part II .■•.,•- , Xr- ..,._
(5) Computer Specialist Manageioent Program
PAGE 16 T 52
This program is responsible for the overall management of
the CS Program. These responsibilities include maintenance of CS '
Program staffing levels; CS temporary duty staffing for major case
investigations or crisis response incidents; evaluations of field CS
Programs, and overseeing the recruitment, evaluation, hiring,
promotion, and other related personnel actions for CSs in the field
and at FBIHQ. This program also oversees the activities of the
Computer Specialist Advisory Group, and coordinates the annual
Technical Automation Conference.
(6) Computer Specialist Training Program
This program is responsible for the training of field and
FBIHQ CSs. These responsibilities include the continued development
and implementation of CS training curricula which will empower CSs
with the ability to operate and maintain the FBI's existing and
emerging computer hardware and software systems.
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FEDERAL BUREAU OF INVESTIGATION
FOiDPA
DELETED PAGE INFORMATION SHEET
_/ — Page(s) withheld entirely at this location in the file. One or, more of the foUowing statements, where indicated '
explain this deletion.
/ '.'-
or Deletions were made pursuant to the exemptions mdicated below with no segregable material available for
release to you.
Section 552 Section 552a
° <''X^> n (b)(7)(A) a (d)(5)
Bl^ (b)(2) n (b)(7)(B) D (j)(2)
° (b)(3) n (b)(7)(C) D (k)(l)
n (b)(7)(D) n (k)(2)
iy(b)(7)(E) "oWi) ~^
'■ a (b)(7)(F) ' a (k)(4)
n (b)(4) □ (bX8) n (k)(5) ■;
° (b)(5) □ (b)(9) n (k)(6)
□ (b)(6) □ (k)(7)
n Information pertained only to a third party with no reference to the subject of your request or the subject of your
request is listed in the title only.
n Documents originated with another Government agency(ies). These documents were referred to that agency(ies)
for review and direa response to you.
Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency (ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the
disposition at a later date.
Pages were not considered for release as they are duplicative of
Page(s) withheld for the following reason(s): "'■" ^
[M The following ^rabjnjs to be us^ for reference regarding these pages:
he followmg tfttrabenjs to be used for referee
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Manual of Investigative Operations and Guidelines
Part-II^'- ., >■ "■.- ■
(2) I The|Technical Operations Section (TOS)
strongly I recommends that | each field office establish a GS-14
Technical Supervisor (TS) position as part of its overall office
management structure. This position should be filled by an
experienced TTA, capable of overseeing all technical investigative
activitieis within the field office. The field inspection process,
on-site technical investigative program reviews, and management
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feedback received from fielc} offices with a TS already in place,
clearly validate the organizational benefits derived through
consolidating office technical investigative resources under one
Supervisory Special Agent with a proven technical investigative
background. As a rainlmuin, the TOS recommends, in all but the largest
field offices, that the TS be assigned management oversight for all
TTA, ET, and CS personnel. The assignment to the TS of additional
office technical support personnel may be warranted based upon the
size of the field office.]
EFFECTIVE: 12/06/96
16-7.2.3
b1'
t
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FEDERAL BUREAU OF ESTVESTIGATION
FOEPA -"^i
DELETED PAGE INFORMATION SHEET '
Page{s) withheld entirely at this location in the file. One or more of the following statements, where indicated, ""
explain this deletion. ' '
K
tSr Deletions, were made pursuant to the exemptions indicated below with no segregable material available for
release to you.
Section 552 Section SS2a
^(bXD n (b)(7)(A) D (d)(5)
B^)(2) n (b)(7XB) D (j)(2)
D (b)(3) n (b)(7)(C) n (kXl)
^ n (b)(7)(D) n (k)(2)
H^)(7)(E) n (k)(3)
— , □ (b)(7)(F) □ (k)(4)
n (b)(4) n (b)(8) n (k)(S)
° (b)(5) n (b)(9) n (k)(6)
} n (b)(6) n (k)(7) -■
D Information pertained only to a third party with no reference to the subject of your request or the subject of your
request is listed in the title only.
D Documents originated with another Government agency(ies). These documents were referred to that agency(ies) ,-
for review and direct response to you.
Pages contain mformation furnished by another Government agency(ies). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the >.
disposition at a later date. ?
Pages were not considered for release as they are duplicative of
Page(s) withheld for the following reason(s): .
Or The following nujnJjerJ^ to be used for reference regarding these pages:
rhe iollow«gnumper js to be. used for reference r
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EFFECTIVE: 02/10/97
-"mi
■VS'
16-7,3.4 Loan of Electronic Surveillance Equipment (See MIOG, Part
II, 10-9.14 & 10-10.10.)
(1) Loan of Electronic Surveillance Equipment to State
and Local Law Enforcement Agencies.
(a) By Department Order 890-80, dated 4/29/80, the
Attorney General delegated to the Assistant Attorney General, Criminal
Division, Department of Justice (DOJ) , the authority to approve loans
of electronic surveillance equipment to state and local law
enforcement agencies for use in their investigations (i.e., not joint
FBI investigations). Under this delegation, the loan of such
equipment is to be made only in exceptional circumstances and to be
consistent with federal and state laws, as well as with state and
local law enforcement regulations.
(b) The Office of Enforcement Operations within the
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control of state and local law enforcement; and
4. without duplication of other federal
programs of assistance to state and local law enforcement.
(d) Except in an emergency, requests for loan of
electronic surveillance equipment will not be approyed until the head
of state or local law enforcement agency certifies in writing that the
agency:
1. has authority under state and local law to
borrow the equipment on the terms required by the Order;
2. has valid legal authority under state and
local law to conduct the particular electronic surveillance for which
the equipment is requested;
3. cannot obtain the requested equipment from,
other law enforcement agencies within the state; and
4. does not have available to it funds provided
by the Law Enforcement Assistance Administration or its successor
agency to obtain the requested equipment.
(e) Requests must contain a copy of a written
opinion of the chief legal officer to the state or local government .
indicating compliance with conditions (d)l. and (d)2.
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Part II ' PAGE 16 - 71 ' ~
Criminal Division of the DOJ has been assigned the responsibility of " %'
coordinating requests received for electronic surveillance equipment. ^^
That Office defines electronic surveillance equipment as any equipment <'S^i
which would be uSed in Title 18, USC, Section 2510, et seq. (Title "r^
III) - or consensual electronic coverages. .
if
(c) The Departmental Order specifies that the loan ,. '?/
of electronic surveillance equipment to state and local law :).
enforcement agencies is to be discouraged and is to be permitted only: 0^
1. in furtherance of the federal government's >.<^;
-interests- in-the- invest igat ion- and-prosecut ion of violations-of-state :i^
criminal law that are of federal concern; '-M.
2. in compliance with all applicable provisions ^_
of federal, state and local law; . ^>;
3. without interfering with state and local i^_
•.try
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(f) The field office must advise FBIHQ when ^^t
requesting approval to loan electronic equipment (be it either a %^
routine or an emergency request) whether there is a current need for . jr
equipment within its division; whether, in the SAC's opinion, it is •: C/
within the interest of the United States to loan the requested .■')
equipment in the specific criminal investigation; and whether the ,^v-
agency involved has previously violated the terms of any loan of
electronic surveillance equipment by the FBI.
■it
,->l.
(g) The Deputy Director, FBI, will formally request
the Assistant Attorney General, Criminal Division, DOJ, to permit the
jjlI_to_loa.n the equipment only after receipt of the stat e or lo cal
request with its attachments and the comments of the field office
concerning that request.
(h) In an emergency, if the head of the state or
local law enforcement agency involved represents that an emergency
exists, that the need for electronic surveillance equipment exists,
and that he/she is authorized under state law to conduct emergency
electronic surveillance specifying the provision of state law upon ,vf^
which he/she is proceeding, the Deputy Director, FBIHQ, may grant the
emergency request. The field office should expeditiously contact
FBIHQ to explain why advance approval is not possible and secure the
necessary approval, confirming both by teletype. The emergency loan,
like the nonemergency loan, must be made pursuant. to a written ..^°
agreement. However, the Order provides that the written
certifications required from the state or local agency may be provided 'A
following the actual loan, if submitted to the Assistant Attorney ':-'>.
General, Criminal Division, DOJ, within FIVE (5) j work | days of the '.-^
loan. Therefore, FBIHQ must receive the certifications in time to . -^^jf
present them to the Assistant Attorney General, Criminal Division,
DOJ, no later than the closiS of business on the fifth business day /' '
following the loan.
(i) The actual loan of the electronic surveillance \
equipment, in both routine and emergency circumstances, must be made ',..
pursuant to a written agreement between the FBI (SAC or designee) and
the requesting state or local law enforcement agency. This agreement
must identify the equipment to be loaned, describe the target of the
surveillance, and detail the purpose (i.e., goal) of the surveillance
to be conducted. It must also provide: .■■;..
1. that the loan of the equipment is subject to
the needs of the FBI and the equipment must be returned whenever ;r!
requested;
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2, that the loan of the equipment is limited to
no longer than the duration of the authorized surveillance for which
it is requested, or 90 days, whichever is less; -^V
3. that the equipment may be used only for the . ■
validly authorized surveillance for which it was requested;
A. that the agency will not permit any other
person or governmental entity to use the equipment; .-^^
5. that no FBI personnel may install the
_equipment-and-no_EBI_personneL__may— part icipate_in_the_surveil lance;. — _.
and
6. that the agency will reimburse the United -.*■■
States for all loss or damage to the equipment. Any dispute over the
amount of loss or damage will be resolved by the Assistant Attorney -''
General, Criminal Division, DOJ, whose resolution will be final.
(j) Routine request should be by electronic "\.
I . communication (EC) to FBIHQ, Information Resources Division, Technical - jv;
Operations Section, and should enclose both a written request from the
head of the local or state law enforcement agency and the written
opinion of the chief legal officer of the local or state government.
Emergency requests should be by telephone, confirmed by EC, and
followed by an EC, enclosing the necessary documents. ^
(2) Use of FBI technical equipment In Joint Cases where
state and local law enforcement agencies obtained authority for its
use (See MIOG, Part II, 10-10.3 | (8) .) j
(a) A Joint Case, for purposes of this section, is
an investigation in which there exists significant FBI interest in the
subject or subjects of local investigation and substantial FBI
investigative resources have been utilized and/or will be utilized in
the planned investigation with the local agency.
(b) FBIHQ authority must be obtained prior to any --
use of FBI electronic surveillance equipment or personnel in
furtherance of any order or authority obtained by state or local law
enforcement agencies. Should approval be granted for such use, the
pertinent local or state order or authority must contain specific
language authorizing FBI participation, whether the assistance is in
installation, monitoring, or whatever is appropriate.
(c) In requesting FBIHQ authority, the field office
■ *i^
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■• . ■ ■■.■'*^a(-?4
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Part II - , ■■ ' ....; . ■ : ■" \ ■"■■ PAGE 16 ,-,. 74 ■":-'^.
■ '"■■"■'■' ;■. ■ ^^ . ■. '• " ;., ; ■ ; ■ '■'^'
.is to set forth the following information: *■
1. A synopsis of the investigation conducted to .,
j.n.
'^.
date by FBI and local agency involved, to include dates FBI case was .;;?>
opened, as well as when joint investigation was initiated.
2. Specific SAC comments as to the value of the
assistance to the FBI investigation and extent of federal control over
local electronic surveillance.
3. Exact nature of equipment to be utilized and
_technical-assistance_required,„and whether^equipment-is-on-hand-in-the _____ —
requesting division.
.4. Specific comments of the Technical Advisor
as to the ability of the local agency to properly utilize technical
equipment requested.
.w
r'ik
SH.
5. That the local agency has valid legal
authority under state or local law to conduct the electronic
surveillance for which equipment will be utilized. Specific statute '^
should be cited. .$•
6. That the Chief Division Counsel or the, -"-
Assistant United States Attorney has reviewed the affidavits and ■''^.
orders to be filed and concurs in their sufficiency. , . tii.
7. That FBI policy in limiting disclosure as ^4>
set forth in Part II, Sections 10-10.13 and 10-10.16, of this manual, ' %
will be honored in any subsequent local proceedings. ,;%
The above information is to be provided by appropriate communication . ;.|i
to the attention of the information Resources Division and to either " g;
the Criminal Investigative Division or the National Security Division. , -/s
(d) Any request for FBI assistance in execution of a '~
locally obtained court order which requires physical entry (i.e., "'j0$
microphone installation) will be handled separately and will require K
significant justification. Emergency requests for such assistance are ' 'M.,
to be discouraged and likely will NOT be approved. - '.
(3) Loan of Electronic Surveillance Equipment to Other .^-^
Federal Agencies. :,^v;
(a) The loan of FBI technical electronic ^^,
surveillance equipment to other federal agencies is permissible on a '.mk.,-
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PAGE 16 - 75
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Part II- ^ ...
short-term basis. The loan of equipment must be subject to
availability and must not negatively affect the technical
investigative efforts of the FBI.
(b) For agencies of the Department of Justice (DOJ) ,
specifically the Drug Enforcement Administration (DEA) , material
support and assistance, including the loan of technical equipment,
should be handled on a local level, subject to the provisions stated
above.
(e) For agencies other than DOJ, requests must be .
made, on-a Headquarters, level, and-the- requesting agency must have
electronic surveillance authority and capability.
(d) All technical equipment provided must be from
existing field office stock.
• :'i,<Ti-.
m-
'}
EFFECTIVE: 02/28/97
16-7.3.5 Shipment of Technical Equipment and Parts Documentation
(1) Bureau Form FD-734 is designed to document shipments
of technical equipment and parts between field divisions and the
I Information Resources JDivision for repairs, temporary assignments, and
permanent transfer. This form consists of ten parts with carbon paper
separating the parts and is stubbed at the top of the form.
Designated routing and invoice numbers have been preprinted.
(a) From top to bottom pages are as follows:
Part One (Original) - white
Part Two (Program Manager) - blue - copy 1
Part Three (Supply Technician) - salmon - copy 2
Part Four (Property Accounting Systems Unit) -
pink - copy 3
Part Five (Bureau File Copy) - yellow - copy 4
Part Six (Duplicate Copy) - green - copy 5
Sensitive
PRINTED: 02/18/98
■■iE:S^'<-il
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Manual of Investigative Operations and Guidelines
Part II " -'-- ■ ,<■■■'- ■ ■ V .;.r
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PAGE
16 -
76
■ '-m
Part Seven (Packing Slip) - goldenrod - copy 6
Part Eight (Return Receipt Copy) - white - copy
Part Nine (Duplicate Copy) - white - copy 8
Part Ten (Originator's File Copy) - white - copy
(b) Distribution of FD-734 form parts
Part Designated Routing Remarks
One Original
Two
Three
Four
Five
Program Manager
Supply Technician
Consignee
I (Administrative
Officer)!
Consignee (Program
Manager /Tech
Coordinator)
Consignee (Property
Custodian) Retention of
this copy is required.
For equipment received
for permanent transfer,
retain until equipment
is reflected on the
monthly inventory
supplement. For
equipment received for
temporary assignment,
retain copy until
equipment returned.
Property Accounting
System
Bureau File Copy
Send to FBIHQ.
(Attach FD-514, data
adjustment form, for
permanent transfer of
equipment.)
Send to FBIHQ. (Record
on part five shipping
data, such as
Sensitive :
PRINTED: 02/18/98
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registered mail number,
^ name of airfreight
company, airbill
number, date, number of
cartons, weight, etc.)
Six Green Duplicate Copy Send to FBIHQ,
Attention of cognizant
Manual of Investigative Operations and Guidelines ^^||^
Part. 11-^ ■-^' ■ ■ : , • ;;■:;:■ PAGE 16 -, 77, ." ' . ;; .^^jg|
section or unit. (For
information on the
movement of technical U$v
equipment.)
m
Seven Packing Slip Enclose in box or .3
carton. For multibox '■
shipments a reproduc-
tion of the packing v.
slip must be enclosed [k
in each box indicating
vk items of equipment
■"I contained therein.
Eight Return Receipt Copy Enclose in box 4
or carton, if -^■■
multibox shipment box
#1 is used. Initial
and date to acknowledge
receipt of shipment.
Note any discrepancies.
Return to sender. ' u-
Nine White Duplicate Copy Property Custodian of
shipping division.
Retention of this copy
is required. For
equipment shipped for
permanent transfer,
retain until transfer
reflected on the
monthly inventory
supplement. For
equipment shipped on
temporary assignment
basis, retain copy
until equipment
returned.
■ ■ ■ • ' ■ .:.14s-'M;'
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PRINTED: 02/18/98 .,,.i^|^:^
.m
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Part II PAGE 16 - 78
(2) Bureau Form FD-750 is designed for documenting
technical equipment shipments to various contractors for repair,
modification, trade-in, or exchange in situations where field office
has been given FBIHQ authority to transport technical equipment for
aforementioned purposes. This form contains seven parts with carbon
paper separating parts, and is stubbed at the form top. Each part is
d.e$ignat.jLd_wi_tJLj?olA-p,rinting,„_fp^ and is nu mbere d
for reference.
(a) From top to bottom parts are as follows:
(b) Distribution of form parts:
1. Original Copy: Route to field division
supply technician.
2. Bureau File Copy: Route to field division
I lAdministrative Officer.] Indicate pertinent shipping data.
4. Vendor Acknowledgement Return Receipt:
Enclose this copy in package with technical equipment, attach a selfr
addressed envelope for the contractor to return the receipt to the
field division.
5. Freight Desk: Retained by support personnel
tasked with the processing of surface freight, air freight, and
■ ■ P^W
•Alt'
-■'Si ■
Ten Originator's File Retained in files by -yi^
Copy employee authorizing
shipment. ,^^-
. ■ '-Li
Part One (Original) - White
Part Two (Bureau File Copy)' - Yellow Mk
Part Three (Originator Acknowledgement Return Receipt -,!!•
Copy) - Blue t^^^
Part Four (Vendor Acknowledgement Return Receipt Ty|l
Copy) - Pink ,v
Part Five .(Freight Desk) - Salmon ~^
Part Six (Packing Slip) - Goldenrod Ij
Part Seven (Originator File Copy) - Green . 4g
•V'ii-i
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3. Originator Acknowledgement Return Receipt
Copy; Upon return of the technical equipment at the field division,
record date of receipt, initials, and route copy to the supply '.;.5|j
technician. ?:
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PRINTED: 02/18/98 ' , ''.."-' "t:'"v '..^ ... "'.y. '-v^,S:>~
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Manual of Investigative Operations and Guidelines
Part II ^ ....•:-
registered mail. <
6. Packing Slip Copy; Enclose this copy in
package with technical equipment for retention by the contractor.
7. Originator File Copy: Retain in files by
employee authorizing the shipment.
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PRINTED: 02/18/98
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— _ ..^. ^w XXXXXX
^ XXXXXX
FEDERAL BUREAU OF INVESHGATTON
FOIPA
DELETED PAGE INFORMATION SHEET
i^
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, '^■
explain this deletion. 'o
Deletions were made pursuant to the exemptions indicated below with no segregable material available for ' -.
release to you.
Section 552
n (b)(1) a (b)(7)(A)
K/(b)(2) n (b)(7)(B)
n (b)(3) D (b)(7)(C)
□ (b)(7)(D)
~~~"" " "" ^)(7)(E) ~~ ^
O (b)(7)(F)
Section 552a
D
(d)(5)
□
(j)(2)
□
(lt)(l)
D
00(2)
□
(k)(3)
n
(k)(4)
□
(k)(5)
n
(k)(6)
n
(k)(7)
n (b)(4) n (b)(8)
□ (b)(5) n (b)(9)
□ (b)(6)
n Information pertained only to a third party with no reference to the subject of your request or the subject of your . '
request is listed m the title only.
P Documents originated with another Government agency (ies). These documents were referred to that agency(ies)
for review and direct response to you.
Pages contain information furnished by another Govenmient agency(ies). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the ,
disposition at a later date.
Pages were not considered for release as they are duplicative of
Page(s) withheld for the following reason(s)':
Or The following n umbe r is to be used for reference r
XXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXX
XXXXXX
XXXXXX
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Hanual of Investigative Operations and Guidelines
Part- TT . ' si;.';;-!*.:- ■<. ■j'j.r •:-< . ' •' ■ ■ \ ,;,, "-•-".■■ .••> >■
PAGE 16 - 84
EFFECTIVE: 07/28/97
16-7.5.3 Technical Update [Newsletter |
The Technical Operations Section will periodically
[publishja Technical Update Newsletter. The newsletter will provide
operational information of interest to the TTAs, JElectronics
Technicians (ETs) , and Computer Specialists (CSs) . | Information for
the newsletter is solicited from Engineering Research
Facility Program Managers and from, field] technical personnel.]
^
EFFECTIVE: 02/10/97
\^ 1 16-7.6
-!i,if^-.
■■IV-
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PRINTED: 02/18/98
m
Sensitive
Manual of Investigative Operations and Guidelines
Part II
PAGE 16 - 85
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EFFECTIVE: 02/10/97
I 16-7.6.1 |Deleted|
• "■?■.--
EFFECTIVE: 02/10/97
16-7.6.2 |Deleted|
:;it
EFFECTIVE: 04/05/94
16-7.6.3 New Agent Training
The ES will provide appropriate and current electronic
surveillance training to new Agents. This training will be conducted
within the structured New Agent Training curriculum.
EFFECTIVE: 09/25/91
Sensitive
PRINTED: 02/18/98
..St.-
■ ■■'**??
OPCA-20 (12-3-96)
xxxxxx
xxxxxx
xxxxxx
7W
FEDERAL BUREAU OF INVESTIGATION
FOIPA
DELETED PAGE INFORMATION SHEET -
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated,
explain this deletion.
Deletions were made pursuant to the exen^tions indicated below with no segregable material available for
release to you. , '
[/(b)(1)
a^)(2)
□ (b)(3)
Section 552
□ (b)(7)(A)
a (b)(7)(B)
D (b)(7)(C)
n (b)(7)(D)
n (b)(4)
□ (b)(5)
□ (b)(6)
(b)(7)(E)
□ (b)(7)(F)
n (b)(8)
□ (b)(9)
Section 552a
a
(d)(5)
n
(i)(2)
n
00(1)
n
(k)(2)
n
(k)(3)
n
(k)(4)
□
(k)(5)
n
(k)(6) .
a
(k)(7)
n Information pertained only to a third party with no reference to the subject of your request or-5the subject of your ■y-
request is listed in the title only.
D Documents originated with another Government agency(ies). These documents were referred to that agency(ies) -
for review and direct response to you.
Pages contain information furnished by another Government agency(ies). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency (ies).
Fage(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the
disposition at a later date.
Pages were not considered for release as they are duplicative of,
Page(s) withheld for the following reason(s):
m The followiniSnumbeEJs to be used for refe)
regarding these pages:
xxxxxxxxxxxxxxxx
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXX
'4
XXXXXX
xxxxxx
XXXXXX
FBM>OI,-
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Manual of Investigative Operations and Guidelines
Part II .^ '
PAGE 16 - 89
EFFECTIVE: 09/25/91
16-8.2.2 Requests for Examination of Evidence
All requests should be made after coordination with the TA
i n_a _wr.i tt en_c ommun i ca t i on..addr e s s.ed_t.o_t he Director, Feder al Burea u
of Investigation, "Attention: Technical Services Division,
Engineering Section" under the case caption and should contain the
following information:
(1) Reference to any previous correspondence submitted to
the Technical Services Division.
■ \*
(2) A list of evidence being submitted and if the
evidence is enclosed or being sent under separate cover. (Note: Due
to chain of custody requirements, evidence sent through the U.S.
Postal Service (USPS) should be sent registered mail. If the
submission must be sent on an expedite basis, a service which provides
a protective or security signature service similar to USPS registered
mail should be used.)
(3) Briefly describe the manner in which the recording
was made; i.e., type of recorder or transmitter, if known, and
perceived problem with the recording if enhancement is requested.
(4) The location and content of the pertinent
conversation(s) on the tape and their approximate duration.
(5) A request stating the type of examination required
including, if applicable, the number of copies needed and format (open
reel or cassette) .
■<f(..
(6) Any time limitation requiring expedite handling
should be explained, such as a fixed trial date or life-threatening
situations.
(7) The name and telephone number of the person to be
contacted should any questions arise regarding the examination of
evidence.
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Part II ■ ..S.-
PAGE 16 - 90
EFFECTIVE: 09/25/91
•>
16-8.2.3 Marking of Recordings for Identification
(1) Marking should be done with black indelible pen.
(2) Marking should be done on the tape itself on the
nonrecorded side. The tape is the evidence, not the reel, box or
other container.
Cassette tapes should also be narked on the tape. This may be
a^ccomplished by carefully pulling out a loop of tape and placing
identifying information on the back side of the tape at the beginning.
The tape may be wound by hand back into the cassette case.
(3) Identifying information should include unique
identifiers and the date the recording was made.
(4) Suitable identifying information should also be
placed on the tape box, case, cassette label or container used to
house the tape.
■ ,■■•■•*>.¥
■Mi
'^
EFFECTIVE: 09/25/91
16-8.2.4 Submission of Recordings
Only the original recordings should be submitted for
examination. One or more copies should be made for retention by the
field office prior to submission of the original recordings.
(1) Recordings should be packed in a sturdy cardboard box
with no less than three inches of packing material on all sides. This
will prevent accidental erasure in the remote event that the recording
is exposed to a strong magnetic field while in transit. .
(2) If a recorder or other items are also submitted, they
should be packed securely within the box to avoid damage in transit.
(3) Seal the box with gummed tape and clearly mark the
outside of the box with the word "EVIDENCE." (If any of the evidence
in the box is to be subjected, to a latent fingerprint examination, the
evidence as well as the outside of the box should be clearly marked
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PRINTED: 02/18/98, ,..
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Part II -; ;„.':' ..■•,. . ■ -• ' : -.■'■:
PAGE 16 - 91
with the word "LATENT.")
(4) Place a copy of the original written request for the
examination in an envelope marked "INVOICE" and securely affix this
envelope to the outside of the sealed box.
(5) Enclose the sealed. box in wrapping paper and seal the
wrapping paper with gummed tape. Prepare the address label, ,
addressing the package to; FBI [Engineering Research
Facility, |Audio/Video Processing Program, Building 27958A, Quantico,
Virginia 22135. Cover the label with yellow transparent tape to
identify the sh ipment a s evi dence. „^ '
(6) Ship the package by U.S. Postal Service (USPS)
registered mail. If the shipment is sent by another carrier, ensure
that a protective or security signature-type service is available and
utilized, similarly to USPS registered mail.
,i:3
M
EFFECTIVE: 09/25/91
16-8.2.5 Tape Enhancement
Tape enhancement is the selective reduction of interfering
noise on audio recordings to improve the intelligibility or ease of
understanding the desired audio information.
(1) Best enhancement is obtained by processing the
original recordings; therefore, if available, only the original
recording should be submitted in accordance with instructions in
16-8.2.2 and 16-8.2.4.
(2) No alteration of the original recording occurs during
the enhancement process. An enhanced copy of the information recorded
on the original is produced.
(3) Enhanced recordings may be used for courtroom
presentation in conjunction with the original tapes, and/or for
intelligence or lead purposes.
^f
(4) Deleted
•P
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PRINTED: 02/18/98
■iiMi
EFFECTIVE: 09/25/91
16-8.2,6 Review and Presentation of Enhanced Recordings
(1) Review of all marginally intelligible recordings,
including both original and enhanced versions, should be accomplished
by using high quality recorders and earphones.
EFFECTIVE: 05/26/89
•.- x-
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Part II. •■ -. "■•v- .■'-■■: •■"■■;■..■■' ' . - ■. '■ PAGE 16 -■ 92, -v^
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(2) Courtroom presentation of marginally intelligible
_r ecordings-should-be- accompli shed- by-^means-of—a-court room -present at ion—
system consisting of a quality tape recorder, amplifier and an a .; #
earphone network which provides individual earphones to each of the :;-; ■
jury members, the judge, witness box, defense, and prosecution.
Loudspeakers should be provided for the spectator area but played at a
level where they cannot be heard by a juror wearing earphones. '^
(3) The use of a courtroom presentation system will ^^
improve the ability of the jury to understand most recordings and .^.j^i-
should be considered whenever audio information is played in court. ''"?^^
.^i?
';'.i>
i^^
16-8.2.7 Magnetic Tape Authenticity Examination
Magnetic tape authenticity examinations are conducted to
establish that the recording was made as claimed or that no editing,
stopping, erasing or other tampering of the tape occurred.
(1) Typically, magnetic tape authenticity examinations
are conducted in response to allegations of tape tampering by the %
defense.
(2) Magnetic tape authenticity examinations may also be
conducted to determine legitimacy of suspicious recordings offered by
the defense.
Should the defense contend tampering has occurred on an evidence tape
recording, every effort should be made to force the defense to
precisely specify the areas in contention. This will significantly
reduce the amount of time necessary to conduct examinations of the *
recording.
■■ .7 . :^ -.MB
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PRINTED: 02/18/98 •^'*'". ^Vu-" :.. .V ...-,. ■^:^ig^
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Part 11 ^s-:: . r 'r •;,.-■ ^!'-. :--'^- - ■. ■-•^•^:, ;V:-%.v^:' '
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". (3) Questions regarding tape Jauthenticity should be' -
directed to the Engineering Section of the Technical Services '■•
Division.
(4) Requests for tape authenticity examinations should be
made only in the event that legitimacy of the tape cannot be -
established through chain of custody and appropriate testimony as to
integrity of the recording by parties involved in production, copying,
storage, transcription, etc.
.EFFECTIVE :_05/26/89_
m
-.-i'-.v^^f
16-8.2,8
Submission of Evidence
Submit in accordance with 16-8.2.2 and 16-8.2.4 above, and
whenever possible, attempt to identify and locate the recorder used to
produce the recording in question and ascertain whether, any servicing,
realignment or cleaning of the recorder has occurred since the
recording was made. Maintain the recorder in its original condition
for possible submission for examination or until the situation has
been resolved.
EFFECTIVE: 05/26/89
16-8.2.9 Speaker Identification (Voiceprint) Examinations
Speaker identification examinations, using the
spectrographic (voiceprint) method, are conducted to compare the
recorded voice of an unknown individual to known recorded voice
samples of suspects or to other unknown recorded voices. The
examination is conducted by using both graphic (spectral) and aural
(listening) analyses.
■-■'tm
EFFECTIVE: 05/26/89
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PRINTED: 02/18/98r
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16-8.2.10 Speaker Identification Policy
PAGE 16
- 9A
(1) Decisions regarding speaker identification by the
spectrographic method are not considered conclusive, since there is
limited scientific research regarding the reliability of the
examination under the varying conditions of recording fidelity,
interfering background sounds, sample size, voice disguise,
restrictive frequency range, and other factors commonly encountered in
investigative matters.
(2) Speaker identification examinations are conducted
_solely_f.or_invesJ:,igatiye_ guidance. No_court_testi.mpny_i_s„p.ro^_ded_.
(3) Speaker identification examinations are normally
conducted by comparing an unknown recorded voice sample to a knovm
recorded verbatim exemplar, where the suspect repeats exactly the same
wording the unknown speaker used. Nonverbatim comparisons can be
conducted in high priority cases with the explicit written approval of
the SAC or appropriate Assistant Director; however, a definitive
identification can normally only be reached in a small percentage of
nonverbatim examinations. When nonverbatim examinations are
requested, typed transcriptions of all voice samples must be provided.
(4) Speaker identification examinations are conducted for
local law enforcement agencies provided they agree in writing to use
the results solely for investigative guidance and will not request
court testimony.
(5) Only original tape recordings should be submitted for
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EFFECTIVE: 05/26/89
16-8.2.11 Obtaining and Submitting Known Voice Exemplars
(1) Normally known voice exemplars will be verbatim,
where the suspect repeats exactly the same wording the unknown speaker
used. When verbatim samples cannot be obtained, attempts should be
made to elicit as many of the same words and phrases, as possible,
that were used by the unknown speaker.
(2) When recording the known voice sample, duplicate as
closely as possible the recording conditions and equipment used to
record the unknown voice sample, including the use of the same
.;A., . Sensitive ■. ,-'■'
/ . PRINTED: 02/18/98\ .
EFFECTIVE: 05/26/89
16-8.2.13 Submitting Tapes for Aural Comparison
(1) The cover communication should describe the submitted
tapes.
minimum.
(2) The number of tapes submitted should be kept to a
(a) If possible, top hits and well-known artists
should be submitted'.
(b) If more than 10 tapes are submitted, ensure that
the AUSA wants more than 10 counts-
(c) One copy of each tape is sufficient. .
'"' -T^-vVI >^i\
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Manual of Investigative Operations and Guidelines
Fart II '-■ ■■■■-■ '•■ • ■ ■■■''"'■■., ■ -, PAGE .16:;- 95 ' 'i^^
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telephones, if applicable. '^
(3) Recordings should be of high technical quality. Use • ■■:^
standard recording tape; do npt use extended play reel tapes with a
thickness of less than 1.0 mil or cassettes of longer duration than 90
minutes (45 minutes per side). Tape recorder speed should be at least
1 7/8 inches per second. ^ " .,
(4) Verbatim typed transcriptions must accompany each ,,
recording. . <-^^.
EFFECTIVE: 05/26/89 >^I
16-8.2.12 Aural Comparisons ,*^
■'M
This type exaJDination of a sound recording is made to .^
determine if two different recordings had the same original. >5?^f
m
T^sfe
(3) Specify songs to be compared in the cover ' ■",
communication. , '
■ ■ . ■■■;i5p*
(a) This will ensure the proper "N" form is 't^;
obtained. 4S'
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Part, II "' ' ,> ,.^, . ■ ■■ « . "<■■'%'• ' , '■■'^^■\r^^ ;(..-, ;i.,/-<:; ■ '\
PAGE 16 -: , 96
(b) When a song is not requested, the song conpared
is picked at randon.
■mi.
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EFFECTIVE: 05/26/89
16-8.2.14 Obtaining Knovm Copyrighted Sound Recordings
(1) The Technical Services Division, Engineering Section,
does not maintain a reference file of copyrighted sound recordings.
(2) An authorized copy of the copyrighted sound recording
should be obtained from the manufacturer and submitted at the same
time the questioned sound recording is submitted to Technical Services
Division for examination.
(3) The authorized copy must be dated and initialed by
the manufacturer's representative who will be available to testify as
to the ownership of the copyright and the existence of any licensing
agreements. .
EFFECTIVE: 05/26/89
■■ ■■'■■/*#.■
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16-8.2.15
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PAGE 16 -;.. 97', V
EFFECTIVE: 09/25/91
'' ' V "^'^
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16-8.2.16 Video Tape Examinations | (See 16-8.2(6).)
The following types o£ video tape examinations are
conducted by the Operational Support Unit (OSU) , Engineering Section
(ES) , Technical Services Division (TSD) : (If there is a question
regarding the type of examination to be conducted or handling of video
recordings, telephonically contact the OSU prior to submission of
evidence.)
(1) Copyright - a determination is made as to whether a
video recording is an original or a copy. Suspect recordings should
be screened before submission to reduce the number of original
recordings received. This can be by physical appearance, poor video
quality, or informant information. Not more than | five] recordings
should be submitted at one time.
(2) Duplication
(3) Enhancement
(4) Photographs of video images ~ (The specific location
of the image on the recordings should be identified and the image
described as completely as possible.)
(5) Standards conversion
EFFECTIVE: 05/13/93
Sensitive. •-,-::
PRINTED: 02/18/98
:.•-'■;■ ' '. ^iczxT-'^;^' '
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Hanuai of Investigative Operations and Guidelines
; ''Tart A^'^\.-.^'^ i-j^^r- .■''i{^i-k'^^'^&-'-^f'-'^kif^^^^^'-'-v'-'. •;'#A ■fe.'-ft' y • ■• ■'•
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EFFECTIVE: 09/25/91
16-8.4 Deleted
EFFECTIVE; 09/25/91
16-9
VOICE COMMUNICATIONS
Voice communications encompass the procurement and
management of the Federal Telecommunications System (FTS) , Wide Area
Telecommunications Service (WATS) , and local telephone systems and
facilities.
■■■-■ ',-;':'^'";S.ii«.'
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16-9.1
Gen
16
neral Telephone Policy (See MIOG, Part II, 16-9.4.1 V"##0
-9.9.1.)".'.- .• .^;i -':,' •■■., '-.■.^' ■.•■•■••*. ■^:;- ■ "?5-;;-'-^s^:
Whenever, a telephone is utilized, the following. should be -•
kept in mind: . \ .?
(1) All telephone calls made on standard telephones are -
subject to interception by foreign intelligence services.
Consequently, no national security ^information should be discussed on
these telephones.
(2 ) The use of the tele phon e se rvices, equipment, or
facilities (including calls over commercial systems which will be paid
for by the FBI) shall be limited to the conduct of official business.
Such official business calls may include emergency personal calls and
calls which are determined to be in the interest of the Bureau. No
^^ other personal calls may be placed (except in circumstances identified
in paragraphs (3) and (4) below) even if the employee's intention is
to reimburse the FBI for the cost of the call.
(3) Use of the telephone systems for emergency personal
calls may properly be authorized as being necessary in the interest of
the Bureau if such use satisfies the following criteria. If possible,
such calls should be made during lunch breaks, or other off-duty
periods and: '
(a) It does not adversely affect the performance of
official duties by the employee,
(b) It is of reasonable duration and frequency, and ,
(c) It reasonably could not have been made at
another time. I ■ ' , '
(4) Personal calls that must be made during working
hours may be made over the commercial long distance network if the
call is consistent with criteria in paragraph (3) and is:. ,
{a) Charged to the employee's home telephone number
or other. non-Government number (third number call).
(b) Made to an 800 toll-free number, :>
■Kit -
(c) Charged to the called party if a non-Government
number (collect call) or.
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PAGE 16 - 100 ■
(d) Charged to a personal telephone calling card.
• .• i'
' (5) Abuse of the telephone privileges set forth above mayvv;'
result in disciplinary action that may include, but not be limited to, !>
the reimbursement for the unauthorized calls. '
Collection for unauthorized telephone calls shall be * .
composed of two parts.:
(a) The value of the call based on commercial long
distance rates rounded to the nearest dollar and.
(b) A service (handling) charge of $10.00 on each
call to cover administrative costs, for example, to determine that the
call was unauthorized and to process the collection.
(6) It is essential that maximum economy be exercised but
FBIHQ and field offices must be kept advised of those matters of
importance. Therefore, good judgment must prevail.
(7) Calls from within one field office territory to
another or to FBIHQ should only be made with the approval of a field
supervisor or above. However, approval is not needed where an
agreement between adjoining offices has been previously reached.
S' -
(9) Changes in addresses and/or telephone numbers' of the-'
following must be reported immediately to FBIHQ: (See MAOP, Part I,
20-2.1.)
(a) Field offices
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, ■ ,- /■ ■ ■
(12) Deleted
■-r
EFFECTIVE: 03/07/94
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Manual of Investigative Operations and Guidelines '^'va
fart- U\:: :■■■■-::'' ?7----r-j- -■:■,:■■:.:-■--:.■ ^^ ,./•'..■ "^^^^ ^!^.^r ^°^ ' "'^Ip'
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(b) Resident agencies ■■■.-,■■[■'■ ^ • • ■"' • 'O^ll
PRINTED: 02/18/98-; ; ^^^rpi^^vi^.
'-■ .(c)- ASACs and higher ' ' _
(10) Oversight of the telephone calling card program will J^
rest with Property Procurement and Management Section. (PPMS) , (Finance '^■
Division. { The SAC or Assistant Director should submit a written - ' *li*
request to FBIHQ, PPMS for the issuance of telephone calling cards. Ii§|
These requests should contain the names of the individuals to whom the
cards are to be issued. PPMS will forward the telephone calling cards
with Form FD-^281. The PPMS will maintain the inventory records for ■■•ggjtgi;
the calling cards as issued personal property. Each calling card will
have a unique number to enable identification of toll charges made by
each individual. Each calling card is to be issued to an individual
and the number shall not be given to other individuals for their use. ' 1&
A calling card may be retained by an individual upon transfer to ?i|^
another field office or headquarters if it can be determined that the ^i'S
card will be required in the new office. Once a calling card has been ^fMi'.
^ issued to an individual and it is no longer needed, the card should
§ immediately be returned to FBIHQ for cancellation.. A calling card may IMt
not be transferred to another individual. "-^^-Si
(11) The monthly computer-generated bills for calling "^M
cards are received by FBIHQ and are paid quarterly with the FTS ;i^S§^
billing. . J^
"!#
(13) Employees issued telephone calling cards through .'-'j^^
FBIHQ should not use personal telephone calling cards. Employees in s0f
field offices and divisions which do not have telephone calling cards , ?*%$
issued through FBIHQ may use personal telephone calling cards and 111
claim reimbursement through expense vouchers supported by proper ^'^'
receipts. ' '^ ■ .■.•.■.■■'■ ' ., . -S-^fi-.
(14) Lost, or stolen calling cards should be immediately ..
reported to FBIHQ, Operations Management Section for cancellation and
Property Procurement and. Management Section for inventory control and . .^^S^l
issuance of another calling card. ■> fyM^^
Sensitive" ■, .^.^^..„.^":::K''-y'i^' ''' '■■/■' ■ ^" '7'--^%^^
Manual
Part
16-9
i£V'-^.rKii;;«::.-. .>v#-?"'"'';'" •'■ ■ Sensitive .■■■> .>-:«=*s--H'T;.-<t;f'^#^>;v:s*?sL^Ktr-^'-;,s
of Investigative Operations and Guidelines,,,..,-- ^;.;,;/r ,^.,^#;-; V:''l|*>5".l^v^^i'=5^V--'---''^s^
(1) Any facility or equipment involving
installation of $100 or more, or monthly recurring charges of $50 or'
more, or use of any equipment or facility involving change in Bureau,'.,
policy, must be approved by FBIHQ before its installation or use may'^"'
be arranged or scheduled by a field office. In an emergency situation'
in which time is of the essence, permission to install equipment or •'■"'■■'
use a facility involving substantial costs or change in Bureau policy"
may be requested by contacting the] Information Resources {Division by
_telephone_or_other__expedite_means_as_warrant.e_d._„__; • " '"' '' -'
:¥■
(2) Submit to FBIHQ on UACB basis request for minor :..i.
additional communications facilities, such as a telephone instrument-
using an extension from your switchboard, or an additional telephone.:
instrument in a resident agency when installation of additional- •
telephone trunks or lines is not involved, furnishing justification
and monthly costs, with installation not to be scheduled before
requests can be received at FBIHQ and denial received if not approved.
(3) Speakerphones may be authorized, when individually
justified, for use by SACs and ASACs. Additionally, one speakerphone
may be authorized for use in a conference room or command post. The
Bureau is governed by GSA regulations regarding the acquisition of .
speakerphones.
EFFECTIVE: 05/2A/9A
16-9.3
Procuring New Telephone Systems
'^l:-^-^:
Federal Property Management Regulations (FPMR) now require ;«■
that all major "changes to telecommunications facilities be procured; ,i«.^_g-.
competitively. . This requires the advertising and distribution .of:;t^':';U;A^;^^
system requirements and specifications, evaluation of' responses, 'and^^tj|:.=qi/:
submission of fejcommendations to^GSA for approval. These procedures?np^^';|t?'.,.
will require approximately 1 12 1 months for completion and must, be\,S:::l;^iifl'^i^y''^'^'^'
negotiated by FBIHQ%' v'; v^; ^^
:omp
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EFFECTIVE: 05/2A/94 ' • '
16-9.4 Federal Tielecommunication System (FTS)
PAGE 16 - 103
EFFECTIVE: 07/23/90
16-9.4.1 General FTS Policy
In addition to the general telephone policy mentioned in
|MI0G, Part II,|l6-9.1 above, the following pertains to FTS:
(1) In field offices equipped with Station Message Detail
Recording (SMDR) , direct FTS station access can be approved by the
Special Agent in Charge. In field offices not equipped with SMDR, FTS
calls are to be made through the office switchboard for the purpose of
maintaining records of all outgoing FTS calls. Direct station access
can be approved by the Special Agent in Charge provided that a record
is made of all the outgoing FTS calls.
(2) [Deletedl
(3) The FTS intercity network and other Government
provided long distance telephone services are to be used only to
conduct official business; i.e., if the call is necessary in the
interest of the Government. These networks are to be used for
placement of calls instead of the commercial toll network to the
maximum extent practicable.
(4) FBI FTS telephone numbers are not to be published in
FTS telephone directories, but may be furnished to other agencies. ,
(5) FBI FTS lines must not appear on GSA switchboards, or
be available to GSA telephone operators except on "call sam^^y'", or
if dialed by GSA operator. Furnish FBI FTS account numbe^^^^^nd
telephone number of instrument you are using to GSA opera^]^}Rn call,
is sampled. Use no other number or variation of it.
■jf. ■
(6) No FBI telephone calls are to be placed through GSA
telephone operators except those switchboards where GSA operators
cannot access or monitor the call after it is placed.
■ : .g.'ij^.
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PRINTED: 02/18/98 v
Sensitive
Manual of Investigative Operations and Guidelines
Part II -• '/.:^:i-,. .V , , : •.■ ^V.::::' .: ; . - . .■
EFFECTIVE: 09/21/93
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EFFECTIVE: 09/21/93
''^
16-9.4.3 FTS Billing
(1) Each FTS call made from a field headquarters and from
each resident agency 24 hours a day, seven days a week will be billed
on a time- and distance-sensitive, per-minute basis.
(2) All field office and resident agency FTS service and
GSA-provided local service are billed directly to FBIHQ by GSA.
EFFECTIVE: 09/21/93
16-9.4.4 Requests for FTS Lines
I (1) In field|offices: |
(a) JAU field offices are equipped with FTS service.
If there are indications that additional FTS lines are required, call
FBIHQ, Operations Management Section, and a traffic study will be
implemented to determine the appropriate number of FTS lines to be .
installed. j . ./
(2)* In resident agency: ' \ ;^ .
(a) |FTS service may be installed in all resident
agencies. If there are indications that additional FTS lines are
required, call FBIHQ, Operations Management Section, and a traffic
study will be implemented to determine the appropriate number of FTS
lines to be installed. j
I (b) I If the resident agency does not have FTS
Sensitive .
PRINTED: 02/18/98 '^tKO-
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Part 11^".-... "^-7:,: .■■;^-'r''T ^ ^ -.■:- ^ .
PAGE 16- 105
service, a request should be submitted to FBIHQ, Operations Management'
Section, showing the number of personnel assigned to the resident
agency along with all commercial telephone numbers in the office and . ,
the purpose of each line.j
(c) iDeletedl
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EFFECTIVE: 09/21/93
16-9.4.5
FTS Calls to FBIHQ
Each field office using the FTS lines on its switchboard
can direct dial any telephone station at FBIHQ without going through
the FBIHC^uD^hboard operator. This is accomplished by
dialin^^^^^^^B)lus the desired foui—digit extension number. The
FBIHQ ^^^W^^Kreceiving the FTS call has the capability of
transferring all incoming calls to other extensions.
I.
* r'-'<i *.
■■■-mi:
EFFECTIVE: 09/21/93
16-9.5
Wide Area Telecommunications Service (WATS)
WATS may be used only for calls of an official nature and
authority required for its use is the same as that required for making
long-distance telephone calls via toll facilities.
EFFECTIVE: 10/27/81
16-9.6
Foreign Exchange (FX) Trunk
•u.
FX service is a trunk facility between a PBX or Centrex
system and a central office which is outside the local service area of
the PBX or Centrex system. Such facilities provide the equivalent of *
local service to and/or from the distant exchange. FX lines must be.
authorized by FBIHQ.
Sensitive
PRINTED: 02/18/98
HH
w
Sensitive
Hanual of Investigative Operations and Guidelines
Part': Ti. •"■■■••■•: ■ : >■ ■"- . .• ■
EFFECTIVE: 01/31/78
16-9.7 Off-Premise Extension (OPX)
An extension off the switchboard to a remote off-premise
location. OPX must be authorized by FBIHQ,
EFFECTIVE: 01/31/78
.y . ' . ^' !
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- 106 .
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16-9.8
Tie Lines
Tie line is a private line communication channel of the
type provided by communications common carriers for linking two or
more switching points together. Tie lines must be authorized by
FBIHQ.
EFFECTIVE: 01/31/78
16-9.9
Local Telephone Systems
EFFECTIVE: 01/31/78
16-9.9.1 Policy
In addition to the general telephone policy outlined in
|MI0G, Part II, | 16-9.1 above, the following pertain to local telephone
systems:
(1) JDeletedl
(2) When commercial long-distance (toll) facilities must
be used, calls should normally be made station to station, directly
dialed.
(3) Telephones in resident agencies are for the exclusive
use of Resident Agents and should be private lines not connected with
other offices or building switchboards. Tie lines with switchboards
may be maintained in addition to private lines if approved by FBIHQ.
Sensitive
PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
EFFECTIVE: 09/21/93
16~9.9.2 Listing of Telephone Numbers in Directories
(1) Field headquarters listings are to be "Federal Bureau
of Investigation," (For city, business, building directories, and
inscriptions on doors, the listing should be "Federal Bureau of
Inve stigation, United St ates Dep artment of Justice .") Listin g should
(3) I For locations where there is no field office or
I (A) I It is not required -that SACs have their home
telephone numbers listed in the telephone directory.
EFFECTIVE: 09/21/93
Sensitive
PRINTED: 02/18/98
•.:m
appear alphabetically under the Fs in the U.S. Government section of -^.^^
the I telephone I directory. -7$^
(2) Resident agencies listings | should be included in the ;j^
U.S. Government section, if available, and in those cases where there
is no U.S. Government section, the listings should be included in
alphabetical order in the white pages. (See MAOP, Part II, 1-3.9.) |
M
m
(a) |a11 resident agency legations should be equipped -;||,
with a telephone answering recorder or voice mail system. This
equipment can then be activated to advise the caller to call the field
office number in an emergency situation when the resident agency is
unmanned. I
m
(b) I In no instances shall the residence telephone
number or address of an Agent be listed as an alternate or emergency "IJI
number for the resident agency. |
ip.
resident agency, no telephone directory listing is required. !§«
'. ■ ■ ' ■ ^ . . • • ■ ■ ■ ■■":,H|
There is no objection to listing the field office telephone number in ' ^^l|5v
the alphabetical section of the directories, provided there is no <®
charge for the listing.] "f|
Sensitive
Manual of Investigative Operations and Guidelines
16-9,9.3 ' Annual Teiecommunications Equipment Reports (FD-344)
PAGE 16 - 108
•«, ,■.■•- „-.' i"j>»- ■■, ■■'■■-■■
' Each April compile Annual Telecommunications Equipment and
Cost Report, using Forms FD-34A and 344a. Mail report, in duplicate,
to reach FBIHQ no later than middle of May. If major changes are made
in telephone system between regular annual submissions of this report,,
FBIHQ records should be brought up to date with submission of
pertinent changes to last report submitted.
EFFJECTiyE :_01 /_31/J78„
16-9.9.4 Billing
Field headquarters' bills should be checked against the
[station Message Detail Recording (SMDR) , if available, jbefore they are
approved for payment. Likewise, toll calls | for a resident agency
should be|certified as to correctness by the Senior Resident Agent
befbrejthe bills are processed for payment.]
r,-Vfr«i. -ai^i.
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EFFECTIVE: 09/21/93
h9<
16-9.10 Telephone Answering Devices
MAOP, Fart II, 1-3.9 (3) .) |
(See Mice, Part II, 16-9.9.2;
Telephone answering devices provide the caller with a
prerecorded announcement identifying the called party and inviting the
caller to leave a message. The message(s) can be extracted upon
return to the office or accessed remotely from any other telephone by
use of a uniquely coded remote access keyer.
(1) Telephone answering devices will be most appli cable-;;-,
resident agencies: however, securitj^ consideraLionP requi_rip'^
(2) Requests for telephone answering devices should be
Sensitive" ■"■■"■■"■ "' ' '. .•■"- ■
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Kanual of Investigative Operations and Guidelines
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submitted to FBIHQ with detailed justification.
PAGE .16 - 109,-;
EFFECTIVE: 09/21/93
'i>s5^r.-
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16-9.11
Use of FBIHQ Telephones
EFFECTIVE: 07/23/90
16-9.11.1 Computer Record of Calls Made
Each user should be aware that all calls placed) from
FBIHQ, I Washington, D.C.|and some field offices on either [the
commercial or FTS networks are automatically billed to the user's
station. This billing information, which is computer controlled,
prints out identifying data similar to that which appears on each
individual's home telephone toll bill. In addition, the printout will
show the time the call | was j placed and the length of the call. JAt
FBIHQ, |the resulting billing information will be furnished to each
division for verification and control. JEach field office with SMDR
should furnish the resulting billing information to each squad
supervisor for verification and control. | All FTS and FTS/WATS calls
are charged to the Bureau on a per-minute, time- and distance-
sensitive rate, 24 hours a day, seven days a week.
EFFECTIVE: 09/21/93
16-9.11.2 Local Calls
Local calls may be placed after dialing "9" to access an
I outside line.
EFFECTIVE t 07/23/9a ..' ^ ■
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PAGE 16
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16-9.11.3- FTS Calls-
Individuals who have unrestricted telephones are able to
direct dial field offices and other Government telephones on the FTS • '
network. This is accomplished by dialing theJETS access number,
usually|"8" followed by the FTS j.ten-digit | telephone number. The FTS ,
telephone number for each field office is included on the Field Office-
Hailing List.
-■**5,.
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EFFECTIVE; 09/21/93
16-9. 11. A WATS Calls
All I long-distance I commercial and residential telephone
numbers within continental United States may be direct dialed through
the FTS network (FTS-WATS) by dialinglthe FTS | access | code, usually
"8", jfoUowed by the ten-digit commercial telephone number. These
calls are charged as FTS rather than as commercial toll calls.
EFFECTIVE: 09/21/93
16-9.11.5 Deleted
EFFECTIVE: 05/24/94
16-9.11.6 FBIHQ Office Reorganization/Expansion '
(1) When an off ice is to be reorganized, expanded or V'^-p,.
moved, a written request must be furnished to the [information ...
Resources j Division. The request must be received at least ten working'
days prior to actual date service is required to allow ample time for-'
surveys, order preparation, and scheduling of telephone company
technicians.
(2) If the telephone work requires the movement or
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Management, Unit, |Personne
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nel|Division. to ensurp thit the outlets are^;^K|.? y'^i?^: ■'^'^^'^^^^
requested telephone service diate. -...r -V'*- r^m-"'-'"-'--^ ^.:^[ ' -'X'^^:gm
(3) If the telephone work involves the installation of .
new furniture, then the written request should be received at least 20 ;|
working days in advance of the installation date. Floor plans should ;
accompany the memorandum to assist telephone company personnel in •
moving telephone cables.
(^) Move8_to_offr:sit©_locations__require_at__least_3-0_
working days' advance notice due to the additional requirements to
purchase equipment and engineer circuits.
EFFECTIVE: 04/2 1/9A
j|l6-9.11.7 Quarterly Telephone Reports
Offices equipped with SMDR must submit a quarterly
printout of ALL outgoing calls made from the field headquarters for
the periods January-March, April-June, July-September, and October-
December. The printouts are to reach FBIHQ, Attention: Operations
Management Section, by April 10, July 10, October 10, and January 10,
respectively, for the appropriate quarter. |
EFFECTIVE: 09/21/93
16-10 COMPUTER ASSISTANCE TO THE FIELD] (See MIOG, Part II,
io-4.).|- ■;■ ■ ■■;■ :.j'r ■ ■■".■ ..■"... ,
In any investigation within FBI jurisdiction, experienced.;
I Automated I Data Processing (ADP) personnel ass ^ned" to^r^-;- * "v-f^v^f-'^
thejlnvestigative Automation Support Section, Information Resources
Division, [are available, where warranted to: .,'"-:
(1) Provide on-site assistance in the examination of
records maintained on data processing equipment, including but not;
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liiaited to, execution of search warrants. ',''-'„
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(2) '. Supervise on-site preparation of listings or reports -v
from automated records, including but not limited to, execution of ' >
search warrants.;'"-" ■■%'■''' . '■ - *■.;.■. ■ -'^ _ ^./,, .^
(3) Arrange for the processing of automated (machine.,
readable) files and large quantities (in excess of 1,000) of , ,-
nonautomated records. Examples of nonautomated records are checks,
deposit slips, bank statements, payroll records, other financial
documents, telephone toll records and bills.
(a) Types of work previously requested have been
sequencing, selecting, comparing, preparing accounting schedules,
and/or mathematical computations.
(b) Some examples of schemes where processing of
records have been beneficial are floats, kiting, lapping, skimming,
padding of payrolls, double billing, land fraud and welfare fraud.
(4) Implement the Investigative Support Information
System (ISIS) to support major FBI investigations. There are two
versions of ISIS: 1. Online - where computer terminals are installed
at the field office for instantaneous data loading and retrieval, and
2. Offline - where data encoded at the field office is sent to FBIHQ
for processing and a hardcopy listing returned to the field. The
version of ISIS used to support an investigation is dependent upon the
requirements of the case and the availability of ISIS resources. ISIS
provides the ability to control, access and correlate all information
that is generated by major investigations. ISIS has proven beneficial
for file review prior to interviews, determining pending leads,
writing reports and preparing for trial proceedings, in addition to
investigative purposes.
(5) Implement ISIS reactive capability for immediate
support of a major case(s). ISIS has the ability to be operational ..
online at the site of the major case within forty-eight hours of the ^
decision to support the case. The ISIS reactive capability is
utilized at the request of the Director and/or [Deputy ,.;
Directorlaiid the Assistant Director - Criminal Investigative Diyi si on.
EFFECTIVE: 06/01/9A
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16-:i6ri Requests for Computer Assistance 'csr .
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PAGE 16 - 113
All requests for computer assistance should be in a . ■
written communication addressed to the Director, FBI, Attention:
I Investigative Automation Support I Section and should: - ^
(1) Include in the title of the case: the field office
and Bureau file numbers, if known, as well as the phrase "Request- for .
Computer Assistance."
(2) Furnish any pertinent background data.
(3) Set forth the specific type of computer assistance
being requested, along with an estimate of the volume of source
material. A rough sketch of the desired output (computer printouts)
should be enclosed showing what data fields are required and in what
order or sequence they are needed. Totals required should be
identified to include when needed (end of month, end of year, etc.)
and where they should be printed.
(A) Set forth the approximate cost to accomplish the task
manually. This should include the number of personnel required and
the amount of time to complete the task.
(5) List any deadline data and the reason(s) for the
deadline.
(6) Enclose typical samples (originals or legible copies)
of the source material. (Note: Do not send all the source material
until requested to do so by the | Investigative Automation
Support {Section.)
(7) Indicate whether the source material will be used a* "-
evidence in court and whether any markings can be made on the
material. It is often desirable to write on or stamp a number on the ,..
material to facilitate data entry processing.
(8) Advise how the material was obtained (Grand Jury ■'■^■^^0.:
subpoena, search warrant, etc.) and if there are any objections by the
United States Attorney's office to the subcontracting of data entry , -
aspect of this request. J' ,- ■' '/., ■-,^^ '.^ '''y.'^''"¥v^''. '■;
(9) Indicate if it is anticipated that the requested
computer printouts will be introduced into court and if there is a
j possibility that [investigative Automation Support [Section personnel
will be called upon to testify.
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EFFECTIVE: 06/01/94
16-10.2 [investigative Automation Support [Section Actions
Regarding Request
PAGE .16- 114
..^ .. .•4j-
EFFECTIVE: 06/01/94
16-10.2.1 Approval of Request
The following factors are considered prior to approval of
a request for computer assistance:
(1) Priority of the case - investigation
(2) Deadline required
(3) Computerization costs versus manual costs
(4) Complexity and volume
(5) All online ISIS requests must be approved by the
Assistant Director and Deputy Assistant Director(s), Criminal
Investigative Division. ' ~, .•
EFFECTIVE: 05/08/81
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PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines
Part II
PAGE 16 - 115
■%
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16-10.2.2 Completed Product
After a request has been approved, the results of the
computer assistance will usually be furnished on printouts which will
all be printed in uppier case (capital) letters. These printouts can
be prepared:
(1) In multiple copies where requested and necessary.
(2) On paper eight and one half inches in length and
eleven inches in width or on paper eleven inches in length and from
_t.en to,..sixteen_jLnchej5..in j*i_d_t_h,^ ,
EFFECTIVE: 05/08/81
16-11
WORD PROCESSING COORDINATION
Word Processing (WP) has been defined as the manipulation
of textual material through the use of a keyboarding device capable of
controlled storage, retrieval and automated typing. However, within
the FBI implementation of the WP concept means production of-
typewritten documents and communications more efficiently through the
use of systematic procedures, automated office equipment/
communications devices and skilled personnel. Equipment used in the
implementation of this concept include:
(1) Dictation/Transcription Equipment
(2) Standalone, nonvisual display and/or visual display
text-editing machines with a printing device for each machine
(3) Shared-Logic text-editing systems comprised of
keyboard visual display units which share a controller and printing
device
(4) Shared Resource (distributed/clustered) text-editing
systems comprised of both standalone and shared-logic capabilities and
communications interface
EFFECTIVE: 05/08/81
Sensitive
PRINTED: 02/18/98
^a^titaa] mt\*rmm
Sensitive
V. SIS'
Manual of Investigative Operations and Guidelines
Part II ... - .
16-11.1 Requests For Word Processing Equipment
PAGE 16-116
All requests for WP equipment are considered according to
WP equipment standards set forth in Federal Property Management
Regulations (FPMRs) , Federal Procurement Regulations (FPRs) , and
Department of Justice (DOJ) Orders. Processing of WP equipment
requests is as follows:
(1) The Assistant Director of the] Information Resources |
Division! (IRD) Ihas been assigned responsibility for reviewing the
merits and approval/disapproval of all WP equipment requests.
(2) All requests for WP equipment are to be forwarded by
appropriate communication, addressed to the Director, FBI, Attention:
I Information Resources JDivision.
'.■ .'ji..
EFFECTIVE: 06/01 /9A
16-11.1.1 Dictation/Transcription Equipment
When reviewing requests for dictation/transcription (d/T)
equipment, the following equipment vs. manpower parameters will
normally be used:
(1) 1 - Portable or desk-top dictation machine for every
five headquarters (HQ) city Agents
(2) 1 - Desk-top transcriber for each employee assigned
to a WP center, excluding supervisors
Ass
(3) 1 - Portable dictation machine for | Investigative
istants] and/or Agents primarily assigned to "record check" duti
es
(4) 1 - Portable dictation machine for each Agent in
resident agencies where no secretary is available and five or less
Agents are assigned
(5) 1 - Portable dictation machine for every two Agents
and a desk-top dictation machine for every five Agents assigned to
resident agencies having a complement of five or more Agents
(6) 1 - Combination D/T machine for use of the Senior
Resident Agent and the secretary/stenographer in those resident
Sensitive
PRINTED: 02/18/98
-f-
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Sensitive
Manual of Investigative Operations and Guidelines
Part II v;-,;- / r , PAGE 16
agencies where secretarial/stenographic assistance is available
(7) Telephone dictation capability (if available in HQ
city) for use. by resident agencies in dictating expedite, nonsensitive
airtels and teletypes
- 117
EFFECTIVE: 07/23/90
16-11.1.2 Text-Editing Equipment
When reviewing requests for text-editing equipment, the
following criteria will normally be used:
(1) Combined Clerk-Stenographer, Secretary, Clerk-Typist
and/or Clerk Dictation Machine Transcriber personnel allocation of the
requesting field office/division
(2) The average hourly typing production rates determined
during WP Studies at two representative field offices and FBIHQ for
the typing personnel identified in (1), directly above.
(3) Economic justification of WP text-editing equipment,
normally requires its utilization to a minimum of SOX of its available
time (l.AOO hours per year, 250 available days/year x 7-hour work
shift = 1,750 hours x .80 - 1400 hours), and its utilization for the
processing of appropriate WP applications.
(a) The studies indicate that an appropriate WP
application is where 20% or more of all lines typed are repetitive in
nature, i.e., that portion of a revision which is unchanged during a
revision cycle.
(b) Special applications within a specific office
will be considered on a case-by-case basis.
M.
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■■"7
EFFECTIVE: 07/23/90
\,::rh..
Sensitive
PRINTED: 02/18/98
■if«»[-
PAGE 16 - 118
Sensitive
Manual of Investigative Operations and Guidelines
Part. 11^
[16-11.1.3 Equipment/Vendor Selection
All decisions as to equipment /vendor selection for HP
equipment will be made at FBIHQ based on standards set forth in FPMRs.
FPRs, DOJ Orders, and mandatory and desirable functional requirements.
Basic selection criteria has been derived from Federal Supply Schedule
contracts and WP equipment evaluations derived from the WP studies of
two representative field offices in an effort to ensure procurement of
appropriate equipment.)
EFFECT iyE:_ll/_l 2 /.80_
[16-11.2 Allocation of Text-Editing Equipment
(1) In allocating text-editing equipment to field
offices/divisions, primary consideration will be given to ensuring BOX
utilization of the text-editing equipment during its available time
(See 16-11.1.2). It is suggested that allocated equipment be assigned
to areas where dedicated typing personnel can use any available piece
of text-editing equipment.
(2) Results of previously mentioned field office WP
studies have shown that Secretarial personnel type only 15X of the
time. For this reason, secretaries are not good candidates for
assigning text-editing equipment. |
EFFECTIVE: 11/12/80
16t11.3 Word Processing (WP) Equipment Inventory Matters
(1) All WP equipment must be inventoried according to
provisions set forth in the FBI's "Accountable Property Manual."
(2) Any problems arising with the WP equipment inventory
should be referred to] Information Resources |Division| (IRD) . | |lRD|will
work with the Property Accounting Systems Unit in resolving WP
equipment inventory problems.
■■'.'t .
Sensitive
PRINTED: 02/18/98
OPCA-20 (12-3-96) M ^ XXXXXX
"': ' ■' "" ■"■■ " "" "-' " '■ ""' - - - ■- -■- --- 'XXXXXX T.'
XXXXXX V • s -
FEDERAL BUREAU OF INVESTIGATION --^
FOIPA ^f
I DELETED PAGE INFORMATION SHEET •
Page(s) withheld entirely at this location in the file. One' or more of the following statements, where indicated, '&.
explain this deletion. ''
Im Deletions were made pursuant to the exemptions indicated below with no segregable material available for 'i
release to you. •;
-
Section 552
-
n (b)(1)
n (b)(7)(A)
s/ (b)(2)
□ (b)(7)(B)
□ (b)(3)
n (b)(7)(C)
a (b)(7)(D)
_/
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D (bV7)rF^
n (b)(4)
n (b)(8)
n (b)(5)
□ (b)(9)
Section 552a
n
(d)(5)
n
a)(2)
□
(k)(l)
n
(k)(2)
n
(k)(3)
n
(k)(4)
□
Oc)(5)
n
(k)(6)
a
(k)(7)
f' a (bX6)
D Infonnation pertained only to a third party with no reference to the subject of your request or the subject of your
request is listed in the title only. i
□ Documents originated with another Government agency (ies). These doctunents were referred to that agency (ies)
for review and direct response to you.
Pages contain information furnished by another (Government agency(ies). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the
disposition at a later date.
Pages- were not considered for release as they are duplicative of
Page(s) withheld for the following reason(s):
,/
The following jtjmhfit is tcflbe ussd for reference reeardina these paees;
XXXXXXXXXXXXXXXX
X Deleted Page(s) X
X No Duplication Fee X
X for this page X
XXXXXXXXXXXXXXXX
XXXXXX
XXXXXX
XXXXXX FBI/DOJ
Sensitive
Manual of Investigative Operations and Guidelines
Part II
PAGE 16 - 125
EFFECTIVE: 02/16/89
16-14 REVIEW OF LONG DISTANCE TELEPHONE TOLL CALL RECORDS .
(INVESTIGATIVE TECHNIQUE)
For information concerning this matter see MIOG, Part II,
Section 10 (Investigative Techniques).
. :«••
-EFFECTIVE :_02/16/89-
16-15
NATIONAL LAW ENFORCEMENT TELECOMMUNICATIONS SYSTEM, INC.
■■%
(NLETS)
7-5.2.)
(See MIOG, Part II, 16-16 and MAOP, Part II,
(1) NLETS is the only national telecommunications network
which provides Federal, state, and local law enforcement with the
capability to exchange free-form criminal justice and criminal
justice-related information interstate. It provides the capability to
access most out-of-state vehicle registration and driver's license
records automatically. Most field offices have access to NLETS via
state or metropolitan area control terminals used to access the
National Crime Information Center and/or state and local information
systems.
(2) NLETS enhances the effectiveness of the FBI's
investigative activities. In most instances NLETS makes it
unnecessary for field offices to use the intra-FBI communications
process to handle "one shot" leads such as a vehicle registration
request. Without NLETS the requesting field office would have to
prepare and transmit a teletype, airtel, or letter to the field office
covering the territory of the source agency, such as the Department of
Motor Vehicles (DMV) in another state. The receiving office would
then open and assign a case, and the case Agent would have to cover
the auxiliary lead and prepare and send written response to the
requesting office. Use of NLETS for routine DMV and driver's license
checks will produce a cost sa.vings resulting from the reduction in
paperwork. Additionally, the' speed of direct communications will
provide instantaneous results and an investigative time savings will
also be realized.
(3) You should be aware that NLETS does not have any
telecommunications security capability and care must be taken to limit
Sensitive
PRINTED: 02/18/98
Sensitive
Manual of Investigative Operations and Guidelines
Part II ., ■ ■ , ;■..
PAGE 16 - 126
use of NLETS to the acquisition and dissemination of nonsensitive
information. The following guidelines are set forth regarding the use
of NLETS by the FBI:
(a) NLETS should be used to obtain nonsensitive
record information from state and local law enforcement, license, and
service agencies.
(b) NLETS may be used to transmit administrative
messages (travel plans, weather advisories, etc.) between field
offices and state and local law enforcement agencies.
(c) When appropriate, NLETS may be used by field
offices to transmit AFB-type general descriptive information to all
law enforcement agencies in specific geographic areas.
(d) NLETS may not be used to transmit FBI
investigative information extracted from the Central Records System to
other Federal, state, or local law enforcement agencies or between FBI
field offices. NLETS may be used to advise the requestor that the
desired information will be provided by the specific field office,
covering the requestor's territory and the requested information
should be transmitted to that field office via SAMNET, facsimile, or
registered mail.
■m.
■•'.hj'
■•■«■
EFFECTIVE: 08/18/94
Sensitive
PRINTED: 02/18/98.
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Manual of Investigative Operations and Guidelines ■!<
Part II ■"> ■"■.■■ I ■ "■■ PAGE 16 - 127.. ■.- -r-ig'
16-16 NATIONAL CRIME INFORMATION CENTER (NCIC) | (See MIOG, Part f
I, 79-1.2 and MAOP, Part II, 7-5.2.) | "''" .^0
Those field offices needing assistance or making special ■■i'ijf;^
requests should contact the | Criminal Justice Information Services ii'
Division, Programs Support | Section at FBIHQ. [Programs Support | Section v
at FBIHQ may be contacted via the National Law Enforcement
Telecommunications System, Inc. (NLETS) , using the identifier "[
|DCFBIWAT8.| (See Section 16-15 above.) .,4i.
EFFECTIVE: 08/18/94
16-16.1 Off-Line Search] (See MAOP, Part II, 7-5.1.) | [d.
An off-line search (inquiry) is a special query of the (, .J^^
NCIC computer for information which cannot be obtained through the use .V:
of an on-line inquiry. An off-line search of NCIC data may be ,:',
conducted and/or coordinated only by the|Criminal Justice Information ~■^^•
Services Division, Programs Support [Section at FBIHQ at the request of '^
the case Agent or field supervisor. For more details, see the NCIC --vijj
pamphlet, "NCIC Off-Line Search." •' ^J^;
EFFECTIVE: 08/18/94
fSri'iS'.z^i "'■ Canadian Police Information Centre (CPIC) System (See-
MAOP, Part I II, I 7-5.3.)
The CPIC System may be accessed through NLETS. Refer to
your State Operating Manual for guidelines to access this database.
EFFECTIVE: 05/13/96
'.*-
Sensitive.
PRINTED: 02/18/98
Sensitive
(a) Explain to the requestor that the FBI, only
(b) Ascertain i£ there has been an unambiguous
refusal by the local authorities to enter the record into NCIC and
specifically who at the local department refused to make such entry.
--'If*-
Manual of Investigative Operations and Guidelines '-f|0.
Part II • ..:■■■•'■;'• ,.::■-:; •- ■ . / . . .PAGE 16'- 'US'.^; V',3^
''-■ . -■ ■■•■■ ■■■...■ .' ■ '^■^■' -- .:.-:- .■:.:.k'.^.^r..- ^^-^
16-16.3- Missing Person Reports;
. .''S.w
(1) The signing of the Missing Children Act (MCA) on. V^; • .^Q?
October 12, 1982, requires policy changes in the Bureau's handling of . '~ #^
missing person reportis received./- The Act requires the Attorney '^o'
General to "acquire, collect and preserve any information which would -i^Mi
assist in the location of any missing person (including an .''^^
unemancipated person as defined by the laws of the place of residence ^i-'^
of such person) and provide confirmation as to any entry for such a ; r-
person to the parent, legal guardian, or next of kin of that person ..'iff
(and the Attorney General may acquire, collect, classify, and preserve -i^r
_such_ infpraatLon_JEjLOa..s.uch_pare,nt,,_lega^ - •' -^^
Therefore, a parent, legal guardian, or next of kin of a missing child
has the legal right to inquire of the FBI vfhether data on the missing
child has been entered in the NCIC Missing Person File. When a field
office receives one of these requests, a determination should be made
verifying that the requestor is the parent, legal guardian, or next of
kin by means of any form of identification data. Thereafter, an NCIC
Missing Person File inquiry should be made to determine the existence
of a record. JTrj;
(2) In the rare case where (1) a record has not been ', #;
entered because the local authorities refused to enter, and (2) the 4'
parent, legal guardian, or next of kin requests the FBI to enter the ^^
record, follow the procedures below. (Use Forms FD-626 and FD-630. ~w
These forms should be placed in the 79-0 administrative control file .. :.U
after NCIC entry has been made by the field office. These forms are
intended for field office use and should not be forwarded to FBIHQ.)
•.■■■l;is ■
■ytm
enters data on individuals into the file in rare cases where the local '}^'
police refuse to enter the data on the individual.
•^*-/*^
(c) Inquire of the requestor if a missing person, .^l
report is on file with a police agency and, if so, secure a copy of j'^
same. If possible, have the requestor bring such a copy with him/her. %■
:M4
(d) If at all feasible, insist that the parent,
legal guardian, or next of kin come to the field office (including
resident agencies, if applicable) to make the report. Verify the ^j:^.
identity of the requestor. ^^or
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(e) Explain to the requestor that the FBI does not
have authority or jurisdiction to investigate missing person cases
unless there has been a violation of Federal law falling within our
jurisdiction, e.g., the Federal kidnaping statute.
(f) Advise the requestor of the extreme importance
of notifying the FBI promptly when the child returns.
(g) Indicate to the requestor that his/her name and
telephone number will be contained within the text of the message and
that he/she may be called directly if the child is located.
(h) The field office will telephonically confirm the
refusal of the local agency to enter the record and whether or not
there are extenuating circumstances of which the FBI should be aware.
Additionally, if the refusing police agency has a "time delay entry"
rule, the FBI should proceed to enter the record and coordinate the
removal of such record with the police agency when they enter their
record.
(i) After good faith satisfaction of the above, the
field office will enter the missing person record. If such
extenuating circumstances exist, advise the parent, legal guardian, or
next of kin that no entry is being made.
(3) After an NCIC entry is made, the following validation
procedures should be followed:
(a) A written communication should be sent to the
local authorities confirming that agency's stated refusal to enter the
record, the FBI entry of the record, and the necessity of being
immediately notified when the individual returns.
(b) A copy of the above communication should be sent
to the parent, legal guardian, or next of kin reiterating the extreme
importance and necessity for the FBI being promptly advised of the
individual's return.
(c) Set a tickler to contact the parent, legal
guardian, or next of kin on the third working day following the date
of entry, again at the end of two weeks, four weeks, and then once a
month until the individual has been located. If, after two "
consecutive attempts, the FBI cannot, despite reasonable efforts,
locate a person or agency able to verify the currency of the record,
the record should be removed from the NCIC File and the requesting
parent, legal guardian, or next of kin who requested entry should be
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PAGE 16 - 130
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notified by registered mail.
(4) The NCIC Operating Manual, Part 8, contains the
necessary information to enter a missing person record. In addition
to this information, the following should also be included in
the |Miscellaneous Field of the record: the parent's, legal
guardian's, or next of kin's name, address, and telephone number. If
the local or state law enforcement agency has a pending case, enter
the agency's name and case number, if available, following the
parent, legal guardian, or next of kin information. This information
may have to be abbreviated since the Miscellaneous Field is limited
t o 121 c harac ters. An y othe r pertinent information may follow, if
space is available.]
>1^
sS^;*
^.
>«•
I (5) I The Act does not confer upon the FBI any new
investigative jurisdiction. A positive response to an inquiry should -
not be interpreted as constituting FBI authorization for detention of
the individual described in the record. The FBI is not responsible
for effectuating the return of the individual to the parent, legal
guardian, or next of kin. Inquiring agencies should be informed
clearly of these facts.
I (6) I Upon receipt of a hit confirmation request, the field
office (being the originating agency (ORI) of the record) must within
ten minutes furnish a substantive response, i.e., a positive or
negative confirmation or notice of the specific amount of time
necessary to confirm or reject.
I (7) I The field office must make a reasonable attempt to
notify the investigating agency and/or the parent, legal guardian, or
next of kin of the missing child of the inquiry on the missing person
record. If unsuccessful, notify the agency which is seeking hit
confirmation that all reasonable efforts have been exhausted and that
the information in the record is the best available information at
hand. If successful in contacting the parent, legal guardian, or next
of kin, advise them of the individual's location and the inquiring
agency's location. Advise them to immediately contact the inquiring
agency. After contacting all parties concerned, immediately clear
your record from the file.
■ . V
.■-•■!:r
I (8) I When the subject of a juvenile record becomes
emancipated, the record is retained indefinitely in NCIC until action
is taken to remove the record.
it
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EFFECTIVE: 05/11/87
16-16.4
Unidentified Person File
The Missing Children Act of 1982 also resulted in the
implementation of the NCIC Unidentified Person File. This file
contains records for unidentified deceased persons (including victims
of a catastrophe), body parts that have been recovered, and
unidentified living persons who are unable to ascertain their
-identities_Xsuch^as_amnesia_victims_and_small_childr.en„or_infahts)_.
The Unidentified Person File operates in conjunction with the Missing
Person File. Specifically, records from one file are searched with
those in the other file. Personal identifiers can be entered in both
files, which are used to compare an unidentified person record with
missing person records and vice versa. For complete details on the
Unidentified Person File, refer to the NCIC Operating Manual, Part 12,
1^
#
EFFECTIVE: 07/28/87
16-16.5
Foreign Fugitives
The NCIC Foreign Fugitive File operates for the purpose of
locating foreign fugitives. Records for fugitives wanted in Canada
are entered by Royal Canadian Mounted Police Headquarters in Ottawa
and include individuals, wanted in Canada based on Canada-wide
warrants. Records for fugitives wanted by other foreign countries are
entered by the U.S. National Central Bureau (USNCB) , the point of
contact for the International Criminal Police Organization
(INTERPOL), based on information received on the Red Notices (wanted
notices) issued by INTERPOL member countries. All record entries are
made in accordance with established entry criteria. Refer to Part 9
of the NCIC Operating Manual for details on inquiries and procedures
on handling positive responses.
EFFECTIVE: 07/28/87
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Part II PAGE 16-132 ,:;^if
16-16.6 U.S. Secret Service (USSS) Protective File
EFFECTIVE: 08/18/9A
PRINTED: 02/18/98
ji?-
>S3»
This NCIC File lists records of individuals who may pose a v^-
threat to a USSS protectee. All records are entered and maintained by Svif.
the USSS. Refer to Part 11 of the NCIC Operating Manual for details.]
EFFECTIVE: 07/28/87
[16-16^7 Bureau of Alcohol. Tobacco and Firearms (ATF) Violent
Felon File (See MAOP, Part il, 7-2.10.)
The ATF Violent Felon File contains records on individuals
who have had three or more previous convictions for a violent felony
or serious drug offense. These persons, if found in possession of a
firearm, are in violation of Title 18, USC, Section 924 (e)(1),
which provides a fine of not, more than $25,000 and imprisonment of not
less than 15 years with no suspension, parole, or probation. All
records are entered and maintained by the ATF. Refer to NCIC
Technical and Operational Updates 91-4 and 92-1 for details.]
1 16-16.8 Deported Felon File (See MAOP, Part II, 7-2.10.) .^
The Deported Felon File contains records on criminal , 'J^
aliens who have been deported for drug trafficking, firearms ' ,. ':^
trafficking, and serious violent crimes in the event they might "xc
reenter the United States without permission. These criminal aliens ' " '~:X^.-
who have been deported and reenter the United States without ;^,;
permission are in violation of Title 8, USC, Section 1326, which *,'■
carries a fine of up to $250,000 and incarceration of up to 20 years. ,,.^5^
All records are entered and maintained by the Immigration and
Naturalization Service. Refer to NCIC Technical and Operational
Update 95-3 for details.
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PAGE 16 -.133
EFFECTIVE: 05/13/96
16-16.9 Violent Gang and Terrorist Organization File (VGTOF)
(See also MAOP, Part II, 7-5.8.)
The VGTOF is designed to provide identifying information
about violent criminal gangs and members of those gangs and terrorist
organizations and members of those organizations to law enforcement
.personnel. The„information_serves_to_warn_law_enforcement_officers_of-
the potential danger posed by violent individuals and promotes the
exchange of information about these organizations and members to
facilitate criminal investigations. Refer to NCIC Technical and
Operational Updates 94-2 and 95-2 for details.]
EFFECTIVE: 05/13/96
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^_ _ ___ w _- xxxxxx ^^
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FEDERAL BUREAU OF INVESTIGATION 3
■ . FCMPA -.--^
DELETED PAGE INFORMATION SHEET (
Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicated, .Ji
explain this deletion. "" V
Deletions were made pursuant to the exemptions indicated below with no segregable material available for -*'S-
release to you. ' '^ £.
Section 552
n (b)(1)
l^(b)(2)
□ (b)(3)
a (b)(4)
□ (b)(5)
O (b)(6)
D (b)(7)(A)
□ (b)(7)(B),
□ (b)(7)(C)
n (b)(7)(D)
^(b)a)(^
O (b)(7)(F)
□ (b)(8)
D (b)(9)
Section 552a
n
(d)(5)
□
a)(2)
n
(Ic)(l)
D
(k)(2)
D
(k)(3)
n
(k)(4)
D
(k)(5)
□
(k)(6)
n
(kX7)
□ Information pertained only to a third party with no reference to the subject of your request or the subject of your
request is listed in the title only. ,
□ Documents originated with another Government agency(ies). These documents were referred to that agency(ies).
for review and direct response to you. '-^
Pages contain information furnished by another Government agency(ics). You will be advised by the FBI as
to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to thc..£;:
■ disposition at a later date. ' \l^''>
Pages were not considered for release as they are duplicative of ^ .
Page(s) withheld for the following reason(s): -^
H The followingjnumbgr ijLto be used for reference regarding these pages:
xxxxxx
xxxxxx
xxxxxx
xxxxxxxxxxxxxxxx
X Deleted Page(s) X
X No Duplication Fee X
X for diis page X
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FBI/DOJ-
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Part. II . .,,•■-■ '•■"U' ■.
EFFECTIVE: 11/24/97
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PAGE
16 - 149
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16-18
FBI MICROCOMPUTER POLICY
EFFECTIVE: 02/16/89
EFFECTIVE: 07/14/95
16-18.2 Purpose and Objectives of Policy
(1) The
appropriate internal
aanagenent and use o
tnicrocomputer-proces
this policy, is any
intelligent workstat
manufacturer that pr
Implementing control
the risk of illegal
unauthorized use of
purpose of this policy is to establish
practices and procedures to ensure the proper
f microcomputers and the accuracy of
sed information. A microcomputer,' as defined for
computer including the standard terminals,
ions, and ail similar machines from any - ,
ovides local processing for an end-user.
procedures unique to microcomputers should reduce
system access, data loss and stolen or ,,,, ' "•
hardware and software. '• -* ■;'•
(2) The objective of this policy is to ensure that the
management and use of microcomputer resources in the FBI are in
compliance with regulations relevant to-^automation and information
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PAGE 16 - 150
management.
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EFFECTIVE: 03/23/92
16-18.3 Scope and Applicability
This policy applies to:
(1) All elements of the FBI which process, store, or
produc e information o n any m icroco mputer, inclu ding word processors
with local storage or memory,
(2) Microcomputers connected to FBI or public
telecommunications networks, and
(3) Microcomputers used in standalone mode.
;. I EFFECTIVE: 03/23/92
16-18.4 Responsibilities
(1) The [Operations Management Section (OMS) , | Information
Resources Division (IRD) , shall:
(a) Provide hardware and software operational
guidance and problem resolution;
(b) Maintain I authorized
an information clearinghouse for users;
software listings! and act as
. (c) Maintain a library of applications for
dissemination to Computer Specialists | requesting assistance in
a|particular|area; I
(d) Communicate noteworthy developments and
activities to users; '"-
(e) Deleted ' '■ •
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(f) I Assist in the development, maintenance! and
I dissemination of !microcomputer principles, standards and guidelines;
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(g) Deleted
(h) Provide guidance on applicable federal,
departmental and FBI information resource management laws, policies,
principles, standards and guidelines;
•-■.--■^fti.t
■^m
(i) Provide Computer Specialists guidance in
determining the feasibility of using|either a] microcomputer
|application or a mainframe application! for effective implementation of
automated technology throughout the FBI;
Cj) Coordinate _procurement_and. del ivery__of_har_dware_
and software;
(k) Coordinate all | routine |microcomputer. maintenance
activities, including routine requests for maintenance and maintenance
contracts for seized and forfeited microcomputers;
(1) Deleted
t (m) Provide ADPT Service Support Center operations
to handle all associated issues, problems and questions.]
(2) The Assistant Directors (ADs) of each FBI
Headquarters division and the Special Agents in Charge (SACs) of each
field office must ensure effective, efficient and economical
management and allocation of microcomputers as well as enforcement of
microcomputer policy, principles, standards and guidelines prescribed
by the Director.
(3) Each FBI division, through the ComputerjSpecialist,
shall:
(a) Systematically maintain a current on-site,
listing, in accordance with|FBl| inventory guidance, of its
microcomputer hardware, software, and administrative or investigative
data bases; (See MIOG, Part I, 190-2.3(3).) /'
(b) Provide hardware and software operation guidance
and problem resolution to end-users;
(c) Communicate noteworthy developments and :
activities to end-users;
(d) Develop contingency plans (including emergency
response, backup operations and recovery) that arc consistent with IRD
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Manual of Investigative Operations and Guidelines
ADPT facility contingency plans to ensure continued operation of *
essential functions within the division in the event that data
processing support is interrupted; ■>!',
(e) Maintain and disseminate to end-users , \^\
microcomputer policy, principles, standards and guidelines provided by^,
|ird; ; . ' . / ^ ' '^
(f) Perform preventive maintenance as necessary on
Information Technology microcomputer equipment.]
(4) End-users _must ensure that;
(a) All microcomputer data files are accurate,
complete and reliable;
(b) All microcomputer data files are secured
consistent with central records system procedures;
(c) Planned backup and recovery procedures are
t executed; and,
1
(d) All other applicable rules, regulations,
policies and procedures are followed.
1 (e) Perform preventive maintenance as necessary on
Information Technology microcomputer equipment (cleaning). j
(5) The Property Procurement and Management Section of
the Finance Division shall submit annual inventory reports of
microcomputer hardware to each Computer Specialist so that these
inventories can be verified. (See MIOG, Part II, 16-18.9.).
EFFECTIVE: 08/04/97
• - ■■•■■0m
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PAGE 16 - 153
EFFECTIVE: 09/16/93
16-18.5.1 Deleted
EFFECTIVE: 07/26/95
16-18.5.2 Deleted
EFFECTIVE: 07/26/95
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EFFECTIVE: 07/26/95
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16^18.5.5 Deleted
EFFECTIVE: 03/23/92
PAGE 16 - 15A
16-18.6
Information Management
...Ev*..i.-«S>^
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I
EFFECTIVE: 03/23/92
16-18.6.1 Source of Data
Any information subject to the provisions of the Privacy
Act that is processed by or stored in microcomputers must be traceable
to documents serialized in Bureau files (the FBI's Central Records
System) or in other established FBI systems of records.
EFFECTIVE: 03/23/92
1 16-18. 6. 2| Access Controls
Access to automated records | is | restricted] to |a
need-to-know basis [consistent with existing controls afforded
counterpart manual records.]
EFFECTIVE: 02/16/89
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16-18.6.3 Retention/Destruction o£ [Electronic Information!
PAGE ,16 - 155
I (1) At the conclusion of an investigation, the data need
not be retained in electronic format. However, if paper output from
the data base was. required by the substantive supervisor or the
prosecuting attorney, or was introduced as evidehce in a courtroom,
that output must be serialized in the FBI file and the data in .'
electronic format must be retained.
(2) Electronic media to be retained must be stored as a
serial, lA or IB exhibit. The media must be labeled with the
_£ollowing_information_in._the_!!Content!!_and_"CommentslL_sections_of,_the^
Data Descriptor Label (SF-711):
(a) Description of the microcomputer being used
(e.g., standard terminal, intelligent workstation, etc.);
(b) Identity of the operating .system (e.g., CTOS,
BIOS, MS-DOS, 0S2, etc.) and its release number;
(c) Application and release used to create the
original data base (e.g., RBase, Multiplan, Lotus 123, etc.); and
(d) Archived data base name and, where applicable,
password.
EFFECTIVE: 02/16/89
16-18.7
Requests for Microcomputer Resources
Generally, FBI Headquarters will acquire microcomputers
and related resources, including software, peripheral devices, initial
training and maintenance contracts, through large-volume procurements
as a cost containment measure. Priority, of need will dictate
microcomputer distribution to field offices by FBI Headquarters and
the application of microcomputer resources within each field division.
Microcomputers used as part of a "front" operation of undercover or
special operations activities will be :'■■•
approved by either the Criminal Investigative Division orJNational
Security JDivision with procurement assistance and funding provided by
llRD. I
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Part II • ■',- . -.. ■-;■.. ■ - v:;. \,; ~- ' .-;,,;
PAGE 16 - 156
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EFFECTIVE; 07/14/95
■&?•
16-18,7.1 Deleted
EFFECTIVE: 02/16/89
16-18.7.2 Deleted
EFFECTIVE: 02/16/89
0^
4
16-18.7.3 Deleted
EFFECTIVE: 02/16/89
16-18.7.4 Deleted
EFFECTIVE: 02/16/89
I 16-18.8 ISecurity - See MIOG, Part II, Section 35. |
'.-iXJ.-.
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EFFECTIVE: 07/26/95
I 16-18.8.1 JDeletedj
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EFFECTIVE: 07/26/95
PAGE 16 - 157
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EFFECTIVE: 07/26/95
j 16-18.8,3 |Deleted|
EFFECTIVE: 07/26/95
16-18.8.4 Deleted
EFFECTIVE: 07/26/95
16-18.8.5 [Deleted
EFFECTIVE: 07/26/95
16-18.8.6 Deleted
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EFFECTIVE: 07/26/95
16-18.8.7 JDeletedi
EFFECTIVE: 07/26/95
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16-18.8.8 Deleted
i EFFECTIVE: 07/26/95
16-18.8.9 Deleted
EFFECTIVE: 07/26/95
16-18.8.10 Deleted
EFFECTIVE: 07/26/95
16-18.8.11
Deleted
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EFFECTIVE: 07/26/95
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16-18.8.13
Deleted
Mi-
EFFECTIVE: 07/26/95
16-18.9 Reporting Requirements (See MIOG, Part II, 16-18V4(5) and
35-9.4.7.) '
(1) ^Computer Specialists (OS) in conjunction with the
Supply Technician will maintain current inventories of hardware on the
FBI's Property Management System. On an annual basis, the Property
Procurement and Management Section of the Finance Division will submit
an inventory of microcomputer hardware to each CS for verification.
Any discrepancies in the report must be rectified immediately.
Inventory information will include the following:
(a) Hardware: ^.
Division
Equipment type
Equipment profile (for example. Model Number)
Hard disk type
floppy disk type ■ ,.
Monitor type, including TEMPEST/non- TEMPEST . '.'
designation ■'.
Location (Squad/Unit) "^
Function (e.g., rotor, squad secretary)
Other
(b) Deleted
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Part II- ." .:J/' :' ■■.\--- „• ■ . -; .,■ ^:,: , ;••■....
(2) Deleted
(3) Deleted
(4) Deleted
(5) I Deleted I
■ ■■■■■'.'■^si"4's
PAGE 16 -,160-
EFFECTIVE : 09/22/97
1 16-18. 10 Automation Training Staff
(1) The Automation Training Staff, from the Service
Support & Implementation Unit, SSIU, provides instructor-based
training in classroom settings on PC-based applications and
investigative/administrative applications to field, FBIHQ and Legat
personnel. The staff administers training through the use of
interactive video (IVD) , computer-based training (CBT) , compact disc
(CD-ROM) and/or video methods.
(2) The staff researches training techniques and new
technologies of data communications and microcomputers. It provides
assistance and support to automation personnel in problem resolution.
The staff works with applications program managers, computer clients,
project teams and appropriate division personnel in the development
and delivery of training. |
EFFECTIVE: 07/26/95
■ ^s^
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Part. II
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PAGE 16 - 161
16-18.11 IComputer- Specialist Selection Process
(1) - Computer Specialists conduct programming tasks to
support the creation, maintenance, and analysis of information files
and the communication of data in a fourth-generation distributed
environment.
(2) Entrance salaries range from GS-5 through GS-13 at
FBIKQ and range from GS-5 through GS-12 in a field office. Hiring
may occur at FBIHQ or a field office. The basic salary is
commensurate with the applica.nt*s education and exper ience.
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16-18.11.1 Computer Specialist Eligibility Requirements
(1) Be a United States citizen.
(2) Be a high school graduate or its equivalent and have
additional education as set forth below.
(3) Pass a rigorous background investigation including
drug and polygraph tests.
.,ism.
•^
EFFECTIVE: 12/13/96
I 16-18.11.2 Computer Specialist Qualifications
(1) GS-5: Must have a Bachelor's Degree or three years .
of general experience, one year of which is equivalent to at least
. the GS-4 in the federal government. General experience is that which,
provided basic knowledge of data processing functions and general
management principles that enabled an understanding of the stages ' t
required to automate a work process. Experience may have been gained
in positions such as a computer operator or assistant, computer sales
representative, program analyst, or other position that required the
use or adaptation of computer programs and systems.
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(2) GS-7: . Must have one full year of graduate level
education of cumulative grade point average of 3.0 or higher or one
year of specialized experience equivalent to at least the '•'
GS-5 in the federal government. Specialized experience is that which
includes the performance of tasks such as: ■' ' < '
(a) translating detailed logical steps developed by
others into language codes;
(b) conducting user-requirements analysis and
synthesizing the resul t s into information flowcharts ; .
(c) troubleshooting, in particular during
unscheduled halts;
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efficiency; and
(d) prioritizing processes for production
(e) organizing documentation for cost/benefit
studies.
(3) GS-9: Must have two full years of progressively
higher level graduate education or a Master's Degree or equivalent
graduate degree or one year of specialized experience equivalent to
at least the GS-7 in the federal government. Specialized experience
is that which demonstrates knowledge of computer requirements and
techniques in carrying out multitask project assignments typical of
minor system modifications. Such assignments must demonstrate
ability in analysis of:
project; and
project.
(a) interfunctioning system components;
(b) planning the sequence of actions to complete the
(c) leadership in at least a segment of the, overall
(4) GS-11: Must have three years of progressively higher,,
level graduate education or a Ph.D. or equivalent, doctoral degree br--
one year of specialized experience^ equivalent to at least the GS-9 in:^
the federal government. Specialized experience is that which > ,
demonstrates successful accomplishment of projects involving a range:;.
of requirements and techniques as well as those of computer specialty
areas. In addition to those noted for the GS-9 level, assignments
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r must- have been involved in:"
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project in codrdination with outside organizational units; and .. -'
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guidelines.-
(b) the development of project controls and
(5) GS-12 and above: Must have experience that
demonstrates accomplishment of major project assignments that
required a wide range of knowledge- of requirements and techniques.
_Such_assignments_include_.those involving;
approaches; and
(a) the analysis of a number of alternative
(b) advising management regarding major aspects of
ADP system design such as what system interrelationships, operating
modes, software, and/or equipment configuration will be required or
affected during project builds or enhancements. t
(6) If substituting education for experience, major study
must be in any of these disciplines: Computer Science, Information
Science, Management Information Systems, Mathematics, Statistics,
Operations Research, or Engineering, or course work that required the
development or adaptation of computer programs and systems and
provided knowledge equivalent to a major in the computer field.
EFFECTIVE: 12/13/96
16-18.11.3
Computer Specialist Promotions
A career path for the Computer Specialists has been ^._ ,.;
established at" the GS-5 through GS-13 level at FBIHQ and, '
GS-5 through GS-12 level in the field offices. In order to qualify
for the next grade level the employee must meet the following
requirements: ■"'" ■" ■".•';•.■, •f''-./' '' ? '' .. ,"', * ', ""'■•"''.'
(1) specified technical experience;
(2) specified training; .
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.■".''"'■.. ;■ (A) maintain the appropriate level of vorii.inz'-^'''^fP'i'''^:^v'<''W^-^'- 4Vr*''^^37S''M^&
proficiency in specific applications; q;;-^"' ;■; ■' ■''\\^/^-'' ■• ■■^^■'l^;'^:''^ •;C;V'^^5-''^-^
(5) have a favorable recomnendation of inunediate
supervisor; and "
(6) approval from the Program Manager (PM) of the
Computer Specialists Management Program (CSMP) . The Personnel
Division's Staffing Unit will not take action on a request for
promoti on wi tho ut the approva l_o f_t he_PM . -■
- "••■•##1«
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EFFECTIVE: 12/13/96
16-18.11.4
Computer Specialist Career Board Selections
The FM of the CSMP must be notified of all career board
selections. At the conclusion of the career board, the PM must
receive all related documentation before approval will be granted.
EFFECTIVE: 12/13/96
. ■"■tLavS.;
16-18.11.5
Computer Specialist Reassignments
The PM must give approval before an employee is reassigned,
into or out of the CS position. "•-' ,
EFFECTIVE: 12/13/96
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16-18.11.6 Computer Specialist Internal/External Postings?
"m-
The PM is to
prior to occurrence. I
EFFECTIVE: 12/13/96
be notified of all internal/external postings
116-19
DATA CIRCUIT TECHNICAL SUPPORT AND TEST EQ UIPMENT
MAINTENANCE POLICY
EFFECTIVE: 05/26/89
16-19.1
Technical Support Policy
(1) The communications circuits supporting the] Integrated
Digital Communications System (IDCS) jand Secure Automated Message
Network (SAMNET) systems are designed to conserve line costs, while
providing reliable service. Certain field offices (FOs) have been
established as SAMNET nodes orllDCS|hubs and are responsible for
maintaining teletype and data circuits for many other FOs, by
functioning normally as unattended relay points. Other FOs, although
on a smaller scale, function as relay points for the j IDCS | by linking
resident agencies (RAs) and/or off-sites to the major hubs within the
network.
(2) The Telecommunications Manager or Supervisory ^.h
Electronics Technician (SET) in each FO is responsible for providing .,
prompt technical support for these systems, 'r ^^ ''■':' ; •. • vj -.
(3) Offices providing communications support for other',
offices must have a qualified ET available for immediate circuit , ;■
restoration assistance during normal work hours.' "^i' " . -j;'!;.:, •
(4) 'During off-duty hours, weekends and holidays, a. ^ ,^-
qualified ET must be on call and available" to assist with circuit;" ^J^^^^^^^^^^
restoration. On-site response should be within one hour after1'-'>'-y^'^^ —
notification or as soon as possible considering travel conditions at
the specific office. .. ,
(5) Exceptions to the above may be granted by FBIHQ on a
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-i^^*-^v;-- ^«f:' -rt.'. •• , ^-. -;;.-• vv.r -f-:.:.-:;:';- ;,/;i: ; page : 16 ■■- 166 ^-x-'-'^-^imi
aasis; 'Request "for'^^xceptions, should be directed" to';pr7^'^V'^ '.vv*-- •■"" ^f^
case-by-case basi.-. ---, — .
FBIHQ, Attention: Operations Management Section, Room 6421.
EFFECTIVE: 04/28/9A
16-19.2 Test Equipment Maintenance Policy
(1) CMs/SETs are responsible to ensure that all test
Jcquipment_as3PciatH_^j.^•^„'^"^a_-gj■'^c"^t maintenance, assigned to their
'SJliy
• ■ •: :»:
office, is in proper working order.
(2) Any test equipment that develops operational problems
or is subject to routine periodic maintenance/calibration must be
scheduled for maintenance/calibration promptly.
EFFECTIVE: 05/26/89
I 16-19.3 Response to FBIHQ Communications
(1) FBIHQ aperiodically issues communications directing
maintenance procedures or data equipment/data test equipment that,
require technical action and/or formal response. ,
(2) CMs/SETs must respond promptly to any FBIHQ
inquiries, directives or surveys to ensure proper maintenance of both
data equipment /data test equipment and maximum usage of
maintenance/repair contracts. Formal response must be provided when. .
requested. I
. ..^
EFFECTIVE: 05/26/89
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Part II
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PAGE' 17 :r',
-■■ -H.'V
SECTION 17. "^"' APPLICANT AND EMPLOYEE INVESTIGATIONS CONDUCTED)ir>'V
FOR OTHER GOVERNMENT AGENCIES - GENERAL INSTRUCTIONS
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17-1
AUTHORITY.,
(1) Executive Order 10A50, which was promulgated in 1953^^,
, makes appointment to positions in the Executive Branch subject to a 'f-
background investigation. The Office of Personnel Management has the^^^
primary responsibility to investigate persons being employed in the ' ■ *
competitive service and has permitted other Federal agencies with
investigative resources to conduct background inquiries.
(2) Even prior to this Executive Order, however, the FBI
had been conducting background investigations for other agencies as
well as for itself. At present, various statutes. Executive Orders,
Departmental Orders, and agreements between the Attorney General and
other Federal entities provide a basis for the FBI's role in this
area. If specific information is desired concerning the authority for
the FBI to conduct any investigation, contact FBIHQ for detailed
information.
EFFECTIVE: 12/10/91
X-Sf®-
ii-?l,
■^m.
17-2 , CLASSIFICATIONS OF INVESTIGATIONS (See MIOG,
Introduction, 2-2.2; Part I, 77-1.1 through 77-1.13,
77-4.3, 77-A.ll, 140-3, 161-4, 161-5. 161-9; MAOP, Part
II, 3-1.1, 3-1.2, 10-23; & Correspondence Guide-Field,
1-17.) - ' ■ ..
Requests for an FBI investigation are made in writing by
another federal entity. These requests are assigned to a
classification which, in general, corresponds to the source of the "
request. The following classifications are currently in use;
Office
(1) 73 - Background Investigation - Pardon Attorney's, j;
(2)= 77,,
(a)
Ilk - Background Investigation - -^ ' ' ' -y /:^-i'- ^
Presidential Appointment with Senate
Sensitive -
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Part II
PAGE 17 -
Confirmation - Nonreimbursable
(b) 77B - Background Investigation -
U.S. Courts - 15 Year - Reimbursable
(c) 77C - Background Investigation -
U.S. Courts - 10 Year - Reimbursable
(d) Deleted
(e) 77E - Background Investigation -
...Department_of_Ju.st_iAt.^^
(f) 77F - Background Investigation -
U.S. Attorney's Office (Staff) -
Reimbursable
;«?•
(g) |Deleted|
(h) 77H - Background Investigation -
U.S. Attorney's Office (Attorney) -
Reimbursable
(i) 771 - Background Investigation -
Department of Justice - Reimbursable
(j) 77J - Background Reinvestigation -
Department of Justice - 10 Year -
Reimbursable ^
(k) 77K - Background Reinvestigation - Department of
Justice - 7 Year - Reimbursable
(1) 77L - Background Reinvestigation - Department of
Justice - 5 Year - Reimbursable
(m) 77M - Background Reinvestigation - Department of
Justice - 3 Year - Reimbursable
(3) 116A - Department of Energy - Applicant
116B - Department of Energy - Five- Year
Reinvestigation
116C - Nuclear Regulatory Commission - Applicant
116D - Nuclear Regulatory Commission - Five-Year
Reinvestigation
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Part II ■■
(4) 140A - Office of Personnel Management
140B - Office of Personnel Management
140C - Office of Personnel Management
PAGE 17 -
Referral
Employees
Other
(5) 161A - Level 1-Presidential Appointment
Level I-Presidential Appointment, Senate
Confirmation
161B - Level Il-Presidential Appointment, Senate
Confirmation (Non-White House)
161C - Level Ill-Presidential Appointment
Level Ill-Presidential Appointment, Senate
Confirmation
161D - Level I-White House Staff
161E - Level Il-White House Staff
Level ll-White House Access
Level II-National Security Council
161F - Level Il-White House Staff
(Five-Year Reinvestigation)
Level Il-White House Access
(Five-Year Reinvestigation)
Level II-National Security Council (Five-Year
Reinvestigation)
161G - Level Ill-White House Staff
Level Ill-White House Access
161H - Level Ill-White House Staff (Five-Year
Reinvestigation)
Level Ill-White House Access
(Five-Year Reinvestigation)
1611 - Level Ill-Congressional Committee •
161J - Level Ill-Congressional Committee (Five-Year
Reinvestigation)
161K - Expanded Name Check
161L - Level Il-Presidential Appointment
Level Il-Presidential Appointment, Senate
Confirmation (White House)
w
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Part II
PAGE 17 -
■.:i
(6) 259A - Security Clearance Investigations - Classified
Information Procedures Act (CIPA)
259B - Security Clearance Investigations - Foreign
Intelligence Surveillance Act (FISA) \
259C - Security Clearance Investigations - Joint Task
Forces (JTF)
259D - Security Clearance Investigations - Others
|259E - Security Clearance Investigations - Periodic
Reinvestigations/Security Clearances I
(See MIOG, Part I, 259-2, 259-3, 259-4, 259-6,
I 259-7. and 259-8.) I
(7) 260A - Industrial Security Program - Personnel
Clearance
260E - Industrial Security Program - Personnel
Clearance Reinvestigations (See MIOG, Part I,
260-1(2), 260-5.1, 260-5.2.)
Any questions involving 259 and 260 classifications should
be directed to the Security Programs Manager (SPM) , National Security
Division.
4;. ■a ,
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s^i:
EFFECTIVE: 01/03/97
17-2.1 TURK Classifications (See MIOG, Part I, 77-1.2, 77-1.3,
77-1.6, 77-1.8, 77-1.9, 77-1.10, 77-1.11, 77-1.12,
77-1.13, 77-4.3, 77-4.11; MAOP, Part II, 10-23.)
For TURK purposes, these classifications are separated
into reimbursable and nonreimbursable investigations. Reimbursable
matters are billed to other agencies at a predetermined rate per
investigative request, andthese funds provide the FBI with the
resources with which to address these inquiries. Nonreimbursable
matters are funded in the FBI's budget. Where it is possible to have
both reimbursable and nonreimbursable requests in one classification,
alpha designators have been applied. As a general rule, cases
received from the Administrative Office of the U.S. Courts |(77B and
77C),|the Department of Energy (116A and 116B), Nuclear Regulatory
Commission (116C and 116D), Department of Justice (77F, 77H, 771, 77J,
77K, 77L and 77M) , Office of Personnel Management (140B) , and White
House (161B) are reimbursable.
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Part II .
nes
PAGE 17 -
•^.^•^
^-:fiii-
EFFECTIVE: 12/20/96
17-2.2
Applicability of this Section's Instructions
annl,>.M / fi « i!" Provides instructions and guidance which are
applxcable to all of the above classifications. Specific requirements
whxch are unique to individual classifications are set forth in Part I
ot this manual under the appropriate classification.
EFFECTIVE: 12/10/91
17-3
ADMINISTRATIVE PROCEDURES
EFFECTIVE: 12/10/91
17-3.1
Initiation of Investigation
h PI.TT,/^ ^Investigative requests are received from client agencies
at FBIHQ and are initiated by teletype, [electronic communication, lor
facsimile transmission depending upon the urgency associated with the
request. Personal history data and release forms as received at FBIHO
are forwarded to the field if necessary. Files at FBIHQ will be
reviewed, including records of the | Criminal Justice Information
Services jDivision, and pertinent information will be forwarded to the
field for investigative purposes, or for inclusion in the report.
EFFECTIVE: 04/08/96
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fart II .■■''•. .
PAGE 17 -
17-3.2
Initial Interview of Applicant
,-nr-„h-. An interview of applicant should be conducted at the
inception of the investigation (see Part II. Section 17-5 6 of this
manual, for additional instructions concern ng this inter^L) T^l
conil%%T""f '""'"' "^''^^"" ^"^/- employment ^iU normal ly
conduct the interview and should promptly set out leads for any
add tional investigation needed a* a result of the interview where
de^lgn'^U TftilTlT^'': are split between field division: r^PBllSwU
If a s^bstant^? d^ . ' mtervxew in the opening comunication.
arranzinffor tL ■ f'' " «n<=?"ntered in contacting the applicant or
ISoor i!ti f7 "-'"^^^^^^^^^ «» that an
appropriate course of action can be considered. — —
EFFECTIVE: 02/12/92
17-3,3
Assignment of Cases
'^' ■ J. . . ^^^^^ matters must be searched, opened, and assigned
immediately. Investigation is to commence Immediat;iy? ""«"^'^
EFFECTIVE: 02/12/92
17-3.4
Indices Searches
azainst th. rlLZl^ * ^"^^ """^ ^^^^ ^""^^^^ ^'^^ searched only
against the candidate's name and the names of all close relatives
The name of the candidate and, in presidential appointment cases the
names of all close relatives (except deceased reiaUves) are als^
searched through the|Criminal Law Enforcement Appl ^at on (CLeI) I
C^nt rlJciC) ""f '°:^ IV'^'' ^"'^' ^^^ '^^'^'-^ '-'- Inform; ion
Center (NCIC) records at FBIHQ. Circumstances may indicate necessitv
to also search general indices against the names of other persons "^
businesses or organizations with which the candidate has had co^Uct
or association (i.e.. cohabitants, foreign nationals. eU.)
advise FBIHO^of tlV^r ^'ll^ °^f'" """"^ ""^^ ' ""^"1 "»«h. and
advise FBIHQ of the results, of its general and any other special is^ed
■T/t"l (««Pt confidential and ELSUR) . concerning ^hebeto^HsUd
s^^a;:;';)'!'^'"'''''" ^^-^^^^-^-^ -«* ^^sur indices need::;tje
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^®^ Candidate - offices covering olaces nf
residence, employment, or education; "ing places of
(b) Close relatives (see 17-6.9 for identif ieaf.'nn
of persons
office ter
residence;
(c) Cohabitants - offi
ce covering current place of
■>•'. *1
„<:-.. . ,^ ^5^ Businesses or associations located in field
tntlresrffTf^^i^t"'^^^
xnterest or is an officer; ■
1. - ^®^ Others - circumstances may indicate nece?Ri-h« ^«
n. • .. ^'^] ^y variations or additional names develoued diirin.r
the investigation should be checked. The search should include all*
fTZ ";'-'r "^^^^^"' ^-<^^ « "-den name of a spoise Idv s^
the L^nfiJv f"'"*" f'''' °' additional names de?elop;d tnc ^ding
the Identity of any close relatives whose names were not avaiUMe ft
nalr'f'' r.°' '""^ investigation. It is not necessary to search
names of relatives under 15 years of age. searcn
whVh • -^ ^J^,/""^ "'^''"^^ ^« advised of any information located
^•-.
(5) Deleted
•lir.
EFFECTIVE: 11/25/94
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Parril"^' Investigative Operations and Guidelines
PAGE 17
I 17-3.5 Deadlines | (See MIOG, Part I, 73-10, 116-6(2), 161-5.) (
has a d^.J^l '^^""^ background investigation conducted by the FBI
da e the fi»;? t"°"" ". • ^""^" ''"'^^^^^ °^ «"^^D- The BUdL is the
date the complete investigation must be received at FBIHO (in til
applicable FBIHQ unit). The BUDED is established by JfiJ^Qa^d cannot
be changed without FBIHQ authority. The BUDED is to be set Jorth in
each mtra-Bureau communication in accordance with FBI polLy
I whether generated by FBIHQ or the field. I policy.
-—-----— (2)^1 BUpEDs_are est3blished_principally to meet the needs
L to^ ;:" i:" \^rco;:Su::'tr ^"°^°=' /«^«^ wm alloca?e"a:t^
e to tne tield to conduct these investigations as possible. |
(3) jBUDEDs are to be met unless the reason (s) for not
doing so are beyond the control of the investigating office'
th- Bimrn -^ -^^l ^^ *" investigating office is unable to meet to
the. BUDED, it is to promptly advise FBIHQ (the applicable unit)
elephonically, to include the reason(s) for delajand iheHeceipt
of the complete investigation at FBIHQ is anticipated. '^^"^Pt
Rurf^rf m- ^^l s*""^" *" investigative office does not meet its
Buded, the reason(s) must clearly be set forth in the
rep^r'l "'''°" °' '''" "'" ""^'^'^ °' ''' investigative
■.SL,;e.l»;-.-'
--■■■■ I: •\ . .,-^ .-
■ ^mi
. -tin"".
EFFECTIVE: 11/18/96
17-3.6
Prior Applicant Investigate
off,'.. • ^^!?" investigations are frequently forwarded to field
offices prior to a completion of a check of FBIHQ records, fie d
office records may disclose a previous applicant- type inv^tigation
If so. the following steps should be taken: investigation.
^v. , ^ . ^^^ '^^ previous investigation was not conducted within
the last SIX months, notify FBIHQ anS other appropriate offices of
investigation andlbring previous investigation tho^oughlj ipJo date
and supplement it as necessary so that tnfai =^„«« ougniy up co date
.■,t.rv..„.d -ho furni.hed derogatory i„f„rLti.„ if ."^h JoJ.on. „.
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in.:i?^i^;;J?i:r:!^=""^"^-^^^"-^ ^— ^^- -^ ^^ -ch-
preceding ri«]it^ff^"^'°"' investigation was »ade within six month,
LmediaU tele ype to "BIHo'a^d %."' '' '' "t« ^hen complete, [send an
prior case Th^n »,!?/• !" °^^" appropriate offices advising of
prior case. Then hold investigation in abeyance until furfh^r
instructions are received from FBIHQ I further
EFFECTIVE: 01/25/88
17-3.7
Leads for Other Offices
d
u. . ^\^ Set out leads for other offices iinmediatelv as thev
become known during investigation. Use most expeditions means of
communication commensurate with economy to meet deadline.
setting out leidsf""''' '""^ "''" ^ "^^ °^ ^'' communications
• ^ . ^^^ ^^ ^*^** ^^ being sent to office which has nnt
.. ..n. d..i,„,tii„°^ i'^Hu:"?; ?;? till""' ""• '-'fo™,tlo„. ,uch
(b) Character
(c) Bureau deadline
(e) Specific lead
developed ^^^ ^"'^^ description of any derogatory information
(4) When a lead is set out for another off,>» n,«
originating office should include pertinent daJa i^ its re' rj so th.^
the investigative record will clearly establish tlTe sonrce'from "hich
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the additional information emanated.
PAGE 17 - 10
^v •.':»;
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EFFECTIVE: 01/25/88
il7-3.8l Receipt of Additional Informati
on in Closed Cases
h. .-.„- Individuals investigated under this program will probably
be serving as Government employees for some time after the
=!!.!• J®*'i°" is complete. In some instances involving presidential
-^PP^nLenU._del_ays_jnay_occ.u_r^beIween_the time an investigation is
conducted and the time in which the nominaTIo.ra,i^onrf7mafi^f^^'^--
Cormfr.r" "™Pl«t«' In either event, it is essential that FBIHQ be
o?fic! hJ .r'' :,"^°'-'"^^'°" V^^"*^ ^* developed by an office after ?hat
office has closed its investigation. When such information is
received, the following steps should be taken:
»,»rf-h- 1 -^P Recheck office indices concerning applicant for any
additional information not previously reported.
t i^ .. . ^^^ Furnish information to FBIHQ without delay in
letterhead memorandum or supplemental report. If case warrants, such
as a presidential appointment, use teletype.
(3) If it appears additional investigation will be
involved in order to resolve allegation, advise FBIHQ by appropriate
means (telephone or teletype) prior to initiating additional
investigation I and be guided by instructions from FBIHQ. j
««„!. \,\ ^t^ /^ ^^^"^ " *" indication the individual is no longer
employed by the Government, take steps, including setting lead to
another office, to verify this fact immediately at the inception of
the investigation. ^ «.* wj. ,
EFFECTIVE: 08/12/86
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17-3.91
Discontinuance of Investigation
aovise the field regarding discontinuance. If instructed to
*^i
r.
1,
EFFECTIVE: 08/12/86
.-it^
17-4
OBJECTIVES OF INVESTIGATION
thorou^rh n.nI^^.^•^''''•'''^''^ ^^"^'^ investigations is to conduct a
^:c::pH:;i:g^?^n]:c.vr:rrJH:i:ii:"-.------«"-
Person-s gen^iil ^f-?SS:%; -:-:J:---;- -j-
trustworthiness, reliability, and discretion or lack thereof!
(2) Associates - type of persons J businesses Urouo.
organizations or movements with which I person has been al ociafed
been T/l'"^'^ TlV'' " '° "^^^^«^ ^"^ <"f these associations hf^e
been of a disreputable or disloyal nature.
(5)
Qualifications and ability - comments concerning an
•J
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individual s capacity or corapetence (native or acquired) to perform
well m an occupation or field of employment. Inquiry in this area is
not necessary in all cases (see instructions under specific
classifications) but may be requested by FBIHQ in specific instances.
When necessary, inquiries should encompass performance in all
employment experiences and relate the positions held and the duties
and responsibilities associated with those positions.
I (6) Among concerns which are encompassed by the above
objectives are the principal suitability and security standards for
Federal employment, as contained in the Federal Personnel Manual.
_which_are_set_out_bel.o_w:_
employment
(a) Suitability
1. delinquency or misconduct in prior
2. criminal, dishonest, infamous, or
notoriously disgraceful conduct
3* intentional false statement or deception or
fraud in examination or appointment
excess
controlled substances
States
civil service rules
4. habitual use of intoxicating beverages to
5. abuse of narcotics, drugs or other
6. reasonable doubt of loyalty to the United,
7. refusal to furnish testimony required by
8. statutory disqualification (e.g. conviction
of certain offenses).
(b) Security
!• *"y behavior, activities, or associations
which tend to show that the individual is not reliable or trustworthy
, 2. any deliberate misrepresentations,
falsifications, or omission of material facts
... >A^.
■>».:■&¥.
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. ^* any criminal, infamous, dishonest, immoral,
or notoriously disgraceful conduct, habitual use of intoxicants to
excess, drug addiction, or sexual perversion
- . ,.. . ^* *"y illness, including any mental condition.
Of a nature which m the opinion of competent medical authority may
cause significant defect in the judgment or reliability of the
employee, with due regard to the transient or continuing effect of the
Illness and the medical findings in such case
-Vix^j
-5j! ^y~?a?tsj*hichjFuj;nUh_reason to believe
that the individual may be subjected to coercion, influence, or
pressure which may cause the person to. act contrary to the best
interests of the national security
6. commission of any act of sabotage
espionage, treason, terrorism or sedition, or attempts, threat, or
preparation therefor, or conspiring with, or aiding or abetting
another to commit or attempt to commit any act of sabotage, espionage
treason, terrorism or sedition »- o .
7' establishing or continuing a sympathetic
association with a saboteur, spy, traitor, seditionist, anarchist,
terrorist or revolutionist, or with an espionage or other secret agent
or representative of a foreign nation whose interests may by inimical
to the interests of the United States, or with any person who
advocates the use of force or violence to overthrow the Government of
the United States or the alteration of the form of government of the
United States by unconstitutional means
8. advocacy of use of force or violence to
overthrow the Government of the United States, or of the alteration of
the form of government of the United States by unconstitutional means
.... 5' linowirig membership, with specific intent of
furthering the aims of, or adherence to and active participation in
any foreign or domestic organization, association, movement, group, 'or
combination of persons (hereinafter referred to as organizations) -
which unlawfully advocates or practices the commission of acts of
force or violence to prevent others from exercising their rights under
the Constitution or laws of the United States or any State or
subdivision thereof by unlawful means
-■ . ,--*-A..,,Jti>Xsj|[,
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10. intentional, unauthorized disclosure to any
person of security information, or of other information, disclosure of
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which is prohibited by law. or willful violati
security regulations
PAGE 17
on or disregard of
- lA
or otherwise actini. II ./V '^.t'' attempting to perform duties.
eovern™lr,h^ acting, so as to serve the interests of another
government m preference to the interests of. the United States
of constitutional priwiegrf^atLt^'self '"^'"'^"*;.! "?«" ^he ground
t.^e« -i F'^ivixege against self-incrimination, to tesfifu
before a congressional committee regarding charges of alle^d ^
disloyalty or other misconduct) cnarges of alleged
EFFECTIVE: 08/12/86
.„ ■■■'I??
'■ ■'.^
'. ^■'
17-5
GENERAL INSTRUCTIONS (See MIOG. Part I. 73-7.. 77-1 and
examination ^^rin' !" PfO^ided to other government agencies for
examination and adjudication. Dependina on thp ri.a^f i.-- ^
reports prepared in the field or memo^Sda sim:a ^Ing ^i^ftJ^t!';
results prepared at FBIHQ are forwarded Tf A0.III I investigative
developed, that -formatL L^%^::[L1-in"t?%"f! e'tj ^L'r^i r ''
summary memoranda sent to the White House. In situat ons ^here a
presidential appointment requires Senate confirmation reports or
unbiased.
(1)
Investigation must be painstakingly exact, fair and
exhaustive aif sh::{rri:r;dr;:gj:3rjLJir:^; ^i^ :;%• .
comment professionally about the^ppliL" ^ Lch aHu in^ss " '°
competitors, clients, and professional associates and thos! „h. .
:nd%e'°:u'"" 1° 'r-"'^" information as to ti;:^ ;on;uct ^i^rsoc^al
:ppM::r:o:i^;i;:r:; rrigu-ar-br::- ^-^ -''- ^'^^ -- -*
to dispense flr^atf"! '^^t^^ ^.^^^i^^' "-
sp^adJn;'^ accusations of character assassination or rum^
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PAGE 17 - 15
nnrf.r c.cU' ^^^ ^°.u°! ""'"'^ impression person being investigated is
under susp.cxon or that the investigation is of a criminal or
subversive nature.
„„, , . ^^\ ^?^^" persons interviewed that investigation is of a
i^d^^^d-^i; -^^ background inquiry and is being conducted because the
individual IS under consideration for government employment, for
l7.lT,r^ ^^ "^r"'-' ^"'^^'•"^tional organization, or ^r access to
his ai inhere t^^"'""" sensitive information in which the government
r«i,-oK-i .- t- ^^f.8«neral concerns (for example, trustworthiness.
«.^ i^K-f -f^' *^f *="'^°"' «°od conduct, and loyalty) addressed by th^
suitability and security standards cited in Section 17-4(6) should be
covered during all interviews. If unfavorable comments are provided,
obtain specific details including whether the information is based o^
direct knowledge or hearsay (see also Section 17-5.1). When
«Wi; ir' °^ '»;"°"d"'=t are received, the person being interviewed
should be requested to provide sufficient details to permit an
«^n!>-r"-'p '^»^%^PPli""t's suitability for employment or access to
sensitive information. Among factors which should be addressed are
the nature and seriousness of the conduct, whether the conduct has
Tkm -f "^""^"« nature, whether there has been any attempt at
rehabilitation, and what the time frame of the conduct was (i e
recent or in the past). Where unfavorable information is developed
concerning a relative or associate, the degree of actual or potential
influence such persons may exercise on the applicant should be
determined. This would include some indications of the frequency and
nature of contacts the applicant has with that individual.
1- .. -fP. ^^'^^ person interviewed who is knowledgeable of the
applicant will be asked if the applicant has ever been Lown to abuse
alcohol or prescription|drugs |or to|use. possess, purchase, sell, or
distribute Illegal drugs, including marijuana.) Obtain specific
details regarding any such activity. Record results of ALL responses
to questions concerning alcohol abuse, prescription drug abuse and
illegal drug use in the details of the report. , ano
1- * -5?^ Each person interviewed who is knowledgeable of the
applicant will be asked questions which will elicit information as to
whether or no the applicant or candidate has a lifestyle or speeding
habits consistent with his or her means. The purpose of these
tZ IT^ ',^ ^l determine if the candidate is financially responsible.
The general nature of the questions asked and the responses provided
by the interviewee must be recorded in report of interview.
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Inconsistencies in spending versus means should be fully explored
during the investigation and may require interview of the candidate
^MH^nnroli r' " !""' financial records, if appropriate and with
FBIHQ approval (see also Part II. Section 17-5.8 of this manual).
1- . .5?^. ^^'^^ person interviewed who is knowledgeable of the
applicant will be asked if they are aware of anything in the
applicant s background that could be used to influence, pressure
coerce, or compromise him/her in any way. or that could have an
adverse impact on his/her character, judgment, stability, discretion,
trustworthiness, or responsibility. The resulting FD-302/insert of
-all persons_inter.viewed_mus.t_.also_be„sufficiently_de.tailed to indicate
this question was asked, clearly answered, and any identifred activi'tV
or conduct was thoroughly addressed. tcLiviLy
(10) Investigative personnel should be alert for any
information disclosed during interviews of persons knowledgeable of
the applicant or candidate which would indicate the candidate had
applied for and was denied employment not indicated by the candidate
during his or her initial interview or when required in response to
questions on personnel security questionnaires.
(11) In connection with many federal positions,
Seci^ioi^'^L'*""" !"''''' 'r.^^^'' an influence on policy and personnel
decisions, the existence of bias or prejudice against any class of
T.llTl "^^''v "l^gious, racial, or ethnic group, particularly the
extent to which it manifests itself (for example, the degree to which
judgment would be affected), is of interest and concern to employing
agencies, FBIHQ will identify in opening communications those
investigations wherein comments concerning possible bias or prejudice
are needed. When this is done, ensure the results of interviews
clearly indicate such inquiries were made. If an allegation of bias
PRtSn*^ xs received concerning an individual not identified by
FBIHQ as requiring this type of inquiry, conduct appropriate
investigation to obtain comments to resolve the issue.
(12) Do not disclose identity of requesting agency or
position involved when so instructed by FBIHQ.
(13) These investigations should not be regarded as
routine. Each inquiry must receive careful analysis and diligent
attention so that all pertinent and relevant information, either
favorable or unfavorable, can be obtained.
,. ,/^*^ °«tails of reports should contain results of all
investigative activity including, where necessary, an indication of
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Manuarof Investigative Operations and Guidelines
rart U •■.■
r . -■.;••.-■■• ■ • ■. - PAGE 17 - 17
why certain investigative steps could not be accomplished or what
steps with negative results were undertaken. Reports settiL f„th
anHr^f^rer: "»"^^= ^^^-i'i "« --^ organized and carefull^'pr epired
TtLrT. ^ sxnce the results are intended for dissen,ination to
orSer oTTtZ' Jf."''''^''''' '" '^^ "P"' ^''""^^ generally follow the
order of Items as they are presented under 17-6. Where an intensive
investigation has been conducted and a lengthy reporJis prepared
provide a table of contents. The synopsis of the report should
succinctly present a summary of the detailed investigat on anj
significant facts, particularly of a derogatory natufe. should be
loZLV"''J'' ""f '""^'"'^^ ""-^"t= '"=h «« "one individual
"ould;not..recommend!Lor.i:arrest.r.ecord_set_forth'i„without including
some indication of the facts associated with those comments *~ —^
(15) Interviews should be conducted in person. Teleohonic
interviews are not permissible unless absolutely reasonaS e I^J" P^°"^"
llTrlT'^l ^: determination that a telephonic interview is
f«!r!r p "r ?T ^5* -^"""'^tances should only be made by the SAC
(see also Part II, Section 7-2.2 of this manual).
«c..,..e. i^^^ Professional titles of persons interviewed must be
accurate and complete; e.g., Major General John J. Jones. United
States Army. Retired, should be set out rather than mere y. General
John, J. Jones. United States Army. ^ v^enerai
(17) When reporting the results of a BI interview it is
very important to always obtain and include as much generic
information about the interviewee as possible. (See also 17-5 4 )
reported:''' '"' '°''°""' information should always be obtain;d and
IandiSatr^rr'\'''f''''* '!';^'*^ "' P"^'°^ ^^ association with the
^K cfniuau!" "' '"*'^'" "^"" '^" interviewee has known (knew) .
The nature of the interviewee's association with the candidate e z
professional, personal, social. ^-noioace, e.g.,
th! ^!;i-/r ^^^ interviewee's knowing the information provided about
the candidate, i.e., personal knowledge, hearsay, opinion.
To illustrate, the following example is being set forth:
John Allan Doe, President, ABC Bank, 1234 Main Street, Bigger Citv
Texas, te ephone 404-596-4356; residence. 10001 Cowbo^ RofS Da lal
Texas, telephone 404-598-9854, advised that he was the candidate's
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ensitive ^-^s?®;
Part II :■-■,. -:■■<:■ ,_, p^Q^ 17-., 18,- •.:f|
-,..'■ ' -i'M'Jfi', ■
Manual of Investigative Operations and Guidelines
immediate superior at the ABC Bank for the last five years candidate
was employed at ABC before the candidate resigned in 1990, and had
known the candidate professionally for the twenty years prior to 1990.
Doe has not seen or heard from the candidate since his 1990.
retirement. Doe advised approximately three years ago, in 1993, he
heard from ABC Vice-President of Consumer Financing, William Johnson,
that candidate. ...
EFFECTIVE: 11/18/96
17-5.1 Derogatory Information
(1) Off ices(developing|derogatory| information|must ensure
that sufficient investigation is conducted|in an attempt | to verify or
disprove the allegation. Expeditiously advise FBIHQ by telephone or
teletype, as well as other offices which should be cognizant of the
derogatory information in order] that they may adequately conduct their
part of the investigation. In 73, 77, 116, 140 and 161 matters,
'derogatory information is to be immediately telephonically conveyed to
FBIHQ, to be followed withiii one work day by the facsimiling of -J
interview(s) or insert (s) containing unfavorable information to FBIHQ. '%
Teletypes are only to be sent in 73, 77, 116, lAO and 161 matters if 3?
other offices should be cognizant of the derogatory information in Jp'
order to conduct adequately their part of the investigation. | %
(2) Whenever a person furnishes derogatory information,
comments or conclusions, that person should be requested to provide c ■
specific facts, details or examples to support the statements being 7||
made. The report should clearly indicate whether or not the '5^'
information is based on firsthand knowledge.
(3) Original sources of derogatory information should be id-
identified and interviewed. It is not sufficient merely to receive v^
such information indirectly or secondhand without an effort being made Ci.
to determine its source and to resolve the matter fully. If for some '^
reason it is not possible to interview original source, report should
clearly show reason.
(4) If a question of identity is involved, report fully
the information developed; initiate necessary investigation to resolve
question of identity; and set out leads to interview original sources.
(5) In view of the possibility that information gathered
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as a result of FBI investigation'could become testimony at an -
administrative or judicial proceeding, set forth results on FD-3
follows:
FD-302 as
"JOHN Z. QUICK, Date of Birth (DOB) 1/1/44, 112 March
Street, Seattle, Washington 90020, telephone (home) (206) 555-1234,
(office) (206) 555-6789, was advised of the identity of the
interviewing Agent as well as the fact that he was being contacted in
connection with the background investigation of Ms. MARY DOE. Mr.
QUICK provided the following information:"
^? . <::■.
_%■■■_ <"S^-
■ ■' *Si'
• '..■:■ -'SSSK'
'■■'■ Ot^^
-(6)_
J-O— the._eyen_t_^that_add[ijtional^.in^
information is to be submitted as an Insert to a report, the following
format is to be used:
4-: .'ii
SE (file number)
ABCtdef (Dictator's/typist's initials)
Seattle Division
At Seattle, Washington
Special Agent TOM PLAYFAIR conducted the following
investigation on Monday, January 2, 1989:
JOHN Z. QUICK, Date of; Birth (DOB) 1/1/44, 112 March
Street, Seattle, Washington 90020, telephone (home) (206) 555-1234,
(office) (206) 555-^6789, was advised of the identity of the
interviewing Agent as well as the fact that he was being contacted in
connection with the background investigation of Ms. MARY DOE. Mr.
QUICK provided the following information:
EFFECTIVE: 07/23/90
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PAGE 17 - 20
17-5.2
Data Obtained From File Searches
Information obtained from reviews of files on applicant
close relatives, references and associates should be used as lead
material during^ the investigation. Pertinent information should also
be organized for inclusion in the details of the report. Pertinent
admissions, denials or explanation of associations with individuals or
groups should be reported. Keep in mind this material will be
disseminated to other Government agencies and, in some instances, to
committees of the United States Senate. Any considerations affecting
dissemination, such as material subject to Rule 6(e), opinion of the
.United_States_Attorney_regarding_«teas_e_of_information in pending
investigations, protection of sensitive sources, and any restri'cti^i^
on use of information regarding third parties, should be carefully
examined. If necessary, consult with FBIHQ concerning the manner in
which the information can be presented.
(1) Information on applicant - Office discovering
derogatory information in its files on applicant should organize and
report it unless data is contained in case in which another office is
origin and that division has received copy of FBIHQ communication
initiating investigation. In latter event, only office of origin in
previous case should report data.
(2) Information on reference or other person to be
interviewed - Office conducting interview has primary responsibility
to report derogatory information. If this office has incomplete
information but another office, such as office of origin, has complete
information, office conducting interview must ensure that office
having complete data reports it fully.
(3) If the only investigation required by an office is a
file review, FBIHQ should be advised even if no
office indices.
record is located in
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17-5.3 Association With Individuals or Groups
(1) While the First "Amendment protects an individual's . ' .
right of association, there are areas which are of legitimate interest
to the Government in connection with employment consideration. In
this category would be associations with individuals or groups which
would deny other persons their rights under the Constitution, which
advocate overthrow of legally constituted authority through violent
means, or which engage in crimes against persons or property.
(2) Check names of such individuals or groups through
office indices.
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(3) Conduct inquiries to verify or disprove the alleged
affiliation and provide characterizations of individual or group V
involved. Ascertain knowledge of or agreement with policies of group ■':
as well as dates of affiliation and extent of participation as member j
or officer. Contact logical informants familiar with group or ^
allegations involved. f
(4) If an individual is involved, ascertain the degree of ,",
association which exists and the extent to which applicant is aware of -
that individual's activities. The extent of influence which this 5
person can exercise over the applicant should also be determined. '$
EFraCTIVE: 08/12/86 ^.
17-5.4 Freedom of Information Act/Privacy Act of 197A (See Part ' -^
I, 190-5(3), 190-7.3.) %
■ ■ i '■
(1) Pursuant to provisions of the Privacy Act of 1974 :""
(Privacy Act), all persons interviewed during background
investigations (Bis) must be advised by the interviewing employee of ■'■'-
the purpose for which the information is sought (a background "'^'
investigation), the uses to be made of the information (to determine a
person's suitability for federal employment or access to national ;?
security information), the provisions which allow a BI candidate
access to our records (i.e., the BI results, including an i;
interviewee's comments), and the interviewee's right to request ^ -
confidentiality. =v^
(2) The Privacy Act permits a United States citizen or -^
permanent resident alien to access records pertaining to him or her
maintained in a system of records by an agency of the Executive Branch
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of the federal government. Such an access request is processed under
the provisions of the Freedom of Information Act and the Privacy Act
(FOIPA). .
The Privacy Act also permits the FBI to protect the identities of
individuals interviewed during Bis who expressly request that their
identity be held in confidence.
(3) When an individual has requested and been granted an
express promise of confidentiality, it is absolutely imperative that
this fact be clearly recorded along with the results of the interview.
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Information collected by the FBI in these Bis will be disseminated to ,»
other government agencies and can also be made available to Senate '
committees when confirmation is involved. Therefore, when an •%
individual interviewed during the course of a Bl requests -.;I
confidentiality under the Privacy Act, the level of confidentiality ?
must be clearly set forth in the document recording the results of the '
interview (i.e., insert, FD-302) I The three levels of
confidentiality, an explanation of each, and the proper method to
record them when reporting the results of interviews are set forth ' ?:i
below:
(a) When interviewees request that their identities ;?
be protected from the candidate only, the following language is to be Hi
used: -^
"(Name, address, etc., of interviewee), who requested
that (his/her) identity be protected only from the candidate, (name of
candidate),...."
Under this level of confidentiality, the interviewee's identity could
be included in documents provided to those agencies and/or certain
members of congressional committees which have a need to access the
candidate's Bl. However, pursuant to an FOIPA request, the
interviewee's identity and any information provided which could tend
to identify the interviewee would be withheld from the requesting
party.
(b) When interviewees request that their identities
be protected outside the FBI (total anonymity is desired), the
following language is to be used:
"(T-symbol, i.e., WMFO T-1) , who requested that (T-
symbol's, i.e., WMFO T-l's) identity be protected from anyone outside
the FBI,...."
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1. Under this level of confidentiality, the
interviewee|s identity would not be included in documents provided to
those agencies and/or certain members of congressional committees
having a need to accesis the candidate's BI. Here also, pursuant to an
FOIPA request, the interviewee's identity and any information provided
which could tend to identify the interviewee would be withheld from
the requesting party.
2. |When reporting the results of a BI interview
of a person who has requested total confidentiality, it is important
^t p.. Jnclude_.su_f Jjxijmt injorraat^^^^^ i shthe
credibility of the information provided and of the person^roviding
the information. This information assists the client entity in
assessing the reliability of the interviewee and/or how much weight to
attach to the information provided by the interviewee.
FBIHQ recognizes that it is sometimes difficult to include
specific information with regard to the interviewee due to issues
involving confidentiality; therefore, it is very important to always
obtain and include as much generic information about the interviewee
as possible. (See also 17-5(17).) For example, the following
information should always be obtained and reported:
The interviewee's relative length or period of association with the
candidate, i.e., how long and/or when the interviewee has known (knew)
the candidate.
The nature of the interviewee's association with the candidate, e.g.,
professional, personal, social.
The basis for the interviewee knowing the information provided about
the candidate, i.e., personal knowledge, hearsay, opinion.
To illustrate, the following example is being set forth;
WMFO T-1 (hereinafter referred to as "T-1") , who requested that T-l's
identity be protected from anyone outside the FBI, advised that T-1
has known the candidate well professionally for approximately the last
twenty years, and socially the last ten years. T-1 advised that T-1
is aware that the candidate used cocaine and marijuana on a frequent
basis over a five-year period between 1980 and 1985 because the
candidate has discussed his drug use with T-1 and others in group
settings on several occasions. ... |
(c) When interviewees request that their identities
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(a) Use the following paragraph when one or more
interviewees have been granted confidentiality: "All persons
interviewed were furnished the appropriate provisions of the Privacy
Act. Express promises of confidentiality, both limited and unlimited,
have been granted to the following individuals:...."
(b) Use the following paragraph when no interviewees
have been granted confidentiality: "All persons interviewed were
furnished the appropriate provisions of the Privacy Act. Express
promises of confidentiality have not been granted."
(5) Promises of confidentiality are not to be encouraged,
but granted when it is the only means to secure information from the
individual being interviewed. At what point in the interview process
the person interviewed should be told of the Privacy Act and given the
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be protected until such time as required in a judicial proceeding or
administrative hearing, the following language is to be used;
"(Name, address, etc., of interviewee), who
requested that (his/her) identity be protected from the candidate
until such time as it is required in a judicial proceeding or
administrative hearing,...."
1. If interviewees request this level of
confidentiality, it is recommended that they be asked if they would
like to be advised prior to their identity being disclosed in such
_p.roceeding8_ pr hear ings., If__S0t th is is also to be set forth in the
document recording the interview results. ~ ~~ ~~ ~ ~~ ~
2, Under this level of confidentiality, the
interviewee's identity could be included in documents provided to
those agencies and/or certain members of congressional committees
having a need to access the candidate's background investigation. It
would not be unnecessarily revealed in a judicial proceeding or
administrative hearing to the candidate, until such time as it is
required. Pursuant to an FOIPA request, the interviewee's identity
and any information which could tend to identify the interviewee would
be withheld from the requesting party unless it had been previously
released to the requesting party in a judicial proceeding, «|§
administrative hearing, or was otherwise officially acknowledged.
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(4) In addition to reporting the level of confidentiality ^>|-
requested by a BI interviewee, one of the following statements must f
appear in all background investigation communications reporting the ''-■-
results of interviews under the heading "Administrative":
m
^iit
opportunity to request confidentiality is left to the best judgment of I''
the interviewing employee. However, the logical time is at the
beginning of the interview to avoid the appearance of intentionally
misleading or misinforming the person being interviewed.
EFFECTIVE: 06/03/96
l/~5.5 Terminology
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Stereotypical language should be avoided (e.g., "100 ' ^^~
percent American," "liberal," "conservative"). When a general
attribute is being attached to an individual (e.g., "abrasive"),
provide specifics or details as to how the person relates that term to
the applicant. Refrain from giving a negative cast to interviews by
using statements, such as "unable to furnish any derogatory
information," but instead report what information the interviewee is
able to provide.
EFFECTIVE: OA/18/88
17-5.6 Interview of Applicant (See MIOG, Part I, 77-5 and Part
II, 17-3.2.)
... , (1) Applicant must be interviewed at the inception of
the I investigation. The applicant must be advised that the purpose of
the interview is to ensure that complete (current and accurate) '
information is available concerning the applicant. The interview is
not to be confined to biographical data, but also is to be directed at
developing any information known to the applicant that could have a "
bearing on the person's suitability for federal employment and/or
eligibility for a security clearance or access to sensitive
information. The results of the interview must bejreported on an FD-
302. Results must be incorporated into details of report and any
necessary leads set forth for FBIHQ and appropriate offices. The
narrative of the FD-302|must |be sufficiently detailed to reflect that ■
[the applicant was advised of the interview's purpose and that(each of ^^'
the following points was completely and thoroughly addressed in the &s^
interview: '■5?;S
(a) Completeness and accuracy of the SF-86. The
majority of the interview should not be spent reviewing the SF-86. In ;"
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_^„ui^„_ • . ^' 7 j-.^** vay vuveieo, eitorcs ana/or
problems in paying the tax. Do not conduct any further investigation
concerning federal tax delinquencies or back payments—FBIHQ will
provide the information directly to the client agency which will
consult directly with the IRS if necessary. For state and local tax
delinquencies or back payments, immediately notify FBIHO. If
instructed to do so by FBIHQ, set forth appropriate leads to field
offices to verify the information provided by the applicant. |
t .. ^^ Ji'^M^'''^^ suits as plaintiff or defendant, including
divorces. Identify issues litigated. *
' ^. |(e)|Any involvement in criminal matters as suspect
or subject or any criminal charge, arrest and/or conviction.
I , |(f)|Any denials of/employment and/or dismissals
particularly m the Federal sector. Include reasons.
' ^ , |(g)|Any contact with representatives of foreien
countries. *
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. ^. . ^^^ Details of professional complaints or any
nonjudicial disciplinary action, e.g.. bar association grievances,
better business complaints, student or military disciplinary
proceedings, Equal Employment Opportunity complaints, etc.
. (i) Business/investment circumstances that could or
have involved conflict of interest allegations.
^. , . , ^J^ Details of any psychological counseling with
psychiatrists, psychologists, other qualified counselors or others.
(k) Any prescription drug or alcohol abuse, illeeal
drug use, to include marijuana and participation in drug/alcohol
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most cases, it has been reviewed by FBIHQ personnel for completeness. ■¥
but no^ i;«;^.^ i-^^'^ Personal and business credit issues, including,
but not limited to. repossessions, delinquent student loans, debts
placed for collection and bankruptcy. (See Part II, 17-5.8.) C
kno^i.x • .t^ Iu>^paid tax obligations. To the best of his/her -
knowledge. IS the applicant current on all federal, state and local
tax obligations. Has he/she ever made back payment of any such tax?
This includes but is not limited to. income taxes, medicare taxes,
social security taxes and unemployment taxes. If tax delinquencies
-0£ back Payments_are_idenu^^^ type and amount (original
and current) of tax owed/paid. taxTea7(s)-c^ered.-Tff or^^A
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counseling/rehabilitation programs, during applicant's entire adult ''0^
life (since age 18). Identify all drugs used, when used, duration of ,*#
usage, amount of drug used, place where drug was used (public or '^f;
private setting), how the drug was obtained, whether or not applicant ^■■
has provided drugs to anyone, if . applicant has purchased or sold
drugs, others having knowledge of applicant's drug use.
(1) Memberships in organizations whose policies
restrict membership on the basis of sex, race, color, religion or
national origin. . Determine if, in fact, the membership of the
organization includes minorities (Presidential appointees, U.S.
_Bankruptcy,_.Special_Tribunal_andJL..S.^Jlagistr^ale_^Ju_dge^^
is determined that a candidate has been a member of such an
•^
organization within the most recent five-year period, determine the
candidate's role, for example, as a policy-making officer, in such an
organization; determine if any steps have been taken by the candidate
to alter official or covert restrictive admissions policies; and
ascertain the candidate's personal viewpoint toward such policies.
Any organizations that are determined to have potentially
restrictive/discriminatory admissions policies shall be checked in
field offices' indices for pertinent references.
(m) Any involvement in any organization which
advocates the use of force to overthrow the U.S. Government, or any
involvement in the commission of sabotage, espionage or assistance of
others in terrorism.
(n) I Concealment of any activity or conduct that
could be used to influence, pressure, coerce, or compromise the
applicant in any way, or that could have an adverse impact on his/her
character, judgment, stability, discretion, trustworthiness, or
responsibility. |
(2) The report of interview need not reflect the specific
questions asked of the applicant. A question and answer format is not
desired as it tends to result in a "checklist" style of interview and
failure to fully develop all information the applicant may possess
regarding a specific area of inquiry.
(3) The FBI accepts investigative requests from other
agencies with the understanding the referral agency has notified the
applicant of the Privacy Act requirements described in Part I, 190-
5(2) and (3) of this manual. This notification would cover an
interview of the applicant by the FBI if confirmation is received from ■;
the applicant that the advice was furnished. The applicant can also
be informed that the interview is being conducted as a result of a
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request from the, referral agency for the FBI to conduct a background
investigation; that the purpose is to ensure the FBI has all the
necessary information to conduct its investigation, the results of
which will be disseminated by the FBI to the requesting agency as well
as for other purposes consistent, with the FBI's responsibilities; and
that failure to provide the requested information could hinder the
FBI's investigative efforts and cause delay in forwarding the
completed results to the requesting agency for its use in making an
employment or appointment determination.
(4) This interview is intended to obtain information to
_f a c i H_t a t e _our_i nye s.t igatiye ef fort s. If an applicant provid es
information which could become a suitability or access issue, this
should be fully explored with the applicant at the time of the
interview. However, an applicant should not be contacted to resolve
suitability or access issues which are developed during the
investigation since resolution of such matters is primarily an
adjudicative responsibility of the agency which requested the
investigation. The FBI will conduct an interview to address such
matters only when specifically requested or authorized by the
employing agency.
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17-5.7
Possible Testimony at Hearings
The possibility -exists that an individual who furnishes
derogatory information could be sought for testimony at a hearing if
employment is being denied based on that information. Therefore,
attempt to obtain a signed statement whenever such information is
developed and obtain a statement concerning that person's availability
to testify at a hearing.
EFFECTIVE: 01/18/91
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17-5.8 Review of Financial Records
PAGE 17 - 29
FBIHQ will accept an applicant's or candidate's financial
data when provided by the agency requesting the investigation. When
such data is provided, it will be reviewed at FBIHQ for any obvious
leads and then forwarded to the field. Investigative personnel should
compare the provided data with the results of credit checks and
responses of financial questions asked of interviewees knowledgeable
of the applicant or candidate. The candidate will not be specifically
asked by the FBI to provide financial data unless it is necessary to
resolve an issue. FBIHQ approval must be obtained before requesting
.such„dat a[__f jrpin._a_candi da^t e .
EFFECTIVE: 08/28/91
17-5.9 Status Inquiries
Occasionally, representatives of the FBI receive inquiries
from Executive Branch agencies. Congressional committees or the
applicants themselves requesting the status of a particular background
investigation or to request that the matter be expedited. Some client
aigencies have requested that these inquiries be referred to them. The
FBI must ensure that the desires of the client agency are followed in
investigations being conducted at their request. Therefore, any
requests received regarding the status of a background investigation
should be referred to FBIHQ prior to a response to ensure that FBIHQ
is in a position to promptly notify the client.
EFFECTIVE: 08/28/91
17-6 SCOPE OF FULL FIELD INVESTIGATIONS
(See MIOG, Part I, 73-8.4(1) (a) , 77-3, 77-4.5, 77-4.7,
77-4.8, 77-4.9, 77-4.11, 77-6, 116-7, 260-2.5(2),
260-4.1(1) (b) and 260-4.2 (3) (a) , Part II, | 17-5(14) .) |
The scope of investigation may vary depending upon the
position involved and whether or not there has been a previous
background investigation concerning the individual. Some
investigations are limited to the past 10 years of the applicant's
life, exclusive of records checks. While the general scope of
investigation is set forth hereinafter, the investigation should not
be limited solely to the steps described herein. A thorough
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examnation of the applicant's personal history should be made alont
ri!. i^^k" *"^-°\^^ '^^ position involved. Investigative ingenuity
should be exercised xn an attempt to identify other leads which could
reasonably be expected to produce relevant information concerning the
applicant. The office should determine what resources available to it
in the form of liaison contacts, informants, or assets which would be
in a position to have knowledge of or provide comments concerning the
applicant. For example, if the applicant is a bank official, contact
should be made with the squad handling banking violations to identify
any logical contacts which could be made to obtain comments about the
applicant. In some instances, depending on the position involved
_ajid/_or_the appJ.icanLLs_.backgr^und,._sp.ec^^ concerning
contacts with informants or assets may be issued by FBIHQ. Variances
m the scope of the investigation will be noted in the instructions
set forth in the opening communication. It should be further noted
that when issues of a pertinent or derogatory nature develop,
investigation should be conducted to bring these issues to a logical
conclusion, irrespective of the scope of the investigation.
EFFECTIVE: 05/27/94
17-6.1 Birth
[Verify applicant's date and place of birth at a bureau of
vital statistics in all background investigations conducted for other
Government agencies.
EFFECTIVE: 08/28/91
17-6.2 Naturalization
CD If applicant and/or spouse obtained citizenship
through naturalization or derived citizenship through naturalization
of parents, verify this through records of the Immigration and
Naturalization Service (INS) or from court records. In view of time
constraints, court records may prove to be more accessible for prompt
review. In 116 matters in which Sensitive Compartmented Information
?R?«n? ^'/?^"^«d (which information will be provided to the field by
FBIHQ) and in all 77 and 161 matters, the naturalization of close ■
!«K^i^^°'*r^%"/^^""^*' siblings, children and spouse) and current
cohabitant (s) (residents of same household, living in spousal-type or
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roommate-type, relationships, but not domestic/other employees) also
must be verified.
(2) If applicant and/or spouse are foreign nationals,
verify immigration status through INS, usually at the INS District
Office covering the current residence; In 116 matters in which
Sensitive Compartmented Information access is required (which
information will be provided by the field to FBIHQ) and in all 77 and
161 matters, the alien status of close family members (parents,
siblings, children and spouse) and current cohabitant (s) (residents of
same household, living in spousal-type, or roommate-type,
XeJJLt Aons^liP-g » but not dome s tic/other_gmployee£J also mus t be
'"'Mi
verified.
EFFECTIVE: 08/28/91
17-6.3
Education
(1) All college attendance and degrees obtained falling
within the scope of the investigation should be verified. If
applicant has not obtained a college degree during the period of time
covered by the investigation,, the highest college degree obtained must
be verified, regardless of the time frame involved. Although detailed
records of study need not be reported, dates of attendance and
available class standing or grade point average (include scale
used) [are to|be set forth. |a1so report information | concerning
academic honors or | probation. Make inquiry as to the location of
disciplinary records and review those records for any information
concerning appointee. | If school does not m3intain[any of the
above I information or has a policy against releasing such data, include,
an appropriate statement in the report.
(2) If education has occurred during recent years (last 3
years), professors, teachers, advisers or fellow students should be
interviewed.
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(3) If records or professors, etc., are not available, a
clear statement should be set forth from a responsible official at the
institution explaining the situation.
1,-
(A) When no college degree is indicated, high
school I graduation must be verified. Even if graduation from high
school occurred prior to the period of time covered by the
investigation, that information still must be confirmed. | It will not
if'**!
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be sufficient to merely check a^^««/^,- \. ^ . '%
college institutions wherein nac!?f/^ business, commercial, or 1$
without alsoiverifyLglhLh school J'^: ^'?"" ^" ^^«" "^t^^""**
documented ii those a^ii^mic recorif th^? Jh"' "J'" '' '"^ ^^^^^^^
high school, I records that the applicant graduated from .l.
EFFECTIVE; 01/18/91
17-6.4 Marital Status
Office of the pfrd:rAt;orn:v'"n^-r"''"'''°"^ con^u^e-dToV-t he-
regardless of the scooe of ??' ^^^Y°^"'' ""^t be verified
divorces in iJ^tl^J^^ co^dicnff^^thrOf ^"elf \'r"^°; °^
Attorney, refer to MIOG, Part I. 73-8.4 (2) (g) ^^^ '^"'*°"
Divorce (s) should be verifipH hh,-«..-»,
(e.g., court records) Jden?ifvwhSh* 'T'" °^ ^PP^priate records
defendant as well as he gr'^nds for .n^^^""/''" pUintiff and the
other pertinent informatiormus? be ^h. !'" °- ' ''*" '^^^""- ^H
has complied/is complying wi?haU.r"^^ ^'^" ^^ ^^'^ applicant
timely basis (eg chilf Z ""rt-ordered obligations on a
violence, abuse o;'i^sUbiHtv'oTti '"^^r'/^ ^"''^'^" °^ -J'
this information is not at! labia tul ^V '' '^' ^PPlicant). If
records, efforts tnusJbe laJe tJ obUin^^%r^''r °' ^PP^P^^^te
applicant's attorney of record in ti^H-v ''"^'^ ^" interview of
attorney's representativr i? fh" • ""^ Proceeding or the
made to obtain this infor;atifn ^^r/^^l^r"""'"'' «"°^ts must be
If the aforementioned effort fa frfconL' tTJ""^^'' " — Pouse(s).
I effort to Obtain/verify the';ec:ss;rri:fL"atio:.r^^^^^ ^" ^"
reported, iust ^'Je^rTJidiclte^^heJiro" ^"^^r^^^^-^' "
financial obligations^n the IjpUcant If" H T^' '"^"^^'^ ""^
address whether or not the anoU^.^f k* °'. ^^«"txfy each and
the obligations pursuant to Kec^urt's^ord^r-^'^'f-^^^^^^^^ "^^^
no obligations were/have been Lp's'J. so stat;?|' "''^ "'"""• '^
Office of s parZ'AJ?or::yf^:rrex-r::;ifrr"^ r^^^-^^^^ ^^^ ^^^
within the scope of the investi^-i,! =P°"f«\f'o° divorces occurring
interviews of ex-spouses in!iif!f-."^ ^° '"' interviewed. For
Of the Pardon Atto?::^:%:?er"r:i §s^p°:;t^^"13%^^^%^ f) °"i"
dxvorce occurred prior to the scope of th" in^esHga^io^fie ' ''^
Sensitive
PRINTED: 02/18/98
Sensitive
Manual^of Investigative Operations and Guidelines
PAGE 17 r 33
considered nicessarv'tf reLJ^r"''** 'f"" "^^ ^« interviewed if
eo necessary to resolve issues developed during investigation.
|(5)lf any question about the applicant's curr.»nh «^
previous marital status develops, attempt II ^eri y thro^g^
verifTJhro'u'r^t?" " not available, efforts are to bTmade to
verify through other appropriate sources.
icouxve issues must be clearly reported.
^«:^
EFFECTIVE: 11/18/96
17-6.5
if'
Employment
... ^. ^^^ ^^^ employments falling within the scona of th«,
investigation should be verified. If not possJb e to veri^v
e.ploy„.„t recorded. .„„ th. „.„„ tor t.m^fji^rdit^r.Jn":!
(2) Supervisors, co-workers or other aDoronriafr»
.deiti.„ to a„, iho .a'\:"ur?:: ii-riititli o"^":.:.":;..'' '°
review the articles of incorporation. If the business is a
"^^i-
Sensitive
PRINTED; 02/18/98
-^3^
,' nyr'-v?'"
iK
^A^^.
Sensitive
Manual of Investigative Operations and Guidelines
rart II
PAGE 17 - . 34
ageJc!es?'^h!cf th"' '"""l' P-fessions regulated by licensing' '
eouivalen^^ fr "'"^' "^ ^^^ ^"""^^ Klerk's Office (or ?he
equivalent; for any grievances.
lifflit«rf H»^/•'^ If the employment record has been destroyed, or only
th! s ?he situ^tiin M "r^' "'""^"^ '"" appropriate p;rson St
persoiallv to th!f r* determine whether applicant is knovm
the ?rf!if-^ ^/ ^f"°" ""^ whether that person is able to provide
the Identity and/or location of others who might have known applicant.
interviews of^L/^''"''" °^ unemployment should be accounted for, and
ir;rowd!nrrJ"^kn;:nx:!^°^^^^^^'--«^^---^
. ■ " • ■;#■
.*: • •• >.jr
EFFECTIVE: 11/28/95
17-6.6 Military Records
tnilitarv servJL ^^Sfr-*^"?^. be reviewed if applicant indicates any
rj^j! Z^- ^ ^ National Guard records should be checked at the
servicf r'°^- ""** headquarters. Review should include dates of
service (active and reserve) , awards received, rank attained
E;pe"oT:i:chr::r::c°ei;ed^:^^^^^^""^ -^^-- -— - «"-ed. and
service thr J^i .^J^'l^ s::^:^'^^ ^fletr^ils^IfifLs
Of a^^licanJr^^"' observation of any military records in possesion
di,rhar<,-H ^^\ ^5 ?PPl^""t is on active duty, or has been recently
discharged, conduct interviews of supervisor and co-workers at cur«It
HmitL'tr"' "^^«'^"'«"t' - the United States. | Interne's are
i^years p^Jor'^i'ti: Tt ^V^^^^" applicants have had within the
cwo years prior to the date of their last military service, if their
military service was within five years prior to the date of their
application (See MIOG. Part I. 67-7.8(9) & (19) & Part II.
ass?gn;eit."" commanding officer and review records at place of
^
Sensitive
PRINTED: 02/18/98
Manual of Investigative Operati
EFFECTIVE: 11/28/95
Sensitive
ons and Guidelines
PAGE 17 - 35
17-6.7
Neighborhoods
year. should^Je int:?vi:::d?' ?f%"pi ifa^r ''^^^ '"^'"« '""^ '^'' ^-«
the location, attempt to identifv fh " ""known personally at
rental agency and verif^ fro^ records.""'' °' ''^ """"''''^ °^ '^«
(2)
should be
five-year limitation.
II._derogatory information is rfBv«i««»j . / . .
conducted in lozTcllnllahh^.tj—'-^^
logicai neighborhoods without regard to the"^
inquiries in neighborhoods ^h'^^u' '" «"<l"voring to conduct
whe're applicant fesJedl; Trl^JlT, T'^t^i"'-" °^ residences,
trailer camp, unless investilatL! ^- Periods, such as one month in a
for such inquiries. '"^"'^^«*t^^« circumstances indicate a necessity
The summary PalgL^^^^t^irin'Sic^^^e^lharfa^'^^r "^ --"-«<»♦
made concerning applicant's ri«„!? favorable comments were
loyalty, should inc luSe the lenlth^fV*"^""'"' "P^^ation. and
and should advise if favor^hi * ^'"^ applicant resided there,
employment wer^^ade.'^n^de o.ItSrTrnlo'lT^ for Government
in complete detail. For each S!r!! ^"^ ""^"f tion should be set forth
address and number of ;earsapjii:::;trr:f^' T' '°''' ''^^"'^^y-
unknown at the location, repo?? identifv of " °'"' " ^PP^^^nt is
provided that information. ^''^"tity of persons contacted who
investigatioi!^tt^%^^^^^;?/:^2d:"Lt:: iTr^' ^'^^^
and other individuals in a nositfon ?! J^""8h references, associates
EFFECTIVE: 12/10/91
Sensitive
PRINTED: 02/18/98
:;.m!
Sensitive
p^^t'll**^ ^"''*''^«*^^^« Operations and Guidelines
17-6.8
References and Associates
PAGE 17 - 36
shnt.iH K • f^^ .Generally, all listed references and associates
wUhiut a^'ex^iT'- f ''^""' '' *" individual cannot be'on acted
without an expenditure of unreasonable time and travel or an
d^U^Ihe i^i t': r"^^i^"« ^- '^ P"-«i o^ ti.: :Lch e^uU unduly
ad«nLh« • ■ ^®* r* ^"terviews need not be conducted provided an
adequate inquiry can be completed without that interview? The details
sLu^H "P"'^^*^^" <* ^^J^i" that the individual is unava lable and
should recount what efforts were made to contact that person!
IZJT^T^ --f-2l^-^inlor!5ati^n_i_s_avai lable which would preclude an
interview, the individual should not b^c-^,^t^t^— E^i^^^^^—
irZpinii:' ^'^ "^°^' ^^^ ^^^^ -^^ - interviewt';;t°" ^'^
■tif-
reference orlL.^T '^^'^^^^tory information exists concerning a
!^!^^.T , . f"*"'^^^' *" appropriate characterization of that
individual should be reported and the nature and extent of aoolic.nh'^
association with that person should be developed. ^PPl-cant s
*i„rf o= • /^^ In recording results of interviews with references
TJJ °V / '"''"^" information as to the nature of thf
tiif :r?h:^st?i;t!o":^' °^ P-fessional basis) and the length of
r,nni,V» *• f ^^l ^^''^^^ interviews with persons knowledgeable about
applicant (such as neighbors, co-workers, supervisors. listed
references and listed associates), obtain identity of associates of
app leant and ensure that persons other than those Le^Ified by
applicant are interviewed. oennriea oy
individual. 5f f^^'^ish name and identifying data concerning other
fiaiceje) to FBliS J^^^^^'^^-th applicant such as roommates and
Service! D,-v- J ^ / '^^''^ "^ Criminal Justice Information
services Division records.
■■•J?''
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EFFECTIVE: 05/27/94
Sensitive -
PRINTEDr 02/18/98
■mm-
^^B^mm
Sensitive
Manual^of Investigative Operations and Guidelines
PAGE 17 -: 37
17-6.9
RelativesKSee MIOG. Part II, 17-3.4(2) (b) . 17-6.U.)
parents. brotiers'anrsCurs'"other''r ^-^'"'^ ^^°""' ^^^^'*-"'
residence as applicant or „ho'w«r!^ re atxves who occupy the same
applicant's u^i^X. llyruTll tl^^^'^'^'^' "^^»^ ^^«
sfrv In^'"'^"" through I Criminal Just e InfLmatron """"
-Sgrvi ces. Divis i on records . However if th^l u H ■
an office devel^r7.rf"^Tr„r ~^'~^ •-~-"^- other investigation,
part of a reHti^e nftifv F«T«n !'"'"^ criminal activity^on Ve— ^
report. "'*^^^*' ""^^^y ^BIRQ and include information in details of
included in ^^S^^^^lr^^i^l/^^.tl^'lrr^
"TaSSi?!-:/-,--^-^ i^r '' -I --""--;s^:^tif:?::.
interested offices alon^ii^H"'*• promptly notify FBIHQ and
•c -k . " oJ^i^ices, along with necessary identifvinc da^a c7-.'i ,
If It IS determined data provided by apnlicant [«?« ! Similarly,
advise FBIHQ and interested offices! ^^P^'""*^ '^ ^" "«■"' promptly
concerning a ^ciose^elatKe°'■?h'"'°^'^'''^*''"'^'' '^^ is developed
the appliLt sh"ld i:':rc;rtain:;'"'^' ^"' ''"^^"^ °' association with
EFFECTIVE: 04/08/96
■■■■■ 't v. . •
'.*
Js£.
'S-
17-6.10 Credit Agency Checks
bureau p.r.c'ii, ^'r^BiH?"!;; rii; L'v^r"!':?.'' "f "'" — "
Sensitive
PRINTED: 02/18/98
Sensitive
Manual of Investigative Operations and Guidelines
rart II -■ ,
PAGE 17 - 38
covered bv thf R-^il^^ 'l-'" "?"""y to access records which are
covered by the Right to Financial Privacy Act of 1978 Crppa^
(«.„,r,lly bank.. .,vi„,. ,„d U.n ....L^UoL. LLu ^^on. ,„d
Of 1978, which must be executed by the interviewing Aeent The
llltolZtZnfllT'' 'T ?'-'"' ''''-'''''' "Custo^r c;nsen and
nni !a^ K ?/! "**" '° fi'^ancial Records." Copy of executed
?o be re^::; d ''%^"^"jf'^f.t° «-^ o«-e where finLciarrec rds are
authorni^"! ; ""^ «««tive use of this customer consent and
_^M.t)iqpz^Uqn.^op.,_en_sure,app^ all financial
s": uf^ro^^^ir' '^^r'f '^ ^^^"^^ ""-Th-ryuTposeTSldTTs^^
"Certificate LT '*^f. '**""• .^" addition. For« DOJ-461 captioned.
197^" « ^^ Compliance with the Right to Financial Privacy A^t of
alon; .ut^'j^lTelToV',' "supervisory official" and transLtUd
recordrmav hf ohf ■ ^ financial institution before financial
is an ab^cL? °"^^"«f-./he certification of compliance requirement
unaer if.ttA. bee Part II, 23-6, of this manual, particularlv
concerning method of identifying material which is incorporated in
■ ■■ ;■,■■■■<?•,•*«>;.
M
EFFECTIVE: 08/28/91
17 6.11 Law Enforcement Agency Checks
(1) |ln all localities of residence, education anrf
employment check the applicant's name agains fi es "f U;al Uw
denartr; J^ff '": ' I ''"^ checks|are not to|be limited to pHce
departments but I are to|include records of sheriffs' office, orither
du y constitu ed authorities which cover an|area (i.e.. Sui^ary
veilcle^'di-n' r^-"^"'"'" °"-* ''''''^'^ installation .aif^oTor
vehicle administrations or equivalent agencies.) Where centralization
of records on an areawide or statewide Lsis is in effect Ithosel
recordslare. also|to|be reviewed. jSome law enforcemenragincies '
departmentalize their operations, making it necessary to check record,
necessary da^f wh^fh^dC^Jlfii: ^^^^^^ tl^lt ^^^^ ,,,
c-h^t-r-hrap^r-jT^^^^
.-ir
Sensitive
PRINTED: 02/18/98
1
Sensitive
Manual^of Investigative Operations and Guideline,
PAGE 17 - 39
blotter, or case fil*. f^^ .^. ^^^^ existing court docket,
sHouid It -"::ef:a:.:^j- i^-:-L^r:.^?::rlf L^a:rr:!^^^ :
generic and inLf ?nUri"Lture"'%''' T'^ °" ^'^"«" "^^^^^^ -«
disorderly conduct? Ui "ring eU ^"J^^'" °^ ^"'^^ --«- charges are
sufficient merely o report f hat a^oi • T ^"*t^""». it is not
charge, but the exact Se of annf-'"!" """' arrested on such a
arrest must be ascertain.^ J ^PPl^"nfs activities resulting in
encompass activi ies ran.f;. f "^^ °' disorderly conduct might
exacT'nI^urVof7tf^f;h^^2^'-f^5"-^
exact nature~oT-s^,irnh%%%-iJ^^f-f^J^f^^^^
report. ascertained for inclusion in
it is disclosed thr"oug? U: e^forc'el'nt"^' background investigation, if
the subject of a current crimfn^r .'"''' ^" ^^^"^ ^^« applicant is
the background investigator nab«r" ''*'.' ^°'^' '''' ''''" ''^'"''^ ^old
escigation m abeyance and immediately notify FBIHQ.
EFFECTIVE: 08/28/91
17-6.12 Tax Matters
questionable'^n^anfial'staJurco^''"'' '"' '""'^ *"^«" there is
Federal Judgeships SsAsT^ concerning presidential appointments.
Associate Aftorney'cenerll L^^^n? :;e°*'"'^ f '""^^ ^-"^^'
heads members of'u.S. PaJ^le" ^^J" ior:;;ru'%'^\';;' ^^P"^-"^
and others as directed bv FBTHn ''^°" ^^Q U.S. Courts applicants,
standing to auxiliary off ilL?* '^"^'^^^h questionable financial
of IRS records required the L?'^"^^'" ^'^"'^'- "^"« ^ ^^-k
requests. "quired, the interested agency will make necessary
EFFECTIVE: 12/10/91
Sensitive
PRINTED: 02/18/98
, Sensitive
Manual^of Investigative Operations and Guidel
mes
17-6.13
PAGE 17 -
appropriate area nff,v« «» ec- *'»*""> security files of
checked. handled clearance procedures should be
nan,e should b^ cheaent'the'S's^'I^'"'""' "^"•'"' '""^ -PPHcant's
Of residence, e.ploy^en? or eLatto^^fo^'' i/"'^' """^"« ^""^ "-
applicant has been involved in anCF!^ ^ ["5?'^'»ati<>n that the
the U.S. Attorneys Off^lL „Ul'Sr chec'Ci l^^'^' ^^f/-"^» ^^
name during other investigations where the a«n " ^ • ^P^^""''*
in a sensitive position. regarSJe^s of wh!^h^^ ""^" ^° ^^ employed
to receive a presidential a?Doint»L? ^ ^'^ "°^ ^*^* candidate i.
Level II 161 investigation^a^i cer?« ' ^f ■ ^" *'^ ^^^^^ ^ ^"<i
Administrative Office of JheTs?!?!? ^»^««tigations for the
Justice. FBIHQ will instruct t'; f e^'in^fhe ! °'^"'"*"' °'
as to which nonpresidential aDOointi^nf opening communication
U.S. Attorney's Office? *PP°^"tment cases require checks at the
Sensitive
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Sensitive
Manual^of Investigative Operation, and Guidelines
'- ■'' - PAGE 17 - 41
bacKground aid'in£L:fu:rSe::i^J:rd;J-^«' f « applicant's
be examined for any other lo!!!,? !„ • * ^ ® investigation should ,. ,
compiled concerning an ind vidua T,"^ "^"^^""<l'' could be
profession, state assocUt ons or'n-J-""""" " ""'«*«**' ^" *
to verify issuance of a license r'tHfa^r^^d^olT" '^ 'T'^'
record of complaints or inv«c«-, •»,•-•• ^° determine if any
Similarly, carefif La'y JHi Srd\°; T/'l ^^^'^'^^ ^he applicant!
checks of Federal state and 1.^ f undertaken to ensure logical
private sources (;.g'?\%tL^\^;s\^n!sTB:r::;r ^ri^f^' ^J-"^^^ "
-bearing on an individual's character anrf f 'f c '"^°'^"'ation
thoroughly-exVa^s t^r-Wh^-'r-r^-S^rn-;-^
^»« uusnxy exnausted. When a Hcensil^rw^TU chect«r T^"--
following statement must aooear. "ti,» -gency is cftecked. the
licensing agency for (tvne of «: . ^bove-named agency is the
8 gency for (type of profession) in the state (state name)."
the deadline.^^advife^BlHo'of thi^f*^'"'^"""°' ^" completed within'
the investig;tion The case can fhfn ^"^f^^P^^te other aspects of
in a pending inac ive st"us and H f^li^^ed on tickler or placed
forwarded to FBiSq when rec^i'd FBIhS wH "' n' ^u'"' "" ^'
erom the other agenc^J lUl/li ;^-Jd:^wh:n^7i::o\:rai:f Sr^!-
of records of^LoJhera^ncf i^ff^^^^^" - .<l-eloped from a review
source and int'^ e" f ag;ncv ^^^nilf %'''"'''^ °' '''' °^^«^-^
the source, indicate reason^'a^nd'agr i^revaLa^tioTii' '^ ''r'\'/
person interviewed furnishes same information -r- T^"''- "
report this information was preWousfy proW;:d^.';."°^^"""^ ^°
If interviewee contradicts information attr Sufed t f>,°f^'' '^'""^•
another agency, quote information froS ot"er agency" Ss'L?:""" '^
discrepancies with interviewee, and report intLvie^ee's ex;lan.^ •
for discrepancies. Do not revoai ^^ :^i- ^ "^^e**®® ^ explanation
of other agency should not be maSe know^; ° "' ""'"^'*- '^^^^^^^
EFFECTIVE: 07/19/93
Sensitive
PRINTED: 02/18/98
Sensitive
Manual of Investigative Operations and Guidel
rart II ■,,,•• '
ines
!l7-6.14( Civil Suits
PAGE . 17 - 42
applicant i/2 .*^*"^''«'^ information is developed indicating
applicant is or has been a party to a civil t>„il « i^.! r
*"8 applicant. Report succinct summary of suit.
has occupied ^piblic offL'rmay^e named'" '°'"' 'll'''^^^^ "* """" "^o
of the position held ^^L !LJ » '".* ""°''^'* °^ ""^'^^ ''y ""^'^
out in s'ummarv"fa:iL ^j;:? h Je%:it:":: -""l d T"- f-^^-.P-^t
_yi^o|«,^clionu.ith_h^^^^^^^
indications are received such-a-;li^p^7^Ii^to%T^■e?iff- —
llZTsll'/ """^"'' '' applicant, no further revL^'^ ^ d be
••■5 ^557S"
'gii
,i*r
EFFECTIVE: 01/18/91
17-6.151
Medical Records
If background furnished or inv«'<«fi »=►,*«„ --j- *.
under investigation has been treated fjr!-^! ^"**^"te8 person
problem, verifv through nh„=- - f*''^''"^ physical or mental
'edical'rr^ifr wheHeeS^re";" rinp:cui'l ""^'= * °"^'"''^«
no investigation should be ^nd^rSerunfr^rio'rJru^urb-FBlHS!
'asp
EFFECTIVE: 01/18/91
17-7
FRAUD VIOLATIONS
*^>^'
•*?«»■
-•.■?:■,•-
EFFECTIVE: 01/18/91
Sensitive!
PRINTED: 02/18/98
mm
Lnes
Sensitive
Par^II'*^.^"?-'**''''^ Operations and Guidelir
17-7.1 Applicable Statutes '
(1) Title 5, use. Sections 3333 and 7311
(2) Title 18. use, Sections 1001 and 1918
EFFECTIVE: 01/18/91
PAGE- 17 - 43
17-7.2
■ife
Investigative Procedurej
«isrepresentiJLns"f^aUr\':ila;L'\°"']'''r''"'^'''"^^^
however, in order that'ipl y Lg a^:ncv%a; f' P^r"'"' '" '''' "'^'
case is to be presented adv^e FsfHn k ""/J^^ ^^ apprised of fact
including intent to pre en? ous!^'' ^^'^''" °' pertinent facts,
notified by FBIHQ. field w 11 he ^^V /°°" " employing agency is
USA as early as feasible ta L^a ^^^ " "" "" ^« presented to
he/she wouij ::t':";o;!ze;r':::L?^::"""^^"^-^^«-^"" ^" --^
an arrest for'Lu^R:;nesni'otSer"^ °' -^^--l o«enses. such as
^;::sUti^r^^::r?"T^- r:ov:-:{:rn-::;i°r' "^
investigative report and are not presented to USA. *^ ^ *
the applicant-type"i::L1ig:t!o"f 'Z'tll\l?''' ^'°^?"°"^ " ^"^ °^
fraud matter is^'resented L llsA add " a^d 1:^':?%^^:- ""'h-
to character. Set forth in r»«„^h • .^*"° Against the Government"
discussed. " ^°^ opinion of USA. and ensure venue
-^
EFFECTIVE: 01/18/91
Sensitive
PRINTED: 02/18/98
Sensitive
Parrir ^ Investigative Operations and Guidel
mes
SECTION 18. AGREEMENTS AND COORDINATION BETWEEN FBI, MILITARY
AND OTHER AGENCIES " roi, niLlTARY
18-1 THE AGREEMENTS
EFFECTIVE: 07/11/85
18-2 MEMORANDUM OF UNDERSTANDING BETWEEN DOJ AND DOD
CRIMES
I "A. PURPOSE, SCOPE AND AUTHORITY
Sensitive
PRINTED: 02/18/98
PAGE 18 - 1 '■#
Oft.. .,,f^ r .":°f- -r j;: 0.%:; L:r:rs:?r '"Z"-'
«:!%' iL"n:i't"°" '"^/"'""'"" "•^«-'"'"'" .s°::\:t
Act of 1978, Title 5 Unitid <?h!r T. \ °' ^he Inspector General
United Stat;s Coie, Section 301 '"''' ^'^'''"''' '' ^"'^ ^^"^ ^'
wm
Manual of Investigative
Part II
"B. POLICY
Sensitive
Operations and Guideli
nes
PAGE 18 -
enforcement of federal ?:;! •„ th^i"^ r.r'""^^ responsibility for
Department of Defense has e pons biUt^/'^Jr '^'"''^'^^ ^°-^»- ^he
programs, operations and instaUaJinn.^ .1 ^^^ ^"^egrity of its
Armed Forces. Prompt admi^^strl ive^^* '" '""^ discipline of the
investigations within the two fJ^ T^ *"^ completion of
the Uniform Code of SiH tary Just iL'" ''"'"'' °' limitations under
to assume an important rU^^in.JerMTj:' *^!'^°^P"tment of Defense
encourag^joinLand coordinated invI!J'^"'"^^ investigations. To
cases where the ^ep^tten "of kffcf if f '^^^^^
responsibility for a matter rela?inrf!%r'n ^"^"^igative "^
should share information a^dcondS the ' ^?P"tment of Defense, it
xnterested Department of DefeLTuJes^Ug^t^vrrg^^cyf '^ "''' ^^^
inflexible rules ^regar^Jnl ItT'""^ "o^ d^i^able to establish
Defense and the Depfrtm ^f of Juslue'L J'^'"."' '""^ Department of
they may have concurrent interest inf^ °. '""^ "*"" °^" """^^^
agreements within the spiHt of this mS^ "'■^^?«»«-ts and
I to specific crimes or investigftio^s. "' P^-^-i^ible with respect
[ "C. INVESTIGATIVE AND PROSECUTIVE JURISDICTION
i "1. CRIMES ARISING FROM THE DEPARTMENT OF DEFi^SE OPERATIONS
Personnel "'' """"P^^^" Involving the Department of Defense
"The Department of Defense tn«o.t-- *. •
to the FBI on receipt all sign!fxW auL:?^^^''^ ^^'^'^^^^ will refer
conflict of interest involvij^f mLy or^^'w?^ °' ""^'"^^^ -"^^
Department of Defense. In all ciri,■«^^ civiUan personnel of the
referral to the FBI. he Depaitme^t ofT/^"**" '^" ^"''J^^t of a
concurrence of the Departmenror^L?" "" '""^'^ "^'^^i" the
initiating any independe^HLestig: lo" lllUl'^"'' °f '""^ ^'^ ^«^-«
under the Uniform Code of Military^^is^ice Jri'rV"^"^ action
Defense is not satisfied with thlin^J- f: . ^^* Department of
will be reviewed by the C^iinaJVv lol of't'hfr''"^ '""^ "^"^
Justice. "ivision of the Department of
whether they accept ^^e^ref erred matter^? ^^ency promptly regarding
Sensitive
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m:
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Sensitive
Manual of Investigative Operations and Guidelines
rart II
PAGE 18 -
I of such natters.
m
F«K., 1 "''* /T^'' Against the Department of Defense and Theft and
Embezzlement of Government Property
"The Department of Justice and the Department of Defense have
Defense and theft and embezzlement of government property from the
Department of Defense. The Department of Defense winnves^Late
frauds against the Department of Defense and theft of government
SefeL' ^nZr-'%°''"''"''^' °' °^'^"^«- "^— ^ Departmenf of
-5^-f^Me_i^e^Ugatiy^ageji.cy_.iden^^ natter which, if developed
with the United States Attorney or the Criminal Division, the
Department of Justice, and the FBI field office. At the t m^ of this
initial conference, criminal investigative responsibility wiJl be
D:;:r?;r ^? s:v:r'-' -' '-''- '- conLuation ^it^^kr
I "2. CRIMES COMMITTED ON MILITARY INSTALLATIONS
a.
Subject (s) can be Tried by Court-Martial or are Unknovm
"Crimes (other than those covered by paragraph C.l.)
committed on a military installation will be inJestfgafed by the
?ommI t!f b "" investigative agency concerned'and. when
committed by a person subject to the Uniform Code of Military Justice
prosecuted by the Military Department concerned. The Department of
sig^Hc^; cL^:"'' i-ediate notice to the Department of Just ce of
significant cases in which an individual subject/victim is other than
a military member or dependent thereof.
"b.
One or More Subjects cannot be Tried by Court-Martial
"When a. crime (other than those covered by paragraph C 1 )
to"b:iie"L"?h°? %"i'''r -»^^^^-t-" --^ there is JeaSJe ^^ s
to believe that it has been committed by a person or persons, some or
til nf r V ri f"*'^"^ t° »^^« Uniform Code of Military Sus^^ce
?^i! ^ \- ^° '^^* appropriate Department of Justice
investigative agency unless the Department of Justice has reliev«rf fh«
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"a. Offense is Normally Tried by Court-Martial
"Crimes (other than those covered bv oaraeraoh r 1 ^
commxtted outside a military installation by persons sSje;t to the
Uniform Code of Military Justice which, normally! "e tried by
court-martial will be investigated and prosecuted Sy the Department of
Defense. The Department of Defense will provide immediate n^rof
iZif •";' ""* ''^ ^^" appropriate Department of Justice
^!rf »f ^■*^'"'^- J""^ D«P"tment of Defense will provide
immediate notice m all cases where one or more subiects is not ..nrf«n
m.U?ary__jurisdi^tJj,^^^^^ the Department of Just ce has rel eved
^^^:^^'''-- '' th^ep^rtinF-Te^^itnf^i^itTir--
I
"b.
Crimes Relating to Scheduled Military Activities
I
"Crimes relating to scheduled military activities outside of
a ml\tary installation, such as organized maneuvers in ih!ch persons
subject to he Uniform Code of Military Justice are suspects shaU Je
hIZH/" '\t°'":il'^'' °" * ""'"'^^'y installation for purposes of tJe
Memorandum. The FBI or other Department of Justice investigative
Scute's Atto"'""' i-isdiction with the concurrence Jf the gn H
States Attorney or the Criminal Division. Department of Justice!
"c. Offense is not Normally Tried by Court-Martial
crime rr^fhl'l^^!! ^^tl^ "^ reasonable grounds to believe that a Federal
by cour?-mart al" It "^^^^^''^ paragraph C.l.) normally not tried
Dy court martial, has been committed outside a military installafinn
by a person subject to the Uniform Code of Military "stcejie
c:srtnhelo'''"'%'"r'''^"'^'"^ agency win imiedUu"'reJer the
case to the appropriate Department of Justice investigative aaencv
De :«:« Of ?!r'^'^"^",^°^ ^-^ice has relieved the Departml^t of ^
Defense of the reporting requirement for that type o? class of crime,
"D. REFERRALS AND INVESTIGATIVE ASSISTANCE
"1. REFERRALS
fr«n»f., ?-^r"^f: notices, rep'orts. requests and the general
lltllenthi fSi r Jr "n'" J"^" Memorandum normally should be
between the FBI or other Department of Justice investigative aeencv
iTeullir'^'^'' °^^"^"^"^ °' °«^«"" investigativfa^r^cy':? ?he
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PAGE 18 -
accept a reffrred'Sttrr"^ H^^'^^r ^"^"tigative agency does not "
investiMtive n!n!v fr ^he referring Department of befense
investigative agency then, or subsequently, believes that *.v,-w««.-
exists supporting prosecution before civiHan courts, f he ZtrZLt
or the CriJn:n-:-"-'"""' '""^ "" '^ ^^« United'states I? ^^^J
or the Criminal Division. Department of Justice, for review. '^"'"^
"2. INVESTIGATIVE ASSISTANCE
"E. PROSECUTION OF CASES
"1. With the concurrence of the Department of Defense th»
Department of Justice will designate such Department of Sef;nse
facilitated by the Department of Defense attorneys.
"2. The Department of Justice will insti^l.^o ^;„.-i ►•
to facilitate .uch action.. "".Provide appropr.al. aa.i.tanc.
Of thl'oepa'^LL'rnTLnle'p'^irtri"??^?-' 1'J."'"^? '!" "'-
individual aubjact to the UniLrrc^Se "f 'itl'ua'rrSi'i:^!'"" "
ca... and inva.tisation. i„ «?de. to o«ec ve "'c o.li": :°!J7: f!?
eivil, criminal and administrative remedies. "orainat. the uae of
"F. MISCELLANEOUS MATTERS
"1. THE DEPARTMENT OF DEFENSE ADMINISTRATIVE ACTIONS
"Nothing in this Memorandum limits the Department of Defense
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Fart II ■•:-'■:
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takeJ hvfi! n ""f"^^!*^ t"^ ^"PP<"^t of administrative actions to ,be - -
taken by the Department of Defense. However, the Department of
Defen e invest.gat ve agencies wiir coordinate all sSch investigation,
obtaff ^H^^'"'"^*^" Department of Justice prosecutive agency aS
obtain the concurrence of the Department of Justice prosecutor or fh«
a^-; rr'.°' ^-^-V -vestigative agency prior to cond't ^g ^ny '
J^e^; . r-'"" ^"^««txgat on during the pendency of the criminal
investigation or prosecution.
"2.
SPECIAL UNIFORM CODE OF MILITARY JUSTICE FACTORS
^l?i sXt^lipns^Hhere^n^di_vl^
Code Of Military Justice is a suspect in any cTime'Tor which a
Department of Justice investigative agency has assumed Jurisdiction
If a Depar ment of Defense investigative agency believe [haJ the
crime involves special factors relating to the administration and
discipline of the Armed Forces that would justify its invesU.aJion
the Department of Defense investigative agency wHl adtile tie '
appropriate Department of Justice investigative agency or the
Department of Justice prosecuting authorities of Ihese ?L ors
Inves iga ion of such a crime may be undertaken by the appropriate
S:p%"E::"f o1 -f-:/-----^- agency with th^e concS^r^r^? the
• ..-'■VA".^,
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"3. ORGANIZED CRIME
"The Department of Defense investigative agencies will
provide to the FBI all information coUected^uringSn^ma course
of agency operatons pertaining to the element genfraUy J^oS^ as
nonf^^i^ " "' '"='"''"« '°'^ traditional (d Cosa Nostra) and
nontraditional organizations whether or not the matter is conaid^roH
prosecutable. The FBI should be notified of any ^nvLt gation
"4. DEPARTMENT OF JUSTICE NOTIFICATION TO DEPARTMENT OF DEFENSF
INVESTIGATIVE AGENCIES arAKintwT OF DEFENSE
"a. The Department of Justice investigative aaencies «ni
promptly notify the appropriate Department of DefensIinJest gitlii
!nvLT- ^• ' ^"i^^!^^^" °f the Department of Defense rela e^
i^ffn!'® r"' f "^ are predicated on other than a Department of
Defense referral except in those rare instances where notification
might endanger agents or adversely affect the investtgaJ ^n Jw
Department of Justice investigative agencies will alsfnotify the
Department of Defense of all allegations of the Departmen of defense
M^
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ines
related crimes where investigation is not initiated
or Justice.
PAGE 18
by the Department
"?,■ "^*'" "quest, the Department of Justice investigative
reU i^^ to hrr'%''"':'^^'"'"* "P*'^^' <"> -11 investig^ on '
relating to the Department of Defense unless the circumstances
indicate such reporting would be inappropriate. ="»"«""«
"d. If. judicial or administrative action is beinir
considered by the Department of Defense, the Departm^^t o Ltice
will, upon written request, provide existing detailed investigative
data and documents (less any Federal grand jury material df^fT.cr
llTnT.l I- ".agent testimony for use in judicial or
administrative proceedings, consistent with Department of Justice
!Ln ^' ^t^''^' regulations. The ultimate use of the information
shall be subject to the concurrence of the Federal prosecutor during
the pendency of any related investigation or prosecution? ^
I "5. TECHNICAL ASSISTANCE
"a. The Department of Justice will provide to the
Department of Defense all technical services normally available to
Federal investigative agencies. ^ available to
the DeDart2:t J^%°"P-^'^°?'^t of Defense will provide assistance to
the Department of Justice in matters not relating to the Deoartmenl- «f
Defense as permitted by law and implementing regulations. ^
I "6. JOINT INVESTIGATIONS
Justice ,-nv!%'^\-*'^ "''^"^ authorized by law. the Department of
invL??.«? ! * ""* agencies and the Department of Defense
investigative agencies may agree to enter into Joint investigative
endeavors, including undercover operations, in appropriate
^oart^^T'^'r «°!'^^-'.*ll ^^-^ investigations'SiU be subject to
Department of Justice guidelines. »"ujecL to
"b. The Department of Defense, in the conduct of anv
investiga ion that might lead to prosecution in Federal District
Court, will conduct the investigation consistent with any Department
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Manual of Investigative Operations and Guidelines
Part II ' '
'•'-C.
PAGE 18- 8
of Justice guidelines: The Department of Justice shall provide copies
of all relevant guidelines and their revisions. P « loe copies
"7. APPREHENSION OF SUSPECTS
»„H fh. n "^*'^'=^*"^ent authorized by law. the Department of Justice
a^fi abl^'?«^r"Vf °"''"" "^'' "^^^ P^^-Pt^y '^^li^" " "^l^*
!w: ^v. -J Z^^'' suspects, accused individuals and witnesses
where authority to investigate the crimes involved is lodged in the
other Department. This MOU neither expands nor limits th! authority
custod-!l ^T''"""f .'° ^"'°"" apprehensions, searches, seizure, or
-custodial-interrogations . . -i wi
"G. EXCEPTION
fixed"hI;';>."'?07o"f'^'° '^*^^ ""'^ ^"^"^ ^^^ investigative authority now
fixed by the 1979 'Agreement Governing the Conduct of the Defense
^^S^^n'' Counterintelligence Activities in Conjunction with the
Federal Bureau of Investigation' and the 1983 Memorandum of
Understanding between the Department of Defense, the Department of
Justice and the FBI concerning 'Use of Federal Military Force in
Domestic Terrorist Incidents.'
'.rsF'
"Signed:
/a/ William French Smith
Attorney General
United States Department
of Justice
Date: Aug 14. 1984
EFFECTIVE: 07/11/85
/s/ Caspar W. Weinberger
Secretary of Defense
United States Department
of Defense
Date: August 22, 1984" I
18-2.1
Deleted
EFFECTIVE: 07/11/85
18-2.1.1
peletedl
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EFFECTIVE: 07/11/85
PAGE 18 -
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EFFECTIVE: 07/11/85
•|ft
18-2.1.3 iDeletedl
EFFECTIVE: 07/11/85
18-3
MEMORANDUM OF UNDERSTANDING ON MILITARY DESERTERS BETWEEN
THE FEDERAL BUREAU OF INVESTIGATION (FBI) AND THE
DEPARTMENT OF DEFENSE (DOD)
^^i'
/M
. . ,. ^^* following agreement between the FBI and DOD relative
to investigations concerning military deserters was approved and
entered into:
THF prnTTDA, 1'^°'^.'^°"" °^ UNDERSTANDING ON MILITARY DESERTERS BETWEEN
Defense Zd^^ investigation (fbi) and the department of
"Desertion is a most serious offense under the Uniform Code of Military
Justice. Vigorous efforts to apprehend deserters are essential in
desertin T " '^"^'■^^" ^" military control and to deter others from
"It is, therefore, agreed that:
"(1) Each Military Department will continue to enter
information on each deserter into the National Crime Information
Center Computer. This information will be kept current by the
Military Departments and remain available to law enforcement officials
at the national, state, and local levels as long as the individual i,
aosenc.
"(2) Responses to inquiries from any law enforcement
XTL ^■"''f ^"" *"y °ther investigation of offense will disclose
that the subject of the inquiry is wanted by a Military Department.
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§
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a8.,-«f M-T-Z'^^^J''* ^^^ Identification Division will continue to
notice services fir ordl^frv L % '^'^"^ Departments wanted flash
the AttacL nt These ^rWces "in 'b:""^'"? '/" °"^"^" ^^''^ ^
the military's entrv of T^l! . T initiated automatically upon
, of the NatiL:i^CHre^^?of::Uon";:nt:r?^' '^ ''' "^"^^^ Persons^ile
-:irS::;c::i^jr^^^^^
cases ^h- MJ i • »■ r. " matcers listed on the Attachment. In such
cases, the Military Department Headquarters will provide the FBI
Headquarters with written notice which will specify tJeserL^s
Sufnrtice "'h-'T ^^'^"-tion. of which tie abseiue is'u pected
Such notice indicates that appropriate judicial or administrativ!
disposition is contemplated upon return to military control Z„
receipt of such notice, the FBI will i»in.7l \.^ . '^°^
The FBI w,-ii i,« ,"^^'=^' >■"« f»i will initiate an active investigation.
sti^f jy-1- r-rfuSi-ri? :i fK i^^i^^;^^^- - ^
.re not .it^'^l^^^^^ ^^'l^r^^^^Tl^;^'''
few instances will be closely mo:??":; b^the Hi t^ ne^^^tme:?'
with factual detail explaining the seriousness of the offense in
order to support an FBI investigation. ottense. m
desertion Jl^f ^''' T !^^^ undertake its own program to deter
desertion and to apprehend deserters. The Military Denar^™*.n^.^.• 1 1
engage in desertion prevention programs and wi cLpeJ:[r:?t; ^ '
Control ""'"' °""'^'^ '" the. return of deserters'to mnlury
military perl'L[\%:^Ltei^f";nr:f'the":t?::iT to apprehend
subsequently escape military confinement ""''' "'^'^'^^ "•^•'
(Amendment
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Manual^of Investigative Operations and Guidelines "1
.-, - ■ PAGE 18 -, 10 -iM
'^#
Si-
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.'■."■"■*..■■ I- '* .V '* • -.. . ' ''*',-^3Wr-V
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■"^- '—''■'-" ^— ■-' --..-n iMaW^^ ^^y
.-■'.id'.^:^
Sensitive
Manual of Investigative Operations and Guidelines
Part ;^ II ■ -•"krv.;-; • ^ .:■■,-. „v. ■ ■ :. \
I occurs subsequent to the date this amendment is signed.
PAGE 18 - 11
March 19, 1979
Date
/s/ William H. Webster
For the FBI
Director
-'kS'S"
May 9, 1979
Date
/s/ Robert B. Pirie, Jr.
For the DOD
Assistant Secretary of
Defense ( Ma.npoweiv,_ _^
Reserve Affairs &
Logistics)
"General
■'%
"Desertion of officers.
Desertion of those who have had access to certain classified defense
information which if disclosed could, in the view of the Military
Department concerned, jeopardize the security interests of the United
States.
"Art.
82
90
91
92
99
100
"Violations of the Uniform Code of Military Justice
Soliciting or advising another to desert or to mutiny, or
to commit misbehavior before the enemy. Sedition.
Striking, drawing or lifting up any weapon or offering any
violence to his superior commissioned officer in the
execution of his office.
Striking or otherwise assaulting a warrant officer or a
noncommissioned officer or petty officer while in the
execution of his office.
Disclosure of classified defense information.
Misbehavior before the enemy.
Subordinate compelling surrender.
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" 103
" 104
" 106
PAGE 18 - 12
Looting and pillaging.
Aiding the, enemy. .
Spying.
"Art. 116 Riot.
118 Murder.
119 Manslaughter,
120
122
124
125
126
127
128
134
Rape. — __ . _
Robbery,
Maiming.
Arson.
Extortion.
orMs'of?ice! """^"--'^ °«-- -t in the execution
Assault:
Indecent.
With intent to commit voluntary manslaughter, robbery
sodomy, arson or burglary. roooery,
With intent to commit housebreaking.
With intent to commit murder or rape.
Firearm, discharging:
"'Zill^r r°?.:"""'"" """" ci„„.,t.„c,. a. to .^
Homicide, negligent.
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•■>'-*<lVA,
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5 "i-'iMjr.
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' ^'^ ■'■"'■" ^ ''■^f^'rr^^^-^r^^^mS^^^^f ffm.
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Manual of
. Part ^11,.;;
" 80
81
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^- ' ^" PAGE 18 -
'Irj'Lr" " """"" "i". a child under th. ig, ,t
nes
13
Attempting to commit any of the above.
Conspiracy to commit any of the above."
t.
EFFECTIVE: 06/08/79
18-4
MEMORANDUM OF UNDERSTANDING "b^TV^ DoTTl^C^Isfiu^RD^
between the Sp^artmenrs^of^Jis'tTf ""/PP"-««i »-^ -tered into
investigation and prosecution of . • ^"^"^?°^tation relative to the
-S. coast Guard s^^l:^^^ ^^ ^^^^^^^^-J-^
JUSTICE AND S?S?I0N Sf X'? .^^^^^'^ ^«^ DEPARTMENTS OF
AND PROSECUTION orStJES OVER ^1^^^ S'^nf ^ ""^ """^ INVESTIGATION
CONCURRENT JURISDICTION ^"° DEPARTMENTS HAVE
_„^, , ^'ifhereas, certain crimes committed bv Coast r,,a..^
p" c^ d%"y^Co^Lt°G;ar%"?^^°^" '^'^ ^' ^''''^ ^^"icX be
authorities V?h"Ved^^^'c:X?anT" ^'^^ '°^^ '' '^ ^^'^^-"
administrati:n^"nisL>iU"o%°^?^rC^asrG:arr"*'^'^
types of crimes committed by its personnel h^ "?V^"» 'hat certain
service and prosecuted before CoastT»;; be investigated by that
types of crimes committed bv such !•?> "^^^tary tribunals other
investigated by civil author," f" "^^^tary personnel should be
tribunals; and ^"thorxties and prosecuted before civil
impose inflexme"r"ies'to'd:t:rSnr?h'''' '' t'- -^^--»'1« to
the civilian and Coast G^rf mi HUry'^tho'ritier' T^^-^'^lity of
over which they may have concurrln?^ authorities as to each crime
arrangements an'd ag^e::en?;":a";^T'„Jce":arrii?h'res''%' j"'""*^
crimes or investigations.' and "^"e^sary with respect to specific
... o.....r:r";„-%-:.- '(^:::? r°r:rrfHr.--f
ce and
areas
^^
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«a„u.J ,, I„v,.tig,tiv. Operation, and Cuid.lin..
•ak. the inVMti.ation^ninr^?J J" ; •."""■"■•l"'- <■'•«' '•
.^i£craft_and i;ssels7!' ZZl'lt Zj^'-^'lV^ installations (including
to the Uniform C^i^'^rMU a y' L^Ji ^ "^ ^""^ ^^"°""«^ ^^^^^
prosecuted by the Coast Guard if the Co JJ r ! ^";'"txgated and
that there is a reasonable Uk^liiLd^ha only cL'src' determination
subject to the Uniform Code of Militarv jL??!^ ' "*'"'* P*""'"*^!
crime as principals or accessori^, ^ Justice are involved in such
cases, that there is no vict!ri?h* ^"".t' ^""^^ ^" extraordinary
the Uniform Code of MUitary Jus Jce ^"" P"^°"^ ^^^^ "« «"bject to
or members of a house^o d o^ »i UryL civir '"' ''"' ^^P^^^-^s
on the installation. Unless Tich a LfL™ J- Personnel residing
Guard Shall promptly advisrthrPedera ":^;a;\°f llT.t'' f'^ '"^^
crime committed on a militarv in«^=,1 1 1^ • ^! Investigation of any
investigative authority of the FeleJafr" T"" "^"^ " "^^^^^ ^he
Federal Bureau of Investifation sh!n • ^'^f" °^ Investigation, The
for in the first sentenr* r,f t-u- '='^^". ^^ the determination provided
Guard, it shal pro'paradviselhe'S"";' t' "^^^ ^^ ^"^^ C°"t
any crime committed on a militarv Lrr»n\ •"''"*" °' Investigation of
victim who is not suMect to fh7n -f ^'''°" '" "^^""^ there is a
bona fide depende'nrJj^Lbe^r' ^hr^oTsehord^oVmJ j'r^ '"'^"^ " ^
personnel residing on the install^t" "*'""*»°ld of military or civilian
investigating the^rime be^^se it Z b '5%' '^? "^""^ ^""'^ i"
extraordinary TV,, r ^®""** ^t has been determined to be
Burea^o i;v;stlg:ti:rihen:: '"^t'' '""^"^ ^^^^^^ '^^^ ^«<^«"1
involves fraud agf ins rthe^!' ''^%"^»«' «"Pt in minor offenses.
f>.«.*t e against the government, misapprooriation ,-«m,-
theft of government property or funds or is «f • °?' "^''"V' °'^
Buch crimes shall be investigated bvthrr« t r 'T^" "**^"''«- ^U
receives prompt advice that fh!n.^ . 5 ""^ ^""^""^ ""^«" it
that the crime shouU be !Lesti«?:rbrh'%':;'"" ^" determined
Investigation and that th: ^e" ffBureL Jf in^ve"?- '?^'*" °'
undertake the investieation f^- tt "*" °^ Investigation will
. investigation for the purpose of prosecution in the
-.•-';».■!■■■
'■Ki.,'fJ.
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PAGE 18-14
s:?-
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ggg^^^lBMBg
. i^:^
^..* ' ■ ■■••,- .J.-. - ■ -'.-■ ■• ■ .-.■.■ '*4%S'ja''-
•, ■ ••: -. .^■.'■-■'■■■^-■. ■• . ., ■ ■ , ■ - - ■ ■'■ ■ . •■■••^Oilm
•: ■ ■■--■^ '■'.'■ ' '-.O '■■■■-■ ■ .'■ •■-^^^-^^-^ .-. .--^^
■ v ..,,5. Sensitiv© ' '-. .. -^^^m'
■ ..: %, ..... .. • ."., .^ •-.'r^.W
:■- . ■ - . . . ' -;■■-■:■■ ,»«§
^nu.l^of Investigative Operation, .„„ Guideline. ■; /^
civilfcourts.- -^. ., ■- . ■ ■■•.,.■ ■;.■"■■• ■■'=.;*-.■■ . ;Sg
"2.
Exeepta. herein,! urindi^tlH'" ?f "•' °' "'"">' i»»t=ll«t""«.
-iuL, i„.t:julL"a:"^;?: i;ir'ii?j!r!>,r-;i::tj,:?.'::^- °'
i"":v:jvra:'a'':aL1r ' -:'"!." '■""'•«•"•" ^^SnwKid, there
paragraph 1 above shall apply, unless persons not subject to the
Uniform Code of Military Justice are involved as principals
accessories or victims. pnncipais,
"If, however, there is involved as a suspect or as an
accused xn any crime committed outside of a military InstaLaUon and
Ini';?^ ":''''" '^' investigative authority of the Fed^" BirearoJ
.M -^ T ^"^ '^ ^^* ^''"^ ^"^'■'l authorities believe thafthe
SI "pUne of%hrr'\'r'°r "'^''"« ^° t^« administr:tron :L
discipline of the Coast Guard which would justify investi^afinn h«
them for the purpose of prosecution before^a C^astSu^J mi t'rv'^
LiesT :^ ''' "^fJ- '""P"y "''^'" t^^ ^^'^-^l Bureau o?"^
Investigation of the crime and indicate their views on the matter
Investigation of such a crime may> be undertaken by the Coast Guar^
mlitary authorities if the Department of Justice agrees
• . ^. ... "^' Transfer of investigative authority. An
lnvL% f% • '°^^ °' '"^^ '°"^ ^""<^ "^-h h« iniUateS an
Mr£B e^S^^^^^^^ R ;r:r L-'^UivThid-it
View./ BA.re:.':«%:::e:n-?j.'C"L^'trrr5;f?i::%„i''^ »' "•
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Manual^of Investigative Operation, and Guidelines
PAGE . 18 - 16
■ -^m^
aoDli«f,-„« '>«"«ver possible, decisions with respect to the
suspects and accused individual, if a^tij^Uy to i„ve uIaf.":S"
"Nothing in this memorandum shall prevent th- roa«h r,.» -.
from promot arreaf an»4 /i.t-..,!-- «; F'^wvenL tne Loast Guard
rr;jr?:d:L!£ a" K^^^^^^^^^^^^
pursuant to tHillZrlLlZ"^"'"' " """ ""°° " "'-""
"Approved:
/s/ Ramsey Clark
Ramsey Clark
Attorney General
Date: 9 October 1967
/s/ Alan S. Boyd
Alan S. Boyd
Secretary of Transportation
Date: 24 October 1967'
.''If
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EFFECTIVE: 01/31/78
Sensitive .
PRINTED: 02/18/98
';*VV
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^^^?
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Parril"^ ^"''"^^«*"^« Operation, and Guidelines
18-4.1
FBI Interpretation of Memorandum of . Understanding
PAGE 18 -
.. .- 5^^ ^^^' agreement is similar in all resnect- fo hh«
agreement between the Departments of Justie« =ni n * ^
investigation and ProsecStiono military "rs'lel'^fJh"""^"* '^*
set forth above La the same a« n,I ! ^ personnel, (The agreement
between the Departments "justce an^^ "''"' P"viously existed
signed in October, m?. because the Colir?"''''; ^ "«''/««ement was
the Department of Trans^ortati" rather ?Ln"th'? T "^^^ ^ ^""^ °'
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(2)
various USAs or mifiUry'olf l:!:i:1:raUvrt: ti"^''''" "''" ^"^
must be immediately advise" "^^^ive to thxs agreement. FBIHQ
-•;•
'•'if S'v
EFFECTIVE: 05/08/79
18-4.2
MEMORANDUM OF UNDERSTANDING BETWEEN THE DIRECTOR PKnFPAT
BUREAU OF INVESTIGATION AND COMMANDAN?" Sni^eJ STAGES
sSppL^Tco?'?'?!;^"^^ ^°"^^ °^ MUTUAl'SsS IN
SUPPORT OF COAST GUARD/FEDERAL BUREAU OF INVESTIGATION
OPERATIONS TO COUNTERACT TERRORIST ACTIVITIES tna
MARITIME ENVIRONMENT ««'J«^'>T ACTIVITIES IN A
between th^ Inr f^'J^""^"* ^Sreement was approved and entered into
counteract terrorist activifLs^:?r.^LTel'!r^:^^^^^^
:f li-tr^^ -^?he";^;r^?nL^r?h: ^^^..
fiJ:-rp;:i,-ir:r::;2iS^^
lo^a^L L • f i* Jnaintaxns a large number of strateeicallv
located Special Weapons and Tactics teams (SWAT) Coast Pm^^!^
personnel are trained to react to law enforcemen activ ties Jn a
r" nrto'a^r"'"'' r'^i' '•^^ ^^ ^" P«"--l 'ho ":« s^e^mcauy
confrontation scenarios!^The ^L^Z^^^^ "e^TSo^-^L in
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^Manual Of Investigative Operations and Guideli
rart ,11 v-,.-/'VS"^"."':.'^'^'" - ■••-.- -■'■■'.■,. - ...
nes
• .■^.;^;.. i;,' '■*• ■-;i;5;~;-„ •■;; ; „■■= "^v - ^.\ ■■-.., ■ _, -.; '';"""i-.- .,.. page is
terrorist activu.e. involving such targets ., offshore olatform.
Zlu' f"a?L'"";""- "'"'f"- "»'""' «" <!^« ?«"'ni: -and •
vessels, rioating nuclear oower nl9n^e it c .,.•.« • - — »—
nn.-hs.^ o*-»». • • ^. r? i'"*'er piancs, U.S. or foreign vessels within
^.i^r^^*^f^^rf{r;^i^'ts^::^fS^
making this agreement will provide mutual support to each othfr i^
situations involving terrorist activiH«. til I "^^ /ach other m
j-v,.!- «- 1. * .7 '-"^'^orisc activities, threatened or real, and
that each Agency will take necessary steps to establish local •
aL%"d'tLrL';?""/°i '""'''"'"' '^" agreement. It is further
^« ? 5 ^! continued planning by the two concerned Agencies will
o^ r«i ?*''\''^^'"'"' "' " '^'"'''^ communications, co^andaii
control policy between Coast Guard Districts and FBI Region^? offices.,
. .,• ^ . "t.^"^^ objective of this agreement is to insure a
en^w':": :? 1 rtLr° T-"'""' 1'"°'''' activities in ?he maritime
eliii^atrHli ■ ' '' "Pected that this agreement will serve- to
eliminate delays m response time and insure continued develonalnrof
procedures and contingency plans to counteract terrorist IctiWties in
the maritime environment. "^'^onsL accivicies in
- 18 '.
/s/ John B. Hayes
John B. Hayes
Commandant
United States Coast Guard
Date: April 17, 1979
EFFECTIVE: 05/08/79
/s/ William H. Webst
er
William H. Webster
Director
Federal Bureau of
Investigation
Date: March 23, 1979"
■ ^
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m.
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PRINTED: 02/18/98
-vim.
Sensitive
Manual^of Investigative Operations and Guidelines
fl8-A.3 FBI INTERPRETATION OF MEMORANDUM OF UNDERSTANDING
responsibilities on'Jhe'hLh*f;as""i ^""'.^" ""^ '^^ enforcement
jurisdiction of the United tf? '" "*'"' '"''^'^^^^ to the
Sections 2^nd 8A the FM haf ^w"' f^''^*'*' ^^ ^'"« ^^^ "^C.
the Criminal Division Depar?l^t o'? he position, with the support of
investigative authority over ^e^tain . ' "' '''*' '^" '''' "^^ P^^^^V
Additionally, the United States I?J "^5 "^°" '^'^ '^^^^ ""'
9-1.200. et seq tha? the FBI L ^"""f^' "^"^^^^ indicates at Section
all the „ariti2e c^^ ^^^^V^]^ ,r:^li^^ — -^
•
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'T. ■
ERSTANDIN<
PAGE .
3
18 -
19.
terrorist atha^v= i„ -1° ' ^° * Minuted situation, e.g..
Unders Unding basi anv""; :riT'"""^"'- ''''' M-orandu's.'of
Coast Guard fnd?B?JiL?r^ ''''^'' cooperation between the U.S.
hostage negotiators 111 , "^"."' *"' ^"'^" ^S"^« teatns and
attark! "7*'^^"°ff' and Its application is limited to terrorisf
attacks. CooDe^a^I nn in .-«.--j •. • . "lifccvi to Lerrorisc
the High seas^ars--i::!"^b::e:r:;--?.rj:-^ri::!r:bie.
development of stlndinrUnef >°' ""'^"^^anding also necessitates the
office? and S.S Sa ^'ciirSd strir^ff"^"" 'r'"'^" "' ''^^'^
conditions existing in each arlf u f '' ^" ^'^" °^ 'he unique
resolve local proSf ems. Howe"'' FMlJd""';' "*'"'*' '^ desirable'to
supervisory authority ^ver the Actions ^JT'h"!-"^'' *^""'
with Bureau policy.! actions of field divisions, in keeping
EFFECTIVE: 05/08/79
18-5
DOJ GUIDELINES FOR INVESTIGATIVE JURISDICTION OF FBI AND
majority of case, that we iLTf .^ Paraphernalia statutes. In the
thi nature of"h: wag ring tLuSf^nf^' ''^'" *'"'"'^*' '^^' ^"-
following guidelines are foh» . f"f • ^ i ''*'"' *" interest also. The
g guiceimes are to be utilized by both agencies in such
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Sensitive
"MMl^of Investig.tiv. Operation, and Guidali
.ff.rl b.t„eln"lRs''!L'F«f ;-",'r ^^^ <"•>""»"»» i" inv,.tig,tiv.
legi.Ution, the following guideline, appear appropriate.
:?fe"ti:i™/ei:lS^'^^=^^^^^^^^^«^^^^
indicate . p^'^itJn-viJraH::' j^ tL%"n'Ji-';::^iL'n,f'-:.'„%
ftUrn^'fiJl-afn-rioUfi:;?" "" "'^-"O" °«^"'-" »^ ^-t?ce
of investiaativi effort" "'"'"'?';<■" "v"!" an apparent duplication
the IRS ii ?k1 f- f5 ■;, "^"^ °'"'"'° '•P'-Montative. of the FBI and
invJffjr- ► fi*^ "*'' ""' '" ""'" "spontibility for the
-x\^-ufLrtrrriOi:—
azree as ta thf^J"-'*"* T"^ ^•"^'^ ^^^ ^S^^^^ representatives cannot
agree as to the assignment of responsibility for a particular
the r.th»r o "^^^ 1!^"" Statutory violations within the jurisdiction of
the other agency become apparent in the middle or later sta^e.nf»„
investigation being conducted by either the IRS or thrPBT ?J
between representatives of the Lo a«ncif« ?f fK f^'cussion
LOB cwo agencies. If the agencies are
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Parril"^ ;^SS^!^'- .^^^'If'i^ ^^. Guidelines
PAGE ' 18^^';2i'
-■-£■ 3^j:-^l«-//>^-'-'->^?^^^ PAGE ' i8;:jri':2i':jvj.;^'''.^|^^
e to agi^e Vs ' to the assigniknt ' of responsibiiit/fijf 'fuMtf^-^^^f^^^^^
ligation, the natter should be resolveS aff«. h'L:!!;!! .•!! .^:: "^ C " v- «
unabl<
;«„».i-- ♦.•° ^..r" " ""' -""^siiuicnL oi responsibility for further"" ^^
investigation, the natter should be resolved after discussion with tri«
o^fhe'cir: "" ''' ''^'" ^"°"«^ °^ Department at'^Jn^y "Sep JSiig
on the circumstances,- it nay be preferable for such further ^Ty ^
Znc/'ir.ull :l' I'n'"'''' "'°^^^'°"« '" "« condu^teS^y a single
agency. In such event it is expected that the other agency would
cooperate and render such assistance as is deemed within iL
competence and capacity." e ea wicnin its
EFFECTIVE: 05/08/79
\ij^$^
18-5.1
FBIHQ Instructions for IRS Guidelines
\
infor™ai-,«. fJ^- f^^"*? "fll continue to make available to IRS current
information of interest to that agency which is developed in the
course of our investigations.
(2) With regard to item two of the guidelines as it
pertains to notifying IRS when there is indication of a potent al
si?fie-:M "f*^'--^ '^^ l-«. -ch notification should'bemaie after
?o low'nd frft^r 'r'°''' '^ '^^^^"'"^ '^« ^°«-^l procedures o
llflZ ^"^*^* •^^"f "*>«" ""« "0"ld be more meaningful. With
H™! T "^^ ^"^"t^Sations involving a taxpayer, referred to in the
ist of";t v:%^:m "' '° individuals whose names are included on a
liaL^fh ga»blers maintained by Department's Criminal Division.
Inasmuch as copies of all reports involving the three statutes nlLT/
above are furnished the Department by FBIHQ. such shou d U^rtJ ^erve
tha Us? '"^ °^r^r' '^; r! "^ -yestigating an individual "
that list. It IS anticipated that when the Department receives our
thes'e ind-v-f'?'^''' '''" '' "''' ^^^ "« ^ ^^ice that one oT
these individuals is currently being investigated.
«»tr , P^ !^®°'' '^^''®« ^n*^ fo"r of the guidelines are
apiflrs^Jrb!°7/"i^''\'-^^' ^"^ '^""''^ ^^ consulted where there
res"ved bv fi!lf "^ "''°? t^ investigative effort and such cannot be
resolved by field representatives of both agencies. In connection
with Item five, regarding the assignment of invest gaUon Jo a ^iLle
agency, responsibility for an investigation should Se definitely ?iW
in one agency insofar as an individual violation is concerned?' In ^^
this way each agency would retain it, own jurisdiction and the '^e^^' ^>
tlllt'llt -''"'' r%J^'' ^°'«""^^ '°' P-sicution w^'d'on iJuHts
riwf? ::?-on InS'the^^th"''" 'T'' '" ^"^ ^««"^^ proceeding iuh
Zitl^l -l^ \ °^^" rendering such assistance as is deemed
withm Its competence and capacity, the agency proceeding wiJh its
Sensitive
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PAGE 18 - , 22^
jurisdiction in the »ajoritv of fn^L!! ^ l '^* "*"" °^
_.leyel_by the two aLnciesandM, ^^^ "" ''^ resolved on a field
USA or ^par^ent^f ttoVney'woulf ^^:^^^^^^^^
regard that afe di!cuss:5°:l?h't\e'SsA''"'r'/' ^'^^ "*""" ^ ^^-
any investigative actiorwrt;;!;oJ5%L'o;g;\'g^ ::,^?°:l?,''j,f ^-^'^ °^
recommendation of the USA. ^""gn agreement with IRS or on
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EFFECTIVE: 01/31/78
18-6
AGREEMENT BETWEEN FBI AND SECRET SERVICE
"I. Purpose of Agreement
receives frorot'he^'s'o^Les^rar:! lTV''^^l'°'' ^"^'^ originates, and
and organizations. Z p^r^ose of ^M^" "T''' °" -d-iduals
portion of the information on fi if litt ^«'"*''°^"^ ^» ^o define that
the FBI, Which the Unit^rst^%es Sec ^Se^^[:e"(Us1s)^!:•*'"^'^'^ '^'
receive in connection with its protectivrrrsponsibmt?:;:"'' '"^
in certain J^^lli'^H '^^^'lir^\ZJ''r'''l'>^ ''' ^"«^««
persons. (Certain other persons as used in ?h- '"'*'" °^^'"'
those persons protected bv t-hrQl % c ■ ^^^^ agreement, refers
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to
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. ",■■ .'./'■ Sensitive'
Manual of Investigative Operations and Guideline.
Fart II .,;-^ v-\r-\. ~ ■- ■'. ,■ .V ;... ■. .
<■'■■•%'■. " ■;j":\." I i'"' ■ -.; .■ ,>-'"-'-^- '■■■:^«., ■ PAGE 1
pers^nf JhTpBll:/ f'^?' '" ^^^ P«-<ient or certain other '
persons. The FBI has statutory authority to investigate assaulf
tne President and other designated individuals.
"The FBI will make available to the n<!«:«: ;n«:«,- .-i.- ■..
p«'o"! " ">' °' "" '"•'"»■>' "" ="t»i" other
sources and needless duplication of effort. investigations or
'II. General Responsibilities
w,>h i-y, "^*'^i'?^? " charged by Title 18. U.S. Code. Section 3056
tie Unitersf:?'''' ;'^ of protecting the person of the President of
the United States, the members of his immediate family, the
President-elect, the Vice President or other officer in th^ order «f
or:t::t-°" ll '"^ °"'" °' president, and the vl« P ^s L^-eUc?- -^
protecting the person of a former President and his wife during his' ^S-
iefthT ^^' •''"°" °' ^ "^'*°'' °^ ^ ^""^"^ President u^t 1 her W
?h:y r^LrTn::?:^?"' -""/"^^^^l"" ^^ a former President until ^*
cney reach 16 years of age, unless such protection is declined- -:>€
protecting persons who are determined from time to t me by Jhe''
Commi r^ the Treasury, after consultation with the Advisory
Committee, as being major Presidential and Vice Presidential
candidates who should receive such protection (unLs ?he"andidate
h^L o% ^fJ '"'' protection); protecting the person of a WsJ Jng
Jh^ Pre,ident"oth:r1^t' '""i"!! fovernment and. at the direction of
Stat^IfnH h- • ? <i^»tinguished foreign visitors to the United
States and official representatives of the United States oerformfna
special missions abroad (unless such person, decline pr"tecUo"*
the Director"^ms?^-"'^r ^"^^^^^^ Service, under the control of - ^
with iroteJtion of'ri! F ^'• V^"" ^' "'^- ^°'^«- Section 202.
with protection of the Executive Mansion and grounds in the District -
of Columbia any bui ding in which Presidential offices are locate^' ''
foreign diplomatic missions located in the metropolitan area of the'
District of Columbia; and foreign diplomatic missions locatedfns^ch ^^
other areas in the United States if. ^.^-•^ .•""•""■ iocaceo m such
the Presidenf r,r.\ JL \ \ ■ territories and possessions, as v^?
tne ^resident, on a case-by-case basis, may direct. ■
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rart II -. :% ,. i:-.^^\:X" ....,, • . ,. .
PAGE 18 - 2A
"III. Exch.„s. of Information and Coordination of Responsibilities
^i%
•^?i
A-
b'7^
^^^1^
J
• -,- -J , "^^® "^^^ agrees that it will conduct no investieaS^P
individuals or groups identified or suspected of being threats to thf
internal security of the United States without notifying the ?BI
However, when time for consultation is not availablefand an
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PAGE 18 - 25
indication of immediate daneer exi<h« f-h« ttcoc •. .
as is necessarv «,>!, r!. f f exists, the USSS may take such action
r!.« ?^ff?ff^ "^"^^ respect to carrying out its protective
ac nn^U rr Any information obtained by the'uSSS dir „g such
action will be furnished to the FBI as expeditiously as possible
zrour>n^.1.^7^^ ^11 "'^^ "°*^ conduct .investigation of individuals or
_,,c„e,_, "^^ ^^^^ b« the responsibility of the FBI to advise the
USSS when xnves t igati on" is" beihg-irii t ia ted-under" Ti tie' 18 n-?-r! ^-
ect on 1751 and thereafter to furnish the USSs"wI h'cop?;s ; 'tSe ?BI
investxga ive reports as they are prepared. It will be the
po n^ioi ir^wh h'' ^''' '"^ '"^-^'^^ ^^-^ ^" -y informatL in its
in3?^!?! ^^^ "ay.come to its attention which reasonably
indicates that a violation of Title 18, U.S. Code, Section 1751 has
been or is being committed. oection i/oi, has
"The USSS also agrees to furnish the FBI any information
xn Its possession or which may come to its attention ^ndicati^gl
li^l^dl^ti:':^"^ ""'''' ^^^^"^" ^^" "^^^^ '^^ ^«^ ^" invesJ^faHve
. , ... "^^? ^^^' ""<Jer its responsibility for investieation of
violations of Title 18. U.S. Code. Sections 112. 970, Hie-ll ? ^01
and 1751 will take cognizance of the protective resp;nsibil I; of
mirirV. Tn'^'f under Title 3. U.S. Code. Section 2^2 and
Title 18, U.S. Code, Section 3056 and thus does not limit or intlrf...
with the authority of the Secretary of the TreL'y ^ he di charf:
iL.i" ^^''^"t^^y P^tective responsibilities. This is not to be
construed as vesting concurrent investigative jurisdiction with the
Treasury Department with respect to investigations of i^^d^vl^uals ^r
organizations engaged in activities affecting the national securitv
r^bemo* ^^""""' '««-. -botage. espionage, ^oi^Ur-LJio'Ige
rebellion or insurrection enrfi' «■;».« -«j-».- . ^oyxvitn.^^,
V iUBurrecLion, Sedition, seditious conspiracy, neutrality
" ^U^e SrSifrtf:?'' Registration Act. or any other sf;tr or"^
fcxecutive Order relating to national security. Any investieations of
with ill^'r^" '"^^^^^-;» ^- -V reasons oLer than "con^ ^iJn
with protective responsibilities must be closely coordinated with and
have the concurrence of the FBI in order to minimize iriterferr^ce wUh
national security responsibilities of the FBI. "'•erterence with
"'''* bC^^hrF^r ^? l^ ^"'^nished to the United States Secret Service
by the Federal Bureau of Investigation
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Part II ■-■r.-i^''' «—■ .vK>----- ••■,.^1:- •
"B. Types of information to be referred:
*
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rart II . ■ , , ■ ■ '
th^ Priri'^r °5 nfu^"^ ^""^*" ''^ Investigation Personnel to Protect
the President and Other Protected Persons '^oiect
c ^- ,«c."^^*^^^^ "^y* ^" accordance with Title 18. U.S. Code
Section 3056 request FBI Agents be detailed to the USSS "; order to
augment the capacity of the USSS to perform its protective d^tUs
Such requests should be addressed to the Director of the FBl!
nnH .V , • "^" ^^!"^'' detailed to the USSS are under the direction
nerioH ir^r°''"^°""' ""'"' °' '^« Director of the USSS for the
rZt/ It^"" assignment. The FBI agents so detailed may perform an
armed or other protective function. p«i^i:orm an
VI, Implementation of Agreement
"In order to effect the best possible security of the
President and certain other persons and places whose protecUon i. the
te'^s'^f ;;•'' <>f the. USSS. the FBI and the USSS wiu'con^rrti:
terms of this agreement liberally and will take such steps as are
necessary to insure the proper exchange and coordinatlon'^of
information. - «-■■•«•• uj.
. "The agreement shall be reviewed annually bv
representatives of the FBI and tho fiqqq «- -i. i. i.l
FBT or fh- ITCCQ TDi ano tne USSS, or at such other times as the
FBI or the USSS may request, to insure that the agreement is both
"yi...--;-w *?e
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PAGE 18 - 28
?he"Directofor?fif FBr* h'^^'^A^"'' ""^^ "^ "^'^^ -^^« -thority of
tne uirector of the FBI and the Director of the USSS.
the FBI and the'Sssr""' '"P""'^" ^^^ P-or agreements between
July 16, 1973
Date
BY /s/ Clarence M. Kelley
Director
Federal Bureau of
Investigation
1 1'?
July 30, 1973
Date
EFFECTIVE: 01/31/78
BY /s/ James J. Rowley
Director
United States Secret
Service"
18-7
MEMORANDUM OF UNDERSTANDING BETWEEN FBI AND ERDA
AKm ,^^„^,« "MEMORANDUM OF UNDERSTANDING BETWEEN THE ENERGY RF<!FARrH
z ssrr^c"jr jjsLnKSLT""^ .™..„^-?«\?^?So»
referred to as ERDAi and the Federal Bureau of Investigation
hereinafter referred to as the FBI nnrfnr ft,. *♦■ ''? '•***^*''"'
1954. this Memorandum of"niL%tfn;in"rse\ ^%^ ^L';e^lLsiLr , •
of each agency with regard to nuclear^thre^t incidents '^''"
"II. IMPLEMENTATION - ERDA and the FBT «,■ 1 1 ^-.. i
Understanding' ""^^""^"^ implementation of this Memorandum of
"III. RESPONSIBILITIES
-II J '^* ^^^ ~ ^^^ ^^^ ^° responsible for investieatin^ =n
::;i:;tr.rsntL\' iL'i":rjsiri:r 1.'''^"°•^=""''- -' "
D. or cnac Act. The mission of the FBI in a
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■uwi-tiinrii-ji
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Part II
PAGE 18 - 29
nuclear threat incident is to take primary jurisdiction where a
question of the violation' of Federal law exists and, where
appropriate, to coordinate the utilization of available resources in
the interest of the public health and safety.'
"It is therefore understood that the FBI shall:
"i- Assume jurisdiction over all field. organizations
associated with a nuclear threat incident.
"2. Establish and maintain contacts and coordinate
—nuclear -threat-incidents- with-other-Pederal-and-local-law-enforcement-
agencies, and military authorities, as appropriate.
., . "^' Ensure that all reasonable measures are provided for
the security from physical violence of personnel and equipment to be
utilized in search, deactivation, and cleanup operations related to a
nuclear threat incident, and on the advice and recommendation and with
the assistance of specially trained ERDA and/or DOD teams, ensure that
all reasonable measures are provided for the safety of personnel from
radiological hazard.
„ , ^ "^- Designate .a liaison representative to accompany ERDA
Nuclear Emergency Search Team (NEST) personnel to the scene of a
threat incident for the purpose of coordinating with local FBI
officials and law enforcement agencies.
"5. Promptly notify National Command Authority of anv
nuclear threat incident.
"*• Promptly notify ERDA Headquarters of any actual or
alleged nuclear threat incident reports.
"^- Promptly provide ERDA with the exact wording of
threat messages, copies of drawings, nuclear material samples, or
other intelligence related to a threat for scientific analysis and
credibility assessment.
"8. Promptly provide ERDA with all available information
pertinent to an assessment of a threat perpetrator's technical
capabilities to carry out a threat. ,.
"9. At the scene of a nuclear threat incident, provide
necessary support as may be needed by ERDA NEST personnel in carrying
out assigned operations. - ■
'^
>s.*-
-Mi-
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Part, II ■ ■-^■:-
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DisDosal '^EOnV: '*^^""' ""Stance of DOD/Civil Explosive Ordnance '
disposal (EOD; resources, as appropriate.
inr^iA^r,^ • ?• ^^^t ~ '^^^ "i"ion of ERDA in a nuclear threat
incident is to provide expert assistance to the FBI upon notification
of the existence of such an incident. nocitxcation
"It is therefore understood that ERDA shall:
Coordination"T;a«^fFlr?^*^ '""^ ^''°'' Headquarters Emergency Action and
and dJr!^rrpmt" r^^V ' " ^PP^opriate. to coordinate with the FBI
__and^i£ec^^RDA^s^j^n^vemen in a nuclear threat incident
PRINTED: 02/18/98
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asses«»*.n^ o«h' ^''°;'"'^* scientific and technical support for threat .v^
s ora« of Tt "r ;>P"«tions, device deactivation, relocation and -W
clllnul ^ " ""'"'"' evidence, and/or in post-incident M
"Scientific and technical support shall include: ■
« t ^ '*'. Analysis of threat messages for technical cbntent; '''^
nuclear design feasibility, and general credibility. """"C, ^
h..,.^ "^' P"<*"tion as to the size of a potential nuclear £
burst as may occur from the successful detonation of a threatened ¥
nuclear device activation. i."ireatBnea ^
levels. "^' ^'"^'*^^'^^°" °^ contamination zones and radioactivity '^
d. Recommendations for evacuation,
"e. Recommendations for special search techniques,
"f. Operations of special search techniques,
"g. Identification of isotopes,
techniques. "^' ^^"^^"'*'*"°"» ^"^ special EOD procedures and
"i. Identification of nuclear weapons and components. -.
aetivih,--. Jli'u "^"t^fi'^^tion of radioactive hazards during cleanup
activities and bomb scene investigation. c<">up
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Manual of Investigative Operations and Guidelines
rart II •■ . ;?,-
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PAGE 18 r 31
scientific and technical support.
n,. M. 1 r^' /°°^<^i"ate nuclear threat incident activities with
tLe^r x^cLe^L -'"^r ''""i"^"" ^'*''^' " appropriate. ;"i::r
— threat incidents_involvingfaciIities_or_inaterial within the
jurisdiction of the NRC are initially reported by" N^C t" tLlil J
- ■• "^' ^'■range for any special transoortation of prha
eiv,-i;=« '^' ^f^^y «"^ request assistance from the DOD and
apprJjriate""'' '""^ post-incident cleanup activities as so^n as
n K , .,''^* ."*^® ^^"^^ authority in matters of (a) Restricted
inilllt T''°':-^^''- ^'^ ^«°A-originated National Securt"
Information classification associated with source material L„.,-=.i
w::n:;:r'"'''; -^-«^-« byproducts, or n^cw'^'^^^'' '''''^'
weapons/components.
«r,'«„i-if- I'v Provide, upon request by the Justice Department,
scientific and technical information and testimony for use in an^
legal action taken by the Department of Justice. ^
"C. JOINT
"The FBI and ERDA shall:
nuclear thr«l'J\- f^°°/^i''^^\^^^ proposed press releases related to
nuclear threat incidents. Any media or public inquiries will be
initially referred to the FBI; responses to such inquirierwill he
coordinated with ERDA. inquiries will be
fulfill the 2'.;*^^^^ appropriate, identify individuals assigned to
l" aii 2 and 3 "' responsibilities outlined in Section IV. B..
■-■■fmi
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"3. Treat all threat
incident information with adequate
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Part II ,,■■■:.■■
^ PAGE 18 - 32. ' -
security and confidentiality co»unensurate with National Security ^ "^
guidelines and the standards for.the preservation of criminal
evicence.
«...,. • V "^ '^«vie«. as appropriate, the events leading to and
Tmlrll-l^ f r^ ""^^'" '^"^' ^""'^^"t ^l«-t for the purpose of
improving upon future joint responses.- pose or ^
te«f-,'«. «f "^1* Provide a mechanism for coordinated planning and the
personnel! "" incident management, equipment and ^^
"IV. STANDARD PROCEDURES
"A. INITIAL NOTIFICATION
the FBI or ERdI ^"'=^^^'' threat incidents could be reported to either
the FBI or ERDA. Upon receipt of such a report the agency informed
sha 1 immediately notify the other agency aEout the situation anSas
to the exact information known.
va.,-n..c K u' ^°th agencies shall notify, as appropriate, the
Ibn. ? ?„ -^ ^f; °"'"' "^ i"di^id"*ls «ithin their Jurisdictions
about the situation and what actions might be required.
"B. POINTS OF CONTACT
r«™™»„M .F /■'\^ ^^^ ^?? '''^^ designate a Special Agent to take
command of field operations m a nuclear threat incident, and a
Special Agent to act as a liaison officer with ERDA at the
Headquarters level.
p-,-1 .. "I' ^^^ ^^°^ Headquarters EACT will command the ERDA
I^DA F^lfrM °P"*t^rn ^""^'' ^"** ""^^ Director. EACT. will direct an
ERDA Field Manager of Operation, to act as ERDA representative for
field operations m a nuclear threat incident.
..•11 • ll'cn. "^^^ Director. EACT. will consult with the FBI and
r;ii»r"^"/^P personnel to provide required support in a nuclear
threat incident. An FBI liaison representative will be designated to
accompany NEST personnel to the scene of a threat incident S oca
coordination purposes. '^"«-«*
"4. Points of contact with other involved Federal
agencies will be maintained by the Director. EACT, as appropriate.
erf,;
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"C." THREAT ASSESSMENT • "':.■.. '~" . '■' iS'
for H«f«.«- •^' ,.P°^ Will provide scientific and technical support
nnL ^- rr'"^^''^ credibility of specific nuclear threats and the
potential hazard associated with those threats. \i
- , , ' j§.
the NRC and/Ir'mn^°\"ii^ endeavor to verify, with the cooperation of ■ S
the NRC and/or DOD. whether any source material, special nuclear '
material, radioactive byproducts, or ERDA nuclear weapons/components
are missing or unaccounted-for. r / */« c.ilb , .
^;;D^_JEARCH. DEVICE DEACTIVATION, AND POST-INCIDENT
CLEANUP SUPPORI'
„P-_ ^ "^- ^^^^ ^'ill dispatch, upon request of the FBI, an ERDA
NEST response group and any necessary specialized equipment to the
scene of an incident.
"2. The ERDA NEST lead representative on-scene will:
"a. Direct the activities of the ERDA response erouo
xn support of the FBI Agent in Charge. esponse group
. . ^ "''; Ensure coordinated ERDA support in all matters
pertaining to search and identification operations and bomb scene
ex£Lifii na r 1 nne
examinations
"c.
Ensure coordinated ERDA support of the EOD
services associated with any device deactivation operations.
^.. ^ .,.,. "*^-. ^"="'^« coordinated ERDA support with the DOD and
other civilian agencies, as currently provided for under other
agreements, for post-incident cleanup operations.
"e. Advise the on-scene Special Agent in Charae of
any requirement for additional ERDA response capabifi ties and
coordinate the provision of such additional capabilities as may be
mutually agreed upon. '
"3. The on-scene Special Agent in Charge will:
"a- Establish and maintain all local contacts with
other law enforcement agencies.
"b- Direct the on-scene activities of the FBI and
other law enforcement agencies.
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"c. Establish a field command post.
^n Pa^-1-^ ^ "■^' ^^"^^'^^ fo*" necessary escorts as may be reauired
weapons/components.
7— "E.-^ MAJOR. EMERGENCY. DISASTER----In the event of a «,o;„.
emergency/disaster. ERDA will assist in the response Up t-iSd^;^
cleanuD reaulreInen^e ,'« /.^^.^^.■^-►.' ..-.., ^. ___ '^''- mciaenc
-1 . - -»»*o^ A., tuc i-esponse CO post-ii
c vaian'a^;""'"'' " coordination with the DOD, and various
mZJ^.^l " ^""^""y provided for under other agreements.
DOD and ERDA Agreement in Response to Accidents and Incidents
Involving Radioactive Materials and Nuclear Weapons.
f'; thf cost«'-^'''"f '' '^'"'^'^ ■ "'°^ ^"'^ ^^« '^"^ -11 ---^ fund
to meet th!^ incurred in providing the necessary assistance required
iLT.tl ^ '^^''P^nsibilities defined in this Memorandum of
Understanding.
^. . , "^'^" Memorandum of Understanding takes effect
immediately.
/s/ Alfred D. Starbird A/n/7A
Assistant Administrator for National n i
Security ""®
Energy Research and Development
Administration
/s/ Clarence M. Kelley ^/o/-,^
Clarence M. Kelley 0/8/76
Director ^^^^
Federal Bureau of Investigation"
(NOTE: See Appendix next for definitions and abbreviations.)
APPENDIX
"DEFINITIONS AND ABBREVIATIONS
DOD - Department of Defense
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EACT - ERDA Headquarters Emergency Action and Coordination Team
I'SH::/' "P««entatives of the Divisions of Mil tarHpFUcation-
Safeguards and Security; Operational Safety, and the Office oJpubH;
EOD - Explosive Ordnance Disposal, U.S. Army
ERDA - Energy Research and Development Administrati
FBI - Federal Bureau of Investigation
on
NEST - Nuclear Emergency Search TeaF
NRC - Nuclear Regulatory Commi
Nuclear Threat Incident -
ssion
Source Material
Any situation involving stolen, lost or
unauthorized possession of source materials,
radioactive byproducts, nuclear
weapons/devices of U.S. and/or foreign
manufacture, improvised nuclear explosives
radioactive dispersal devices or the
threatened use of said items.
The term "source material" means (1) uranium,
thorium or any other material which is determined by
the Administration pursuant to the provisions of
Section 61 of the Atomic Energy Act to be source
material; or (2) ores containing one or more of the
foregoing materials, in such concentration as the
Administration may by regulation determine from time
to time.
Special Nuclear Material - The ^term "special nuclear material" means
(1; Plutonium, uranium enriched in the
isotope 233 or in the isotope 235, and any
other material which the Administration,
pursuant to the provisions of Section 51 of
the Atomic Energy Act determines to be
special nuclear material, but does not
include source material; or (2) any
material artificially enriched by any of
the foregoing, but does not include source
material.
Radioactive Byproduct - The term "radioactive byproduct" means any
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PAGE 18.- 36
radio active material (except special nuclear
material) yielded in or made radioactive by
exposure to the radiation incident to the
process of producing or utilizing special
nuclear material.
Improvised Nuclear Explosive Devi
ce -
Any non-conventional explosive
device containing nuclear or
radioactive material in
combination with explosives."
. . ..^^
EFFECTIVE: 01/31/78
18-8
OF"mEmGAT?L"^f ?if ^'^^ '^ ^«^ '^^^^ B^EAU
REclRnTMr MnJ, pI^S ^"^ NUCLEAR REGULATORY COMMISSION
rlc^nT.S:''^^S./^^^^^^^^ -C LICENSED
"I. PURPOSE
Fed«r.ll" ""8"ition of the responsibilities and functions of the
cltlJ' %^rs^ Investigation (FBI) and the Nuclear Regulatory
" ?;.?rcrSj? °f ""J?"'-""'"* """"" the MC .„d, the D^parLnt
or Justice (DOJ) regarding cooperation eoncernina DEC .nr„,,.L..i.
inf:r::tio;:) ^"^^ ^^^-^-^^^ '^ -^' -^ -^ -hang^^;f;%%T?n:nt
to nuclla:1;ferl:"'^;:nl??ef 'a:r^"^f""'''^^'^'«= "^^^ -«"<^
the FBI and NRC «;s?'coopeia ^ fulW ir^^r'-" 'V' V^^^ed States,
responsibilities in^heLteL^tif'a^LeWnT"' -»P-tive
informatlon.'fnS'''"' communication and exchange of relevant
"2, A timely, reliable, and effecti
threat incident.
ve response to a nuclear
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I "II. DEFINITIONS
PAGE 18 - 37
nuclear industry, including the following:
naterial.
"Theft or attempted theft of NRC-licensed special nuclear
^^*'°^^8e or attempted sabotage of Nur-i ;,.«^--j ,
facilifioe «^ Mor-i • J A. »<»uuL«ise or wku licensed nuclear
taciiities or NRC-licensed transportation activities.
"Attacks on NRC-licensed nuclear facilities o7~;;^;;rties":
materials. or'aMiviUes"''' '""'^'"'"^ "''^ ^"^""'' facilities.
"III. RESPONSIBILITIES
"A. The FBI
"The FBI derives the authority to investieate rr;«;«,i
fr m'the'lJ:''' p° ^'' '"^"^^" facilities. .at^rH f or L U^U es
"p u-u-/^ '*= E"«'^8y Act of 195A. as amended; Title 18 Section 8^1
Fede°«? r /r""'"'^' '""°^"^"« "-^"^ »at;ria !" L :tier
thf l^L ^ ^'^%" "^^ '" applicable. The FBI has' b^n designated as
the lead agency for coordinating the Federal response to actfof
"It is therefore understood that the FBI shall:
. ."^' .Pf*»vide to NRC, intelligence information concerning.
,^:""itsr:ra:Ji:i^L:!"^^^^ " ^^r ^^^""'^ " --"f^cfuties.
derogatlry iZ^Z.Zn T^l^l^ZJlli^^r''''' '''''''' "^"' ^
occupying positions considered cJiU^aUrtL^rrr" ^"""""r
nuclear facilities or activities' ^ ^ *''*' security of
advise NRC rewrdinf ^h °"*°^''?-?""''^'"""'^'"^ ^^"^t situations;
aavise NRC regarding the credibility and danger of such threats.
"A. Establish liaison and develop contingency response plan.
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"13. Request Department of Defense (DOD)/Civil Exnl
Ordnance Disposal (EOD) resources, as appropriate!
1 "B. The NRC
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. PAGE 18 - 38
with pertinent local law enforcement agencies to ensure ^ff^rli^. ^'a
coordinated law enforcement response operation, ^"'"" «"«tive and
A .. ^ "^' .^" accordance with the Omnibus Diplomatic Securitv and
^ Jorrre^":: ^"l 1 ''''' ""^"^^ identification and ^rim ^II '
history records checks on individuals with unescorted access to NRC
InTZltiT''' ''"'' '''^'' °^ """ '^ Onclasaifiers:fU:.r
Nur "*' ,^^^^^li=^ liaison with pertinent NRC Headquarters staff
^for:f;°" °'^'"' ""^ '^"""^ facilities to ensure effect ve'
"In the event of a nuclear threat incident the FBI shall:
"7. Coordinate the Federal response to a nuclear threat
ThTtTr t"y°l^ "« NRC-licensed facilities, materials, or activities
sa ety L he^ Ll%''? ^k °" "'^"^" concerning public health ^n"*
safety, as they relate to the nuclear facility, material, or activity.
"8. Manage the law enforcement and intelligence asoects of hho
response to a nuclear threat incident involving NR?-lice"ed '
tacilities, materials, or activities.
;r,.-A r^* ^****'lif'^ an<* maintain contacts and coordinate the
incident response with other Federal and local law enforcement
agencies and military authorities, as appropriate.
fK« „^ "^O- Ensure that all reasonable measures are provided to ensure
"12. At the scene of a nuclear threat incident, provide the
Tslllll? '"'^?''' """^ '^ '^*''^^** "^y '^C personnel. 'in carrying out
rll\Tllt-^lT"°''l *"*^ *"^^°"» ^° P^^'^-^t the public from / *
radiological hazards.
'M
.: ■'V.S.A.,
^^-
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PAGE 18 - 39
• ■■•■§'
jLrj!„* r" ^°"»' *" °^ ""• " '-ended, th. E^"ly "'"'"■'
M
•It is therefore understood that NRC shall:
sy»'„ di."g° "°'" " ' """ '" rul^akins, evaluations. Ld
FBI i„v„tig.n„. linllaiilt'f J; "''' r°"p"y p^'ioe '■> ".,
to th. .af.?, a„? ::.':"e* i-j^i '^^^ri^i^"' -'""'
.»jce ;^;.„„^;:?^iii„i:-:%™ :';-»jj:---;-;.^j-. and .uu
evaluation, and. c„„ti„go„oy „,p„„„ pl,„„j„^ Z" '""•"S'- "-reat
li=e„s.e^a„d''f^!;^■'?':;^°'"'f° J""'' '""'"e.. planning between
.n£:::n-^:;— ^^
.aciuti'f;. ::t':^Li'J:^ra:^i:^tu:? i^rn'r-L^^i"""-? -r-'"'
nuclear a.p.ct. and t.e ....i^iAiTl^-^ ^^ T, Zl'^ZlYlt^^'
Ucenaeef' J'uVt'tTllr •""•'i' '"f""' "^ '•>• ^I. to the affected
.pecifrrAu^U^r-^fanrjhfeit. """■" """*" '"■ "" ™' =■-'*"'
"In the event of a nuclear threat incident, mc .hall:
' Of the re;p„"rto'°a' nCcir'Sre^t it-'/ !'""\»?'' "fety aap.ct.
facilitie.! ..teri.t.?"J::tivitUa "' '""'""» ™':-""°"''
PBI at :?; a::°r'^? S^^l^ri^n?"'"" "" '"""'"' "'-'"" '« t"'
W"*-
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PAGE 18 - AO
impact upon the public health and safety. Potential or actual
health and*sff:tror:nlB/:::r"r ---"!-« P-vided for the
support of the incident P^""""^^ and equipment involved in the
radiologlcal';::irLf" '''' '"''" ^"^ "^^^^ ^^ ^'^^ P"''^- f-
"C.
Joint
"The FBI and NRC shall:
during r^ucL'rr^h^L't'L'Jr^::;.'?:/^-"'' '""""%'? •»'' """""«
lutur. ioint r=.po„SM: '""''•"' f" ""? P"!'"" -' improving „p„o
"IV. STANDARD PROCEDURES
"A. Initial Notification
* ... '.'^* Nuclear threat incidents involving NRr-lJ^-^o«j
i "2. The FBI and NRC will notify appropriate individuals and
^:di
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PAGE 18 - 41
"B. Points of Contact
fi«ld of J- ^^^f^J Special Agent in Charge of the responding FBI
tariff ••! V^- ^^^"^ """*"** °^ t^« ^i«l<l operations in a Lcl ear
act : ties" A ^ri^'n* NRC-licensed facilifies, .aterJats oJ "
des InaUd't. » I Headquarters level, a Special Agent may be
designated to act as a Ixaxson officer with the NRC Executive Tea»
•2.
;„..., , "^^^ ^^^ Headquarters ET^.riir^HS^^^Sr^Hd~diIFi^iFlhe~~~~~-
xn.txal stage of the response will direct NRC activities The
reso'oL°: r^i"n"" ^^^^o-ty for managing the MC :::;gelc;
response to the Director of Site Operations? ^-^gency
cooperate 'wiJJMch o^hef" '"'*" "Presentatives will coordinate and
r-o.;!! -ur^:. '^®'' ^" carrying out their respective
responsibilities. The FBI and NRC representatives will rLorf .« fK
sxtuation and make recommendations to their re pect'e agencies
regarding the need for additional assistance at the scent
other Fed^rJ^' ^^^^"^NRC will maintain points of contact with the
other Federal agencies involved in responding to a nuclear threat
incident involving NRC-licensed facilities, materials! or acUvi ties.
"V. . THREAT ASSESSMENT
"1. NRC will provide scientific and technical advice for
determining the credibility of specific nuclear ^i^reats a^Spf^^ntial
hazards associated with those threats. * potential
2, NRC win endeavor to verifv ui'fK n,-. «« *. • - ■
D.p,rt..„. of Energy a„d/or th D^p" tl:^ f D^f.^rih Jh^ ° ""
"VI. FUNDING RESPONSIBILITIES
responsibilities defined in this MOU.
"VII. TERMS OF AGREEMENT
.m
1
• Si
0.
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■■• ■ ■.■■'^■' •';^VV^''\ ■■ ;■■;: ,^;. '-■■ . ; '\.7 . ■:. . ._^ PAGE 18
signature'by'aU pfrtierLd^'J ??"«'« «"«<=tive immediately'upon
42
"For the Federal Bureau of Investigation
- ■"•'his'
-/»/- Wl.L!-jaJLJL._ Sess i ons ._dat_ej<ay 29 1991
William S. Sessions ~ ~ '
Director
f
"For the Nuclear Regulatory Commissi
on
/s/ Kenneth M. Carr, date 13 March 1991
Kenneth M. Carr
Chairman"!
"•-'Jp^-
EFFECTIVE: 08/28/91
1 18-9
"JOINT FEDERAL BUREAU OF INVESTIGATION DEPARTMFNT nir
"I. PURPOSE AND SCOPE.
and procedurel'f^r'rfspondin^ Jf 1"' specific areas of responsibility
nuclear device. ZmV^t^',^ ^^y^:r^^J^^T\-
Commonwealth of Puerto R,Vn ^^a t» o ""-at-es, District of Columbia,
1977 nnp/pRT u f'^^'-y «-ne current DOD/DOE Agreement of 1 March
Attorney ^.n.^Irr e /to Ih^'Li^r^ar^f'Sj'" °"'""!' '""' "»
Federal ,,e„u, i„ co.b.tUag u'""L""d:t,S°J:v»b™ t""J?r° '"
"II. TERMS OF AGREEMENT.
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"a. This agreement shall be effective upon signature by
representatives of the Federal Bureau of Investigation, thf Department
of Energy, and the Department of Defense.
"b- Amendments, modifications, or termination of this
agreement may be made by written agreement of all parties.
"III. POLICY.
- . „"^" ^^^ ^^^"•^ °^ * Nuclear Threat Incident involving an
Improvised Nuclear Device (IND) . the Federal Bureau of Invest gftt^n
tillJ-r, i ,1 5°r ::'^^«tigating all alleged or suspec"t~^d~"^7rm7nar^
luestiornf^fn * t%'- ^^" ""^^ •^^ P"'""y jurisdiction where a
question of the violation of Federal law exists and, where
appropriate, will coordinate the utilization of available resources in
the interest of public health and safety.
will nrn^-^ "The Department of Energy and the Department of Defense
will provide assistance and support to the FBI as listed in Section V
of this agreement.
"IV. IMPLEMENTATION.
\^A ^-f •, <,"^"** f"*^^ "'^^ '""® ^^^ °™ departmental instructions
delfon ^if operating procedures implementing this agreement and will
develop and exchange additional instructions and procedures as are
deemed necessary to be continued implementation of this agreement.
"V. RESPONSIBILITIES.
"a. The Federal Bureau of Investigation will:
of »n Tim ,-..-^ ?* /''*' " ^^^ Federal agency in charge at the scene
Of an IND incident and assume jurisdiction over all field
organizations.
TVTt • -J .. "^' ^''^^''lish and maintain contacts and coordinate
IND incident support requirements with othc
't
enforcement agencies,
ler Federal and local law
V. .^.,. .. "^- ^'^^v^'ie security for personnel and equipment tt
be utilized in search, deactivation, and cleanup operations.
"4. Provide, at the incident scene, a
representative to act as liaison with Federal and local authorities.
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. , ."^v *''>tify appropriate individuals and offices
ot any nuclear threat incident, -
,, "6. Notify DOE Headquarters of support
I requirements and provide:
, "^*) The exact wording of threat messages,
copies of drawings, nuclear material samples, or other related
intelligence for scientific analysis and credibility assessment.
-l^^fe) Al-L_ijlfp rmation p ertjjient to an
"rrthreat^ * ^^'"'^^ perpetrator's technical capabiITUe7~u"^^P^
..-■■^fM.
. '- •%
rwwrrw IT 7" ^°*^^^y ^^« National Military Command Center
(NMCC)/ Emergency Ordnance Disposal (EOD) of support requirements for
either standby or deployment.
^^ , '^' Provide additional support as required bv
DOE and DOD/EOD personnel in carrying out assigned operations.
f-K TTHT r "^\.J^^ Department of Energy, upon notification by
the FBI of an IND incident, will:
J , . ^ "^" Provide scientific and technical assistance
and advice to the FBI and DOD in the areas of threat assessment and
search operations, device deactivation, hazards assessment,
containment, relocation and storage of special nuclear material
evidence, and in post-incident cleanup.
"2. Analyze threat messages for technical
content, nuclear design feasibility, and general credibility and
provide such analyses to the FBI.
"3. Acquire, maintain, and make available any
special equipment and capabilities required to provide the necessary
scientific and technical support,
"*. Coordinate IND incident activities with the
^nviw-^ f -J-^^ Commission (NRC) , as appropriate. (IND incidents
involving facilities or material within the jurisdiction of the NRC
are initially reported by NRC to the FBI.)
^p , "^- Arrange for any special transportation of
DOE equipment, personnel, and/or nuclear material, as required.
%
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"6. Notify the DOD and civilian agencies of
aTap"?;"[a":''''"" '°'' post-incident cleanup activities is soon
"7- Have final authority concerning the
classification of Restricted Data and DOE-originated National Security
Information associated with source material, special nuclear material
radioactive by-products, or nuclear weapons/components. »*"'^^1.
"8« Provide, upon request by the FBI,
-SCientific_and_technical^information_and_testimony_for_use_in_anv
legal action undertaken by the Department of Justice. ~~~~
FBI, will:
The Department of Defense, upon request by the
.*,
. , "1- Provide EOD technical and operational
assistance to the FBI. f •■
"2. Provide EOD technology, procedures and
equipment for working point access, device deactivation, and
nonnuclear device diagnostics.
I "d. The FBI, DOE, and DOD will:
"1. Coordinate all proposed press releases
related to IND incidents. Any media or public inquiries will be
initially referred to the FBI; responses to such inquiries will be
coordinated with DOE and DOD.
"2. Treat all IND incident information with
adequate security and confidentiality commensurate with National
security classification guidelines and the standards for the
preservation of criminal evidence.
"3- Review the IND incident for the purpose of
improving upon future joint responses. i- t- »'
, . ^' Provide a mechanism for coordinated
planning and for coordinated training and testing of IND incident
management, equipment, and personnel.
"e. The DOE and DOD, in support of the FBI, will:
"1. Develop working point operating procedures
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to be followed after location of an IND.
"2. Provide for:
PAGE 18 - 46
ll
ii.aLi.on sarety precautions for IND. — -
of render safe and disnffil IVt"^^ ^"^ development in the areas
containment con«pts ' technology xncluding radiation dispersal
"VI. PROCEDURES.
"a. Initial Notification
attention of the FM. we orthe"^D"";oon'^'''^^'r ""^ '° '""^
information, the aEencv infL!^! u ," , ^^ receipt of such
FBI office and prowSe^U Z:f t'' -mediately notify the nearest
notify all agenc^eTjn^SweS^Tt;;^ in^rrJ::?; ''' '" ^''' "^"^^^^^
offices, or indiviLlf Lnce'^erwlthl' ^l''-'^ •'''' "^^^^^ ^""«h".
situation and specify wharacti!^«^^ h/" ^''^ Jurisdictions about the
pecity What actions and/or resources might be required.
"b.
Initial Preparation
command of field op;rations and J ^?'J«"*'« ^ Special Agent to take
DOE Headquarters, f oca po ice fSr!sd*i^*'"'' '° "' " ^^^^"" ""h
Military Command CenUr. J""«dictions, and the National
personnel to provil; r^ui^i's^p^J.^J^ "l^'pE^''' ''"''"'' ^"^^"^
will be designated by competenraSJho^itf hi "" representative
to the scene of an IND in^..„J iTlT.ll lll'^ZlTZ ^^Z'^''
^y t.e PBI Of a c:fdib[;%r^n:lJi;.:-J- th^tjlif^ ^^0^"^
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PAGE 18 - 47
purloTel. '''"' °' '" '"^ ^"'^^^'^^t ^°^ 1°"! coordination
the incident ,ite"c;ntr:r center^ """*"' Post will_be collocated in
SBSBOBBm
■ .- , :,„£■■■'
c. Threat Assessment
*• • .. "1. The FBI with DOE assistance, including nnnT" ~"
partxc.patxon when appropriate, will provide a th;e:ri;sesL?2?.
«..• ^ , . "^' ^^^ ^^^^ provide scientific and technical
assessments to the FBI. "^°''^^^^^ "^^h those threats and report its
mr if "^' °°^ *'^^^ determine, in coordination with the
S-;roducts ar"" "'*'«^^*^' ^P«-i-i -clear material, or radioactive
FBl' SSd Ld i^r^-n^ °l unaccounted for and report results to thl
nuc earweanlf^! ' ^ ^l? requested by the FBI, determine if any
nuclear weapons or components are missing.
credible ^h.«=^- "a' ^^* P^ '''^^ """^^^^ °°^ through the NMCC of any
credible threat and request DOE and DOD/EOD assistance.
"d. Search and Location
search and locatiln'of^J^'s!' "^^r P'^^"^^^ responsibility for the
nnv - "'^* ^^ "^^^ dispatch, upon request of the FBI a
DOE^response group and necessary special equipment to the scene ;f an
... T^* ^^^ response group will bv use nf
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suspected presenc?;. ^^y-?r^;p:rS:wr::^r^Hrf ^e^'^^^r ^"r "
xn which the DOE response group is searching! " structure
the Clearance of Iny boX??" apf or"ther"h:f :''' '^ •"-P-'-i^le ^or
by the DOE team during ?he seSch hazardous x terns encountered
security of. and ll'cesl^V^Ll"';^ ^t"^^ ^"i""^ responsibility for
. y £, ana access to. the location of an IND incident.
--^e_._Incid_ejvt„Sit^_Recpnnai«ance_^^^^
of explosive devil'";. ''°°^^°° Personnel will clear the area/structure
s^f^t^r .r,A ^-"^l. °°° "^^^ provide a qualified individual for
safety and coordination of functions at the working point
"f. Diagnostics and Measurements
responsibility .o^dia^^^trira^^^l:::::^:?"' "^- ^-« P^^-ry
diagnostic and «eL';re°ent^%"n»:it''Jetf ns^rrtA through use of
including its structure and Juiction! ' suspected device.
function of the dlwce^^n /K^'^'''^i^^*'' anticipated structure and
persoin^i? '" "'^^ "^ provided by DOE to the FBI and: DOD/EOD
"g. Dispersal Containment Preparations
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personnel. " """ "^ ""*• " '^'^^ '"BI and: DOD/EOD ^.^■
as related to the"Lide;t!*'* ' """"^ assessment to the DOD and FBI
i',^^^.
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I radiological matter.
I "h. Device Deactivation
"1- DOD/EOD, with FBI and DOE support, will have the
primary responsibility for device deactivation.
"2. DOD/EOD and DOE personnel will develop suitable
render safe procedures.
"3- DOD/EOD personnel will perforin the approved
-dp_UYation_pxocedures,__D^^^^^^ personnel will work in
close cooperation to achieve the deactivation of the devicT. "
"i. Post Incident Operations
"!• The FBI, with support of DOE, DOD and other
Federal, state and local authorities will have primary responsibility
tor post-incident operations.
"2. DOD/EOD and DOE personnel will work closely
with, and in support of. the FBI in the preservation of evidence.
"3. DOE and DOD will arrange for any special
transportation of nuclear material in coordination with the FBI.
"4. The FBI will request assistance from DOE, DOD,
and appropriate civilian agencies for post-incident cleanup.
"j. Major Emergency or Disaster.
"In the event of a major emergency or disaster, DOE will
assist m the response to post-incident cleanup requirements in
coordination with the DOD and various civilian agencies as provided
for under other agreements. DOE will have assistance from the DOD as
provided for in the March 1, 1977, DOD and DOE Agreement in Response
to Accidents-Incidents Involving Radioactive Material or Nuclear
Weapons.
I "VII. Emergency Assistance Expense,
DOD, DOE, and the FBI will each fund for the costs which
they incur in providing the equipment and services required to meet
their responsibilities defined in this agreement. Any reimbursements
which may subsequently be agreed upon by the undersigned in
furtherance of this agreement will be in accordance with the Economy
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Act, 31 U.S.C. 8. This agreement takes effect on the last date of
signature shown below:
date 2/27/80
date 1/29/80
date 2/21/80
hi Duane C. Sewell,
Duane C. Sewell, Assistant Secretary
. for Defense Programs, DOE
hi David M, Mullaney,
David M. Mullaney, Brig. Gen, USAF
^Deputy._AssiBtant-to_the_Secretar y
of Defense (Atomic Energy)
hi William H. Webster,
William H. Webster, Director
Federal Bureau of Investigation
"Appendix A
"Definitions and Abbreviations
"Improvised Nuclear Device (IND) - Any nonconventional explosive
device containing nuclear or radioactive material combined with
explosives.
"Nuclear Threat Incident - Any situation involving stolen, lost, or
unauthorized possession of source materials, special nuclear
materials, radioactive by-products, nuclear weapons/devices of U.S.
and/or foreign manufacture, improvised nuclear devices, radioactive
dispersal devices, or the threatened use of said items.
"Explosive Ordnance Disposal (EOD) - The detection, identification,
field evaluation, rendering-safe, recovery, and final disposal of
Unexploded Explosive Ordnance (UXP) .
"National Military Command Center (NMCC) - Centralized controlling and
notification point to activate and coordinate DOD activities.
"Working Point - The area immediately surrounding the device.
"Special Nuclear Material - The term special nuclear material means
U; Plutonium, uranium enriched in the isotope-233 or in the
isotope-235, and any other material which DOE, pursuant to the
provisions of section 51 of the Atomic Energy Act, as amended.
43:-
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determines to be special nuclear material, but does not include source-
material or (2) any material artificially enriched by any of the
foregoing, but does not include source material."!
EFFECTIVE: 04/08/80
— _ ?> '-J&^ -:
m
18-10
MEMORANDUM OF UNDERSTANDING BETWEEN THE DEPARTMENT OF
JUSTICE AND THE DEPARTMENT OF THE INTERIOR REGARDING
.FEDERAL_RESPgNSE_TOj:^iyiL. DISORD ER ON IND IAN RRSKRyATTOWg
The purpose of this agreement is to delineate the responsibilities of
the various federal agencies for ciyil^disprder control on Indian
reservations in the United States and to idenri'fy*basi'e-command.and*,,_
control channels and general procedures for such operatioiis. The '^^^^^^^^^^
policy contained herein shall apply to civil disorder situations
arising on any Indian Reservation under federal law enforcement
jurisdiction, either exclusive or concurrent.
"A current list of reservations and jurisdiction is attached to this
agreement and will be updated from time to time as necessary by the
Department of the Interior.
"For the purposes of this agreement, a civil disorder is defined as
follows:
"The term 'civil disorder' means any public disturbance involving acts
of violence by assemblages of three or more persons, which causes an
immediate danger of or results in damage or injury to the property or
person of any other individual." (18, USC, 12, Section 232(1))
"Nothing contained in this agreement shall be construed as in any -
manner limiting, modifying, or redefining the statutory and other
investigative authority of the Federal Bureau of Investigation.
POLICY
"The Attorney General has been designated by the President as chief
civilian officer for coordination of all federal government '
activities relating to civil disturbances, including" - 7' s
acts of terrorism within the United States. However, it is the policy
of the Attorney General that existing established law enforcement
authority on Indian reservations will not be superseded or augmented
by Department of Justice law enforcement resources and authority
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Part H- . ,.^ .,/--.,r ■•■-.:- •.-'•■..
unless absolutely necessary and then only at the request of the
Secretary of the Interior or his designated representative.
"The primary responsibility for the law enforcement response to a
civil disorder situation arising on an Indian reservation under
Department of the Interior jurisdiction will rest exclusively with the
Assistant Secretary - Indian Affairs or the Commissioner of Indian
Affairs or his delegated representative.
"Where local resources are inadequate to deal with civil disorder, the
Commander of specially trained Bureau of Indian Affairs law.
_«!>f or=.ement_of f^ic^s^jji IJ^ act^ j^s^ gnt^^ j^^ ^
will be responsible for restoring order. Ail Bureau of" IndianATfal^T"
law enforcement officers engaged in restoration of order on the
reservation will operate under the command of the senior Special
Operations Service Unit official on site.
'"Whenever^,any^ civil disorder reaches a point beyond the control
capabilities of local •'and Bureau-of-Indian.Affairs resources, the
Department of the Interior may elect to req'uesT"aTsislfance froo.the^.
Department of Justice. ri- -?*
"Based upon a request for assistance by the Department of the Interior
and an assessment of the civil disorder situation, the Attorney
General or the Deputy Attorney General will determine what, if any.
response is appropriate and shall so advise the Department of the
Interior in a timely manner.
"If a decision is made to intervene, the Attorney General or Deputy
Attorney General will order or request deployment of federal civilian
or military forces. The selection of Department of Justice resources
to be committed shall rest exclusively with the Attorney General or
the Deputy Attorney General.
,.;^m
■ f V '
^^-^r^mmA*-
GENERAL PROCEDURES
"1. In the event of an actual or potential civil disorder on an
Indian reservation under federal jurisdiction, the Bureau of Indian
Affairs will take or direct appropriate law enforcement action and
notify the nearest office of the Federal Bureau of Investigation.
"2. The Federal Bureau of Investigation (FBI) office notified will
immediately report the incident to the FBIHQ in Washington. FBIHQ
will immediately notify the Office of the Deputy Attorney General
through the Department of Justice Emergency Programs Center.
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"3. At this point civil disorder control responsibility rests solely
with the Department of the Interior and any FBI special agents on site
are responsible only for normally authorized investigative activity to
the extent that such activity can be safely conducted and for keeping.'
FBIHQ apprised of the disorder situation so that the Attorney General
or Deputy Attorney General will be prepared to act quickly and
effectively on any subsequent request for assistance.
"4. When the Department
disorder on an Indian res
by local or BIA resources
_as si stance ,_the_Attorney
assess the situation and
Department of Justice or
civil response resources
the Attorney General. If
military forces will be r
established procedures.
of V the Interior determines that a civil
ervation cannot be controlled or terminated
and requests Department of Justice
General_.or_the__Deputy, Attorney G enera l will ]
determine what response is appropriate. If a
other response is required, the selection of
to be employed shall rest exclusively with
federal civilian resources are inadequate,
equested by the Department of Justice through
"5. Upon arrival and deplojraent at the scene of a civil disorder, and
at a time to be designated by the Attorney General or the Deputy
"Attorney General, ..the^jAttorney General ' s designee on site will assume
operational control of ' tlm ^iisordi8r'>8ituation;^and_.,wi^
for restoring order in accordance with established ^toc%ZurSs^'tin^i^%rrri^'-^^,
instructions.
"6. When the law enforcement resources designated by the Attorney
General or the Deputy Attorney General assume control of a disorder
situation the Secretary of the Interior will place his law enforcement
resources at the site at the disposal of the Department of Justice
designee.
"7. At a time to be mutually agreed upon by the Department of Justice
and the Department of the Interior control of law enforcement activity
at the scene of the civil disorder will be returned to the Department
of the Interior.
"'•■Ms;
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"It is understood and agreed that a basic objective of this agreement
is to ensure a coordinated and effective federal effort in response to
incidents of civil disorder on Indian reservations. It is anticipated,
that this agreement will serve to' eliminate delays in appropriate
federal law enforcement action during periods of civil disorder and '
will clearly define basic law enforcement responsibilities, which will
be further implemented through continuous development of contingency
plans and procedures by the agencies involved.
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FOR THE DEPARTMENT OF JUSTICE
PAGE 18 - , 5 A
!
/s/ Charles B. Renfrew
CHARLES B. RENFREW-
DEPUTY ATTORNEY GENERAL
Dated: 1/20/81
FOR THE DEPARTMENT OF:
THE INTERIOR
/s/ Cecil D. Andrus
Dated: 1/8/81"
"The following list of Indian Reservations was furnished by the
■ DgP.MtMgntg^f__theJ[j^terior. Bureau of Indian Affairs. Division of Law
Enforcement Services and represents those reservations as" of ~22 '' "
January 1981 that are included in the scope of this agreement.
Bureau of Indian Affairs
Division of Law Enforcement Services
BIA RESPONSIBILITY FOR LES BY STATE
AND RESERVATION/TRIBE
■■'■"■0.
STATE
RESERVATION/TRIBE
5^'^^fff^^^^rrcr:^-— ^
^?^^*c?w,>.
't"?A^Avi,^.-x'n
1. Alaska (1)
2. Arizona (Incl.
NM & Utah)
%^'?«:S;*fS.:?^~^^,
(18)
■¥^S;s?fr^,*»*iJL' Annette Island
2. Navajo
3. Colorado River
4. Cocopah
5. Fort Mohave
6. Fort Yuma
7. Fort Apache
8. Kaibab
9. Hopi
10. Fort McDowell
11. Papago
12. Ak Chin (Maricopa)
13. Gila River
14. Salt River
15. San Carlos
16. Camp Verde
17. Havasupai
18. Haulapai
19. Yavapai-Prescott
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|--- ';'■■■• N ■■■:.■
I 3. California (i)
4. Colorado (2)
5. Florida (1)
6. Idaho (4)
7. Kansas (2)
8. Maine (3)
9. Michigan (5)
10. Minnesota (2)
I 11. Mississippi (1)- "'rs..-
i-3W»?
12. Montana (7)
13. Nebraska (1)
14. Nevada (26)
PAGE 18 - 55
■.i<3V
20. Tonto Payson
21. Hoopa/Yurok,
22. Southern Ute ,
23. Ute Mountain
24. Miccosukee.
25. Fort Hall
26. Kootenai
27. Coeur D' Alene
28. Nez Perce
29.
30.
Kickapoo
Potawatomie
31. Indian Township
32. Pleasant Point
33. Penobscot
34. Bay Mills
35. Hannahville
36. Keweenaw Bay
37. Saginaw-Isabella
38. Sault Ste. Marie
39. Nett Lake
40. Red Lake
■;>.j;i.>u.,rt . ^1' Choctaw
42. Blackfeet
43. Crow
44. Flathead
45. Fort Belknap
46. Fort Peck
47. Northern Cheyenne
48. Rocky Boys
49 . Omaha .
50. Battle Mountain
Col ony
51. Campbell Ranch
52. Carson Colony
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PAGE 18 - 56
i
New Mexico (22)
'■^'SSSir'^:-!
53. Duck Valley .
Reservation
54. Duck Water
Reservation
55. Dresslerville
Co 1 ony
56. Elko Colony
57. Fallon Colony
58. l^'ort McDermitt
Reservation
59. Goshute Reservation
60. Las Ve g as Colon y
61. Lovelock Colony
62. Moapa Reservation
63. Odgers Ranch
64. Pyramid Lake
Reservation
65. Reno-Sparks Colony
66. Ruby Valley
Reservation
67. South Fork
Reservation
68. Summit Lake
Reservation
69. Walker River
Reservation '
70. Washoe Pinenut
Allotments
71. Washoe Ranches
72. Winnemucca Colony
73. Woodfords Community
74. Yerington Colony
75. Yomba Reservation
ti,^76. Jicarilla
77. nescaTerai^:'>-:!:>-f.r:'/f-^»!^!^:^<i„.^, ,
78. Nambe Pueblo
79. Picuris Pueblo
80. Pojoaque Pueblo
81. San Ildefonso
Pueblo
82. San Juan Pueblo
83. Santa Clara Pueblo
84. Taos Pueblo
85. Tesuque Pueblo
86. Acoma Pueblo
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87.
88.
89.
90.
91.
92.
93.
94.
95.
96.
97.
16. North Carolina (1)
17. North Dakota (3)
18. Oklahoma (10)
PAGE 18 - 57
Cochiti Pueblo
Isleta Pueblo
Jemez Pueblo
Laguna Pueblo
Sahdia Pueblo
San Felipe Pueblo
Santa Ana Pueblo
Santo Domingo
Pueblo
Zia Pueblo
Zuni Pueblo
Ram ahi-Nava jo
98. Eastern Cherokee
99.
Fort Berthold
100.
Fort Totten
101.
Turtle Mountain
102.
Absent ee-Shawnee
103.
Apache
104.
Caddo
105.
Cheyenne-Arapaho
Tribe
106.
Comanche
107.
Delaware
108.
Kiowa
109.
Pawnee Tribe
110.
Ponca Tribe
111.
Wichita
112.
Warm Springs
113.
Burns Paiute
Allotments
114.
Umatilla
19. Oregon (3)
,20.„.. South Dakota (9) 115. Cheyenne River
■/' ■■■.; ''-i-^'^T~r^??*^?^Tsr".**^--;^,a_, 116. Crow Creek '
119.
120.
121.
122.
123.
■ -;■>■■ ■•;'<&«•
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Pine Ridge. ' •
Rosebud
Sisseton
Yankton
Standing Rock (Inc.
ND)
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PAGE 18 - 58
21. Utah (2)
22. Washington (25)
j 23. Wisconsin (1)
I 24. Wyoming (1)
124.
Skull Valley
125.
Uintah and Ouray
126.
Chehalie
127.
Colville
128.
Hoh
129.
Kalispel
130.
Lower Elwah
131.
Lummi
132.
Makah
133.
^Muckleshoot
134.
Nisqually
135.
Nooksack
136.
Ozette
137.
Port Ganble
138.
Puyallup
139.
Quileute
140.
Quinault
141.
Sauk-Suiattle
142.
Shaolwater
143.
Skokomish
144.
Spokane
145.
Squaxon Island
146.
Suquamish (Port
Had is on)
147.
Swinomish
148.
Tulalip
149.
Upper Skagit
150.
Yakima
151. Menominee
152. Wind River
f'VSj.
TOTALS: 24 States - 152 Reservations"!
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18-11
"I.
MEMORANDUM OF UNDERSTANDING AND COORDINATION BETWEEN THE
FEDERAL AVIATION ADMINISTRATION AND THE FEDERAL BUREAU OF
INVESTIGATION
INTRODUCTION
■mm-
"The enactinent of Public Law 93-366, on August 5, 1974,
affects the rEsponsibility of the Federal Aviation Administration for
the direction of law enforcement activity in aircraft hijacking
situations. New Section 316(c), entitled "Overall Federal
Responsibility," states:
"1. Except as otherwise specifically provided by law,
no power, function, or duty of the Administrator of the
Federal Aviation Administration under this section
shall be assigned or transferred to any other Federal
department or agency.
"2, Notwithstanding any other provision of law, the
Administrator of the Federal Aviation Administration
shall have exclusive responsibility for the direction
of any law enforcement activity affecting the safety of
persons aboard aircraft in flight involved in the
commission of an offense under Section 902(i) or 902(n)
of this act. Other Federal departments and agencies
shall, upon request by the Administrator, provide such
assistance as may be necessary to carry out the
purposes of this paragraph.
"3. For the purposes of this subsection, an aircraft is
considered in flight from the moment when all external
doors are closed following embarkation until the moment
when one such door is opened for disembarkation.
"In view of these and other changes in the scope of federal
responsibility, the Memorandum of Understanding, dated September 25,
1970, between the Attorney General and the Secretary of Transportation
is no longer sufficient and is hereby superseded. In its place, the
following statements of authority and responsibilities are agreed
upon. ","■*■"••
"II. DESIGNATION OF AUTHORITY
■M-
■■•■ cf^S^„
"A. When the aircraft is in flight.
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n'*"When'^a*aircraft,^is^.ini.f light, that is from the moment
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when all external doors are closed following embarkation,
until the moment when one such door is opened for
disembarkation, the pilot in command of the aircraft shall
have normal operational control of the flight.
"2. The- Administrator of the Federal Aviation
Administration has exclusive responsibility for direction
of any law enforcement activity involving an offense under
(902 (i) and 902 (n) of the Federal Aviation Act of 1958, as
amended.
3. As a ppropriate. jnL__e^a^h^asje_iny^oljyi^
j»«55»i«
offense, the designated official of the Federal Aviation
Administration shall request the assistance of the
designated official of the Federal Bureau of
Investigation.
"4. After fully considering the expressed wishes of the
pilot in command, the responsible official of the airline
operating the aircraft and the designated official of the
Federal Bureau of Investigation, the designated official
of the Federal Aviation Administration shall determine if
law enforcement action is appropriate. In those instances
in which the designated official of the Federal Aviation
Administration determines that law enforcement action is
appropriate, he shall request the designated official of
the Federal Bureau of Investigation to advise as to the
appropriate methods to, be used and, after approval of the
designated official of the Federal Aviation
Adminis'tration, take the law enforcement action that is
required.
"5. Whenever such a request is made, the designated
official of the Federal Bureau of Investigation shall .
provide such law enforcement assistance as is necessary.
"6. The designated official of the Federal Bureau of.
Investigation and the designated official of the Federal
Aviation Administration shall maintain continuing
coordination between their respective offices during the
course of such law enforcement activity.
"B. When the aircraft is. not in flight.
"1. When an aircraft is not in flight, that is prior to
the moment when all external doors are closed after
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PAGE 18
embarkation and after the moment when one such door is
opened for disembarkation, the designated official of the
Federal Bureau of Investigation shall make the decision to
take law enforcement action with respect to a hijacking.
The designated official of the Federal Bureau of
Investigation shall give full consideration to the
expressed wishes of the pilot in command, the responsible
official of the airlines operating the aircraft, and the
designated official of the Federal Aviation Administration
prior to initiating action.
61
■.ji-k-
L'C . The_deci s i on of the designated official of the Federal
Aviation Administration shall prevail in those instances where a
question arises as to whether an aircraft is in flight or is not in
flight.
a
"III. INFORMATION AND COOPERATION
"A. The Federal Aviation Administration shall take all
possible steps to establish a comprehensive information and
intelligence communications network. To achieve this objective, the
fullest cooperation of the commercial airlines and their pilots will
be solicited.
"B. The Federal Aviation Administration and the Federal Bureau
of Investigation agree to cooperate fully with each other in order
that each agency may discharge its responsibilities hereunder. This
shall include the full exchange of information and intelligence.
"IV. DELEGATION OF AUTHORITY AND DESIGNATION OF OFFICIAL OF THE
FEDERAL AVIATION ADMINISTRATION AND THE FEDERAL BUREAU OF
INVESTIGATION
"A. Until the Federal Aviation Administrator is otherwise
notified in writing by the Director of the Federal Bureau of
Investigation, JAMES B. ADAMS, Assistant to the Director, Deputy
Associate Director, or the official acting in his capacity, will act
on behalf of the Federal Bureau of Investigation and will coordinate
with the Federal Aviation Administration and its designated
responsible officials.
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"B. Until the Director of the Federal Bureau of Investigation
is otherwise notified in writing by the Federal Aviation
Administrator, RICHARD F. LALLY, Director, Civil Aviation Security
Service, or the official acting in his capacity, will act on behalf of
the Federal Aviation Administration and will coordinate with the
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Federal Bureau of Investigation and its designated responsible
officials.
"Dated at Washington, D.CJ this 26th day of February, 1975.
PAGE 18 r 62
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/s/ Alexander P. Butterfield
Administrator
Federal Aviation
Administration
-ft !/
Ad
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/s/ Clarence M. Kelley
Director,
Federal Bureau of
Investigation"!
EFFECTIVE: 01/08/82
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1 18-12 MEMORANDUM OF UNDERSTANDING BETWEEN THE FEDERAL BUREAU OF
INVESTIGATION AND OFFICE OF INSPECTOR GENERAL RESOLUTION
TRUST CORPORATION
"This memorandum constitutes an agreement voluntarily entered into
between the Office of the Inspector General (OIG) of the Resolution
Trust Corporation (RTC) , and the Federal Bureau of Investigation ,.
(FBI).
"A. PURPOSE
"The purpose of this memorandum is to delineate the investigative
responsibilities of. the FBI and the OIG-RTC to ensure the most
effective and efficient utilization of the limited resources which are
available, and to ensure the timely exchange of information regarding
allegations of criminal conduct involving RTC employees, programs, and
functions. ,
"B. APPLICABLE AUTHORITY
"The Inspector General Act of 1978 ("IG ACT"), Public Law 95-452 (5
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use App.) , created OIGs with the statutory authority to conduct
inveistigations relating to £raud, waste, and abuse within their
respective agencies' programs and operations. The Financial
Institution Reform, Recovery, and Enforcement Act of 1989 (P. L.
101-73) (FIRREA). amended the IG Act to add an Inspector General for
the RTC.
"The FBI derives its criminal investigative jurisdiction from Titles
18 and 28 of the United States Code (USC) , the Code of Federal
Regulations and through the Attorney General of the United States.
•^';A
1
_!lSection_535_of_Title_28.,_USC,_specifically_sets_„for.th _^___
the FBI's jurisdiction to investigate violations of Title 18 involving
Government officers and employees. Further, this statute also imposes
upon every department and agency head of the Executive Branch of the
Government a duty to report expeditiously to the Attorney General any
information, allegations, or complaints relating to possible
violations of Title 18 involving officers or employees of the
Government unless the responsibility to perform the investigation of
that violation is, by law, specifically assigned otherwise.
"C. BACKGROUND
"The Attorney General has formulated a written policy statement for
the Department of Justice (DOJ) regarding its relationship and
coordination with the statutory Inspectors General. The policy states
in part, that the Attorney General is the chief law enforcement
officer of the United States. Further, that whenever there is reason
to believe that a Federal crime has occurred, the DOJ should be
advised. This reporting normally will be to the
United States Attorney (USA) in the district where the crime occurred
or is occurring.
"In order to comply with the Attorney General's reporting requirement,
the FBI and the OIG-RTC agree to present all allegations of a
violation of Federal criminal statutes to the USA's Office
in the district where the crime occurred or is occurring. The
presentation to the USA will occur within 30 days of receipt of the
information indicating a criminal violation, for the purpose of
obtaining a preliminary prosecutive opinion. ■
"The FBI and the OIG-RTC further agree to advise each other of the
initiation of any criminal investigation involving RTC employees,
programs or functions and/or individuals and contractors acting for or
on behalf of the RTC. The notification shall be in writing and will
occur within 30 days of the initiation of a criminal investigation.
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The notification shall include the predication for initiating the ^ ""^
investigation, any facts developed, any evidence obtained, and the
initial prosecutive opinion rendered by the USA's Office.
"The FBI and the OIG-RTC further agree to advise each other of the
final results of those criminal investigations involving RTC
employees, programs or functions. The notifications of the initiation
of investigation and the final results of an investigation shall be
made both to the field office covering the territory where the
criminal activity took place and to the headquarters of both the FBI
and the OIG-RTC.
^•s^^
"The reciprocal notifications will allow each agency to be informed of
investigations being conducted by the other agency, thereby
facilitating coordination of investigative efforts and avoiding
duplication of effort. In addition, each agency may request to join V;j
an investigation being conducted by the other agency. The "J
investigating agency may, however, decide to conduct the investigation
unilaterally. -'\^_
- V-
"The above reciprocal notifications shall not apply to those ,i,
investigations where disclosure might endanger the safety of FBI, OIG- ,'"
RTC, or other personnel, or otherwise have a potentially adverse rfj
impact upon the investigation. i-=
"The FBI and the OIG-RTC agree to obtain the approval of one another jj:
prior to disseminating the other agency's documents to a third agency. ^'
•i.i:
I "D. RESPONSIBILITIES OF THE OIG-RTC
"1. The OIG will promptly advise the FBI upon the
initiation of all criminal investigations undertaken by the OIG-RTC
involving employees, programs, and functions of. RTC and/or individuals
and contractors acting for or on behalf of RTC, The OIG-RTC will -
provide the FBI with a list of regional OIG-RTC offices and ensure
that any changes to the list of offices are provided to the FBI on a
timely basis.
"2. The OIG will refer to the FBI, for investigation, all
allegations of bribery or attempted bribery involving RTC employees
and other individuals and/or contractors acting for or on behalf of
RTC, upon receipt.
"3. The OIG will refer to the FBI for investigation all
information pertaining to "organized crime," including both
traditional La Cosa Nostra (LCN) matters and nontraditional criminal
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■■'..% ■'''<■:■ . -. '
-■ 65
enterprises identified in the FBI's National Organized Crime Strategy,'
upon receipt. . .
"4. The OIG will refer to the FBI, for investigation, all
allegations of bank fraud and embezzlement which may have occurred
prior to the date of "conservatorship."
fm--:
1
"5. The OIG will investigate all noncriminal
administrative and civil matters arising from and pertaining to RTC
programs, functions, and personnel. Certain civil investigations
arising from criminal cases investigated-by the FBI may, however, be
handled by the FBI. The OIG may institute whatever action is deeme d
appropriate in those instances where the FBI notifies the OIG that it
is not going to initiate an investigation or that the USA has declined
to prosecute a particular matter.
"E. RESPONSIBILITIES OF THE FBI
M
"1. The FBI will promptly advise the OIG-RTC upon the
initiation of criminal investigations undertaken by the FBI involving
employees, programs, and functions of RTC and/or individuals and
contractors acting for or on behalf of RTC except in those situations
articulated above. The FBI will also advise the OIG-RTC of the
results of completed investigations as set forth above. The FBI will
provide the OIG a list of all FBI field offices and ensure that
changes to the list. of field offices are provided to the OIG-RTC on a
timely basis.
"2. The FBI will assume investigative responsibility for
all allegations of bribery or attempted bribery involving RTC
employees and other individuals and/or contractors working for or on
behalf of RTC.
"3. The FBI will assume investigative responsibility for
all allegations of criminal activity involving "organized crime"
including traditional LCN matters and nontraditional criminal
enterprises identified in the FBI's National Organized Crime Strategy.
The FBI will promptly furnish the OIG-RTC a copy of the FBI's National
Organized Crime Strategy and will promptly advise the OIG-RTC of any
changes to the FBI's National Organized Crime Strategy.
"4. The FBI will assume investigative responsibility for
all allegations of bank fraud and embezzlement which may have occurred
prior to the date of "conservatorship."
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"5. The FBI will advise the OIG whether or not it will
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PAGE
18 - 66 :|^;
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investigate a matter referred by the OIG within 45-60 days of thei
receipt of the information, except in matters of bribery and/or RTC
employee involvement. In these latter situations, telephonic*
notifications should be made to the appropriate OIG-RTC Regional
Inspector General for Investigation within 30 days.
■MS:.
"F. JOINT ENDEAVORS BY THE FBI AND THE OIG
"The OIG and FBI may agree to enter into joint investigative efforts,
including undercover operations (UCO) , in appropriate circumstances.
Separate written agreements will be prepared for each joint undercover
_.investigation,_setting_for.th_the_respective..responsibilities_of _.each
agency. All UCOS will conform to pertinent Attorney General and FBI
guidelines. Control of joint UCOs will be the responsibility of the
FBI.
"V/hile differing circumstances will result in varied arrangements from
project to project, certain conditions will remain constant.
Participating personnel will be supervised by their respective
agencies. Only one evidentiary document or report of interview will
be prepared. Any contact with the news media, such as press releases,
will be coordinated and agreed to in advance.
I "G. REVISIONS/TERMINATION OF THIS AGREEMENT
"Both parties agree to consider any proposed changes to this agreement
which would improve the working relationship between the FBI and the
OIG-RTC. This agreement may be terminated at any time, by either
party, by deliverance of a written notice to terminate.
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"H. EFFECTIVE DATE
"This agreement becomes effective when approved and signed by both
parties.
William H. Baker
ASSISTANT DIRECTOR
CRIMINAL INVESTIGATIVE DIVISION
FEDERAL BUREAU OF INVESTIGATION
10/21/91
DATE
John J. Adair
INSPECTOR GENERAL
RESOLUTION TRUST CORPORATION
October 30, 1991
DATE I '
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■1*
"v'J-'lJK
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EFFECTIVE: 04/30/93
1 18-13 MEMORANDUM OF UNDERSTANDING BETWEEN THE FEDERAL BUREAU OF
INVESTIGATION, THE UNITED STATES MARSHALS SERVICE, AND THE
FEDERAL BUREAU OF PRISONS ON VIOLATIONS OF THE FEDERAL'
ESCAPE AND RESCUE STATUTES
"I. PURPOSE: This Memorandum of Understanding (MOU)
be t we en the Federal Bureau o£ Inv est i gation, hereinafte r referr ed to
aTthe FBI, the United States Marshals Service, hereinafter referred
to as the USMS, and the Federal Bureau of Prisons, hereinafter
referred to as the BOP, sets forth the responsibilities of each agency
with regard to the apprehensions and investigations under the Federal
Escape and Rescue Statutes (Title 18, United States Code (USC) ,
Sections 751 through 757),
"il. GOALS: It is mutually agreed that a MOU should be
established on the Federal Escape and Rescue Statute to ensure an
effective and efficient federal response to escape incidents and to
clarify Section D of the 1988 Attorney General 'Policy on Fugitive
Apprehension, in Federal Bureau of Investigation and Drug Enforcement
Administration Cases.'
"It is mutually agreed that each participant in this MOU
will coordinate, as appropriate, and fully share information and the
fruits of their respective investigations to assist each in fulfilling
its own mission and responsibilities concerning violations of the
Federal Escape and Rescue Statute.
"III. IMPLEMENTATION: The FBI, the USMS, and the BOP will
develop and exchange such additional instructions and operating
procedures as are deemed necessary to the continued implementation of
this MOU with the goal of a coordinated, efficient, and effective
interagency response to escape violations. •
"In accordance with the terms of this MOU, in those
locations in which a federal correctional institution is situated, a
single operational plan will be prepared by the three agencies which
will address those issues unique to that location regarding resources,
manpower, notification, etc. It will be prepared by and for the
benefit of the affected personnel in each location who will be
^directly involved in any situation covered by this MOU. This
operational plan will in no way circumvent or oppose the letter and
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I spirit of this MOU.
i "IV. RESPONSIBILITIES:
I "Federal Bureau of Investigation:
"A. The FBI will have apprehension responsibility
and investigative jurisdiction for all violations of the Federal
Escape and Rescue Statute (Title 18, USC, Sections 751-757), involving
subjects of FBI investigations, up to and including the time of
sentencing. The FBI will coordinate this apprehension and
invest igati ve responsibility with the USMS and the BOP , as
... , .^,.. ...,^
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68
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appropriate.
"B. The FBI will maintain investigative
responsibility for all violations encompassing conspiracies to violate
the Federal Escape and Rescue Statute or the conspiracy statutes
(Title 18, USC, Sections 371-373) covering escape/attempted escape as
they concern federal penal institutions and detention centers.
"IT IS THEREFORE UNDERSTOOD THAT THE FBI SHALL:
"1. Assume apprehension responsibility for an
escaped federal prisoner, from any facility, at any stage up to and
including sentencing, who is the subject of an FBI substantive
investigation, and/or the subject or member of an organization which
is the subject of an existing FBI National Security, FBI Organized
Crime, or FBI Terrorism investigation.
"2, Maintain investigative jurisdiction over all
conspiracy, rescue, facilitation, incitement, or aid to escape or
attempt to escape, where the escape or attempt occurs within/from a
federal penal institution/detention center.
"3. The FBI will be immediately notified by the BOP
and/or the USMS whenever an escape occurs from a federal facility and
circumstances arise indicating a conspiracy to escape/attempted
escape; the introduction of a firearm/contraband into a federal
facility; corrupt and/or collusion of correctional facility personnel;
acts of riot or mutiny; or acts of violence, death or serious bodily
injury. Coordination will be implemented and maintained with the
USMS, who will exercise apprehension responsibility for non-FBI
subjects, and the BOP, as appropriate. Joint FBI and USMS/BOP
investigation will be viewed as the optimum objective.
"4. The FBI will assume investigative responsibility
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PAGE 18 - 69
for conspiracy, rescuei facilitation, incitement, or aid to escape or
attempt to escape, in^violation of the Federal Escape and Rescue
Statute (Title 18, USC, Sections 751-757) when the escape occurs
within/fron a nonfederal institution and involves riot, hostage taking
or loss of life.' Coordination will be implemented and maintained with
the USMS and BOP. Joint FBI and USMS investigation will be viewed as
the optimum objective.
■■■■';»
.'■Tfy
"5. Facilitate USMS participation in, and joint
investigation of, escape and conspiracy to escape cases where the FBI
has investigative jurisdiction and the USMS has prisoner, transport,
_or— court__secur.ity_responsibilities. ______^ ^-.
m
"6. Establish and maintain investigative liaison
with the USMS, the BOP and other federal and local law enforcement
agencies as appropriate.
"7. Establish and maintain coordination with the
USMS when an escaped federal prisoner becomes the subject of an.
Unlawful Flight to Avoid Prosecution (UFAP) request to the FBI. The
FBI will not seek a UFAP warrant against any fugitive sought by the
USMS pursuant to the Federal Escape and Rescue Statute and will notify
the requesting state or local authority of the USMS's interest.
t
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"United States Marshals Service:
"A. Pursuant to 28 C.F.R O.lll(q), which delegates
to the USMS the power and authority vested in the Attorney General to
conduct and investigate fugitive matters, domestic and foreign,
involving escaped federal prisoners, th^ USMS will maintain
investigative jurisdiction for all violations of the Federal Escape
and Rescue Statute (Title 18, USC, Sections 751-757).
"IT IS THEREFORE UNDERSTOOD THAT THE USMS SHALL:
"1. The USMS and the FBI agree that the FBI will
have investigative and apprehension responsibility with regard to
violations of the Federal Escape and. Rescue Statute involving subjects
of FBI investigations, up to and including the time of sentencing, or
persons who are the subject of or were members of an organization
which is the subject of an existing FBI National Security, Organized
Crime or Terrorism investigation. ' . ,. . .
"2. If the USMS's investigation reveals a possible
escape conspiracy or systemic corruption on the part of federal
personnel, concerning a federal penal institution or an FBI subject.
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that information will be shared with the FBI 'for their investigation
of the conspiracy or irregularities matter.
"3. The USMS will have investigative and
apprehension responsibility for all violations of the Federal Escape
and Rescue Statute within/from state, county or city (contract)
facilities in all cases other than presentenced FBI prisoners. In the
event of a violation of the Escape and Rescue Statute within/from a
state, county or city (contract) facility, the facility will
immediately notify the USMS. The USMS will then notify the FBI if the
escape or attempted escape involved a presentenced FBI prisoner or if
the in cident involves riot ous behavior , ho stag e taking o r loss of
life. 'ff
"4. Inasmuch as the USMS and the FBI agree that a . .^;rj
full sharing of information and the fruits of investigations benefit '^
each agency in fulfilling its missions and responsibilities, the USMS -g-^
and FBI will coordinate and bring to bear the two agencies' combined -^'
expertise and investigative resources upon escaped federal prisoners
and their conspirators.
m
"Bureau of Prisons:
"A. The BOP will have investigative responsibility
for all escape issues until the agency (FBI or USMS) , having been
notified in accordance with provisions set forth in this agreement, ^^
has arrived on site and is prepared to assume the investigative role.
M^^^i^;
"B. In that the BOP will ordinarily be the agency ;;||
which will first discover indications of an escape conspiracy or .^^
actual escape event, the BOP recognizes the obligation to take initial
steps to manage the crime scene appropriately and to make immediate
notifications to the agency assuming the lead investigative role. , Ml'
"IT IS THEREFORE UNDERSTOOD THAT THE BOP SHALL:
■i§5
m
"1. Take immediate steps to preserve the crime
scene, as well as any related audit trails, record systems, and other
forms of evidence as appropriate. Upon on-site arrival of;.
representatives of the agency assuming jurisdiction, the BOP will
assume a joint-jurisdiction supporting role, and provide full access
to the crime scene and all related evidence and records systems. In
the event the designated agency cannot immediately respond, a mutual
agreement will be sought regarding the full processing and release of
the crime scene by BOP investigative staff.
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"2. In the event of an actual escape, or suspected
escape, the BOP. will activate stationary escape posts, roving patrols,
and special response units as necessary to establish an extended
perimeter around the BOP facility as may be dictated by local terrain,
potential routes of egress, and the proximity of population centers.
Active immediate apprehension activities in the surrounding area shall
continue until such time as the BOP Warden or CEO concludes that the
fugitive (s) is (are) no longer in the immediate area of the BOP
facility, and/or the responding agency has sufficient resources
actually in place to assume the immediate apprehension role. The BOP
will provide the responding agency with appropriate information
_regarding-the_natur.e_and_location_of_BOP_immediate_apprehension
activities.
"3. In those cases where an escape conspiracy is
identified by BOP staff, prompt notification shall be made to the FBI,
and a joint-investigative plan shall be developed, with the FBI
assuming lead role as appropriate. BOP investigative staff shall
provide full access to evidence, record systems, and audit trails as
appropriate to facilitate the investigative process.
"A, In all escape investigations that involve inmate
telephone monitoring tapes, investigative access shall be ptovided in
strict accordance with procedures established by the Department of
Justice, Office of Enforcement Operations, as implemented by BOP
policy.
"V. PROTOCOL: It is agreed that the contents of this MOU
will be provided to all agencies involved in this agreement, as well
as the Executive Office of the United States Attorney, so as to fully
coordinate notification procedures, points of contact to facilitate
liaison, crime-scene management procedures, and development of the
criminal investigation.
"VI. STANDARD PROCEDURES:
"A. Initial Notification
."1, The BOP will immediately notify the FBI in the
event of any incident involving a violation of the Federal Escape and
Rescue Statute.. . .)■' .^ : .^y ' _.■
"2. The FBI will immediately notify the tJSMS of any
escape from a federal facility, pursuant to the USMS' apprehension
responsibilities as stated in this MOU. The FBI will coordinate, as
appropriate, with the USMS and BOP pursuant to this MOU.
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.72— T-,
"3. The USMS will immediately advise the nearest FBI
office of escape incidents involving nonfederal penal institutions, v
where the escapee is an FBI subject or aggravated circumstances exist
as described in USMS paragraph 3.
"B. Point of Contact
i-
"1. The USMS, FBI, and the BOP shall each designate
a point of contact to facilitate lia'ison and implementation of this
MOU. ' ■
I
"2. Points of contact will be established with
other
I involved federal agencies where appropriate,
j VII. TERMS OF AGREEMENT:
"This MOU will take effect immediately upon signature
of all parties.
("For the Federal Bureau of Investigation:
Jt /_LOUIS_ J . _FREEH_^
LOUIS J. FREEH
Director
_June_2A,_199A_
Date
I "For the United States Marshals Service:
/s/ EDUAIID0_G0NZALE2_
EDUARDO GONZALEZ
Director , • >
"For the Federal Bureau of Prisons;
/8/_KATHLEEN_M._HAWK_
"KATHLEEN M. HAWK
Director!
_6/24/9A_
Date
6/2A/94
'Date
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PAGE 18 - 73
EFFECTIVE: 09/30/94,
18-14
MEMORANDUM OF UNDERSTANDING BETWEEN THE UNITED STATES
DEPARTMENT OF THE INTERIOR BUREAU OF INDIAN AFFAIRS AND
THE UNITED STATES DEPARTMENT OF JUSTICE FEDERAL BUREAU OF
INVESTIGATION
PURPOSE
.Ui...
1
"This Memorandum of Understanding (MOU) is made by and
between the United States Department of the Interior (DOI) and the
Department of Justice (DOJ) pursuant to the Indian Law Enforcement
Reform Act (Act), 25 U.S.C. 2801 et seq. The purpose of this MOU is
to establish guidelines regarding the respective jurisdictions of the
Bureau of Indian Affairs (BIA) and the Federal Bureau of Investigation
(FBI) in certain investigative matters, and to provide for the
effective and efficient administration of criminal investigative
service in Indian country.
"II. BUREAU OF INDIAN AFFAIRS JURISDICTION
"The Act establishes a Branch of Criminal Investigations
within the Division of Law Enforcement (DLE) of the BIA, which shall
be responsible for providing, or for assisting in the provision of.
law enforcement services in Indian country. The responsibilities of
the DLE shall include, inter alia, the enforcement of federal law and,
with the consent of the Indian Tribe, Tribal law; and in cooperation
with appropriate federal and Tribal law enforcement agencies, the
investigation and presentation for prosecution of cases involving
violations of 18 U.S.C 1152 and 1153 within Indian country (and other
federal offenses for which the parties have jurisdiction). In
addition, the Act authorizes the Secretary of the Interior to develop
interagency agreements with the Attorney General and provides for the
promulgation of prosecutorial iurisdictional guidelines by United
States Attorneys (USA) . t /
j "III. FEDERAL BUREAU OF INVESTIGATION JURISDICTION
"The FBI derives its investigative jurisdiction in Indian
country from 28 U.S.C. 533, pursuant to which the FBI was given
investigative responsibility by the Attorney General. Except as
provided in 18 U.S.C. 1162 (a) and (c) , the jurisdiction of the FBI
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includes^ but is not limited to, certain major crimes committed by
Indians against the persons or property of Indians and non-Indians,
all offenses committed by Indians against the persons or property of
non-Indians and all offenses committed by non-Indians against the
persons or property of Indians. See 18 U.S.C. 1152 and 1153.
I "IV.
GENERAL PROVISIONS
"1) Each USA whose criminal jurisdiction' includes Indian
country shall develop local written guidelines outlining
responsibilities of the BIA, the FBI, and Tribal Criminal
Investi g ators , if a p plicable. Local USA g uidelines shall cover 18
U.S.C. 1152 and 1153 offenses and other federal offenses within the
investigative jurisdiction of the parties to this MOU.
"2) Any other agreements that the DOI, DOJ and Indian
Tribes may enter into with or without reimbursement of personnel or
facilities of another federal. Tribal, state, or other government
agency to aid in the enforcement of criminal laws of the United States
shall be in accord with this MOU and applicable federal laws and
regulations.
"3) The Secretary will ensure that law enforcement
personnel of the BIA receive adequate training, with particular
attention to report writing, interviewing techniques and witness^
statements, search and seizure techniques and preservation of evidence
and the crime scene. Successful completion of the basic Criminal
Investigator course provided by the Department of the Treasury at the
Federal Law Enforcement Training Center or its equivalent shall
constitute the minimum standard of acceptable training. The BIA may
consult with the FBI and other training sources with respect toisuch
additional specialized training as may be desirable. United States
■Attorneys may also require, and participate in,. training at the field
level.
"A) Any contracts awarded under the Indian Self-
Determination Act to perform the function of the BIA, Branch of
Criminal Investigations, must comply with all standards applicable to
the Branch of Criminal Investigations, including the following:
I " "a) Local USA guidelines must be followed.
"b) Criminal Investigators must be certified Peace
Officers and must have satisfactorily completed the basic Criminal
Investigator course provided by the Department of the Treasury at the
Federal Law Enforcement Training Center, or an equivalent course
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.^i'„.
approved by the Commissioner of Indian Affairs. Criminal
Investigators will receive a minimum of 40 hours in-service training
annually to keep abreast of developments in the field of criminal
investigations.'
"c) Compensation for Criminal Investigators must be
comparable to that of BIA Criminal Investigators.
citizens.
"d) Criminal Investigators must be United States
^e) Criminal Investi g ators must possess a hi gh
school diploma or its equivalent.
"f) No Criminal Investigator shall have been
convicted of a felony offense or crime involving moral turpitude.
"g) Criminal Investigators must have documentation of
semiannual weapons qualifications.
"h) Criminal Investigators must be free from
physical, emotional, or mental conditions which might adversely affect
their performance as law enforcement officers.
"i) Criminal Investigators must be certified by
Tribal officials as having passed a comprehensive background
investigation, including unannounced drug testing. Such examinations
must be documented and available for inspection by the BIA.
"j) Appropriate procedures shall be devised to
provide adequate supervision of Criminal Investigators by qualified
supervisory personnel to ensure that investigative tasks are properly
completed. •
"k) When a Tribe is awarded a contract under the
Indian Self-Determination Act, 25 U.S.C. 450 (a), there must be a
"phase-in" period of not less than 180 days so as to ensure an orderly
transition from one law enforcement agency to another. When a Tribe
retrocedes its contract for- the Criminal Investigator function, there •
must be a one-year time period from the date of request for
retrocession, or a date mutually agreed upon by the BIA and the Tribe,
for the BIA to prepare for reassuming the Criminal Investigation -
responsibility. All case files, evidence, and related material and
documents associated with active and closed investigations must be
turned over to the receiving criminal investigative agency, whether it
be the BIA or a Tribe.
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"1) Appropriate procedures shall be established with '•<
respect to the storage, transportation and destruction of, and access 4,
to, case files, evidence, and, related documents and other material, , i
with particular attention directed to the confidentiality requirements
of 18 U.S.C. 3509(d) and Rule 6(e) of the Federal Rules of Criminal
Procedure. Criminal Investigators shall follow these procedures at
all times. Access to such material will be for official use only.
"m) Before any Tribe contracts for the Criminal
Investigator function, the BIA and the Tribe must ensure that there is
_sufficient._funding_to..cover_the_costs_of _a_Criminal_Inyestigator_^ _
program including salary, equipment, travel, training, and other
related expenses arising during both the investigation stage and the
litigation stage of any case or matter covered by the contract.
"n) Tribal contractors must agree, and the BIA shall
ensure, that there is an audit and evaluation of the overall
contracted Criminal Investigator program at least every two years.
Continuation of the contract shall be contingent upon successful
completion of each audit and evaluation.
"o) Criminal Investigators are prohibited from
striking, walking off the job, feigning illness, or otherwise taking
any job action that would adversely affect their responsibility and
obligation to provide law enforcement services in their capacity as
Criminal Investigators.
"5) Any individual who is a holder of a BIA Deputy
Special Officer Commission and performing duties as a Criminal
Investigator must comply with the standards applicable to Criminal
Investigators set forth in the preceding paragraph.
"6) When either the FBI or the BIA receives
indicating a violation of law falling within the invest
information
igative
the information
BIA declines ,
jurisdiction of the other agency, the agency receiving
will notify the other agency. If either the FBI or the
to investigate a matter within the jurisdiction of both agencies, the
other agency will be notified. The FBI and the BIA wil
resolve jurisdictional disputes at the field level. In
dispute cannot be resolved, it will be reviewed by each
respective headquarters for resolution. -
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the event the
agency's „v
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"7) With respect to the use of sensitive investigative
techniques, such as the nonconsensual interception of wire, oral or
electronic communications and undercover operations involving any
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sensitive circumstance' (as defi^^ _,
Guidelines for FBI Undercover Operations), and the investigation of
organized crime matters, the F;BI shall be the agency primarily j^
responsible!' Undercover oper.ations involving sensitive circumstances \
shall be conducted in accordance with the Attorney General's '
Guidelines for FBI Undercover Operations. This paragraph is not/*:'
intended to prohibit the BIA from conducting consensual eavesdropping,?
or undercover operations not involving a sensitive circumstance or
utilizing other nonsensitive investigative techniques after proper
training and when authorized by the appropriate United States
Attorney.
18 - 77
"8) Nothing in this MOU is intended to change any
existing cooperative relationships and responsibilities between the
BIA and the FBI, and nothing in this MOU shall invalidate or diminish
any law enforcement authority or responsibility of either agency.
"9) Consistent with the availability of resources, the
FBI will offer specialized training to the BIA.
"10) Consistent with limitations regarding
confidentiality, the requirements of the Privacy Act and any other
applicable laws, and respective policies and procedures, the BIA and
the FBI will cooperate on investigative matters of mutual interest,
exchange intelligence, and investigative reports, as appropriate.
"11) To the extent possible and in consideration of
limited resources, the FBI will continue to assist the BIA in its
investigative matters by providing investigative support services
through the Identification Division, Training Division, Criminal
Investigative Division and Laboratory Division.
"This document constitutes the full and complete agreement between the'
BIA and the FBI. Modifications to this MOU will have no force and'
effect unless and until such modifications are reduced to writing and
signed by an authorized representative of the parties thereto. This ^ ;
MOU will, at regular intervals, be subjected to a thorough review to
determine if changes' are appropriate.. , -. .^^;•.; 't ' \ ~ 't,,.:''^;'/'* ;.Y^"'
"The provisions set forth in this MOU are solely for the purpose of Br,,-
internal guidance of components of the Department of the Interior and;,
the Department of Justice. " This MOU does not, is not intended to; ."
shall not be construed to, and may not be relied upon to, create any
substantive or procedural rights enforceable at law by any party in
any matter, civil or criminal. This MOU does not, is not intended to,
and shall not be construed to, exclude, supplant or limit otherwise
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"By subscription of their signatures below, the parties acknowledge
that they have read, understand, and will abide by the £oregoing«ijV
statements. "' ■;-■'■• ."' '•''. r:"^? •■'.'" ■ '''■~ ' "^'■■•■;\' ■'*{''■'-', '■'''...'
_BRUCE_BABBITT_
Secretary
Septeinber_3,_1993
Date .___
United States Department o£ the Interior
" JANET RENO
Attorney General
United States Department of Justice"^
EFFECTIVE: 11/07/94
November_22,_1993_
Date
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Part.I«,,----4';^.J^.^^
" SECTION 20. white" COLLAR CRIME ' ' ''i ;
;fV.A
20-1
DEFINITION
(1) White-Col lar Crimes are defined as. those illegal acts
characterized by deceit, concealment, violation of trust, and not
dependent upon the application or threat of physical force or
violence. They are committed to obtain money, property, or services;
_or-to-avoid-the-payment-or-loss~of-money,-property,-or-services;-or-to-
secure personal or business advantage.
(2) By focusing on the nature of the act, rather than the
nature of the violator, the classification of the crime will more
clearly emerge. The modus operandi and objectives are crucial to
correct categorization of these acts.
(3) The White-Collar Crime is usually of a more complex
or sophisticated nature.
(A) The White-Collar criminal can come from all walks of
life. The classic image of such a person being of top management
and/or the pillar of the community is not sufficiently large to
embrace all such criminals. Conversely, a person of the classic image
is capable, and indeed has, committed crimes of the most base nature.
(5) The crime may be committed by individuals acting
independently or by those who are part of a well-planned conspiracy.
Clearly a person clothed in the aura of respectability acting in
concert with a hardened criminal in a conspiracy which would involve
the violation of |his/her| trust, would attach to that crime the
significance and character of the "White-Collar Crime."
EFFECTIVE; 01/21/86
■ ■ ■. ■■''''A.
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PAGE 20 -
20-2
POLICY.
(1) Since "White-Collar Crime" is a generic term and
cannot be defined in terms of statutory elements as are specific
crimes within FBI jurisdiction, the definition of White-CoUar Crimes
has been established as a working definition solely for Bureau use.
(2) Many crimes which have been investigated by the FBI
for years can, quite properly, be classified as White-Collar Crimes.
So toe. many local and state violations are considered White-Collar
Crimes. Care should be taken not to evaluate local crimes under the
Bureau de f in ition_sjLnce_the_ Bureau. in_no_way_i^^^^^
'definition Tf White-Collar Crimes upon state and local jurisdictions.
(3) The policy covering the specific classifications of
the statutes under investigation will prevail in ^^^ "*^ J ^^'^^^ !,".,, .
Crime matters and no statement within this Section should be construed
as changing or modifying the policy in any of the substantive
investigative matters handled by the Bureau.
(4) All investigations characterized as White-Collar
Crimes should be given a high priority of investigative attention with
the assignment of sufficient personnel to ensure the Bureau s
investigative responsibilities are promptly met.
(5) Since many of the classifications within the Bureau's
investigative jurisdiction fall within the general category of
accounting type, those Special Agent Accountants and Special Agents
with accounting backgrounds should be utilized where this specific
expertise is needed.
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20-3
FBI WHITE-COLLAR CRIME PROGRAM (WCCP) (See MIOG, Part I,
46-1.14. 58-10, 139-9. 206-6. 207-2, 255-9. 257-11, 258-8.
264-9, 272-6.2, 275-1; MAOP, Part II, 3-1.1. 3-1.2,
3-3.2(3), 3-4.5(5), 10-23; Correspondence Guide - Field,
. 1-17.)
(1) The Criminal Investigative Division at FBIHQ
administers the WCCP in the White-Collar Crimes Section.
subprograms:
(2) The White-Collar Crimes Section is comprised of five
Governmental Fraud; Public Corruption; Financial
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PAGE 20
Institution Fraud; Economic Crimes; and Other WCC Matters.
(3) The classifications comprising the WCCP are grouped
as follows:
(a) Governmental Fraud Matters
17 Department of Veterans Affairs Matters
46 Fraud Against the Government
60 Antitrust
62 Lands Division Matter
Mis cellaneous - Civil Suits
83 Claims Court
86 Small Business Administration Matters
93 Ascertaining Financial Ability
120 Federal Tort Claims Act
131 Admiralty Matter
147 Housing and Urban Development Matters
187 Privacy Act of 1974 - Criminal
206 Department of Defense Matters
206 Department of Agriculture Matters
206 Department of Commerce Matters
206 Department of Interior Matters
207 Environmental Protection Agency Matters
207 National Aeronautics and Space
Administration Matters
207 Department of Transportation Matters
207 Department of Energy Matters
208 General Services Administration Matters
209 Health|Care.Fra'ud|
210 Department of Labor Matters
213 Department of Education Matters
249 Environmental Crimes
(b) Public Corruption Matters
51 Jury Panel Investigations
56 Election Law Violations
58 Corruption of Federal Public Officials
62 Administrative Inquiries
139 Interception of Communications - Public
Officials or Government Agencies
139 Interception of Communications - All Others
194 Corruption of State and Local Public
Officials
205 Foreign Corrupt Practices
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211 Ethics in Government Matters
(c) Deleted.
(d) Financial Institution Fraud
29 Financial Institution Fraud
275 Adoptive Forfeiture Matter - White Collar
Crime
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(e) Economic Crimes
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27 Patent Matters
28 Copyright Matters
36 Mail Fraud
49 Bankruptcy Fraud Matters
87 Securities Trafficking and Check Matters
139 Interception of Communications/Signal Theft
181 Consumer Credit
186 Real Estate Settlement Procedures
196 Fraud by Wire
255 Counterfeiting of State and Corporate
Securities
257 Trademark Counterfeiting Act
258 Credit and/or Debit Card Fraud
264 Computer Fraud and Abuse
272B Money Laundering - White-Collar Crime
Program
(f) Other Matters
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69 Contempt of Court
72 Obstruction of Justice
74 Perjury
75 Bondsmen and Sureties
137 WCC Informants
232 Training Received - White-Collar Crime
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Part 11^. '■•:.} ,,. ,
20-4 PRIORITY AMONG OTHER FBI PROGRAMS
See MIOG, [introduction, Section 2.|
EFFECTIVE! 09/27/93
PAGE 20 - 5
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Part II,--- ,..•;,:, • .■■:■'
SECTION 21. FUGITIVE - GENERAL
PAGE 21 -
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IS
21-1
FUGITIVE DEFINITION
A "fugitive" is the subject of a Bureau investigation for
whom a Federal arrest warrant has been issued and whose whereabouts is
unknown; or an individual whose whereabouts is unknown and whom the
Bureau, by directive or agreement, has the responsibility for
ap prehend ing. A^ sub j ec t othe rwise meeting these c riteria who ij^
outside the United States is considered a fugitive regardless whether
he/she is in custody or not until such time as he/she is returned to
United States control in the United States.
EFFECTIVE: 07/23/90
21-2 "A," "B," "C," AND "D" FUGITIVE PRIORITIES | (See MIOG, Part
I,'88-7!!2; MAOP, Part II, Section 10.) ]
(1) To reflect investigative importance in the fugitive
area, all fugitives will be designated either an "A," "B," "C," or "D
priority.
(2) An "A" fugitive is a subject wanted for crimes of
violence against the person, such as murder, manslaughter, forcible
rape, robbery, aggravated assault and felony residential burglary; one
convicted of such a crime within the past five years or one who has
been incarcerated after conviction for a crime of violence and escapes
from custody or supervision (parole, probation) prior to completion of
their sentence or term of supervision.
(3) A "B" fugitive is a subject wanted for a crime
involving the loss or destruction of property valued in excess of
$25,000, one being sought for criminal charges involving in excess of
two ounces of heroin or. cocaine, 1,000 pounds of marijuana or 10,000
dosage units of clandestinely manufactured dangerous or hallucinogenic
drugs, or a subject convicted of the above crimes within the past five
years or one who has been incarcerated after conviction for such
offenses and escapes from custody or supervision (parole, probation)
prior to completion of their sentence or term of supervision.
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I (A) "C." All others, except UFAP-Parental] Kidnapping |
fugitives, who will be designated "D" fugitives.
(5) All communications, regardless of the fugitive .
classification, should carry the appropriate priority letter in
parentheses in the title after the word, fugitive, which will identify
the subject's priority ranking. For example:
I
■■ ' , ' '
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2
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JOHN DOE - FUGITIVE (A)
UFAP-MURDER
00: Albany
JOHN DOE - FUGITIVE (C)
FAG
00: Albany
~~ (6) If a situation arises where a fugitive of a lower
priority becomes wanted for an offense of a higher priority, the case
should be promptly elevated to the newer appropriate priority letter
ranking.
(7) The above priorities are by no means absolute in
terms of significance of importance. Therefore, priority "C" may
contain some relatively high-impact cases.
■■■tyi.a^
EFFECTIVE: 10/18/95
I 21-3
OBJECTIVES OF THE BUREAU'S FUGITIVE [SUBPROGRAM |
(1) To effect the swift location and apprehension of all
FBI fugitives, particularly those wanted in connection with crimes of
violence, substantial property loss or destruction, illicit drug
trafficking and parental kidnaping.
(2) During liaison contact with law enforcement
authorities and in managing resources available for fugitive
investigations. "A," "B," and "D" priority fugitives should be
emphasized so that manpower is concentrated there and not on those
fugitive matters of lesser impact.
(3) All requests for assistance in the fugitive area over ^
which we have jurisdiction must, of course, be honored regardless of
their priority. ~ ki^--.- •,
(4) Each office, in keeping with these objectives, should
concentrate on the apprehension of "A" and "B" priority fugitives
regardless of the Bureau classification, and "D" priority fugitives
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PAGE 21 -
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EFFECTIVE: 07/23/90
21-A
DETERMINING THE FUGITIVE'S FBI NUMBER AS A MEANS OF
POSITIVE IDENTIFICATION (See MIOG. Part II, lA-15.4; MAOP.
Part II, 7-2.2.2.)
(1) All offices should ensure that a check of the
Inters tat_e_IdenliHcat ion _IjLdejL J IJiL
determine the fugitive's FBI number prior to entering the fugitive in
the NCIC Wanted Person File (WPF) without an FBI number. When the
subject's fugitive airtel. FD-65, is submitted to FBIHQ at the outset
of the fugitive investigation, his/her FBI number should be included
thereon if knovm.
(2) If the field office is unable to identify an
identification record identical with the fugitive through the III
inquiry, ani electronic communication! should be forwarded to the
Criminal Justice Information Services (CJIS) Division, [West Virginia
Operations I (Attention: [Module D-2 Answer Hits to Wants
(AHTW)), I enclosing any available fingerprints of the fugitive so that
a technical fingerprint search can be conducted and a positive stop
based upon fingerprints can be placed. A fingerprint-based stop means
that incoming applicant/criminal fingerprint cards in alias names will
hit against the stop thereby triggering appropriate field office
notification(s). (See MIOG. Part II, 21-21(4).)
(3) "Maybe Ident" stops (a stop in an identification
record possibly identical with the fugitive) will not be placed in
identification records for FBI fugitives entered in the NCIC WPF
without an FBI number; For fugitives entered in the NCIC WPF without
an FBI number, a "Name Stop" only will be placed in the CJIS
Division's Criminal File. If, while placing the "Name Stop, the CJIS
Division discovers a manual record(s) (criminal identification record
not available through III) possibly identical with the fugitive, a
copy(s) of the criminal record(8) or a laminated copy(s) of the civil
fingerprint card(s) will be forwarded to the field office. It will be
the field office's responsibility to determine if the record or
fingerprint card is identical with the fugitive. If an identification
determination is made, the FBI number of the fugitive should be
modified into his/her NCIC WPF entry or the copy of the civil print
should be returned to the CJIS Division so a positive stop based upon
fingerprints can be established in place of the existing "Name Stop.
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(See MIOG, Part II, 21-23(22).)
EFFECTIVE: 05/13/96
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21-5
POTENTIAL FUGITIVE IDENTITY PROBLEMS
EFFECTIVE: 05/26/89
h1^
21-5.1 Stolen or Lost Identification
(1) If it is known that a fugitive is using the stolen or
lost identification of another individual, and said name is being
carried as an alias of the subject in NCIC, the following action
should be taken to prevent this individual from being detained
erroneously as the subject.
EFFECTIVE: 05/26/89
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21-5.2
Look Alikes
(1) Where an individual has been reported to an office as
being identical with a fugitive and investigation determines he/she is
not identical but he/she so strongly resembles the fugitive in
appearance that there is a likelihood he/she will be reported again as
being identical with the fugitive, the office of origin and FBIHQ
should be advised.
(2) Upon receipt of this information, the office of
origin should modify the subject's NCIC record under the miscellaneous
field to reflect that they are not identical.
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EFFECTIVE: 05/26/89
21-6
FUGITIVES TRAVELING TOGETHER
When it is knovm that two or more subjects are traveling
or operating together, their respective NCIC records should be cross-
referenced under the miscellaneous field to reflect this fact. In
addition, FBIHQ should be notified of this fact and the
Criminal Justice Information Services JDivision, West Virginia
Jperat i ons_(Attent ion:__Modul.e_Et2„AHTW)_,.| r>queAted_tp_c_?LOM™r^^^^^^
the fugitive stops in their respective fingerprint identification
records.
EFFECTIVE: 05/13/96
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f 21-7
CIRCUMSTANCES WHICH REQUIRE FBIHQ NOTIFICATION
In a fugitive investigation FBIHQ should be promptly
notified if the following circumstances exist:
(1) If there is any publicity or anticipated publicity
regarding the fugitive investigation.
(2) If the fugitive is prominent locally.
(3) If good judgment dictates that FBIHQ should be
notified of events.
EFFECTIVE: 03/20/86
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21-8
DETERMINING THE OFFICE OF ORIGIN WHEN MORE THAN ONE OFFICE
PROCESS OUTSTANDING ON A FUGITIVE
(1) If an office, other than the existing office of
origin, knowingly obtains additional process on a subject while in
fugitive status, it should enter him/her in NCIC and bring this
situation to the attention of FBIHQ and the existing office of origin
in the following manner. Attach an administrative page to the
fugitive airtell(FD-65) I setting forth the details and request that
FBIHQ determine and advise which office should assume origin in the
investigation.
(2) There will be instances where an office, other than
the existing office of origin, unknowingly obtains additional process
on a subject while in fugitive status. This situation usually occurs
when the subject has committed offenses under different identities.
When subsequent investigation by the field determines that these
individuals are in fact identical, FBIHQ; should be promptly advised of
the full details by airtel and requested to determine and advise which
office should assume origin in the investigations.
EFFECTIVE: 03/20/86
iyN
21-9
COMMUNICATIONS REQUESTING APPREHENSION
The field office requesting investigation of an auxiliary
office for the apprehension of a fugitive should include the following
information in its communication if not' previously furnished so that
the investigation and apprehension may be handled intelligently and
effectively:
(1) Photograph and complete description of the subject.
(2) Sufficient details of the offense charged to conduct
a hearing before the U.S. Magistrate.
(3) Amount of bond fixed by the court or recommended by
the USA.
(4) Date and place where prosecuting USA desires the bond
made returnable.
(5) Full name of the complainant (individual who signs
complaint before U.S. Magistrate).
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(6) Full name of U.S. Magistrate or district court judge . ,
issuing the warrant. : . ' ^:^^
(7) Full name of USA who filed information or indictment. ^^
(8) Details of local offense in unlawful flight cases to f-
handle any press inquiries. ^ '
(9) Caution statement if appropriate. 's-jpl
EFFECTIVE: 03/20/86 .;||'
21-10 FUGITIVE DEADLINES .^•
(1) The following deadlines pertain to all fugitives |^..
regardless of the classification,
(2) Priority "A" and "D" Fugitives
(a) Fugitive leads in headquarters cities or in j..'|-
headquarters cities of resident agencies are to be covered and J.
reported within a total of 15 calendar days.
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(b) An additional 7 calendar days are permitted for
areas outside these cities. . ^;^k
(3) Priority "B" and "C" Fugitives ' S^
(a) Fugitive leads in headquarters cities or in ,:%
headquarters cities of resident agencies are to be covered and ,^jg
reported within a total of 30 calendar days.
(b) An additional 7 calendar days are permitted for
areas outside these cities. '-^
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(4) If good judgment indicates a fugitive lead is without >^^
immediate productive possibilities and economy can be effected by ^^
extending the deadline period, the above deadlines may be exempted.
(5) It is recognized that certain factors will dictate
that more preferred attention be given to case than the above ^^
deadlines command. For example, a relatively low priority "C" /f^
fugitive might be wanted for questioning as a principal subject ma . ;^
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major investigation. In such situations, the necessity for preferred
attention should be set out regardless of the priority letter
designation.
I-
EFFECTIVE: 05/29/8A
21-11 . CAUTION STATEMENTS
(1) The use of caution statements as a special warning
^should be„.r.es.tri.c,t.ed_.tp_faj:tual_ jnformat^^
(3) There are five basic caution statements:
(a) Armed and dangerous.
' (b) Suicidal tendencies.
(c) Escape risk.
(d) A physical or mental condition or illness which
may require immediate or professional care.
(5) The caution statement should be set forth immediately
after the case caption of the FD-517 and at the end of the narrative
in prosecutive reports. In both investigative and nonprosecutive
summary reports, the caution statement should be included immediately
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apprehending officers to exercise additional caution in arresting and
controlling a subject. JS
(2) They must be included in all appropriate .'y^g
communications in underlined capital letters and in the subject's NCIC .,^^
record.
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(e) "Warning: Known or Suspected HIV (Human
Immunodeficiency Virus) Infected Person" (This warning should only be
used in internal communications when also accompanied by the "Armed -s^^^
and Dangerous" warning or when other information is developed that the /^#
possibility of violence during an arrest is imminent.). ;:^|
a^
(4) The basis of the caution statement must be included
in the caution statement in all initial communications to other field
offices and FBIHQ. Subsequent communications to these offices need :/^
only set forth the caution statement, and its basis need not be ^^j^
restated. ■ ^t^^
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after the case caption of the first cover page, at the end of the
synopsis in every instance and at the end of the details of the first
report. In the case of other communications, such as letters,
airtels, and LHMs, it should be placed immediately after the case
caption and at the end of the communication. If desired, an
appropriate stamp may be used for this purpose. In teletypes, the
caution statement should be included as the first line of the text.
(6) Notification when information first developed.
(a) In wanted flyer, identification order, or check
c i r c ular cases , the dev eloping offic e should imm ediately notify^FBIHQ,_
cTffice of origin, known auxiliary offices, and the office of
prosecution (when other than the office of origin) by teletype. The
office of origin should in turn furnish this information by teletype
to all other auxiliary offices, by regular mail to all other offices
and modify subject's NCIC record.
(b) In all other cases, the developing office should
immediately notify FBIHQ, office of origin, known auxiliary offices,
and the office of prosecution (when other than the office of origin)
by teletype or airtel as the circumstances dictate. The office of
origin should in turn furnish this information to all other auxiliary
offices by teletype or airtel and modify the subject's NCIC record.
(7) When requesting the assistance or cooperation of
local law enforcement officers or other agencies in apprehending the
subject, fully apprise them of any caution statement.
I (8) Form FD-65, the fugitive airtel, has a "Caution"
block which must be checked when information exists indicating the
need for enhanced caution by law enforcement personnel apprehending or
controlling the fugitive. The "Caution" block will have checkboxes
for appropriate warning statements. The basis for the caution
statement must be stated as the first information reported in the
"Miscellaneous" block of the FD-65. This information will be included
in the NCIC record pertaining to the fugitive. |
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21-12 APPREHENSION OF BUREAU FUGITIVES
PAGE 21 - 10
I
I (1) Bureau policy relating to arrest (use of force,
forcible entry, etc.) is contained in Section 3, Legal Handbook for
Special Agents. Also, see 21-13.4, infra, regarding entry to arrest. |
I (2) I When a Bureau fugitive is apprehended or located in
custody, the apprehending office should immediately notify FBIHQ,
office of origin, office of prosecution (when other than the office of
origin), and all knovm auxiliary offices by routine teletype. The
word, "FUGITIVE," should be carried in the title of all communications
^nj-jjyjng FBIHQ and interested offices of the appre hension or location
of a Bureau fugitive.
I I (3) 1 Good judgment must be exercised and where a more
urgent communication is obviously justifiable, notification by
telephone or immediate or priority teletype should be utilized.
1. j (4) I When one of the Ten Most Wanted Fugitives is
apprehended or located in custody or fugitive's apprehension appears
imminent, FBIHQ must be immediately advised by telephone and confirmed
by teletype.
I I (5) I Upon notification, the office of origin should review
its case file and notify any other auxiliary office where
investigation is pending of the apprehension or location by routine
teletype.
j I (6) I If investigation is being conducted by a known Legat
office, the apprehending office should tequest FBIHQ in its
apprehension teletype to advise the particular Legat office to
discontinue.
I I (7) I If the apprehending office has not requested FBIHQ to
notify any or all Legat offices conducting investigation to
discontinue, the office of origin should promptly submit a routine
teletype to FBIHQ requesting same.
I I (8) I If the office of origin's case Agent is not readily
available, it is the responsibility of the appropriate office of
origin's supervisor to ensure that all auxiliary offices are ladvised
to discontinue investigation and FBIHQ is requested to advise
appropriate Legat offices to discontinue.
I I (9) I If the subject is a Ten Most Wanted Fugitive or the
subject of an identification order, check circular, or wanted flyer,
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FBIHQ will notify all offices and Legats by appropriate communication
of I his/her I apprehension.
EFFECTIVE: 10/10/83
21-13
HARBORING STATUTES
EFFECTIVE: 10/10/83
21-13.1
Title 18, use, Section 3. Accessory After the Fact
"Whoever, knowing that an offense against the United
States has been committed, receives, relieves, comforts or assists the
offender in order to hinder or prevent his apprehension, trial or
punishment, is an accessory after the fact.
"Except as otherwise expressly provided by any Act of
Congress, an accessory after the fact shall be imprisoned not more
than one-half the maximum term of imprisonment or fined not more than
one-half the maximum fine prescribed for the punishment of the
principal, or both; or if the principal is punishable by death, the
accessory shall be imprisoned not more than ten years."
EFFECTIVE: 10/10/83
■^
21-13.2 Title 18, USC, Section 1071. Concealing Person from
Arrest
"Whoever harbors or conceals any person for whose arrest a
warrant or process has been issued under the provisions of any law of
the United States, so as to prevent his discovery and arrest, after
notice or knowledge of the fact that a warrant or process has been
issued for the apprehension of such person, shall be fined not more
than $1,000 or imprisoned not more than one year, or both; except that
if the warrant or process issued on a charge of felony, or after
conviction of such person of any offense, the punishment shall be a
fine of not more than $5,000, or imprisonment for not more than five
years, or both."
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EFFECTIVE: 10/10/83
21-13.3 Elements
(1) Accessory after the fact
(a) A person who knows that ah offense against the
United States has been committed.
(})) ^Receives , ..reli_ev6s_,_cpnif orts , or as s_i_s.t s._ the
offender.
(c) The act of receiving, relieving, comforting, or
assisting the offender is committed in order to prevent the offender's
apprehension, trial, or punishment.
(2) Concealing person from arrest
(a) A person harbors or conceals an individual.
(b) There is a^warrant of arrest or other process
outstanding for the individual harbored or concealed which was issued
under the provisions of some Federal law.
(c) The person harboring or concealing the offender
knows of the warrant or process.
(d) The act of harboring or concealing is done to
prevent discovery and arrest of the offender.
EFFECTIVE: 01/21/86
■■■*
21-13. A
Policy
(1) Since harboring is a substantive crime separate and
distinct from the offense for which the fugitive is sought, Agents are
justified in arresting a harborer where there is probable cause to
believe such a violation is being or has been committed. Where
possible, authorization of the U.S. Attorney should be obtained and an
arrest warrant issued prior to the arrest of one accused of harboring.
Entry to the harborer 's own premises to execute the arrest warrant
requires probable cause to believe the harborer is within, but does
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n6t additionally necessitate a search warrant before entry to the
premises.
(2) Where there is probable cause to believe a fugitive
is located within the premises of a harborer, entry to such premises
to arrest the fugitive is contemplated, the premises are not the
the search. (See Section 3-7, Legal Handbook for Special Agents. J
The search warrant will support the complete and thorough search of
the premises for the f ugi tive. ■ _ _- —
(3) An arrest of either the harborer or a fugitive, with
or without warrant, will justify a cursory search of the premises
where Agents have a reasonable suspicion that confederates,
accomplices, or others, lurking therein, may jeopardize their safety.
(See Section|5-3.9,|Legal Handbook for Special Agents.)
EFFECTIVE: 01/21/86
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21-13.5 Venue
Prosecution shall be in the district in which the offense
was committed.
EFFECTIVE: 01/21/86
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21-13.6 Classification
The same as the substantive violation.
EFFECTIVE: 01/21/86
21-13.7 Character
Substantive offense - HARBORING
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EFFECTIVE: 01/21/86
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21-lA LOCATING, CLEARING, AND CANCELLING SUBJECT'S NCIC RECORD
(1) If the fugitive is apprehended or located in the
territory of the office having the subject's record on file in NCIC
they should immediately | (within 24 hours) ("clear" the Bureau's NCIC
record and place a "located" on any other NCIC record positively
Identifiable with the fugitive. This is to be done via the. terminal
J-0_caLe^_J:n_the_offlce^ The_s^ubstanlij^e__case _f ile is to show the
clear and any "located" action taken in NCIC. " '^^^ "~"
(2) If the subject is apprehended or located in the
territory of an office other than the office having the subject's
record on file in NCIC, the following procedures must be followed by
said office and the office having the record on file in NCIC:
(a) The office apprehending or locating the fugitive
must I immediately (within 24 hours) j change the status of the subject's
Bureau NCIC record to show "located." Any other NCIC record
positively identifiable with the fugitive must also be promptly
changed to a "located" status. This is to be done through the office
terminal. The substantive case file is to show that the "located"
action was taken.
•^'•-F^V
.^
^^^ The office having the subject's record on file
in NCIC, upon receipt of notification via NCIC computer that a
"located" message has been placed in the fugitive's Bureau NCIC record
by another FBI office or military authorities in a deserter case,
should immediately! (withih 24 hours) [ "clear" the subject's NCIC record
through the terminal located in the office. The substantive case file
IS to show that the "clear" action was taken. . ,.^
(c) The office having the subject's record on file
in NCIC, upon receipt of notification via NCIC computer that a
"located" message has been placed in the fugitive's Bureau NCIC record
by an agency other than another FBI office or military authorities in
a deserter case, should instruct the office covering the area of the
locating agency to promptly verify both the identity and the '
apprehension of the fugitive. Following this verification immediately'
Kwithm 24 hours) I "clear" the subject's NCIC record through the
J""^"*^ '" ^^* office. The substantive case file is to show that the
NCIC record has been properly "cleared."
Sensitive
PRINTED: 02/18/98
■ mm
-..'.'i-PH.
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Sensitive
Manual of Investigative Operations and Guidelines
Part II :V,. ■
PAGE 21 - 15
(3) If the federal process, or local process in the case
of an unlawful flight fugitive, is dismissed prior to the fugitive's
apprehension, the office having the Bureau's entry on file in NCIC
must immediately I (within 24 hours) | "cancel" said entry. The
substantive case file must reflect that this has been done.
(4) Refer to the Manual of Administrative Operations and
Procedures, Part II, Section 7 for additional NCIC procedures in this
area.
EFFECTIVE: 02/14/97
21-15
LETTERS OF APPRECIATION
(1) If a local, state, or Federal law enforcement
official apprehends or assists in the apprehension of a Bureau
fugitive, a letter of appreciation from the Director will be forwarded
to the official by FBIHQ upon appropriate recommendation of the SAC.
(2) The recommendation, which may be set forth in the
t apprehension teletype, a separate communication, or by|Form|FD-468,
must the include following:
(a) Official name, rank, and address of the officer
causing the apprehension.
(b) Official name, rank, and address of the person
in charge of the agency involved.
individuals.
(c) Results of office indices checks against these
(d) Sufficient details to enable FBIHQ to afford the
matter appropriate attention.
EFFECTIVE: 11/08/82
Sensitive
PRINTED: 02/18/98
%'■
' ■■ . ■ ■ --^m
Sensitive ■'/^■'fc^ii
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Manual of Investigative Operations and Guidelines .^i
_, ^ Vt . PAGE 21 ~ 10 ..'%.''.
Part II ■■■ - .f.^' :■-■ - ■ , -^-^i
■-■''.'/■■ ' . ■ ■ ^j ■' . ■ ^ ' . ■ -'"-i^h:-
21-16 VERIFYING FEDERAL AND LOCAL PROCESS -^
(1) For those fugitives for whom Federal arrest process
is outstanding, the office of prosecution shall verify once a year
that the process is still outstanding and contact the USA to determine
whether USA still desires to prosecute the fugitive if apprehended.
(2) For those fugitives wanted under the Unlawful Flight
Statute, the underlying local process and intention of local
authorities to extradite for prosecution or reconf inement must be
verified once a year.
(3) When subsequently verifying Federal and/or local
process for those fugitives after the case has been placed m a
pending inactive unassigned status, because they are Mexican citizens
who have fled to Mexico where they are not subject to extradition and
deportation, it should be made a matter of record in the case file and
need not be reported to FBIHQ.
EFFECTIVE: 11/08/82
21-17 DISMISSAL OF FEDERAL OR LOCAL PROCESS PRIOR TO
APPREHENSION
(1) If the federal process, or local process in the case
of an unlawful flight subject, is dismissed prior to a fugitive's
apprehension, the office of origin or office of prosecution, when
other than the office of origin, should immediately notify FBIHQ and
all auxiliary offices by routine teletype to discontinue. The word,
"FUGITIVE," should be carried in the title of this teletype.
(2) This notification will enable FBIHQ to promptly
remove the fugitive stop in the|Criminal Justice Information
Services iDivision and delete the subject from its fugitive index.
EFFECTIVE: 12/02/94
Sensitive
PRINTED: 02/18/98
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21-18 PENDING INACTIVE STATUS WHEN ALL LOGICAL INVESTIGATION HAS' " '"^"ff-
BEEN. CONDUCTED /;?
•....■"'.' " . ,■ ■. - j-fV"
(1) in fugitive cases, when all logical investigation has .|^'
been conducted and the subject is still in fugitive status, FBIHQ can ~,^^
be requested on a UACB basis to allow the office of origin to place
the case in a pending inactive status for six months for "A," "B," and
"D" priority fugitives and for one year for "C" priority fugitives.
"D" priority cases can also be placed in pending inactive status for -■^•■^■
six months when it has been determined that the parent who kidnaped r^
the child is residing in a foreign country and, for whatever reason, '^
th e lo ca 1 a uthorities will n o t or are unable to have the su bject "-<
extradited back to the United States. ^t;. ,
(2) Prior to submitting such a request, conduct an v:
in-depth file review in an effort to develop logical leads which may :jf%
have been overlooked or bear recoverage due to the passage of time. rg.
..•5?- .
(3) Following this review, if your request is still V"
. ..j, desired, prepare a comprehensive summary report setting forth the full ^
,:Vj scope of investigation conducted for review by FBIHQ. V
(4) The administrative section of the cover page should
contain a statement that UACB this case is being placed in a pending <if
inactive status for six months or one year (depending on the fugitive
priority), since all logical investigation has been thoroughly .;
conducted, after which time the case will be made pending and j%
appropriate leads will be set out in an effort to locate and apprehend .
the subject.
EFFECTIVE: 10/18/88
21-19 LOCATING AND RELOCATING FUGITIVES OUTSIDE THE UNITED
STATES
EFFECTIVE: 10/18/88
m.
V- .-.■
^
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Manual of Investigative Operations and Guidelines
Part II .
PAGE 21 - 18
21-19.1
Requesting Investigative Assistance Abroad - Extradition
Deportation
-Ki). "in most instances, requgsti^for^
fUgltl" --.ii.«-- Ji --a*!... T -.
, «(i,egat
'Sover_
Section 163-10'; ~of'^tlii'^''oianual) , | thenifST^D^parHmenroF iState^
'♦'■'-
(2) When submitting
to„our_.Legats_.through_FBIHQ,...inc
used, and set forth in the admin
letter or airtel, where no LHM i
contact with the USA or a local
unlawful flight (UFAP) in nature
case, that the USA (state author
the necessary action for subject
successfully located and informa
requests for fugitive investigations
lude ,in_the_cover__airtel,.when_LHM
istrative section of a teletype,
s used, the results of a recent
prosecutor if the fugitive matter is
Set out a statement, if such is the
ities, if UFAP matter) will initiate
's extradition if the fugitive is
1 deportation is not a possibility.
(3) Further, specifically include, where possible, the
USA's (local prosecutor's, if UFAP matter) assessment of the
seriousness of the case, the likelihood of conviction and whether
subject can be expected to be released on bond or remanded to custody
upon subject's return to this country.
(A) Legal Attaches will attempt to arrange informal
deportations for FBI fugitives whenever possible. The U.S. Marshals
Service (USMS) funds and handles transportation in informal
deportations in the same manner that they handle extradition
situations. All Legal Attaches, upon locating an FBI fugitive abroad,
who would be available for informal deportation, are to notify FBIHQ
by teletype, furnishing the identity and telephone number, if
possible, of the local official in the particular country and/or
embassy representative with whom the matter should be coordinated.
FBIHQ will then notify the office of origin (00) and the Office of
International Affairs, Department of Justice (DOJ) , who will then
coordinate with the Enforcement Operations Division, USMS
Headquarters, to request appropriate funding and transportation
assistance. If the fugitive is the subject of an Unlawful Flight
warrant, the Legal Attache will provide an estimjate of expenses and,,
through FBIHQ, request 00 to ensure that the interested State '■
authorities are willing to assume the cost of the informal
deportation, which would be subsequently billed to them by the U.S.
Marshal. If the State authorities agree, 00 is to advise the Legal
Attache, through FBIHQ, and notify the Marshal holding the Federal
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Manual of Investigative Operations and Guidelines "'':,
Part II -.:..;;::..:-;,.•,- :.■•,._. ■■ -..y : ' '' ^^^^ 21- 19 -r|
warrant that a request for deportation transportation will be made of
their headquarters by FBIHQ through DOJ.
EFFECTIVE: 10/18/88 r
21-19.2 Mexican Citizen in Mexico
FBI fugitives who are Mexican citizens and who flee to ^ prj
Mexico are not subject to extradition or deportation. The office of ;%;
_origin should submit an appropriate comi nunicat ion t o the pro per bo rder '^
office or to FBIHQ for transmission to Legat, Mexico City, requesting
that the fugitive be located. Once the fugitive is initially located
in Mexico, no further action should be taken to relocate him/her in
Mexico in the future by either Legat, Mexico City, or a border office
and the case should be placed in a pending inactive unassigned status
by the office of origin with the fugitive stops outstanding. If
information is received that a fugitive has returned to the United
States, the case should be reopened and investigation conducted to
effect his/her apprehension. For those fugitives for whom Federal
arrest process is outstanding, the office of prosecution shall verify
once a year that the process is still outstanding and contact USA to
determine whether USA still desires to prosecute the fugitive if
apprehended. For those fugitives wanted under the Unlawful Flight
Statute, the underlying local process and intention of local
authorities to extradite for prosecution or reconf inement must also be
verified once a year.
EFFECTIVE: 10/24/85
21-19.3 Fugitives Outside the United States Other Than Mexican
Citizens in Mexico
:^!i
■ff.-
■■i'itf'f-
.■.•*
The office of origin should submit an appropriate
communication to the proper border office or to FBIHQ for transmission
to the appropriate Legat or agency, if the country in question is not
covered by our Legats, requesting that the fugitive be located. Once jj*.
the fugitive is initially located in the foreign country and if
his/her deportation or extradition cannot be legally accomplished or
will not be instituted, the case should be placed in a pending
inactive status by the office of origin, with stops outstanding, upon
completion of all other necessary investigation. If information is
received that a fugitive has returned to the United States, the case f-'
■ • ■ "■ ' • ■••■■•■■^si^:
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PAGE
21-20
should be reopened and investigation conducted to effect his/her
apprehension. For those fugitives wanted under the Unlawful Flight
Statute, the underlying local process and intention of local"" :.'
authorities to extradite for prosecution or'reconf inement, if
apprehended within the United States, must be verified once a year.
For those fugitives for whom Federal arrest process is outstanding,
the office of prosecution shall verify once a year that the process
still outstanding and contact the USA to determine whether USA still
desires to prosecute the fugitive if apprehended within the United
States. Fugitive cases involving non-Mexicans in Mexico and others
previously located abroad should be reopened and the subjects
_r.elocated_.ev.ery_twoyears_thr.ough_the_above_ procedures. .
;.CV. '
18'
EFFECTIVE: 10/24/85
21-19.4
[Fugitives Outside the United States I
I (1) I When it is determined a fugitive has left the United
States, the office of origin should immediately establish and maintain
a lookout notice (Form FD-315) with the U.S. Immigration and
Naturalization Service (INS). Upon the fugitive's apprehension or
dismissal of process, it is likewise the responsibility of the office
of origin to discontinue this notice (see Part II, 10-7.5.2 of this
manual for procedures for establishing and canceling INS stops).
I (2) As soon as it appears likely that a fugitive may be
located in a foreign country, you should notify the prosecutor, either
the U.S. Attorney or the local prosecutor in unlawful flight cases,
that he or she should contact the Office of International Affairs
(OIA) , Criminal Division, U.S. Department of Justice, promptly. In
addition, as soon as such an arrest appears likely, you are to notify
the substantive division at FBIHQ, with copy to the Office of Liaison .;
and International Affairs, so that FBIHQ may notify OIA. j
EFFECTIVE: 10/25/89
^??SiSf
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Sensitive
PRINTED: 02/18/98
Ij.' V "^'^''i;''---''-^ I '-'A!^-^':
OPCA-20 (12-3-96)
3.
FEDERAL BUREAU OF INVESTIGATION
FOIPA
DELETED PAGE INFORMATION SHEET
XXXXXX Mi^^
XXXXXX ~ • 'if»;i'?^
xxxxxx 'J&.
_ Page(s) withheld entirely at this location in the file. One or more of the following statements, where indicatedl^^
exolain this deletion. '''%l;<
explain this deletion.
J^ Deletions were made pursuant to the exemptions indicated below with no segregable material available for
release to you.
Section 552
□ (b)(1)
^ (b)(2)
n (bX3)
n (b)(4)
□ (b)(5)
□ (b)(6)
a (b)(7)(A)
a (b)(7)(B)
n (b)(7)(C)
□ (b)(7)(D)
n (b)(7)(F)
D (b)(8)
□ (b)(9)
Section SS2a
n (d)(5)
n (j)(2)
n (k)(i)
n (k)(2)
■ 4*4
"n-(k)(3)-
n (k)(4)
a (k)(5)
□ (k)(6)
□ (k)(7)
O Information pertained only to a third party with no reference to the subject of your request or the subject of your? J.
request is listed in the title only. 5J,7
n Documents originated with another Government agency(ies). These documents were referred to that agency(ies)"^|
for review and direct response to you. '^
■$$
Pages contain information furnished by another Govenunent agency(ies). You will be advised by the FBI as M.
to the releasability of this information following our consultation with the other agency(ies).
Page(s) withheld inasmuch as a final release determination has not been made. You will be advised as to the C
disposition at a later date. "^fc
Pages were not considered for release as they are duplicative of
Page(s) withheld for the following reason(s):
M The following number is to be used for referwice regardiag diese pages:
M
•Sm
I
xxxxxx
xxxxxx
xxxxxx
»*>w"Wyyi,i,iu.i...il.wf ^tgjli
g tOJ I J
xxxxxxxxxxxxxxxx
X Deleted Pagc(s) X
X No Duplication Fee X
X for this page X
:^
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Part -11 •:::.•; -..'-;.■•. ■'■■.. ' r: ■ ••..%--' -;<■ '-'■■ -■:."- ■■ •
PAGE 21 -.2A
- '■ i■;'•^•..1i:■J■,^'■
21-20
FUGITIVE INVESTIGATIONS FOR OTHER FEDERAL AGENCIES
(1) Special requests are occasionally received by the
field from other Federal agencies or from USAs to conduct
investigation to locate fugitives wanted for Federal violations within
the primary jurisdiction of other Federal agencies.
(2) When such requests are received, promptly submit to
FBIHQ by airtel or teletype, depending on the urgency, the complete
details including the reasons for the request. Hold all investigation
in abeyance pending FBIHQ instructions.
■'■Tv;
(3) All fugitive investigations conducted by the FBI for
other Federal agencies (example: DEA Fugitives) should be classified
as 62E matters.
■■■%
'■:■}■
EFFECTIVE: 10/25/89
21-20.1 Fugitive Inquiries Abroad on Behalf of U.S. Marshals
Service (USMS)
■^
%
Mm
(1) Based upon an agreement reached with the FBI, the
USMS may request, through FBIHQ, investigative assistance of our Legal
Attaches to conduct limited agency-type inquiries in fugitive matters
within the Jurisdiction of their agency.
(2) Requests for assistance will be forwarded, by letter
to FBIHQ, reviewed, and transmitted to the appropriate Legal Attache
for handling, if such requests conform to the existing agreement;
i.e., are merely agency checks and do not involve the location or
apprehension of a fugitive. Conduct no inquiries unless they are
forwarded from FBIHQ. . '.
(3) Upon completion of the inquiry by the Legal Attache,
it should be forwarded to FBIHQ, Attention: Fugitive/Government
Reservation Crimes Unit, in a form suitable for dissemination to
USMSHQ. -. ■:.■'•'_ '
'■'m
mm
(4) As requests should be few in number. Legal Attaches
are to establish a control file in the "62" "classification and handle
inquiries out of such file. All correspondence to FBIHQ should
utilize the caption noted above and include, as a subcaption, the
name(s) of the subject (s). Appropriate serializing and indexing
should be made for record and retrieval purposes.
i0W
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PRINTED: 02/18/98 •' ,?*>- n« ^.. v^. ; ; .,
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Part II--„„ :-■ -. -■■:■■■■ :''^^---
PAGE 21 -
EFFECTIVE: 10/25/89
f-A:.
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21-21
FUGITIVE INQUIRIES
When attempting to determine if an individual is a Bureau
fugitive or IS wanted by another agency, the following procedures
should be followed:
(1 ) Obtain all known back Rroimd, rioarr^,;pt-,N^^_^j^^^^
identifying numbers.
(2) If identifying numbers, such as date of birth or
SSAN. are known, make an inquiry of NCIC through the terminal located
in the field office.
. ^3) Inquiry can be made through another agency's NCIC
terminal when advantageous or convenient; however, your office's NCIC
identifier must be used to identify the inquiry as Bureau originated.
^^^ ^^ NCIC is negative or cannot be utilized because of
the lack of an identifying number, direct a teletypejor electronic
communication, I depending on the urgency, to FBIHQ. Set forth the
details and data along with the results of the NCIC check and request
a check of the FBIHQ fugitive index and Criminal Justice Information
Services Division records. (See MIOG, Part II, 21-4(2).)
(5) Whenever possible, inquiries should be worded "Advise
only if fugitive or wanted" to avoid the need for a negative reply.
(6) If a reply is desired, specifically indicate by
stating "Advise whether or not a fugitive or wanted."
„ , ^^^ Avoid ambiguous language such as "Advise if fugitive"
or Advise if wanted." Such requests will be interpreted to mean
Advise only if fugitive or wanted."
(8) In those instances where a reply is desired and an
[electronic communication! is used, one extra copy of the | electronic
communication] should be submitted to FBIHQ for each office that is to
be advised.
.,i#if..
1^
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(9) If there is no record of being a Bureau fugitive or
wanted by another agency. FBIHQ will appropriately stamp copies of the
Sensitive ^ ' C^- ^-■'^•■•v-v. .-,
PRINTED: 02/18/98 -.4 ?v .s*-^..
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Manual of Investigative. Operations and Guidelines
Part. 11-/ ■ ■..•^'■'\- ' ■■
PAGE 21 - 26
incoming communication and forward same to the interested offices by
routing slip. .
EFFECTIVE: 05/13/96
21-22 FBIHQ FUGITIVE INDEX | (See MAOP, Part II, 7-2.1(1).) |
(1). — An-alphabetical .fugitive_index..containing_all_
currently designated Bureau fugitives is maintained in the
I Violent Crimes/Fugitive|Unit, Criminal Investigative Division, FBIHQ.
(2) When attempting to determine if an individual is a
Bureau fugitive and identifying numbers are not available in order to
check NCIC, an inquiry based on the individual's name can be made of
these fugitive indexes at FBIHQ.
(3) Fugitive inquiries may be made using only th^^^^^
^ug^^v^s name, if no other data is available, by calling ^^Hl^ Jo3-^
7^^m^j^^3^o.m. , [Eastern Time, Monday through [Friday, or
}y calling ^^^^^^^^^^v during off-hours. I
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EFFECTIVE: 08/18/9A
21-23
POSSIBLE FUGITIVE LEADS
^iS§
The following possible fugitive leads are not intended to
be all inclusive, but should be utilized when appropriate in addition
to the usual investigative steps taken in a fugitive investigation in
an effort to locate and apprehend the subject:
'^f'f
'iTi ^*^^Tj^ ' ■ ^'
X^^-»CM^i?.A».>"o™,o?.sMspected that the subject has left i
j*tf-.o-»*->F^
(2) If the subject is an alien, request WMFO to" cause a''*
ij^^il^ch^of^the records of the Alien Registration Division, iNSj'f^'j*
iWaahingtbh',i:D.C. ,, for.; information alien is' required to furnish under?^iir
^heVjrovisipns of;.the of 19fkO.-T^'^'' :'' v"'
^^Wfj,-:*;!???;"
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PRINTED: 02/18/98
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Manual of Investigative Operations and Guidelines^v-
Part II
'"^f> '.
■ M' '■'■■'■ . -/,- w ', .v' ; ;;
PAGE'' 21 - 27:
n, contact'
,.§P^J,^.l?.,thrpugh which any compensation or.ins^ranre^ benefits ian be"^^
. ; determined. ?ui?r'" .■ ^ ^s.p^- ■• ■■ .- / -"--.- '..,-^.-;;\u3t.,- .-:• ■• ,,,.,..■ --.t^i^^;-. .;„: , ,?ii*-"Ji
j,;^^-u .. •^. i-^r;,4 ' ■■ -«vi "^- , • '-■■' .' , - v.'.vj^.4^-%,
s^iivWA'';- :^.*1, ^5*^^* ''"*'J*<=*^. i« o*" «as a merchant seaman, request^'
^.1:^!? to contact U.J. Coast, Guard Headquarters, Washington. D.C, for a/
.,4;S£?,f.f^?Bf,ck:,^^Jhe number, of the subject's seaman's certificate of ^
.iflSSif,i?AC?tion,^(^-number), if known, should be'' furnished. > ;
'^.^ '■>'■••
f2.> „ . ^^<Jv|.f;;the>ubject previous ly;_served in. the Aiir Force; s, ^
^^' Mf inff. oi^.Navy. request the'proper^Vffice to cause aTevH^of
fSUbject s military records,.* ~ ' ^- V';;--,/
^^^1 ^;x„«^^^ .utilization of a circular letter if appropriate^am
with FBIHQ approval.!; ,. . " tv.-.r!?'t,«. ?»j
■ ■ ■ ■■"■- ■ -'irwv.i' -t ^s ^"' ' ' • ■
(See
^the use of this te
ictions on '.4
(10) Use of the All Writs Act (awa) , Title 28, USC,
Section 1651, to obtain records to locate federal fugitives All
Writs Act orders for the production of records may be requested in all
federal fugitive investigations, including unlawful flight fugitives,
subject to the following requirements:
. (a) There must be an outstanding arrest warrant for
the fugitive issued by the U.S. District Court (USDC) or the U S
Magistrate. i. ...
*n.- (b) The AWA order can only be issued in the federal
district court, where the criminal case is pending. Such orders are
valid and may be executed in any federal judicial district; >. i -v-
Therefore, where the records sought are located in a district 'othe^-<
than the district of issuance the order should be transmitted to the
field office where the records are located and the records should be
produced to Agents of that office.
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(c) The order should be obtained from a judge of the
USDC unless the USDC has delegated appropriate authority to the U.S.
Magistrate. The USA's office should be able to make this /-
determination. >
(d) The orders should allow sufficient time (10-12
days) between the date of the orders and the required production of
the records to allow the affected company to challenge the order in
the district court of issuance if it desires to do iso. This
requirement does NOT preclude more timely production of the records if
the company is cooperative.
— - (^~~The affidavit should demonstrate the reasonable
belief that the records sought may be of assistance in locating the
fugitive. /
Althougb^l^^miJjjjjjjjjjH^BVw^^^ probably
the most- common records s ought w^l^h^^roceQure , AWA orders may be
used for the production of other records which might assist in the
location of the fugitive. However, AWA orders may not be utilized to
obtain records to locate federal parole violators who are wanted on
federal parole violators warrants because there is no pending case in
the USDC and the court thus lacks jurisdiction. Also, AWA orders may
not be utilized to obtain records to locate mandatory release
violators (MRVs) since they have the same status as federal parole
violators (no pending case in the USDC).
(g) Memorandum to All SACs, dated 10/19/83,
captioned "USE OF ALL WRITS ACTS TO OBTAIN RECORDS TO LOCATE FEDERAL
FUGITIVES," provided sample forms designed to facilitate the use of
this technique. / .
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(16) Leads should be set forth to review police reports,
and an inquiry of the Interstate Identification Index should be
performed for criminal history data on the subject.
(17) The cooperation of the subject's bondsmen may be
sought if circumstances indicate that this procedure is advisable.
(20) Consider obtaining return information concerning the
fugitive from the Internal Revenue Service (IRS). See Part II,
Section 19, of this manual.
(21) Consider requesting the issuance of an Interpol
International Wanted Notice if the fugitive is believed to be
traveling abroad. (See Part I, Section 163-10, of this manual for
procedures to request issuance of these notices.)
(22) Placing of Fugitive Stops in State and Local '
Identification Bureaus: The office of origin in fugitive matters
should disseminate copies of fugitive fingerprint cards to auxiliary
offices requesting that the fingerprints be searched and/or filed in
local and state identification bureaus. In order to ensure the full
'jV,-:. -
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Part 11-' ■'■" J j'^':h'-:}!;U'/ ■-^fiM''^:'- ■-'■■' -^^^^^ ■■■'::.'--^-:.^'-^ ..PAGE, 21 .-; , 30.
cooperation of state and local identification bureaus, the office of
origin should disseminate only photographic or laminated copies of •;;■';;, •
fingerprint cards to auxiliary offices to place fugitive stops with;/;'
these bureaus. Request laminated copies of fingerprint cards from the .
Criminal Justice Information Services JDivision, West Virginia '■>#;'
Operations (Attention: Module D-2 AHTW) . | (See Part II, K-12.3i5 and'
21-4 (3) of this manual.) ^: --iA'
■■ ■ ■ "-.it . .
■. . ■ .■•. , . ■. y' .
(23) (See Part I, Section 88-7.5, of this manual! for
access to information from the Federal Parent Locator Service (FPLS) ,
UFAP - Parental Kidnapping - Child Abduction Matters.) 4''
(25) See Part II, Section 10, of this manual, entitled
"Records Available and Investigative Techniques, " which sets forth,
either directly or by MIOG cross-reference, numerous investigative
techniques that may be utilized in fugitive investigations.
Jk:^
■•■■ ' :i- •rViSsiF)'
-•.■'■■^'ir#*
• -as
m
(2A) See Part II, Section 19, of this manual, entitled
"Location Of Other Government, Industrial, and Organizational
Records," which sets forth a multitude of federal, state, territorial
and private industry records by location and field, off ices covering
same that may be the basis for record checks and stops.
,:?^.
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Section 552
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to the releasability of this infonnation followbg our consultation JL t oZ ^^^s) '
- Zoi^nTX^T. " ' '"^ "'^"^ '"'="^^'^^" ""^ °°' ^-'^ -^^- ^- -"^« -'Vised as to the
Pages were not considered for release as they are duplicative of
Page(s) v^'ithheld for the following reason(s):
IP The following number is to be used for reference
regarding these pages:
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PAGE 21 - 3A
1^^
EFFECTIVE: (il/2%f90
21-25
IDENTIFICATION ORDERS, WANTED FLYERS, AND CHECK CIRCULARS
EFFECTIVE: 02/16/89
21-25.1
Basis for Issuance
(1) Identification orders (10) and wanted flyers may be
issued by FBIHQ in our more important fugitive cases involving badly
wanted fugitives who have committed or been charged with crimes of a
more serious or violent nature having considerable public interest.
(2) Check circulars may be issued by FBIHQ in cases of
fugitives who are notorious fraudulent check passers and who are
engaged in a continuing operation of passing checks.
(3) These wanted notices are issued by FBIHQ in the above
appropriate cases to aid the fugitive investigation through increased
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publicity and cooperation when all logical productive investigation
has been conducted and the fugitive investigation is at a standstill,
or when the earlier issuance is merited due to the magnitude of the
critaes or notoriety b£ the fugitive involved.
EFFECTIVE: 02/16/89
21-25.2 Requesting Issuance
(1) Inthe ..eyent„_that_the._issuance of an_ IP, wanted_f.lyer_
or check circular is desired and appropriate, the office of origin may
request its issuance during any stage of the fugitive investigation by .
self-explanatory Form FD-61. In addition, when submitting an FD-61
each office should also submit a comprehensive nonprosecutive summary
report setting forth significant investigation conducted to locate the
fugitive as well as information relative to leads outstanding.
(2) The original and one copy of the FD-61 should be
submitted to FBIHQ by cover airtel marked to the attention of
the I Fugitive/Government Reservation Crimes |Unit, Criminal
Investigative Division, to ensure prompt receipt and consideration.
(3) Since the purpose of a wanted flyer is to cause
immediate nationwide circularization of the flyer, usually at the
outset of the fugitive investigation, the office of origin may request
the issuance of a wanted flyer, if desired and appropriate, by
teletype or telephone confirmed by teletype.
(A) An existing wanted flyer on file should be utilized
as a guide in providing the necessary data needed and this data should
be furnished in both the telephone call and teletype to FBIHQ. An
FD-61 should subsequently be furnished to FBIHQ since the wanted flyer
will be followed up by the issuance of an identification order.
(5) Since an identification order is promptly issued by
FBIHQ for the subject after the issuance of the wanted flyer, wanted
flyers will only be issued in very extraordinary fugitive situations
because of the duplication and cost. factors involved.
(6) In regard to requests from the field for issuance of
these wanted notices, they will be issued by FBIHQ only after close
scrutiny. If additional information is needed by FBIHQ before
rendering a determination the office of origin will be requested to
submit additional details.
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(7) In certain instances, FBIHQ based on its judgment,
will direct the office of origin to submit an FD-61 for the issuance
of an identification order or check circular or provide necessary data
for the issuance of a wanted flyer.
EFFECTIVE: 02/16/89
21-25.3
Procedures After Issuance
c
(1) After the issuance of the wanted flyer,
identification order or check circular, the office of origin should
modify its NCIC record on the subject to include the wanted flyer,
identification order or check circular number in the "miscellaneous"
field.
(2) Upon issuance of an identification order or check
circular, FBIHQ will prepare a letter to all offices enclosing five
smooth finished copies of the subject's photograph to be utilized for
press or news media purposes.
(3) Upon the issuance of an identification order, wanted
flyer, or check circular and the above letter by FBIHQ, the office of
origin should, by cover airtel, promptly forward to FBIHQ and each
office four copies of an LHM setting forth pertinent background and
descriptive information concerning the fugitive. The airtel should be
appropriately noted "Summary - Background Airtel," while the LHM
should include separate headings as follows: Facts of Offense;
Federal Process; Brief Personal History; Modus Operandi, and Other
Interesting Facts; Identification Record; Facts as to Dangerousness
and/or Suicidal Tendencies; and Detailed Physical Description.
(4) Each office, upon receipt of the "Summary -
Background Airtel," should carefully review it to determine if the
facts suggest the basis of self-initiated investigation and if so, a
case should be promptly opened and assigned. A case should not be
opened unless this review results in specific leads. In all
instances, this case should be closed within 90 days in the absence of
generating specific leads.
(5) Following the submission of the "Summary - Background
Airtel," on a regular basis at intervals not to exceed 120 days, the
office of origin should furnish FBIHQ a comprehensive summary airtel
setting forth information as to the progress and direction of its
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fugitive inquiries.
(6) To assist FBIHQin monitoring and evaluating the
effectiveness of this program, the apprehending office should advise
in its apprehension teletype to FBIHQ whether or not the particular
wanted notice contributed to the fugitive's location and apprehension.
If positive, state how the information was obtained and from whom.
[(7) Upon receipt of an identification order, wanted flyer
or check circular, each office will conduct driver's license and
vehicle registration checks of all state licensing agencies covered by
_thjB_.divisipn„usij5g_txue_name_an^ These c hecks
are also to be conducted upon receipt of additional aliases and on
true names and aliases of known associates that may subsequently be
furnished to each field division. Dates and results of these checks
are to be recorded in the appropriate fugitive file. |
EFFECTIVE: 01/21/86
21-25. A, Administrative Handling by Field Office of Identification
Orders (lOs) , Wanted Flyers, and Check Circulars
A list of numbers in succession is to be prepared in each
field office. As each 10 is received, true name of subject is to be
written opposite number on list which is identical with number on 10.
Draw a line through number to indicate that 10 has been received.
Same procedure is carried out for wanted flyers and check circulars.
EFFECTIVE: 01/21/86
21-25.4.1 Procedure When Received by Field Office
(1) Check number against list. If any are missing,
advise FBIHQ.
(2) Check index for information on all subjects;
(a) If no file exists, prepare index cards for each
name and alias. 10, wanted flyer, and check circular numbers are to
appear on all cards made.
(b) Prepare a dead investigative file.
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(3) Put five copies of 10, wanted flyer or check circular
in investigative file and date stamp top one.
('i) Put one copy on bulletin board.
(5) Send one copy to each Agent having a need for same.
All Agents will not receive them.
(6) "Keep FBIHQ advised of number of lOs, wanted flyers,
and check circulars required for investigative purposes.
(7) Put one copy in appropriate 66 classification file. of
outstanding lOs, wanted flyers, or check circulars. These files are
only for IDs, wanted flyers, or check circulars which have not been
discontinued.
EFFECTIVE! 01/21/86
21-25.4.2 Miscellaneous Instructions Regarding lOs, Check Circulars
and Wanted Flyers
(1) Agents may keep those lOs , check circulars, and
wanted flyers which may be of value to them.
(2) Use apprehension communications to keep 66
administrative file current.
(3) An outstanding list showing identity of all lOs,
wanted flyers, and check circulars is published as of March 31 and
September 30 of each year. List will contain sequence numbers of such
items which have been discontinued since previous list.
EFFECTIVE: 01/21/86
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21-26
TEN MOST WANTED FUGITIVES PROGRAM
(1) Individuals selected as the Ten Most Wanted Fugitives
are chosen by FBIHQ from existing 10 subjects.
(2) Ten Most Wanted Fugitive cases, after being so
designated, must be kept pending in all field offices until a complete
review of the case has been made and all logical investigation has
been conducted. Thereafter, all offices except origin may place such
matters in closed status, if the fugitive has not been located by that
time.
"(3) While primary responsibility for direction of each
case is with the office of origin, a:ll offices are expected to
participate fully in the initiation of logical investigation, which
should include full exploitation of various news media outlets
throughout their territory,
(4) During this investigation each office must initiate
investigation suggested by characteristics, background, and habits of
the fugitive, as well as on the geography, climate, employment, and
recreation facilities unique to a particular office area. Fully
exploit investigative techniques which are readily available,
including informants, auto vehicle bureaus, other Government records,
and general sources and avenues of employment, including spot-labor
pools.
I (5) On an annual basis, each subject in the Ten Most
Wanted Fugitives Program will be examined to determine if the
individual fits the criteria for the Ten Most Wanted Fugitives
Program. The review will be conducted one year from the date placed
on the Ten Most Wanted Fugitives List. When conducting the review,
office of origin and local police agencies having an interest in the
individual will be contacted for input concerning retention of the
individual on the Ten Most Wanted Fugitives List.)
EFFECTIVE: 02/19/85
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21-27 DISTRIBUTION OF WANTED NOTICES (IDENTIFICATION ORDERS,
WANTED FLYERS, AND CHECK CIRCULARS)
(1) When a wanted flyer is issued, 50 unfranked and
unfolded copies will be sentlto
Legal Attache will receive | five
each office by| first-class mail. | Each
copies. Upon receipt of these wanted
flyers, each field office should immediately distribute them to major
law enforcement agencies, news media representatives, including
television, and to appropriate Agent personnel. File copies, of
course, should be retained.
(2) ln„most:situations jMhere_.a.wanted__no_tice_jiould_be
appropriate, an 10, check circular or circular letter should be
considered.
EFFECTIVE: 02/19/85
o
21-27.1
Field Mailing Lists
(1) Field mailing lists previously used to distribute lOs
and other wanted notices were centralized and automated at FBIHQ in
1981. Wanted notices are now distributed outside the Bureau by FBIHQ
as they are issued. lOs are issued and distributed in pairs depicting
different subjects to conserve postage costs.
(2) Although field mailing lists are centralized,
automated, and maintained at FBIHQ, individual recipients are
identifiable by the field office covering the recipient's address to
facilitate corrections, additions, deletions, and possible special
mailing uses within a particular division's territory.
(3) Field mailing lists are organized and arranged into
seven distinct groups of recipients as follows:
01 - U.S. Post Offices, Branches, and Stations operated by
classified U.S. Postal Service personnel.
02 - Federal law enforcement and investigative agencies
operated by the Federal Government.
03 - State law enforcement agencies operated by state
governments such as the state police, highway patrol, and
identification bureaus.
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04 - City, county, and local law enforcement agencies such
as police departments, sheriffs' departments, and tovm marshals.
05 - Certain foreign law enforcement agencies at all
levels which are operated by governments outside the United States and
its territories.
06 - All other recipients not included in one of the above
categories and designated by an SAC to receive wanted notices.
07 - U.S. Postal Inspectors and Examiners.
(4) In order to ensure delivery of wanted notices to
recipients, they are now addressed whenever possible to an official
using only his/her title, such as Chief of Police, Sheriff, or
Identification Officer, rather than his/her name. Experience has
shown that wanted notices addressed to individuals by name are
occasionally returned to the Bureau "undeliverable" because the person
has retired, resigned, or is otherwise no longer associated with the
agency.
(5) When wanted notices are returned to the Bureau as
"undeliverable," an attempt will be made to correct the recipient's
address listed in the field mailing list from reference material at
FBIHQ and/or contact with the appropriate field office. In the event
a valid address for the recipient cannot be readily ascertained the
record will be removed from the field mailing list.
(6) Field offices should attempt to ensure that all U.S.
Postal facilities and law enforcement agencies described in the above
categories are included in their respective mailing list. Such
verification checks may be accomplished while contacting the
particular agency during the regular course of business. Additions,
corrections, and deletions may be made by routing slip addressed to
I the Bureau, Attention: | Fugitive/Government Reservation Crimes |Unit,
Criminal Investigative Division. The title only of the official who
is to receive wanted notices together with the agency's full address,
including ZIP Code, and number of wanted notices required, should be
clearly set forth.
(7) Other recipients, as in category 06 described above,
may be added to a field office's mailing list on SAC authority.
Ensure such recipients both want and can use Bureau wanted notices.
Additions, corrections, and deletions to this category of recipients
^. may also be made by routing slip addressed to the Bureau, Attention:
I I Fugitive/Government Reservation Crimes|Unit, Criminal Investigative
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Division. The title only of the person (Security Officer, Manager,
etc.) who is to receive the wanted notices together with the
organization's full address, including ZIP Code, and the number of
wanted notices required, should be clearly set forth.
EFFECTIVE: 07/23/90
21-28 FUGITIVE I SUBPROGRAM!- POLICY ON FUGITIVE APPREHENSION IN
FBI AND DRUG ENFORCEMENT ADMINISTRATION (DEA) CASES AND
U.S._ MARSHALS SERVICE (USMS) ..INVOLVEMENT.
EFFECTIVE: 07/23/90
(
I 21-28.1 Background I (See MIOG, Fart I, 115-1.) |
I j(l)|On 8/11/88, the Attorney General authorized the
following policy, which went into effect on 9/22/88. This policy
applies to fugitives in FBI and DEA cases and foreign fugitives and
supersedes all prior interagency Memoranda of Understanding on
fugitive apprehension responsibility in FBI and DEA cases, including
the 1979 agreement between the FBI and the USMS and the 1982 agreement
between the FBI and DEA. |This policy was further clarified by the
Attorney General's Office on 12/11/91 wherein a definitive ruling was
made that the FBI will maintain primary investigative jurisdiction
regarding conspiracies to violate the Escape and Rescue Statutes
(ERS) .
(2) Since these investigations can be complex, involving
lese matters should be
Investigated under Bureau classification 90, Irregularities in Federal
Penal Institutions (IFPI) . The purpose of this policy is to prevent
escape and to ensure appropriate investigation in order to support
prosecution of those involved in conspiracies to escape Federal
custody or confinement.!
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EFFECTIVE: 09/07/93
21-28.2
Arrest Warrants
o
(1) The FBI and DEA shall have apprehension
responsibility on all arrest warrants resulting from their ovm
investigations.
(2) Notwithstanding paragraph (1), the DEA may delegate
apprehensio n and admi nistrative resp onsibilit y (including Anit.iaj_NCIC_
entry)" to the USMS whenever the subject of a DEA arrest warrant is not
apprehended within seven days after issuance of the arrest warrant, or
it may elect to retain this responsibility in individual cases for
investigative purposes. The delegation becomes effective upon
notification of USMS by DEA.
(3) In cases of joint FBI-DEA investigations and multiple
agency task force investigations, it shall be the decision of the lead
agency whether to have the investigating agencies maintain
apprehension responsibility themselves or delegate apprehension
responsibility to the USMS.
EFFECTIVE: 07/23/90
21-28.3 Post-Arraignment
(1) The FBI, in an FBI case, shall have apprehension
responsibility whenever there is a bond default violation prior to
adjudication of guilt.
(2) The USMS, in a DEA case, shall have apprehension
responsibility whenever there is a bond default violation prior to
adjudication of guilt.
EFFECTIVE: 07/23/90
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21-28.4
Post-Conviction/Other Than Escapes
(1) The USMS shall have apprehension responsibility
whenever after adjudication of guilt there is a Federal probation,
parole, or bond default or mandatory release violation, except as set
forth below.
(2) The USMS will promptly notify the original
investigating agency whenever there is such a violation.
EFFECTI VE; 07/23/90
o
21-28.5
Escapes
(1) The USMS shall have apprehension responsibility
whenever there is a violation of the Federal JERS., However, any
allegationCs) of conspiracy to escape will be investigated by the FBI
under Bureau classification 90 (IFPl) . (See 21-28.6(4) .) j
(2) The USMS will promptly notify the original
investigating agency whenever there is an escape.
EFFECTIVE: 09/07/93
o:%
21-28.6 Exceptions! (See MIOG, Part II, 21-28.8(6) .) |
(1) Upon written notice to the USMS as provided in
paragraph (3) below, the FBI will have exclusive apprehension
responsibility in its own cases at any stage when a fugitive, or the
organization of which he/she is a current member ,< is the subject of an
existing FBI Foreign Counterintelligence, FBI Organized Crime, or FBI
Terrorism investigation. (The term. Organized Crime, covers those
organizations being investigated by the FBI as a "racketeering
enterprise" pursuant to the Attorney General's Guidelines on
Racketeering Enterprise Investigations and the criteria set forth in
Part I, Section 92 of this manual.)
(2) Upon written notice to the USMS as provided in
paragraph (3) below, the FBI or DEA may assume apprehension
responsibility in any case where the FBI or DEA is seeking the
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fugitive on an arrest warrant based on charges filed by it for an
additional offense beyond the one for which the subject is a fugitive.
(3) In those situations where the FBI or DEA elect to
assume apprehension responsibility, agency Headquarters shall
immediately notify USMS Headquarters. The assumption of apprehension
responsibility becomes effective seven calendar days after receipt of
notice by USMS Headquarters. During that seven-day period, the
investigating agency and USMS shall fully coordinate their fugitive
apprehension efforts. The USMS for good cause may request the
investigating agency to consent to the continuation of USMS
apprehension efforts, for. a. limited or..indef inite period of time.
Should that consent be declined, the USMS may request the Associate
Attorney General to approve a limited or indefinite continuation.
Such a request will be made within the seven-day period. In making
this decision, the Associate Attorney General will consider the
relative interests of each agency and the need for swift apprehension
of the fugitive. The Associate Attorney General shall make this
decision within A8 hours of receiving a request. The fugitive
investigation will continue to be coordinated by the agencies during
the time the Associate Attorney General is considering the matter.
||(SeeMIOG, Part II, 21-28.9(1) .) |
(A) In the event of an escape, it is particularly
important that fugitive apprehension efforts be closely coordinated
during the seven-day period following] notice given as outlined
in|paragraph (3). The investigating agency shall assume sole
apprehension responsibility at the conclusion of the prescribed
period. However, the USMS and the agency shall be responsible for
maintaining an orderly transition, which would include capitalizing on
leads developed by the USMS during its initial investigation of
escape. JAny allegation(s) of conspiracy to escape should be
investigated by the FBI as stated in the Escapes Section
(21-28.5(1)). I
(5) The investigating agency shall return apprehension
responsibility to the USMS if the reason for the exception is no
longer applicable. (For example, if the FBI is seeking an escapee,
because it has an arrest warrant for him/her, and the arrest warrant
is later withdrawn because the case is dismissed, apprehension
responsibility for the escape would be returned to the USMS.)
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EFFECTIVE: 09/07/93
21-28.7
Unlawful Flight Statute
(1) The FBI shall have such jurisdiction in locating
fugitives pursuant to the Unlawful Flight Statutes (Title 18,
Sections 1073 and 107A) , but, in exercising it, the FBI will not seek
an Unlawful Flight warrant when the USHS is already seeking the
fugitive as an escapee, probation/parole, mandatory release, or bond
defa ul t v iolat or. No r will the F BI s e ek a n Unlawfu l F lig ht warrant
against any fugitive already sought by the USHS pursuant to the
Federal Escape and Rescue Statutes. The above provisions shall not
preclude the USHS from providing available information to state and
local law enforcement agencies about fugitives being sought by their
jurisdictions. The initiation of formal fugitive investigations
involving state and local fugitives will be done through the Unlawful
Flight process set forth above, except for special apprehension
program (such as Fugitive Investigative Strike Teams and Warrant
Apprehension Narcotics Teams) and other special situations approved
by the Associate Attorney General.'
(2) The FBI will notify the USHS of any state or local
requests for Unlawful Flight assistance in situations described
above. The FBI will also notify local or state authorities that the
USMS is already seeking that person. In these situations, the USHS
will notify the appropriate local or state authorities when a
fugitive has been apprehended, so that a local detainer can be
placed.
(3) If state or local authorities request the assistance
of the USMS in locating or apprehending a fugitive and it is
determined that the fugitive is the subject of an FBI or DEA warrant,
the USMS shall refer the requesting agency to the FBI or DEA for
assistance and notify the FBI or DEA of the request by state or local
authority. |
EFFECTIVE: 09/20/89
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[21-28.8 Foreign Fugitives
(1) The USMS shall have location and apprehension
responsibility £or a fugitive sought in the United States by a
foreign government, except as provided below.
(2) The FBI shall have location and apprehension
responsibility for such a foreign fugitive: (a) whenever the
fugitive, or the organization of which he/she is a current member, is
the .subject of an existing FBI Foreign Counterintelligence, FBI
Organized Crime, or FBI Terrorism investigation; (b) whenever the FBI
_is ,.seeking„the_.fugitiye_on_an _arrest._warrant for a_Fed_eral offense ;_;_
(c) whenever the fugitive is the subject of an FBI investigation which
it is currently conducting at the request of the foreign government
concerned; or (d) whenever a referral has been made exclusively to
the FBI through one of its legal attaches.
(3) The DEA shall have location and apprehension
responsibility for such a foreign fugitive: (a) whenever the
fugitive is the subject of a DEA investigation which it is currently
conducting at the request of the foreign government concerned; or (b)
whenever a referral has been made exclusively to the DEA through one
of its country attaches.
(4) INTERPOL-U.S. NATIONAL CENTRAL BUREAU (USNCB) shall,
upon receiving from a foreign government a request for the location
or apprehension of such a fugitive, refer such a request to the USMS,
FBI or DEA in accordance with the provisions of paragraphs (1)
through (3) above. However, nothing herein precludes referral of
such requests instead, where appropriate, to the U.S. Immigration and
Naturalization Service for action under the immigration laws or to
state and local law enforcement authorities in accordance with
INTERPOL'S internal procedures and practices. (This policy is
applicable to Department of Justice agencies only. If a Department
of the Treasury agency received an exclusive referral, it would, of
course, handle the matter pursuant to Department of the Treasury or
agency policy.)
(5) Upon receiving a request from a foreign government
for the location or apprehension of a fugitive, the FBI, DEA, USMS or
the Office of International Affairs (OIA) , Criminal Division, shall
notify INTERPOL-USNCB of this fact to determine the existence of any
parallel request or investigation with respect to the fugitive.
(6) Once a matter has been referred to the FBI, DEA, or
USMS by INTERPOL-USNCB, the notice, coordination, and review
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procedures set forth in 21-28.6, above, shall govern if either of the
other two agencies concludes it should have fugitive apprehension
responsibility under the provisions of this policy. j
48
EFFECTIVE: 09/20/89
21-28.9
Interagency Coordination
G
(1) In cases where the USMS is requested to provide
ap prehe nsi on assist ance or t o s_e ek_the appj:^ehens^ on of a l^git iy?
sought by a Federal agency other than the FBI or DEA, and it is
determined by the USMS through an NCIC or other appropriate inquiry
that the FBI or DEA has an existing warrant, the USMS will notify the
requesting agency of the existing FBI or DEA warrant. If the
requesting Federal agency continues to seek USMS assistance, the USMS
will notify the FBI or DEA of the request for assistance by the other
agency. The FBI or DEA will either defer the USMS the fugitive
apprehension responsibility in the particular case or assert the need
to continue its apprehension responsibilities in regard to the
fugitive. The USMS shall defer in those instances to the FBI or DEA,
unless the requesting agency declines to accept the deferral. In
such instances, the requesting agency, the USMS, and the FBI or DEA
shall confer at 'the headquarters level to resolve the issue. If a
resolution is not reached between the involved agencies on the issue,
it will be referred to the Associate Attorney General under the same
provisions as set forth in Section 21-28.6(3) above.
(2) The Director of the FBI, the Administrator of DEA,
and the Director of the USMS shall each designate a representative to
a working group charged with developing procedures to implement this
policy. The Chief of Interpol (USNCB) may also designate a
representative to attend any meetings concerned with implementation
of policy set out in Section 21-28.8.
(3) Nothing in this policy prevents an individual
investigating agency from delegating its designated apprehension
responsibility in a particular case or category of cases to the USMS,
or prevents the USMS in turn from delegating its designated
apprehension responsibility to the investigating agency. |
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21-29 ARREST, LOCATES, AND CRIMINAL SUMMONS STATISTICS | (See
MIOG, Part I, 25-10, 76-1.8, 76-2,9, 76-3.13, 88-12, &
115-7.) I
(1) Statistics or fugitive apprehensions will no longer
be scored as such.
(2) In lieu of fugitive apprehensions, all arrests,
locates, and criminal summons will be utilized for statistical
purposes.
(3) Arrests should be claimed only when Special Agents
participate in the actual apprehension. Locates should be claimed in
those instances where our investigative efforts or cooperative
facilities result in the location of a suspect but Special Agents did
not effect the arrest. Criminal summons should be claimed when a
subject appears in response to a criminal summons.
(4) Arrests, locates, and criminal summons statistics
will only be recorded and credited through the| entryjof | Form| FD-515,
Accomplishment Report, | into| the | Integrated Statistical Reporting and
Analysis Application (ISRAA) by the office entitled to the statistic. |
(5) In claiming all arrests and locates, the FD-515 must
also reflect the subject's fugitive "A," "B," "C," or "D" priority.
This priority is to be applied even where, technically, the subject
may not be a fugitive such as a bank robber arrested in the act of the
robbery. In claiming a criminal summons, there will be no "A," "B,"
"C," or "D" priority breakdown.
(6) The FD-515 should be promptly submitted within 30
days after the arrest, locate, or criminal summons.
(7) Submission of the FD-515, concerning arrests,
locates, and criminal summons, should not be delayed to report other
types of statistical accomplishments covered by said form; however,
more than one type of statistic can be claimed on. the same FD-515 if
appropriate.
(8) In the event the office submitting the FD-515 (and
thereby claiming the statistic since this form does not provide for
crediting statistics to an office other than the submitting office) is
an auxiliary office, a copy of the form should be provided the office
of origin for filing in its substantive case file.
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(9) It will be the responsibility of the office of origin
to ensure there is no duplication of reporting statistics.
(10) In all fugitive matters, including deserter cases, a
ROUTINE teletype must still be appropriately submitted! to FBIHQ and
the office of origin] to report the fugitive's arrest or location in
addition to the FD-515. | (See MIOG, Part I, A2-12.) I
EFFECTIVE: 11/01/93
21-30 DISPOSITION OF ARRESTS
The disposition of all arrests involving all fugitives
should be promptly obtained during the course of the investigation.
If appropriate, information obtained from these dispositions should be
utilized for lead information.
EFFECTIVE: 12/10/91
1 21-31 DELETED I
EFFECTIVE: 12/10/91
1 2 1-3 1.1 deleted!
EFFECTIVE: 12/10/91
121-31.2 deleted!
EFFECTIVE: 12/10/91
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SECTION 22. FBI BOMB DATA CENTER
122-1 FBI BOMB DATA CENTER
For information on the Bomb Data Center Program, please refer
to Part II, Section 13-16.9 of this manual.
.EFFECTIVE: 09/2_2/87
22-2 DELETED
EFFECTIVE: 09/22/87
22-3 deleted!
EFFECTIVE: 09/22/87
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SECTION 23. MISCELLANEOUS
23-1 CRYPTONYMS (CODE NAMES)
EFFECTIVE: 01/31/78
23- 1.1 Use In Major Cas e Title
The Criminal Investigative Division (CID) and the
Intelligence Division (INTD) both currently use cryptonyms in major
case titles for convenience or security reasons.
Cryptonyms are generated by either FBIHQ or by field
offices handling the investigation. In either event, the cryptonym
(or code name) should be submitted on a UACB basis for searching
through FBIHQ indices to determine if that particular word has been
previously utilized or indexed.
EFFECTIVE: 01/31/78
23-2 THE FAIR CREDIT REPORTING ACT (FBI USE OF CREDIT
INFORMATION) TITLE 15, USC, SECTION 1681
The Fair Credit Reporting Act (FCRA) which became
effective A/25/71, requires consumer reporting agencies (i.e., credit
bureaus) to follow certain procedures designed to protect the
confidentiality, accuracy, relevancy, and proper use of credit
information. The following provisions of the Act are of interest to
the FBI:
EFFECTIVE: 01/31/78
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23-2.1 Section 1681a. Definitions
(1) Consumer Report - information communicated by a
consumer reporting agency which relates to a consumer's credit
worthiness, credit standing, credit capacity, character, general
reputation, personal characteristics, or mode of living.
(2) Investigative Consumer Report - a consumer report .
that is based on personal interviews with neighbors, friends,
associates, or acquaintances of the consumer.
EFFECTIVE: 01/31/78 " ~~
23-2.2 Section 1681b. Permissible Purposes of Consumer Reports
Consumer reports may be furnished under the following
specified purposes which have relevance to our investigations:
(1) By appropriate court order.
(2) According to the written instructions of the consumer
(e.g., waivers in Bureau applicant investigations);
(3) Where the recipient intends to use the information in
connection with an employment application;
(4) Where the recipient has a legitimate business need
for the information in connection with a business transaction
involving the consumer (e.g.. Ascertaining Financial Ability cases).
EFFECTIVE: 01/31/78
23-2.3 Section 1681f. Disclosures to Government Agencies
Notwithstanding the provisions of Section 1681b, consumer
reporting agencies may furnish a governmental agency identifying
information regarding a consumer limited to:
(1) His name;
(2) Address;
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(3) Former address;
(A) Places of employment;
(5) Former places of employment.
EFFECTIVE: 01/31/78
23-2.4 Section 1681g. Disclosure to Consumers
(1) A consumer, upon his request to a consumer reporting
agency may obtain:
(a) The information contained in his credit file;
and,
(b) The identities of those receiving consumer
reports concerning him for the 2-year period preceding his request
where the reports were for emplojnnent purposes or the 6-month period
preceding his request if the reports were furnished for any other
purpose.
(2) If, for any reason, an investigative consumer report
is requested, the consumer reporting agency, under the provisions of
Section 1681d, must notify the consumer. This notification must be
made not later than 3 days following the request. After receiving
notification, the consumer may request the person, etc., who requested
the investigative consumer report "to provide him with complete
disclosure of the nature and scope of the investigation requested not
later than 5 days following receipt of the consumer's request.
EFFECTIVE: 01/31/78
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23-2.5 Section 1681e. Compliance Procedures
(1) Consumer reporting agencies are obligated to develop
procedures which are designed to insure that a person, etc., receiving
consumer reports uses that information for one of the permissible
purposes set forth under Section 1681b and for no other purpose.
(2) To insure that the FBI, through inadvertence, does
not improperly use credit data, all consumer reports received from a
consumer reporting agency must be clearly identified when reported in
any Bureau communication.
(3) All personnel must insure that consumer reports are
not used for any purpose not specifically permitted under Section
1681b of the Act. Improper use of consumer reports could result in
evidence being suppressed in a criminal proceeding against the
consumer; civil litigation seeking to enjoin the FBI's continued use
or possession of such information; and/or discovery of FBI files. ■
(A) Employees who make use of the following form
communications should insure that any information, derived from a
consumer reporting agency, is clearly identified in completing the
form and that it was obtained and disseminated in a manner permissible
under FCRA:
(a) FD-125 (Record Request);
(b) FrHl59 (Record of Information Furnished Other
Agencies) .
EFFECTIVE: 01/31/78
23-2.6 Summary
(1) In view of the limitations imposed by this law,
information requested of consumer reporting agencies will be
restricted to:
(a) Identifying information (name, address, former
addresses, place of employment, and former places of employment) which
may be obtained in any case and
(b) Consumer reports, which may be obtained for
employment purposes of the applicant alone in applicant-type
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investigations and where the Bureau has a legitimate business need for
the information such as Ascertaining Financial Ability cases.
(2) When reporting information obtained from a consumer
report, the source of the data should be clearly identified as a
consumer reporting agency. Subsequent use of such information
contained in Bureau files is prohibited except for the purposes
authorized by FCRA.
(3) Consumer reporting agency contract matters including
whether a waiver need be signed by applicants in employment cases will
J^gJlgg<^J-gd_on_a case^yj^case basis as such problems ar i s e .
(4) In light of Che preceding disclosure requirements,
requests for consumer reports and investigative consumer reports
should be made only in exceptional cases, and should never be made if
there is any likelihood that the consumer's knowledge that the FBI has
requested such information would be detrimental to an investigation.
EFFECTIVE: 01/31/78 i
23-2.7 Penalties
EFFECTIVE: 01/31/78
23 2.8 Section 1681n, o, q, and r. Civil and Criminal Liability
for Willful or Negligent Noncompliance
(1) Negligent failure to comply with any requirement
imposed by the FCRA renders the negligent consumer reporting agency or
user of credit information liable to the consumer for actual damages
suffered by the consumer as well as court costs and reasonable
attorney's fees resulting from a successful action to enforce
liability under the Act.
(2) Willful noncompliance of the FCRA may result in the
awarding of punitive damages in addition to actual damages, court
costs and attorney's fees.
(3) Any person who knowingly and willfully obtains credit
information from a consumer reporting agency under false pretenses may
be fined no more than $5,000 or imprisoned for not more than one year
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or both.
(Refer to Part 1, Section 62-5 of this manual for details relating to
the Bureau's jurisdictional responsibilities under the criminal
provisions of the Fair Credit Reporting Act.)
EFFECTIVE: 09/26/90
23-3 INVESTIGATIVE
EFFECTIVE: 09/26/90
23-3.1 Information Desired from Outside the Field Office
Territory
(1) Investigative information from another field office
IS to be obtained by that office unless extraordinary haste requires
direct communication. When the exigencies of a case, emergencies, or
economy and common sense dictate, an employee, if authorized by
his/her SAC, may enter the territory of another field office. The
concurrence of the SAC of the entered office is to be obtained prior
to the travel.
(2) Information which should be obtained by direct
communication even though the addressee is in another field office:
(a) For disposition of arrests, use FD-10 to obtain
incomplete information (for New York City, send two copies of FD-10 to
the New York Division of Criminal Justice Services, Executive Park
Tower, Stuyvesant Plaza. Albany, New York 12203-3764, rather than the
New York City Police Department). Make notation on identification
record or other pertinent serial in file that FD-10 has been sent.
When FD-10 is returned, note pertinent information from form in file*
I forward FD-10 to|Criminal Justice Information Services (CJIS) [Division
in lieu of a disposition form (R-84) , provided it shows the final
disposition or shows that the disposition data is unavailable.
(b) Automobile registrations data
(c) Driver's license information
3 (d) Similar data
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(e) Filing of detainers with some agency
(f) Status of detainers
(g) Government bonds - Use FD-123, concerning
purchase or redemptions; specify information desired; send FD-123 in
duplicate.
j;FFECTIVE,:..i2/p2/_?4_
23 3.2 Prohibition Against Photographing Money, Securities and
Checks
Title 18, use, Section 474. Prohibits the photographing
of any national bank currency, Federal Reserve notes, U.S. or foreign
government securities or obligations, except by direction of some
proper officer of the. United States. However, Part 404, Chapter 4,
Title 31, of the Code of Federal Regulations grants authority to all
banks and banking institutions to make film records of paper money,
U.S. Government securities and checks, and to project such records on
a screen provided the film records are maintained as confidential.
This part states that no prints, enlargements, and other reproductions
of such film records may be made except with the permission of the
Secretary of the Treasury, the Treasurer of the U.S., the Commissioner
of Public Debt, the Director of the Secret Service, or such officers
as may be designated by them.
EFFECTIVE: 09/26/90
23-3.3 Deleted
EFFECTIVE: 10/18/88
23-4 LEGAT OPERATIONS
s
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EFFECTIVE: 10/18/88
23-4.1 Definition of a Legal Attache (Legat)
A Legat is an FBI liaison representative stationed in an
American Embassy abroad who is responsible for liaison with foreign
polxce and intelligence agencies in matters of interest between these
agencies and FBIHQ.
EFFECTIVE: 10/18/88
23-4.2 Jurisdiction of Legal Attaches
FBI Agents have no jurisdiction in foreign countries and
Legats and border office Agents, even though invited or requested by
foreign authorities to participate in and/or observe arrests and
searches of subjects or transportation of prisoners may not do so.
EFFECTIVE: 10/18/88
23-4.3 Official Business in a Foreign Country
Where official business requires more than two days in a
foreign country authority must be obtained from FBIHQ. The letter
requesting authority is to be sent UACB and should contain an estimate
of time to be spent.
EFFECTIVE: 10/18/88
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23-4.4
Interviews in Foreign Countries'
Persons interviewed by FBI Agents while in police custody
in a foreign country must be given the usual warning of rights under
Anierican Federal law provided there is no objection from the foreign
police officer. If he/she objects, feeling our warning is not
consistent with the law of his/her country and might work unfavorably
on prosecution of the subject there, the officer should be requested
to give the warning as required by the law of his/her country. Record
the wording of this warning and the time and circumstances of its
issuance.
EFFECTIVE: 10/18/88
o
23-4.5
Foreign Leads
*^^ foreign countries should be submitted to
FBIHQ for coverage through Legat or liaison with U.S. Department of
State, Central Intelligence Agency and other established channels.
Leads should be set out in LHM furnishing six copies of same to FBIHQ.
EFFECTIVE: 10/18/88
23-4.6 Countries/Areas Covered by Legats
[Territorial allocation details are no longer maintained
in the manuals. An up-to-date listing is available in the FOIMS
Tables Application, "Territorial Allocation, Foreign Territorial
Allocation" options. | «
EFFECTIVE: 11/16/93
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23-4,7
Canadian Border Leads
t,n„.„-. Normally. Canadian leads are handled through Legat Ottawa;
however offices along the Canadian border, through liaison with
cooperative Canadian law enforcement agencies, handle Canadian leads
m=tf^;r"? ," f'"/^"" "^^"^ '' ^"^ ^^^ """" ^"d in criminal
Zllllll °^,^°T ^"^«"«^ «^-"Pt in deserter and selective service
matters. Leads on security matters where time is of the essence or
where previously approved by FBIHQ are handled with RCMP by border
offices on a divisional headquarters level.
EFFECTIVE: 03/23/92
23-4.8
Mexican Border Leads
EFFECTIVE: 03/23/92
ALLIHFORffliMIOHCOHTAIHSO
HERE!SinJCLASSlFlE3£XG£PT
WHERE SHOWN OTHERWISE
CONFIDENTIAI]
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23-4.9 Leads for the Northern and Central Caribbean Areas - Mii
and San Juan Divisions
- 11
Lami
Leads for the Northern and Central Caribbean areas are
normally covered by the Liaison Officers at the Miami and San Juan
?i\rT: ^^^i^ift"" Officer. Miami, has regional responsibilities
in the Bahamas, I Belize, (Bermuda. Cayman Islands, | Costa Rica, El
Salvador, Guatemala, Honduras, | Jamaica, JNicaragua. |and the Turks and
Caicos Islands. The Liaison Officer, San Juan Division, is
responsible for maintaining liaison and the coverage of leads in the
countries of Anguilla. Dominican Republic. Haiti. Montserrat, andlst.
-CJLrisLqp_^e^JC£rmejiy_St^ms^ _A^ any time that le^d, a!e
forwarded to the Liaison Officers at Miami and SaVju^n" DTv"n"roni7-a-
copy of the communication is to be designated for the Office of
Liaison and International Affairs (OLIA) . Attention: Foreign Liaison
EFFECTIVE: 03/23/92
23-5 DELETED
EFFECTIVE: 03/23/92
23-6
TITLE XI, RIGHT TO FINANCIAL PRIVACY ACT OF 1978 (RFPA)
EFFECTIVE: 03/08/79
23-6.1
Statute
,/,^/, , ^^® ^^^^ ^^^ passed as Public Law 95-630,
3/10/79 (T 12, use. Section 3401, et seq) .
effective
EFFECTIVE: 03/08/79
23-6.2 Access to Financial Records
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EFFECTIVE: 03/08/79
23-6.2.1 Intent
An individual customer has the right to be notified in
advance when the Federal Government is seeking his or her financial
records from a financial institution in connection with a law
enforcement inquiry and has the right to challenge that intended
access. Exceptions to both customer notice and challenge provisions
are available_in_special situations. _ For exceptions see 23-6.7.2
23-6.9, and 23-6.10.
EFFECTIVE: 03/08/79
23-6.2.2 Methods Available to FBI (For further information see
23-6.6)
(1) RFPA of 1978
(a) Customer authorization or waiver
(b) Search warrant
(c) Judicial subpoena
(d) Formal written request to financial institution
(2) Federal Grand Jury Subpoena - access exempt from RFPA
(but new use restrictions)
EFFECTIVE: 03/08/79
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23-6.2.3 Methods Not Available to FBI
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(1) Administrative I subpoenas I and summons under|RFPA,
except as provided in Title 12, USC, Sections 3A02 and 3405.
Sections 3402 and 3405 of Title 12. U.S. Code, permit government
officials to obtain bank records if relevant to a legitimate law
enforcement inquiry. |
(2) Informal access - not authorized by RFPA
EFFECTIVE: 06/03/97
23-6.3
Definitions
EFFECTIVE: 03/08/79
23-6.3.1
Financial Institution
This includes all banking and banking-type institutions as
well as companies issuing credit cards, even though not a bank-type
institution, and consumer finance companies located in the United
States, District of Columbia, Puerto Rico, Guam, American Samoa, and
the Virgin Islands.
EFFECTIVE: 03/08/79
23-6.3.2
Financial Record
::l
Any original, copy of or information "knowingly derived
from" a record pertaining to present or past customer's relationship
with a financial institution. Excluded are records or information not
identifiable with an individual customer or those which reside in the
account of a third party such as check endorsements or items deposited
by third party and obtained from that person or corporation. There
should be no conscious circumvention of RFPA.
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EFFECTIVE: 03/08/79
23-6.6.1 Customer Authorization
„- , Customers may authorize access to identified records up to
90 days by signing a revocable statement specifying the recipient
purpose for disclosure and that the customer is aware of his or her
rights under RFPA. Certification of Compliance is required when the
records are obtained. This would apply in applicant-type
Jnyestigatio ns or where f in ancial_j;ecords of a cooperative witness are
being sought. ~ ~ ~ - — - — —
EFFECTIVE; 03/08/79
23-6.6.2 Search Warrants
A search warrant may be used under RFPA with notice to the
customer of the search occurring within 90 days after execution.
There is no change in the procedures to obtain a search warrant.
Additional delays of up to 90 days may be granted by a court when it
IS shown that notice would seriously jeopardize a continuing
investigation (see 23-6.7.2). The institution may be prohibited from
notifying the customer by court order issued when the delay is
authorized.
EFFECTIVE: 03/08/79
23-6.6.3 Formal Written Request
The FBI is authorized by T 28, CFR, Section 47.1, to use
the written request provided for in RFPA. This is a new method of
access and requires the cooperation of the financial institution.
Required notice advises the customer his or her records are being
sought and the nature of the inquiry which may include a statement to
the effect that the customer is not the subject of the investigation.
The customer has 10 days if notice is served and 14 days if notice is
mailed to complete and file an affidavit detailing why the records are
not relevant to a legitimate law enforcement inquiry. The customer
must then serve a copy of the affidavit oh the Government authority
and be prepared to present in court additional facts. If the customer
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order. Other recourse such as Obstruction of Justice is available.
Judicial subpoenas require the financial institution to commence
compiling the records upon service.
EFFECTIVE: 03/08/79
23-6.5
G
Certification of Compliance
Before records may be obtained under any provision of the
.AFPA,_^_^up.ervisory_offici_al .o.l thCLZBI . musj: subrait_t_o_ the_f inane ial_
institution a certificate stating that all appTicable provisions of
the Act have been complied with. Good faith reliance by the employees
and agents of the financial institution upon the Government
certification of compliance absolves the institution of civil
liability for any improper disclosure of records. This certification
is not required when customer records are sought pursuant to a Federal
Grand Jury subpoena. For the purpose of RFPA, "supervisory official"
is defined and limited to (other than FCI activities) any Headquarters
or field division supervisor (including Supervisory Senior Resident
Agent) or officially designated relief supervisor acting for the
supervisor or any official of higher rank.
EFFECTIVE: 03/08/79
23-6.6
Methods of Access
For access in cases of emergency see 23-6.9. If account
identification information is being sought the notice and challenge
provisions and restrictions on interagency transfers do not apply when
only identification information about a customer is needed, i.e.,
name, address, type of account and account number. This data must be
obtained through a written request. In addition to account
information only, more specific inquiries such as the account number
associated with a particular transaction or class of transactions may
be obtained. Once the existence and identification of a customer
account-is established, .then one of the access methods listed below
must be used to obtain any additional information. For dissemination
of information see MAOP, Part II, 9-10, and MIOG, Part II, 23-6.11.
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EFFECTIVE: 03/08/79
I 23-6.3.3 Government Authority
y^^ applies to all Federal agencies including FBI or any
^ I officer, employee or agent thereof.
EFFECTIVE: 03/08/79
23-6.3.4 Customers Covered
Any natural person or partnership of five or fewer
individuals are covered. Not covered by RFPA are corporations
associations, larger partnerships or other legal entities.
EFFECTIVE: 03/08/79
23-6.3.5 Law Enforcement Inquiry
Any lawful investigation or official proceeding inquiring
into a violation of, or failure to comply with any criminal or civil
statute or a regulation, rule or order issued thereunder is considered
as a law enforcement inquiry.
EFFECTIVE: 03/08/79
im
l:-:^^^
I 23-6.4
Responsibility of Financial Instituti
ons
RFPA prohibits financial institutions from providing
financial records to the Government, unless access is authorized by
one of the exceptions such as grand jury subpoenas or unless access is
accomplished by one of four methods under procedures mandated.
Notwithstanding these restrictions, financial institutions are
permitted to notify Government authorities of possible violations of
law reflected in their records. Financial institutions do not have to
comply with formal written request or a customer authorization. In
addition, there are no criminal penalties under RFPA to prevent an
institution from notifying its customer in the absence of a court
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does no
records
period
the cus
14-day
18-day
any sup
Notice
t comply with the above within prescribed time limits, the
may be made available. As a practical matter, a reasonable
(possibly four days) should be allowed prior to access where
tomer files challenge by mail on the last day of the 10- or
period. In effect, the 10- or 14-day period becomes a 14- to
period to be cautious. A written request may be executed by
ervisory official, previously defined (see 23-6.5), of the FBI,
to the customer may be delayed for period of up to 90 days.
EFFECTIVE: 03/08/79
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23-6.6.4 Judicial Subpoena
^u -u Ju'iicial subpoenas are any court order to produce records,
other than a grand jury subpoena, the most common of which is the
trial subpoena directed at a party not involved in litigation. When
used, a copy of the subpoena, together with mandatory customer notice
IS served or mailed to the customer. The notice provisions for the
judicial subpoena are the same as for the written request, above
EFFECTIVE: 03/08/79
23-6,6.5 Grand Jury Subpoena] (See MIOG, Part II, 23-6. 10.5.) |
Such subpoenas are not covered by RFPA|with| respect to
access and notification. |However. the RFPA does place] restrictions on
the handling and use of customer financial records obtained by a grand
jury. [Access to such records, or information abstracted for reporting
or lead purposes, must be limited to authorized persons, i.e., those
assisting an attorney for the government in a specific criminal
investigation; and, when records are not in use, they must be placed
in a subfile which is locked in a container with a combination lock
(see MIOG Part II, 2-9.5 and 2-9.7). Grand jury-subpoenaed financial
records should be appropriately marked as both grand jury material
(see MIOG, Part II, 2-9.7(2)). and as subject to the RFPA (see MAOP,
Part II, 9-10). Information extracted from financial records subject
to the RFPA must be treated as grand jury material "unless such record
has been used in the prosecution of a crime for which the grand jury
'.fw^fs*? indictment or presentment . . . " (see MIOG, Part II, 2-9.5.1
(.4; (a)) .
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EFFECTIVE: 07/12/95
23-6.7 Customer Notice
EFFECTIVE: 03/08/79
23-6.7.1
Contents of Notice
The purpose of the investigation must be stated but
without reference to specific title and section of the U. S. Code.
Generic terms may be used to describe the offense such as: fraud,
bribery, extortion, etc., similar to the character of cases we now
use. Notice must state the name and business address of the
supervisory official to be served with copies of customer challenge
papers. The supervisory official is he or she who initiated the
access process.
EFFECTIVE: 03/08/79
23-6.7.2 Delay of Notice
(1) Delays of customer notice may be obtained for access
sought through judicial subpoenas, formal written request , search
warrants and subsequent interagency transfer. Delays of up to 90 days
(or 180 days in case of a search warrant) may be applied for to a
court where there is a reason to believe (lesser standard than
probable cause) that notice would cause danger to life or physical
safety, flight from prosecution, destruction of evidence, intimidation
of a witness, or other serious jeopardy to an investigation or a
trial.
(2) To obtain a delay of notice, a sworn written
statement must be presented to a judge or magistrate that one or more
of above situations exist. Extensions of the delay of notice may be
similarly obtained based on necessity.
, ^^^ ^" addition to delaying the timing of the Government
notification to the customer, the court order issued will prohibit the
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financial institution from disclosing to the customer that records
pertaining to that customer are being sought. There is no such
provision in the RFPA with respect to access through grand jury
subpoenas to prohibit the financial institution from notifying the
customer.
EFFECTIVE: 03/08/79
23-6.8 Customer Challenges
(1) A customer may challenge a judicial subpoena or a
formal written request in instances where notice was not delayed.
Grand jury subpoenas, being generally excepted by RFPA and having no
notice provisions, are not challengeable at the time of access.
Within 10 or 14 days (more practically, 14 or 18 days, see 23-6.6.3),
depending on the method of notice (served or mailed), the customer may
file in U.S. District Court a motion to quash a judicial subpoena or
an application to enjoin the Government from pursuing a formal written
request. In support of the motion or application, the customer must
file a sworn statement that he or she:
(a) is the person whose records are being sought
and,
(b) has reason to believe the records sought are not
relevant to the inquiry, or
(c) That the RFPA has not been substantially
complied with, or
(d) any other legal reason for denying access.
(2) The challenge does not shift the burden of proof to
the customer, but does require more than only an allegation. The
Government must then convince the judge or magistrate the records
sought are relevant to a legitimate law enforcement inquiry.
Relevance covers anything that might be. Used as evidence or that might
logically lead to evidence. The Government may have to file a
response, in camera if appropriate, and the court may require
additional proceedings but all within seven days from the filing of
the Government's response. Denial of customer challenge motions or
applications are not appealable until after the trial or other
proceeding.
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(3) If the Government fails to justify its attempted
access, the subpoena is quashed or the formal written request
enjoined. If the Government does support its burden, the subpoena
will be enforced and the formal written request may be pursued with
the financial institution. The financial institution is not compelled
to comply with the formal written request.
(4) If, after access following an unsuccessful challenge
no prosecution or other proceeding is to be brought against the
customer (always the case when customer is witness and not subject)
customer must be so notified by the requesting Government agency. '
.,Close..coo.rdinati^on3etween_the„fi.eld_ofJice and the U.S. Attorney's
Office will be required. "
. . ^^^ ^y applicable statute of limitations Is suspended
during the time the customer's motion or application is pending in
court. *
(6) In the case of judicial subpoenas, venue for the
customer challenge is restricted to the court issuing the subpoena.
When a formal written request is used, the customer may challenge in
any one of three districts:
(a) the District of Columbia,
(b) the site of the financial institution
(c) the site of the residence of the customer.
EFFECTIVE: 03/08/79
23-6.9 Emergency Access
(1) In instances where notice and challenge delays could
create imminent danger of physical Injury, serious property damage or
flight from prosecution, access may be had Immediately by merely
presenting the financial institution with the certificate of
compliance. However, post notice to customer Is required as soon as
possible.
^ .,, . ^^^ Within five days after access, a supervisory official
must file in court a signed sworn statement setting forth the grounds
for the emergency access.
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EFFECTIVE:. 03/08/79
23-6.10 Exceptions to RFPA
EFFECTIVE: 03/08/79
23-6.10.1 Financial Institutions
The RFPA does not require custoier~notice~when~the"'
institution in possession of such records is the subject of the
investigation. However, the certificate of compliance is necessary.
Customer records obtained under this exception may only be used or
transferred in furtherance of that specific investigation. If
evidence of another violation is developed, enough information (hot
records) may be given the appropriate agency, including FBI, to
identify the record and violation. Thereafter, the receiving agency
may proceed as if independent of the initial inquiry.
EFFECTIVE: 03/08/79
23-6.10.2 Corporations or Other Legal Entities
Investigations directed at corporations or other legal
entities not protected by RFPA may be conducted in same fashion as
23-6.10.1 above.
EFFECTIVE: 03/08/79
23-6.10.3 Not Identifiable with Customer
Records can be disclosed by a financial institution if
they or the information contained therein are not identified with or
identifiable as being derived from the records of a particular
customer.
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23-6.10.4 Parties in Interest
The RFPA does not apply when the Government and the
customer are litigants in a judicial or an administrative adjudicatory
proceeding. '
_EFXEC Tiy E :_ 03 / 08/79
23-6.10.5 Federal Grand Jury
The RFPA does not affect the obtaining of customer
financial records (see 23-6.6.5). No compliance certificate is
required.
EFFECTIVE: 03/08/79
23-6.10.6 Foreign Counterintelligence
See "Foreign Counterintelligence Manual" for instructions.
EFFECTIVE: 03/08/79
23-6.10.7 Telephone Company Toll Records
These records are not covered by the provisions of RFPA.
EFFECTIVE: 03/08/79
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23-6.10.8 Other
Other exemptions specifically excluded are:
• ..•...• ^^^ Certain designated supervisory agencies of financial
institutions.
(2) Internal Revenue Service.
(3) General Accounting Office.
- — - — -^^^---~?^^^l'LXep^rt^refluired^f_Hnanc_U
(5) Identifying account information only (see 23-6.6).
(6) The administration of guaranty or loan insurance
programs. Notification of potential violation indicated in the
customer financial record may be given the appropriate investigative
agency on the same basis as 23-6.10.1.
EFFECTIVE: 03/08/79
23-6.11
Dissemination of Information (Refer to MAOP. Part II
9-10.) '
EFFECTIVE: 03/08/79
23-6.11.1 To Department of Justice
Transfers between and among the components of the
Department are not restricted by RFPA except that customer record
obtained m an investigation targeted at the financial institution
where there is no notice or challenge opportunity may not be used for
a separate inquiry. Enough information about the separate inquiry may
be given to another component in order that access may be sought
independently, . °
EFFECTIVE: 03/08/79
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PAGE 23 - 24
Financial records obtained on or after 3/10/79 under RFPA
may be transferred to another agency only if the transferring agency
certifies in writing to the file that there is reason to believe the
records are relevant to a legitimate law enforcement inquiry of the
receiving agency. This may require a statement from the receiving
agency. Post notice to the customer within 14 days of the transfer is
aH" 2r * '^^^^^ °^ "°*''" " obtained as discussed above
EFFECTlVEr 03/08/79
23-6.12
Penalties
EFFECTIVE: 08/28/91
23-6.12.1 Civil
^y Federal agency or financial institution is liable to
the customer for violation of RFPA as follows:
involved,
(1) $100.00 without regard to the volume of records
(2) actual damage,
(3) punitive damages, and
(4) court costs and reasonable attorney's fees.
EFFECTIVE: 08/28/91
23-6.12.2 Disciplinary Action
If a court determines that a violation may have
willful or intentional, Office of Personnel Management (formerly Civil
Service Commission) must determine if the Government employee is
primarily responsible and subject to disciplinary action.
been
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