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Part II __ '_" 5 _ ";. . .T _ ' "3 ~ ' PAGE 10 ;.- . V . I Y . - . ' . _ '
SECTION 10.. RECORDS AVAILABLE AND INVESTIGATIVE TECHNIQUES
10-1 INTRODUCTION
! The following information is being provided as a
reference for investigative personnel seeking additional data and/or
the location of individuals who are the subjects of FBI
investigations. This information is presented in two parts, Records
Available and Investigative Techniques. _ _Sé_ e'}.f,-=__ ,-,_"';.' --51%
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a! %Records Available are those documents which may
assist in either compiling a necessary profile either of a group, an
individual or a business enterprise!, or will assist in locating
subjects, suspects, witnesses or victims.
dd ' b! An Investigative Technique is a method by.which£;Q¬@ an activity is conducted Title III! or information placed stop
. ..T§ notice! which may aidlin the identification or location of a subject
"' or in the gathering of evidence. g
! The use of any of these records or investigative
techniques must be in accord with legal and ethical investigative
procedures. In many cases, the obtaining of records or use of an
investigative technique must be authorized by the SAC, Department of
Justice, Attorney General or court order. If any doubt exists as to
what the correct procedure is, the appropriate supervisory personnel
must be consulted. It should be additionally noted that the
information contained.in this section is not all-inclusive regarding
records or investigative techniques available. 1
! As the various items appear, there will be either a
reference to another section in this manual or to another manual, an
explanation of what the technique is or simply a listing of the
record. Additional,record information is available in Part II, Section
19 of this manual titled, "Location of Other Government, Industrial, .
and Organizational Records."- A
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Part II Q: -¢~ _e f ' '*" PAGE 10 -- Z ":
10-2 TRECORDS AVAILABLE *' ~
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National Auto Theft Bureau
News a er ' -i p Library
Qffices
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Schools and Colleges 92 '
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street Guide 4
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10-3 INVESTIGAIIVE TECHNIQUES See MIOG, Part 11, 21-23
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"I Artist Conceptions
Crime Scene Searches isee MIOG,
see MIOG, _ Check Circulars
see HIOG, Circular Letters
Computer Assistance or
Automatic Data_Processing , ' see MIOG,
see MIOG, Interstate Identification Index III! _
see HIOG, Consensual Monitoring _ - i
Electronic Surveillance ELSUR!'
Evidence -see MIOG,
Racketeering Records
Analysis _ see MIOG,
Collection, Identification i
i§§j and Preservation of'
;§§§ Physical Evidence see MIOG,
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Shoe/Tire Tread Cast and Lifts
Hypnosis
Identification Orders
Informants
Investigative Information Services
Data Bases For Use In Investigations
Mail Covers
National Crime Information Center
Pen Registers
Photographic Examinations
Photographic Surveillances
Polygraph Examinations
Stop Notices - _
Surveillance Techniques
Telephone Toll Records
Title III Coverage
Undercover Activities 7-
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Part II " '. . 1 PAGE 10 -
Criminal Hatters % see MIOG, Part II, 10-11
Wanted Flyers see MIOG, Part II, 21-25
Wanted or Flash Notices on
Fingerprint Cards I see MIOG, Part II, 14-15.5 '
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EFFECTIVE: O7/25/97§
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10-4 COMPUTER ASSISTANCE on AUTOMATIC DATA PROCESSING| See
MIOG, Part II, 103.!i
The|Investigative Automation Support Sectionlof the
1 [Information Resources|Division assists the_field in investigative
matters: ! involving computer or data processing personnel; ! ilfg where there are voluminous records that require sequencing, comparison
/> 5 or calculations, ! requiring assistance in the wording of subpoenas '
for computer records; or search warrants for searching of computer
installations, etc. More detailed information regarding computer
services available to you is set forth in Part II, 16l0, of this
manual.
EFFECTIVE: 06/01/94
105 INTERSTATE IDENTIFICATION INDEX III! See HIOG, Part II,
103; MAOP, Part II, 7-4.1.!
| I '! The III allows on-line accessibility of criminal
arrest records through the use of your NCIC computer terminal. The
_III maintains index records which contain personal descriptive data of
the subject of the criminal history record. The location of the data
base s! which stores the criminal history record is also part of the
Index. Records available through the III include: subjects arrested
with dates of birth 1956 or later and all individuals arrested for the
first time on or after 7/1/74, regardless of their dates of birth and
selected older records converted to the automated system for certain
fugitives and repeat offenders.
"gé§% ! Detailed instructions for conducting name searches
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and record retrievals are set forth in Part 10 of the NCIC OPERATING
. MANUAL. The state control terminal officer within your state can
respond to any questions or problems you might have concerning the
operation of your NCICicomputer terminal.
. .! All field offices are encouraged to use III in their
daily operations.
! If nolrecord is located through the III File, check
with the FBI Criminal Justice Information Services Division since it
maintains over 10 million additional records not available through e
III. . '"w
EFFECTIVE: 05/13/96
10-6 MAIL covsns
" EFFECTIVE: 03/09/81
10-6.1 United States Postal Service USPS! Regulations
! USPS3regulations governing mail covers are codified
in Title 39, Code of Federal Regulations CFR!, Section 233.2 and
designate the Chief Postal Inspector to administer all matters
governing mail cover requests by law enforcement agencies. Except for
national security mail covers, the Chief Postal Inspector may delegate
any or all such authority to the Regional Chief Postal Inspectors. In
addition, all Postal Inspectors in Charge and their designees are
authorized to order mail covers within their districts in fugitive and
criminal matters.
- ! USPS regulations state that a mail cover may be
requested to locate a fugitive, to obtain information regarding the
commission or attempted commission of_a crime, or to protect the
national security. h _ a
! For mail cover purposes, a "mail cover" is defined by
USPS as the process by which a record is made of any data appearing on
the outside cover of any class of mail matter,92 the FBI may not'§§§1' request a check of the contents of any class of mai1!;|a "crime" is'§§§ defined as the commission or attempted commission of an act punishable
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Manual of Investigative Operations and Guidelines
Part II _ A _ ' PAGE _l0
by,imprisonment for a term exceeding one year; a "fugitive" is any
person who has fled from the United States or any state, territory,
the District of Columbia, or possession of the United States, to avoid
prosecution for a crime or to avoid giving testimony in a criminal
proceeding. i l
1 ! No mail covers shall include matter mailed between
the mail cover subjectland subject's known attorneyfat-law. -However,
the mere fact that a subject has retained an attorney will not defeat
a mail cover. A mail cover may be used but mail between the subject
and subject's attorney shall not be included. Hailed matters betweenL--t
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! Excepting fugitive cases, no mail cover shall remains
in force when the subject has been indicted for any cause. If the
subject is under investigation for further criminal violations, a new
mail cover order must be requested consistent with USPS regulations.
A mail cover on an indicted subject who is not a fugitive is still
possible under certainconditions. Although not available for crimes
for which the subject has been indicted, a mail cover may be used as
an investigative tool to investigate the subject's other crimes. As
to fugitives, a mail cover is available for the offense for which
indicted and other crimes.
! Excepting mail covers ordered upon subjects engaged,
or suspected to be engaged, in any activity against the national '
security, or activity violative of any postal law, no mail cover order
shall remain in force for more than 30 days.i At the expiration of
such period or prior thereto, the requesting authority may be granted
additional 30-day periods under the same conditions and procedures
applicable to the original request. No mail cover shall remain in
force longer than 120 days unless personally approved for further
extension by the Chief*Posta1 Inspector. |In all requests formail covers to extend beyond 120 days, the requesting authority must
specify the reasonablelgrounds that exist which demonstrate the mail
cover is necessary for*one of the stated purposes. H
' ! No officer or employee of the USPS other than the -
Chief Postal Inspectorl Postal Inspectors in Charge or their designees
are authorized to order mail covers. Under no circumstances shall a
postmaster or postal employee furnish information, as defined inparagraph !, to any person except as authorized by the Chief Postal
Inspector, Postal Inspector in Charge or their designees.
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EFFECTIVE: 03/09/81v -;
10-6.2 _ Policy _
! |SAC|approva1 must be obtained before a mail cover
request is submitted to the USPS. |SACs are authorized to request mail
covers, with the exception of those involving National Security cases,
from the USPS. See policy in Part II, 106.3.2 concerning mail covers
involving National Security cases.w ' _
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be submitted when it can be shown that use of the technique would be
logical, resourceful, appropriate, and when the use of the technique
is in conformance with all regulatory requirements and guidelines
including the Attorney General's Guidelines on General Crimes,
Racketeering Enterprises, and Domestic Security/TerrorismInvestigations. Nhenlrequesting authorization to utilize a mail
cover, consideration should be given to whether the information sought
can be obtained in a timely and effective manner by less intrusive
means. Further, in recognition that use of a mail cover raises
possible First Amendment concerns, care should be taken to ensure use
of the mail cover wil1_be confined to the immediate needs of the
investigation, particularly when considering a mail cover to be placed
on an individual who is not the subject of a criminal investigation.
! The SAC should review and approve all requests for
mail covers and should review and approve all requests for
continuation of existing mail covers.
! The SAC should conduct frequent checks as to theproductivity of mail covers after being placed into effect. '
! Cases are not to be closed until the mail'cover has
expired or has been withdrawn. |SAC must|be notified if request for
mai1|cover is not approved by the USPS,|which notification shall
include a statement of the reasons given by the postal authorities for
not approving the|mailIcover|request.'-' '- .
l ' ! Information obtained-as a result of a mail cover in
fugitive or criminal cases should be reported in the cover pages.
! Requests for mail covers should not be submitted in
preliminary criminal inquiry investigations. "The Attorney General's
Guidelines on General Crimes, Racketeering Enterprises, and Domestic>::_§E.l
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index is to be maintained by .
Eice Services Hanager.| 3- by 5-inch
cards, FD-57, may be filed alphabetically or by street address and
should reflect the following:
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lO6.3 Requesting Approval
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Fugitive or criminal case
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Date when placed
Identity of Agent handling
Duration of mail cover
After the mail cover has been discontinued, the mail
troyed.
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Part II = i.. 4 ee PAGE 10 *
10-6.3.1 Fugitive or Criminal Cases
! In recommending a mail cover in a FUGITIVE OR
CRIMINAL CASE, submit|a memo to the SAC|advising that a mail cover
is being requested|from the district Postal Inspector in Charge
covering the area where the mail cover is to be placed.
! 'This|memo|must also include the following
information:
a! Brief background of the case.
'_ b! A statement setting forth the reasons that the
use of a mail cover is logical, resourceful and appropriate.
c! Identity and complete mailing address of the
person whose mail is to be covered
d! Location of
Charge to be utilized.
e! The federal
involved.
f! Whether the
is under indictment in connection
g! Whether thethe district Postal Inspector in
statute and maximum possible penalty
person whose mail is to be covered
with the matter under investigation.
person whose mail is to be covered
is known to have retained an attorney and, if so, the attorney's name.
_ h! In fugitive
indictment in connection with the
i! In fugitive
to have obtained an attorney and,cases,
matterwhether the fugitive is under
under investigation.
known whether the fugitive is
the attorney's name. cases,
if so,
1
! |Your|reouest to the appropriate district Postal
Inspector in Charge must be written or confirmed in writing;
! In fugitive and criminal cases, mail covers may be
placed initially for 30 days duration and may be extended on request
to the district Postalilnspector in Charge for additional 30-day
periods up to a total of 120 days. If an extension of the mail cover
beyond this 120-day period is desired,|submit|the request for|an|
extension to the appropriate USPSextension beyond 120 days must clearly set forth|any|specific
92
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Hanual of Investigatiie Operations and GuidelinesPart II -,. I I S 1" ' I I PAGE 10
reasonable grounds that exist which demonstrate the mail cover is
NECESSARY. ,-
I ! ISAC approval is required whenIrequesting that
confidential arrangements be made to initiate a particular mail cover.
IITheIperiod of days_of the mail cover must be specified, but a .
particular date should not be.
! When emergency authority is needed to establish a
nail cover, USPS regulations state that the appropriate Postal
Inspector in Charge, or that Inspector's designee may act_upon an oral.._:_r
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request, to be confirmed by_the requesting authority in writing_g3th1nm
two business days. however, the USPS will release no information
I until an appropriate written order is received.
EFFECTIVE: 05/09/95
10-6.3.2 National Security Cases
! As noted above, USPS regulations state that a mail
cover may be requested to protect the national security. For mail
cover purposes, "to protect the national security," is defined by USPS ,5?
as protecting the United States from any of the following actual or
potential threats to its security by a foreign power or its agents:
i! an attack or other grave hostile act; ii! sabotage, or
international terrorism; or, iii! clandestine intelligence
activities. *
! 'Al1 mail covers in national security cases must be
approved personally by the Director of the FBI or, in Director's
absence, by the Acting Director on Director's.behalf. If the
individual on whom the mail cover is to be placed is a United States
person, Attorney General approval is also required. u
r ! All correspondence concerning national security mail
I covers should be|transmitted "BY LIAISON" and|addressed as follows:
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Hanual of Investigative Operations and Guidelines '
Part II .f ' . . = -, -Iqsi PAGE 10 - 12
W =
! The name and address of the individual or
establishment on which the mail cover is to be placed must be
unclassified; A statement such as "For the purpose of placing the
mail cover, the aboveicaptioned individua1's name and address are
considered unclassified," will suffice. .
! In these national security cases, when the field is
_ recommending to FBIHQ,that a mail cover be requested, complete
information concerningithe name and address of each individual ororganizatipn_toWbe_cpvered,_includingk;I§*ggde,_should_b supplied ~ e .
Set forth information similar to that outlined above for criminal
cases, including any information concerning known attorneys of recordand any information as to whether or not the subject is under
indictment. Requests for approval of national security mail covers
will require more detailed explanations and must stipulate and specify
the reasonable grounds that exist which demonstrate the mail cover is
necessary to protect the United States from an actual or potentialIii? threat to its national security.. T§' -
! If the request for a mail cover in a national
security case is approved by FBIHQ, arrangements for implementing the
mail cover will be handled by FBIHQ.
1
EFFECTIVE: O2/16/89
10-7 STOP NOTICES
EFFECTIVE: 06/10/as
1O-7.1 Definition p _ »
A stop'notice is a request to be advised if an individual
or property comes to the attention of any organization or a member
thereof. - "
EFFECTIVE: 06/10/88
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Manual of Investigative Operations and Guidelines VPart :1*;*: = - - 1 -- A- ' - PAGE 10 -_ 13. ,'.92--_' - . . 4.: .r-:- .
10-7.2 Placement of Stops _ ' e '
. The form utilized for placement of stops is an FD56, a 3-
by 5-inch card. This should record the date a request is made of aparticular law enforcement agency, etc.
This form should not be prepared if information has previously been
furnished NCIC unless a reason exists otherwise. elf so, it should be
indicated on FD-56. The office placing the stop should prepare the
FD-56 and route to the office of origin 0! by letter or as an
enclosure to another communication setting forth the results ofinvestigation. "This communication should include the name of the r
Agentwplacing the stop and with whom the stop_was placed. p1.
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107.3 Indexing Stops
{gg |! The requesting and placing offices are required tozilfl record in their automated indices each name and/or item of property
' " 92'which is documented in a stop notice while the stop notice is in force
- subject or reference record!. The miscellaneous part of the indexrecord should contain}the same information as included on the FD-56.|..=§
|!| The Office of 0rigin| 0! W111 file the FDPS6 in the
manual general index|except when FBIHQ is 00. |If FBIHQ is 00, the
I office placing the stop will maintain the FD-56 in its manual general
index.| The FD-56 will be filedlwith|the|manual general index before
the letter group "A" led by a separator marked "STOP NOTICES" and
sequenced|in proper numerical order92 Classification, Case, Serial!.|If the stops were placed by a written communication, only one card is
needed even though more than one item was listed. When stops have
been placed with FBIHQ or by another field office, nocardsl FD-56s!|are necessary. ' E |
, I
EFFECTIVE: 06/10/88 l
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Part II; p _ _4 wL_' V F I .r .. L . V; .. Mu I
10f7.4 Rembval of Stops I I 1
. _ _Investigative Operations and Guidelines -
! It is the direct responsibility of the 00 to remove ~
on individuals or property when a determination has been
they are nolonger needed. Stop cards are to be reviewed
to remove obsolete cards and to discontinue unnecessaryall stops
made that
quarterly
stops. A
! Mechanics of removing stops * Office of origin will
forward, via routing slip, FD56 to office which placed stop advising
stop should be removed. Notation will be made on appropriate serial
in §ile_: dicating name o employee an dat s p_remgved_a§ter which.. _-'1; .vs+~ Y "E : . ; PAGE 10L
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FD-56 will be destroyed. Office of origin should be advised of
removal of a stop by the office which placed the stop.
EFFECTIVE: 06/10/as
iéig 10-7.5 Types of Stops
EFFECTIVE: 06/10/as 92
v1°"-5-1 u I
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EFFECTIVE: 06/10/88
' _ || .
10-7.5.2 Immigration and Naturalization Service INS!
' These stops INS Lookout Notices! are placed by use of the
FD-315 form. The original FD-315 must be signed by the approving
field supervisor and sent directly to INS as indicated on the form.
INS will not place stbps on U.S. citizens since it has no statutory
authority over U.S. citizens. _
l §§§g ' ! INS stops are of necessity never classified. The
' iii? ' stop names and identifiers are available on lists or electronically in. -._.. _ _ 92
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PAGE; 10 . 15 .1-:" '-? -.'-'.. . __ , .'.':'.." l._ '_ . _, ,- . - .,Part__LIi'-':;.:"_i{_'. 5,-;,:.:;; f_:.-_'- __» _ -_ . I I _ H .-.§',___-, r;'-' .",-»f~-V»: >_"°:~'-92 -_'- _ 7- - 92-,1"-92 l V - ~ - 1" ~ .1. ,-,,.;," . - , "-. - - er» -.- i _'..'.:*~ .-», -- . 92" .. 7--~ Q
areas open to travelers. - Q . A _ _ ,
.. -1. . _ _ _ »> s 92 nL s -" it " "'i' HIS!- INS regulations state that-other Federal agencies may ¢
_requést the postihg'of lookouts. These requests for stops must meet 3;
the INS ding warrants_of »
tarres
activity does notn
t INS t a for posting lookouts
. - - 92 _
'! The INS Stop System consists of three parts: a! The
INS 9National Automated Immigration Lookout System" NAILS!, an
automated telecommunicati2n§_netygrk_feeordswsystem; b! The "INS'~ .. 1we. _?s%tjr.--.n --.£§§%' *3--~** - I -:~.:::.:~_.>-'
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distributed-once every calendar month; and c! A 90-day temporary
emergency lookout system posted electronically by INS Central Office,
or by local FBI BorderNO££ices. . . .
' b'7E'
g stops
will be posted until the subject's ninetieth birthday.
! Instructions for Completing FD-315 - Instructions are
printed on the reverse of the FD~315 form. One subject should appear
on a single form with additional names or aliases listed
alphabetically on that*form. Do not use spelling variations. Only
actual names used by subject or those names for which subject is known
to have identificationishould be submitted. One birthday only should
be used. If the subject is considered armed and dangerous, suicidal
or havin physical or mental problems, the caution block shouldEI be|checked| x'd! and this information should be explained under
"Miscellaneous." . _ .
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Investigative Operations and Guidelines . PAGE 10
! Emergency INS Border Stops - A teletype can beto INS Headquarters requesting an emergency INS stop. Inborder FBI Pffices may place stops with INS at a local levelCanadian and the Mexican borders. In order to handle suchstops these offices mhst be provided.with: identity; description;photograph, if available; approximate time subject expected and modeof travel. Emergencylstops should be placed selectively when all ofthe aboveitems are not available. In addition, when it becomesapparent these stops will extend beyond 90 days, an FD-315 should besent to INS, Washington, D.C.
*"*-*_n*_" " ""* !""Cancellation"
incumbent
FD-315 should also be7used toQ .
office to place and cancel stops. Theupon the requesting
amend or provide additional pertinentinformation developedon subject. In all cases the FD-315 should beused and the proper action is to be indicated. Stops are cancelledautomatically by INS at the end of the period indicated. Note: themaximum time an INS stop can be in effect by submission of an FD315 l..
lais five ! years. Iflno cancellation date is shown on the FD315,INS will place the stop for a maximum of one ! year. The requestingoffice should be on the alert to renew these stops if required.
ESFECTIVE: 05/25/90
_/~.
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Sensitive 92: e....r;
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Manual of Investigative Operations and Guidelines
Part II _ . _;k,u.@_=.; H A§_Ne _ PAGE 10 - 17
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EFFECTIVE: 04/08/96
10-B STORED WIRE AND ELECTRONIC COMMUNICATIONS AND
TRANSACTIONAL RECORDS ACCESS
Title 18, NSC, Section 2703, sets forth the procedural
requirements that the Oovernment.must meet in order rd obtain access
to electronic communications in storage and related transactional
records, including telephone toll records.
EFFECTIVE: 01/22/90 92
j Sensitivei
L PRINTED: U2/I3/98P
T ' ' D ' ' " "'-' " ,':,"" _'."-'."_-"-']',';_"f.Y?fF,.j§Q'-FE-{-_-1ii?g;f§f.fI§'§=i'{"4!-_'- t;PFT?;_'<i1->-"a~r-7'<»'7-F*§12'i----E--i--: 92- i
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Part II H», -1
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, _.-.7 - -H ,.- -_ _ _ _. -- ..l¢, e . -10-8.1 Contents of Electronic Communications in Electronic 1 'Storage"j L ' _ l _?= - e
,1,--t-.1, ;_,' _ _. The statute draws a distinction between contents ofoelectronic communications that have been in storage for 180 days or less, and those that have been stored for a longer period of time.This distinction is based on the belief that while the contents of amessage in storage should be protected by Fourth Amendment standards,as are the contents of a regularly mailed letter, to the extent thatthe record is kept beyond sis months, it is closer to a business -record maintained by a third party for its own benefit and, therefore,deserving of a lesserlstandard of protection. A distinction is also_ ,M . _.~. - 92 ,_ I . . . 92_... _ ._ e .. e _._-gs, .1..._{.._, .._._ _,1., a , ___. _ ._ M _ _ _ ,_92_ __ _ P; .__, ,____ ,._.. ; j._.. _ _ _ . - -_ -92 -»; - -_,~. --4-1,, " - -" ". '- _,;-, -. ' 1 = - A .» . ~w -. ,92 ,h»92 -92__¢ ;__' ' - ~ ~ r _ -- w, = .,-1 ' *_i - - - a ._,~ -l ,92 ; 2 Q -- -_.~,;=,- -=1! -1- .-, .1; ,_-P L . ._-'-n-_---»-i-i_-._.-t-_,_,__._.i_.__._...- _ n_.___ i.,_i&_,__g__ I ' >
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! 180 days or less - A governmental entity may requirethe disclosure by a provider of electronic communication service ofthe contents of an electronic communication that is in electronicstorage in an electronic communications system for 180 days or less,only pursuant to a warrant issued under the Federal Rules of CriminalProcedure or equivalent state warrant Title 18, USC, Section
2703 a!!.' l -
! More than 180 days - For contents of an electroniccommunication that has§been stored for more than 180 days, agovernmental entity may use any of three alternative means of access,depending on the notice given to the subscriber, or customer. Thegovernment may, without providing any notice to the subscriber, obtaina state or federal search warrant based upon probable cause Title 18,USC, Section 2703 b! l! A!!. If the government chooses to give noticeto the subscriber, it may obtain access to the records by using eithera grand jury, administrative, or trial subpoena authorized by afederal or state statute Title 18, USC, Section 2703 b! l! B! i!!, ora new statutory court order based uponlspecific and articulable_factsshowing that there arerreasonable grounds to believe that the contentsof stored electronic.communications are "relevant anb material to anongoing criminal investigation | Tit1e 18, USC, Section C2703 b! l! B! ii! and d!!. This92court order, like a court order fora pen register or trap and trace, may be obtained from a "court of i
competent jurisdiction":which includes "a district court of the UnitedStates including a_magistrate of such a court! or a United States-Court of Appeals." iThe1required notice may be delayed pursuant_tg ,Title 18, usc. Section 2705. ' " . -
! Contents of electronic communications in a remotecomputing service Access to the contents of electronic
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communications is goierned by Title 18, USC, Section 27Q3 b! and the
means of access avaibable are the same as those mentioned above for
communications stored for more than 180 days. However, it is unclear
whether communications stored in a remote computing service for less
than 180 days are-goerned by Title 18, USC, Section 2703 a!, that is,
that such communicatipns_can be obtained ONLY by a federal or state
search warrant based upon probable cause. The Department of Justice
has urged United States Attorneys to argue that government access to
the contents of an electronic communication held by'a remote computing
service does not require a search warrant during the first 180 days.I QueTtions relating tothis area should be directed tothe Investigative Law|Unit, FBIHQ h "92-
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10*8.2 Access to Transactional Information
iégg 5- ! Telephone Records| See MIOG, Part II,*" I 21-23 9!.!| .
. _ a! Criminal and Civil Matters Access to
: telephonelbillinglrecordsIand other transactional records not
including the contents of communications!|is governed by Title 18, p
USC, Section 2703.~ Specifically, the disclosure of]a record or other_
I information pertaining to a subscriber|to a governmental entity is
permitted only when the governmental entity:
92 |l.|obtains a warrant issued under the Federal
Rules of Criminal Procedure or equivalent state warrant;
i |2.|obtains a court order for such disclosure
under Title 18, USC, Section 2703 d!; or
i ,_|3. has the consent of the subscriber or
customer to such disc osure. 1
'7|In addition to these methods, an administrative subpoena authorized bya federal or state statute, or a federal or state grand jury, or trial
subpoena may be used to obtain basic subscriber information such as:
"the name, address, telephone toll billing records, telephone number
or other subscriber number or identity, and length of service of a
subscriber to or customer of such service and the types of services
the subscriber or customer utilize s!." Title 18, USC, Section
92 _ 1
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Part II , _~ _ ' PAGE 10' . < '
2703 =!! c!.] ' ~
The Department of Justice has, however, advised that it is a misuse of
the grand jury to utilize the grand-jury as an investigative aid inthe search for a fugitive in whose testimony the grand jury has no
interest. Therefore, grand jury subpoenas for witnesses or records,including telephoneIbillinglrecords, should not be requested infederal fugitive investigations. See Part II, Section-2-9.8, of thismanual for limited situations in which courts have recognized that
grand jury efforts tolocate a fugitive are proper.! Where the
telephoneIbilling|recprds being sought are those of a member of the
news media, approval of_the_§ttorney General;is_reguired. See MAOP,
'.s,5;Part iii Section 5-7.1 entitled "Investigations Involving Members of
the Hedia."! '
b! National Security Cases - See Foreign
Counterintelligence Manual,Ilntroduction,|Section|1.
c! Notification to Telephone Subscriber
Criminal and Civil Matters - Hany electronic
communication service providers of long distance telephone service
will automatically notify a subscriber that his/her records have been
released to law enforcement unless the SAC certifies that such
notification would prejudice an investigation. The certification
period is 90 days, after which many electronic communication service
providers will automatically notify the subscriber of the releasewithin five days unless there is a recertification. Each
recertification extends the nondisclosure period for an additional 90days. At the conclusion of the final recertification period, the
subscriber will, within five days, be notified of the record release.
Each SAC must ensure appropriate administrative devices are in effect
to provide for the initial certification where required and
recertification prior to the termination of the preceding 9O~day
period where a continuing need for nondisclosure exists. .
' , I
! |0n-line Computer Network Records _ -
a! Records of online electronic communications andelectronic mail e-mail! transmissions, when they reveal more than
basic subscriber records see Title 18, USC, Section 2703 l! c! C!
e.g., the named addressee, the topic of or the forum connected with
the communication, etc.!, are no longer available to law enforcementagencies pursuant to subpoena. Such information may be obtained onlythrough the use of a court order under Title 18, USC, Section 2703 d!,
a warrant, or the consent of the subscriber or customer Title 18,
i 'Sensitive'
- - PRINTED: 02/18/98 A _ 201
i
92
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Manual of Investigative Operations and Guidelines
Part II 2 i ' _ PAGE 10
USC, Section 2703 c!!L ' " ,
_ b! To obtain a 2703 d! court order, the application
must state "specific and articulable facts showing that there are
reasonable grounds to believe that the contents of, transactional
records of, or other information sought regarding stored electronic
communications are "relevant and material to an ongoing criminal
investigation."| 7
! Video Tape Rental or Sales Records
§m!id@=9__P1'ri£§$Y_.1i§¢Jl_e_a * . .
'9EiA¢t °f_l933_am@nd=Q_ ._ __,;_mir ,___ __ _Th I cti
Chapter 121 of Title l8 "Stored Wire and Electronic Communications and
Transactional Records Access" by adding a new section redesignation
of section 2710! governing the disclosure of video tape rental or
sales records. It makes the unauthorized disclosure of records by any
person engaged in the rental, sale, or delivery of prerecorded video
cassette tapes or similar audiovisual materials unlawful and provides
an exclusionary rule to prohibit personally identifiable information
otherwise obtained from being admissible as evidence in any court
proceeding.'
' a! The new section defines personally identifiable
information as "information which identifies a person as having
requested or obtained specific video material or services . . . ."
The disclosure of this92information to law enforcement is permitted
only when the law enforcement agency: a
1. Has the written consent of the customer; or
v
. I 2. obtains a warrant issued under the Federal
Rules of Criminal Procedure or equivalent State Warrant;
3. a grand jury subpoena;
4; a court order a court order.sha1l issue
only upon prior notice to the consumer/customer!.
b! The disclosure of merely the name, address, and
telephone number of customers of a video tape service provider, when
the information_being sought does not identify the customer as having
requested or obtained specific video materials or services, may be
made to law enforcement without compulsory process or the prior
opportunity to prohibit such disclosure by the customer.
This type of informatidn was specifically not included in the
Sensitive
» ' * PRINTED: 02/18/98. _ _ 70 Q-'!*~v-5""
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Manual of Investigative Operations and Guidelines
Part II - " . T E 5 PAGE 10~~ . ..;
definition_of "personally identifiable information" that type ofinformation protectedlby the Video Privacy Protection Act of 1988! toallow law enforcementlto obtain information about individuals during
routine investigations such as neighborhood investigations.
L .
- c! No separate disclosure procedure was provided
for National Security cases.
EFFECTIVE: 10/23/95 A
10-9 ELECTRONIC SURVEILLANCE ELSUR! PROCEDURES AND
REQUIREMENTS _
! Electronic surveillance is one of the most effective
and valuable investigative techniques utilized in both criminal and
national security investigative matters. To protect the use of this
technique, the administrative and management controls contained in
this section will receive the same meticulous oversight as does the
informant program. Unless otherwise noted, it will be the
responsibility of theicase Agent and his/her supervisor to ensure
compliance with these instructions. It should be clearly understood
that the use of electronic surveillance requires a! administrative or
judicial authorization prior to its use, and b! contact with the
field office ELSUR support employee to coordinate all necessary
recordkeeping, and c!Iconsultation with the Technical Advisor TA! or
a designated Technically Trained Agent TTA! to determine feasibility,
applicable technique, and the appropriate equipment. .
! "The procedures and requirements for ELSUR
recordkeeping, control of evidentiary-type materials, and approval for
use with regard to national security investigations are addressed in
the Foreign-Counterintelligence Manual.
I
EFFECTIVE: O4/24/B9
Sensitive
- PRINTED: 02/18/98
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10-9.1, Definitions - ~
! Electronic Surveillance - The aural or other
acquisition of the contents of any wire, electronic or oral c -
communication through the use of any electronic, mechanical or otherdevice Title 18, USC, Section 2510 et seq.!.
! ELSUR Indices - An alphanumerical index card systemmaintained at FBIHQ and each appropriate FBI field office containing
the names of all individuals or entities, all locations and allfacilities for which electronic surveillance has been sought by theFBI in a court order. It also identifies those individuals who have2?n _ _
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course of an FBI electronic surveillance, and those who own, lease,license, or otherwise hold a possessory interest in property subjected
to an electronic surveillance conducted by the FBI.
! ELSUR Cards - 3x5-inch cards which comprise the
ELSUR indices. '
! Principal Cards 3x-5-inch cards maintained in the
ELSUR indices containing the true name or bestknown name of all named
interceptees identified in any application filed in support of courtauthorized Title III electronic surveillance.! See 10-9.12!.!
1
! Proprietary Interest Cards - 3-x*5-inch cards
maintained in the ELSUR indices identifying the entity s! and
individual s! who own, lease, license, or otherwise hold a possessoryinterest in locations subjected to electronic surveillance authorized
under Title III. - '
' ! Overhear Cards - 3-x5-inch cards maintained in the
ELSUR indices containing the true name or bestknown name of
individuals including non-U.S. persons, Special Agents, assets,informants, cooperating witnesses, etc.! who have been reasonablyidentified by a first name or initial and_a last name as having-
participated in conversations intercepted during the conducting of anelectronic surveillance. See l0*9.l0 and 10-10 for further details.!
-
! Blue ELSUR Index Cards - 3-x-5-inch cards, blue incolor, used for preparing Principal, Proprietary Interest and Overhearcards in Title III matters. All ELSUR cards relating to Title III are
blue in color. 1 _ "
- 8! White ELSUR Index Cards - 3-x-5-inch cards, white incolor, used for preparing Overhear cards in consensual monitoring92
Sens 1-. t ive_ _ _
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Part II ,. - - PAGE 10
_ I .;" - 3 ; '
matters. ,
9! "Source - With regard to ELSUR matters, the word
"source" refers to the technique microphone, telephone, body
recorders, etc.! employed to conduct the electronic surveillance. In
Title III matters, the "source" is the control number assigned; and in
consensual monitoring]matters, the "source" will be the control number
assigned or the word "consensual."92
0! Title III Electronic Surveillance - The aural or
other acquisition of the contents of any wire,-electronic or oral
cpmmunicatieggpursuant to a court order obtained under the provisions
:' ~. ,
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of the Omnibus Crimeiohtrol anduSafe_StreetsWKct of_l968 Title_13:
USC, Section 2510 et Qeq.! for offenses set forth in Title 18, USC,
Section 2516.
ll! Consensual Monitoring r The interception by an
electronic device of any wire or oral communication wherein one of the
parties to the conversation has given prior consent to such monitoring
and/or recording. I
EFFECTIVE: 04/24/39
l09.2 Instructions for Maintaining ELSUR Indices
" ! The FBI has an obligation to totally retrieve the
authority, contents and resulting use of material acquired regarding
all persons targeted, monitored, or who otherwise hold a possessory
interest in property subjected to electronic surveillance by this_
Bureau. In order to fulfill this obligation, it is the responsibility
of each field office to comply with these instructions so that any
electronic surveillance can be recalled from the files of the FBI.
- l v
_ ' ! Indexing procedures in ELSUR matters,will be the same
as those set forth in the "Index_Guide" which is available in each
field office through the File Assistant/ELSUR support employee. All_
offices utilizing electronic surveillances will maintain one ELSUR
index and prepare two copies of the appropriatetype ELSUR card, one
for forwarding to FBIHQ and one for inclusion in the field office
ELSUR indices. Each card filed in the field office ELSUR indices will
be date-stamped to reflect the month, day and year the card was filed.
Cards prepared in the name of an individual will be filed in
alphabetical order according to the last name. Names of businesses,
organizations, etc., will also be filed in alphabetical order.
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Part 11 r "@» ."¢> -92 ""'- 1 r J u PAGE 10. . I. . ____ ,_ _. . _ .I-,. . .
Proprietary Interestjcards cross-referencing telephone and vehicle '
identification numbers will be filed inta separate section within the
ELSUR indices in numerical order_according to the last three digits of
the number._ Should the last three digits be identical with any
already in file, prodeed to the next digit to the left. Addresses
will be filed according to the name of the street; numbered streets
will be spelled out, and in both cases will be filed in alphabetical
order in a separate section within the ELSUR indices. In the event an
address contains two street names, an appropriate card will be made
for filing by each street name.
l3!. The EL§URWinQices_will'be maintained in_a_segu ly_
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locked cabinet and will operate exclusively under the supervision of
the field office ELSUR coordinator or the support employee designated
to assist the coordinator. Access to the ELSUR index must be
restricted to an absolute need-to-know basis. t
! In the event any ELSUR index card within the ELSUR
indices in any given field_division is classified according to
existing Executive order instructions to protect information involving
national security, the ELSUR index of that field division must be
classified at the level of the highest classification of any material
contained therein. Any information retrieved as a result of a search
of the ELSUR index must be reviewed for proper classification prior to
internal FBI dissemination and/or subsequent release.
! The assistant ELSUR coordinator will conduct an
annual review of the ELSUR indices to locate and correct misfiled
cards, duplications, and subsequent overhears. Particular attention
will be given to Proprietary Interest cards and Principal cards to
ensure each item is complete where necessary. As_this review is
completed, an index card will be inserted at the front of each drawer
within the index and will show the date the review was completed and
the initials of the employee who conducted the review.
1 i
0
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Manual of Investigative Operations and Guidelines
Part II l . - " '
10r9.3 y Requests for ELSUR Checks
! 'Uponsubmitting a request to FBIHQ for
surveillance indices check, it is necessary to indicate
request the reason why the information is being sought,
- whether the sought after ELSUR information will be used
preparation of a Title III affidavit, for an investigat
for other purposes. 'PAGE 10
an electronic
in each _
such as
for
ive lead, or
! Field office personnel handling ELSUR checks should
_ also note that per U.S. Attorney's Manual, Title 9, Sec tion 9-7.000,all requests for search of electronic surveillance records under a. 1 5;?-
:'?'="@$.-FYmné, _~_§-.-. .1
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26 s ~ss. 1-; -:_, ; 5!-'._:.. ,. .,,:,._
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!il defense claim pursuant to Title 13, USC, Section 3504, or Federal 1
Rules of Criminal Procedure, Rule 16, or for other tria1-relatedreasons, must be directed by the Government trial attorney to the 'Department of Justice, Criminal Division, Attention: |Legal Su! or HUnit, Office of Enforcement Operations,ITe1ephone Number FTS
" e All assertions on behalf of the United States must be made by
Attorney General or Attorney General's designee. In the event a
be advised of the instructions referred to above in the
Attorney's Manual. 1 s ' -
EFFECTIVE: 04/18/85
10-9.4 " ELSUR Searching Procedures _Government trial attorney requests an ELSUR check, the attorney should
U.S.
1 l! In connection with White House inquiries, requestsunder the Freedom of Information/Privacy Acts FOIPA!, discovery
motions, U.S. DistrictCourt orders, and other lawful motions
emanating from the courts, the Department of Justice directs inquiries
to FBIHQ regarding possible electronic surveillance coverage of
witnesses, defendants, or attorneys involved in Federal courtproceedings. In order92to_accurately respond to such requests, field
offices receiving instructions from FBIHQ to conduct a search of theELSUR index and general office indices should search the name as
shown, as well as aliases, variations in.spel1ing, combinations and
contractions, the extent of which is determined by the searching _ »employee. All combinations searched must be shown on the incoming
communication or an attached search slip so that the extent of the -1index search is readily apparent. '
,1 :2 -_-_
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. »="= . ¢_-f; >¢'~'i, PRINTED: 02/18/98f,, ,_@; r ~}" ** tintercepted by electronic surveillance may frame a request under the
»is- ! An individual who has been party to a conversationb0!a
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Part II ; '. _ PAGE 10
FOIPA to include a search of the ELSUR indices. Such would require
close coordination between FBIHQ and the field division which may have
submitted ELSUR indices cards identifiable with the requester.
! This process of coordination-will generally be
initiated by an FOIPA*Section airtel to the appropriate field division
when the FOIPA request is received for processing. This airtel will
request review of field office ELSUR records to determine if the '
individual monitored is identical to the requester and if there are
additional instances of monitoring. FBIHQ ELSUR Index may not have
previously alerted the FOIPA Section that the individual was monitoredin a consensual or Title III electronic surveillance investigation.
! Where the overhear is recent in date, it is possible
that the consensual electronic surveillance in question relates to a
pending investigation or a covert operation not yet disclosed. The
pending character of this investigative matter would not be evident
from the FBIHQ ELSUR Index records. This pending status governs FOIPA
Section processing of the ELSUR request and the FOIPA Section must be
made aware of the status to ensure that the fact of an overhear will
not be prematurely disclosed to the requester.
! Therefore, in responding to an FOIPA Section airtel
relating to consensuat monitoring ELSURs, the field division should
always advise if the SLSUR coverage in question is still pending or a
covert operation not yet disclosed. '
_ ! The ELSUR index should also be searched for any I
telephone numbers and addresses provided in the departmental request.
All indicated files resulting from the search should be thoroughly
reviewed for information relative to electronic surveillance.
EFFECTIVE: 04/18/B5
109.5 Transmitting ELSUR Material to FBIHQ '
! ELSUR index cards will be submitted, utilizing Form
FD664. This is a preprinted form directed to the ELSUR Index at
FBIHQ. FD-664 requires92the submitting field office to fill in blanks
on the FD-664 reflecting the exact number of index cards submitted,
the exact field officeicase title and file number and the technique
utilized for the ELSUR. An inventory is required on the FD-664 . '
indicating the identity of the ELSUR index cards submitted; therefore,
list the name s!, entity s!, address s!, telephone number s!,.and
Sensitive' PRINTED: O2/18/98 - -. 27<
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Hanual of Investigative Operations and Guidelines
Part II .lI-.' -~ Y l ~ f~ I = - PAGE 10. »
vehicle identificatidn number s! indexed on the top line of each card
enclosed. Lengthy submissions may be reflected by addenda to the form.
Further, the FD-664 may be utilized for noncriminal matters. If
utilized for noncriminal matters, the proper classification should be
affixed to the form.§ The original and one copy of the FD-664, as well
as accompanying enclosures, will be inserted in a plain brown
envelope, sealed andlclearly marked: '
_ Director, FBI
ELSUR Index -
FBIHQ- 28- . "R1 H = - .aw -=-------_-i--<-WW~.s-_--i-__f;i__'_ s_'_..___ . _______-.cnt H __ _ _ mun. ;.-___ _ _. _* _n._____ _ __.__._.._
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! Unless instructed to the contrary, responses to ELSUR
surveys and related correspondence will be transmitted to the Bureau
by airtel to: Director, FBI, Attention: ELSUR Index. This airtel
should be entitled "ELSUR." The original and one copy of the
transmittal airtel as92well as accompanying enclosures will be inserted
in a plain brown_envelope sealed and clearly marked: Director, FBI,
ELSUR Index, FBIHQ. This airtel will be submitted to reach the Bureau
within the time frame;allotted the specific type of material being
forwarded and within Bureau deadline.
! When a court-ordered surveillance is authorized,
installed, extended, or when a noncriminal matter installation is made
or approved, an FD664 should be submitted to FBIHQ. This does not
preclude submission of'a teletype or other expeditious communication
to the appropriate substantive investigative section in criminal or
noncriminal matters pertaining to emergency authorizations of both
courtordered or noncourt-ordered matters. All communications should
be classified according to material contained within-the
communication. All communications should contain the field office case
title and complete file number. Any communications concerning
expeditious authorization and/or installation should contain also the
name s! of target s!, address s! telephone number s!,*source number of
the installation or consensual monitoring number and dates of.
authorization, installation, extension and expected termination.
nrrscrxvs: 06/18/87 *
2.1;;Sensitive ' i?
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Manual of Investi ative O erations and Guidelines . s , P _ _ _ _ -~ - , - ,Part II i*?;- ¢P_ ,_jP ¢»?Tj" ¢:';;';:'i$;-, "1 Q x? PAGE 10 A,5 x» - A ' - - - - . Ii; _< _ ']7vJ|>y;::; -. ..:¢,, '~g__.- L.'¢ 1 iJ - " -~"v",=, - .5'.* m.:M ~"I . ' ;*F¢ "' rst 1 1I _ p ., y g, U 1, _ _f ..%10-9.6 O Retention of ELSUR Files and Related Record¬¬§7i fflb 5= . ,.-»1- 1 . "- ' " '* ; "
' p On January 10, 1980, Judge Harold H. Greene, U.S. District
Court, District of Columbia, issued a preliminary injunction to ;
suspend all records destruction programs. Since that time, this order
has been modified somewhat; however, these modifications did not
include ELSUR materials. Until otherwise advised by FBIHQ, all -'
originals and copies of original tapes, logs, transcripts, records,
files and communications reflecting any ELSUR information relating to
Title III matters, criminal intelligence matters and consensual
monitoring matters will be retained. ', , ,- -. "I - 4. = ' 1'1 - Q - ";.;-_l ,. - _ - w-_:_' ,. .-~ .1. _- ._ .- _ ~ .., -. --1 " 1' = - - -- F P -. .- "'-~=-*'_':.~+ --1 * ~ 1.--=1;-*5-1-:.¢=:1*:s1<1:=,,. -71- . _ - __--_-.-_-i_1_;_.__.. .,___. .._--.. -. u: '_ a _. . _. . r . _ . . a._......._92.._,.:. ., _+__;--1---'-¢-5:»--. -*2, . _ V , _,. . - _ _- . _ -. , I _ 4.7 _ ,,_ _ _ , T _._ _,"92 - J,-,_¢.,,;~f __.-,,', .,,;_¢:>|:!§,;:,§ ,,.,,..,:YE.P.;'._.5. F, , , . . ,1. . .
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EFFECTIVE: O6/18/37
10-9.1 |Marking|File Cover Hstsun"
' To ensure certain files are retained beyond the
established file destmuction period,|a check mark will be placed on
the ELSUR line or "ELSUR" will be stamped on the case file covers of
those files containing the "results" or the "products? of electronic
surveillance|on every current, every preceding, every subsequent andevery,Sub volume to the file even though the product of the electronic
surveillance may have been taken from another file or furnished by
another office. -
EFFECTIVE: 12/10/93
'10-9.8 Preservation of Original Tape Recordings See MIOG, Part
11, 10-9.s.1!, 10-10.5.1! =!; LHBSA, 7-14; FCIH, e g1 Introduction, l-2.6.30!.! l .n{* i
All original criminal ELSUR-taped recordings will be
placed in an FD§04 Chain_of Custody - Original Tape Recording ' ~Envelope!, sealed and retained in a modified steel wardrobe-type 1
cabinet, security-approved container, or metal file cabinet equipped _ _with a bar-lock device, hasp or other security-approved lock unless,
under Title III, the authorizing judge has directed to the contrary.
These cabinets are to be housed in a limited or restricted access
location to ensure against unauthorized access in order to overcome
any claim that the ELSOR tape was altered or distorted while in the _ _
' ' - ,3..». - ~ '1. -- - , ' .<_-.. "' =. .-.1.., . .._ , -_ .., _.,,. - A -, _.- -_ _". a--1'» .a,_ L ..I .. tr "- _ ~ , __ !. . .r ,-,_.__ _ , _.' -.1; :1:-__ .. . -1% ."-.'- "_l1f.I'£!.
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Part II ' i. 1 " _ s " . PAGE 10. - ,4 _ . ,_ . _|. _ 92 :
possession of the FBI and to assure the chain of custody. See 10-9.6
for current rules regarding the retention of taped recordings. In
matters involving national security refer to the Foreign A
Counterintelligence Nanual for instructions regarding the handling of
national security taped recordings.! _
.' r
EFFECTIVE: 12/21/94 i
10-9.8.1~e_WFDv5O4_ Chain_of Custody-r Original Tape Recording__ 1. V_ . ."9."-. .
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1! ALL priginal tape recordings including closed
circuit television recordings! maintained as a part of a permanent
record of the FBI, as;well as those sealed by the U.S. District Judge,
should be placed in an FDPSO4 enve1ope,[maintained as evidence,|and
stored as instructed above in Section 10-9.8 of this manual.
_ ! The procedures for filling out the FD"504 are as
follows: _ '
a! File Number - Enter the substantive case file
number to which the tape recording relates-and include the
lB| Evidence!|number.
' ' " b! Tape Number Enter the sequential number given
the tape recording enclosed. A
_ c! Agent Supervising Interception Enter the name
of the Agent or other Bureau employee! who removes the tape from the
recording device after the recording is made; or who first receives
custody of the original tape after the recording is made and the tape
is being surrendered for retention. .- '
92 . -
- d! ;Title III Court0rder or PISA Court-Order
Control Number: Mark appropriate space to indicate if the ELSUR is '
authorized under Title III or under the Foreign Intelligence
Surveillance Act PISA! of 1978, and enter the control/symbol number
assigned. - .g.i . - _ r.H~ p ' "'
' _ e! C0nsensua1'ELSURs - Mark appropriate box to
indicate Consensual Monitoring CM! telephone or nontelephone and any
CH number assigned. .
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Hanual of Investigative Operations and Guidelines
Part II ; _ ;: w a" PAGE 10
l v f! iln instances wherein the original tape recording Genclosed in an FD504;enve1ope is not a court-ordered or consensual
ELSUR, mark the appropriate box to identify the origin of the tape
enclosed, i;e., Volunteered Tape-Not FBI ELSUR; Interview; other!.
_ ' ; s g! Interception: Date and Place - Enter date and
place city/town and state! where intercept occurred.
h! Tape Removed From Equipment - Enter date and
time the tape was removed from the recording device.-92.
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Enter "See_Log" for all courtrordered ELSURs those authorized under
Title III and under the FISA of 1973!. For warrantless ELSURs
Consensual Monitoring! enter the true name or best known name of ALL
individuals including the consenting party! identified as having been
overheard. ~
L .
' CHAIN OF CUSTQDY
j! Accepted Custody " Signature of the first person
accepting custody of the recording Agent supervising the intercept
and/or any others taking custody of the contents of the FD-504!.
k! Released Custody - The released custody column
should show the signature of the last person accepting custody and
then releasing custody to the next person. The last name exhibited as
accepting custody would normally be the individual that places the
evidence in the tape storage facility and thus releases custody, by
signature, to the tape92storage facility for permanent storage. See
Title III Section of the ELSUR Working Guide, page 44!.
! In sealing the FD-504 envelope, the flap should be
moistened, then sealed. The date the envelope is sealed and the a
initials of the employee sealing the envelope should be affixed on the
flap at the point where the end of the flap meets the envelope.
Yellow transparent preprinted "evidence tape" should then be placedatop the seam of the flap and overlapping to the other side of_each
edge of the envelope. as shown in the Title III Section of the ELSUR =Working Guide, pages 44 and 45; 92_ ' v " I
' 92 _ 92 - ,'~' p .
! In those situations involving interoffice travel and
ELSUR usage, i.e., body recorder, ensure original recordings are
entered into chain of custody as|evidenceIwithin|lO|days of the
receipt of the recordiz, as required in the Hanual of Administrative
Operations and Procedures. Part II, Section|2-4.4.4.] All original
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Hanual of Investigative Operations and Guidelines .-Part 11, ' .g _i' |i= - - F i . PAGE 10 4 32 "
tapes are to remain in the field office where first entered as ~ -
evidence.| If tapes are entered into the recordkeeping system of thehost office the office wherein the tape was made!, the recordings-will remain in the custody of the host office. ELSUR indexing will be.done by the office where the tape recordings are entered as[evidence,|
and, if appropriate, host office copies of the recordings will be made
and forwarded to other concerned field offices by the custodial 'offices. ' - '
--g ! If, during the conduct of an ELSUR, the recordingdevice fails to operate or malfunctions and the tape is found to be.<_;,,.
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<
EFFECTIVE: 10/16/96
10-9.9 Recordkeeping Procedures for ELSUR Information Generated
Through Joint FBI Operations
! In joint FBI operations with other Federal, state andlocal law enforcement agencies wherein electronic survei1lance,is
conducted through a Title III installation, the agency which prepares
the affidavit, application and order seeking the authority will assume
all responsibility for ELSUR indexing and recordkeeping. The fact
that the investigation is a joint operation will be stated in the
affidavit and application for the court order and will specify which
agency is lending support to the other.
! Accordingly, if an outside law enforcement agency .
prepares the affidavits application, and order in a Title III criminalmatter in which the FBI is lending investigative support, that agency
is responsible for thenproper maintenance of all transcripts and tapes
resulting from the Title III installation. In such case, that agency
is also responsible for the preparation of electronic surveillance
index cards and none would be prepared for inclusion in the FBI electronic surveillance indices. I _ ~
. l y
! With regard to consensual monitoring, the agency that
obtains authorization for consensual monitoring will assume all
responsibility for thelnecessary ELSUR indexing and recordkeeping.
See 10-10.2 or 10-10.3.-e?~i'-
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EFFECTIVE: 10/1s/as -,l , Va .- . . - r - ~
- Zi1O9.1O ElectroniciSurveillance - Title III Criminal Matters L._ See MIOG, Part I, 9-7.2; Part 11, 10-3, 109.1! s v. 10-10.9.1 ! b!.! ,
' -An FD-669, Checklist~Title III Criminal Matters!-form, isto be executed, serialized and retained in a separate sublettered fileto the case file; 0ne;form is to be prepared for each applicationfiled in each investig ion. Ever tem_conta: §§_ther§9n_j tp_
number of the communication prepared that ensures the requirement hasbeen met. , _ '
! Title III of the Omnibus Crime Control and SafeStreets Act of 1968 Title 18, USC, Sections 251O~2521! provides alegislative basis with carefully constructed controls, requirements,and limitations for the judicial authorization of electronic .surveillance techniqueslin certain major violations, including, butnot limited to: C
a! Organized crime activities such as certaingambling offenses, racketeering, extortionate credit transactions anduse of interstate commerce facilities in the commission of murder for' hire;
b! Murder, kidnapping, robbery or extortionprosecutable under Title 18, U.S. Code; -
' c! Presidential assassination, kidnapping, orassault; " . " '
I d! Obstruction of justice; mlrmnmmlnowcormmzn _- C - mmmnumunmwg, e! Interference with interstate commerce by DmEa434ggLBcg¥§J;$§iS&;violence or threats of violence; I =. _ .' f!- Interstate transportation of stolen property,theft from interstate shipment, and interstate travel to incite ariot; 1 , i _
92
g! Espionage, sabotage, treason and the illegalWW acquisition or disclosure of atomic energy information; See !.! - ¢w1X - - .---» :1'_.--,-3.3:, -- _ . : :,f=:»- ~ ' - l .3. . -= ;-*' '1 , 5,1 -.-!§' 92 - ,1}
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. . -
Hanual of Investigative Operations and Guidelines
Part II j
7 ' h! Sexual exploitation Of children; . -" ~
A' i! Interstate transportation or receipt of stolen
vehicles;A .
j! Hostage taking;
k! Hail fraud; _
! fugitive from justice from an offense describedin Title 18, USC, Section 2516!;» T _.,
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--,:r_ :-»;e-. . :.tT.,_:;;' m! Certain firearms violations;
n!
!
listing of applicableObscenity; _
See Title 18, USC, Section 2516, for a complete
violations.
! With respect to the types of investigations listed in
item g! above, which might be the act of an agent of a foreign power,
consideration should be given to obtaining electronic surveillance
according to the Provisions of the Foreign Intelligence Surveillance
Act of 1978 PISA! Title 50, USC, Section 1801 ET SEQ.!.- It is
generally accepted that the provisions of FISA afford greater security
to the government's case, as there are detailed security precautions
-incorporated into the entire process. While obtaining electronic
surveillance pursuant to FISA may be more.difficu1t than a Title III
surveillance in those instances where foreign powers may be involved,
it should be the preferred method. If electronic surveillance
pursuant to FISA is determined to be the preferred method in a
particular investigation, concurrence of the USA is not required, asthis function will be coordinated by FBIHQ with the appropriate ~Department of Justice office. See National Foreign Intelligence
Program Manual, Appendix 4-l.2,_for procedures in obtaining a FISA
court order.! -
- ! Title III Applications - approval Levels
" ' a! The initial phase in the stringent *@ _,.administrative approvalqprocess of Title III applications comences at
the field level with the review and approval of the Title III' -Y
affidavit by field office supervisory personnel, the Chief Division
Counsel CDC! and the concurrence of the respective USA or Strikeiii I Force Attorney. |Review1by the CDC must be documented by completingthe "CDC Title III Log/Checklist" for submission along with the
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tiye Operations and Guidelines i _ i >
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Part II- 'bn:a' ll._.. __ 3. _
.|haffidavit to FBIHQ.
familiar with the statutory and procedural requirements for electronic
surveillance, and must be consulted whenever a Title III is being-considered. ; .j - i . A ' i " 'I The CDC in each field office 18 completely I £m:~
b! FBIHQ s responsibilities towards requests for
courtrordered electronic surveillances are that of case supervision
and executive approval. With regard to executive approval, the s
management level at which requests forTitle III electronic I
surveillances can be approved is dependent upon the circumstances
surrounding the request. FBIHQ has recognized seven specific
situations that have been characterized-as "sensitive issues." The.krJ_Ef. - .i,, .§;;¢.: . .h _H,_, iPAGE _1Oi_ 35-;
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approval of|a Deputy|Assistant|Director or higher from the Criminal
Investigative Division CID! or National Security Division NSD! as
appropriate:| -
1. applications requesting Title III
interceptions based upon "relaxed specificity" i.e., applications in
which the requirement to specify those facilities from which, or the
place where, the communication is to be intercepted has been
eliminated--so calledi"roving" interceptions! under provisions of
Title 18, USC, Section 25181! a! and b!;
" 2. situations involving significant privilege
issues or First Amendment concerns e.g., attorney-client privilege or
other privileged conversations, or interception of news media
representatives!;
- 3. situations involving significant privacy
concerns e.g., interceptions of conversations in a bedroom or
bathroom, etc.!;-
' 4. applications concerning Domestic Terrorism,
International Terrorism, or Espionage cases;
T . 1 5. in any other situation deemed appropriate by
either the Assistant Director, CID, or Assistant Director, NSD.
TWO ! instances require the approval of the Director
Directoriwhen conducting sensitive Title III
. _ ._ U _ .The following
or the Acting
applications:
1. "emergency" Title III interceptions i.e.,
interceptions conducted prior to judicial approval under provisions
found in Title 18, USC, Section 2518!!;-. 92 J 92l.,;'i;.3 ';::;§i'~'. :.>7{>-§r ._,,.<;1..'z »..-1-1-,_::;;_
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Manual of Investigative Operations and Guidelines
Part II , = PAGE 10 - 36
D 2. the anticipated interception of I
conversations of members of Congress, federal judges, highrlevel
federal officials; and high~level'state executives and members of a
state judiciary or legislature. -
ALL requests for electronic surveillance which involve one of the
above "sensitive issues" must be reviewed by the Office of the General
Counsel OGC! prior to approval. . i
NONSENSITIVE Title ILI applications for electronic surveillance of
wire and oralcommongcatighgwagdkggmgictronic communications NOT"" rw*r*WWinvolving{digfE§§%displa§r§aginggdeviceslmay-be approved at the aW ~v~ ~
appropriate FKIEQ Section Chief level in the CID.
lI Title III applications for authorization to intercept electronic -
communications over afdigital display pagefjdo NOT require FBIHQ
review and approval, but may proceed with SAC approval. See MIOG,
Part II, 10-1O.11.1! b!.! ' ,
::gE In any instance wherelthere are legal questions/concerns that cannot
"* be resolved through discussions with reviewing officials at the
Department of Justiceg CID supervisors and/or executives will forward
applications involving such issues to OGC for their review, advice and
recommendations. 1f
c! Thereafter, with the approval of the Attorney
General, or Attorney General's designee, the USA or the Strike Force
Attorney shall apply to a federal judge of a competent jurisdiction
for a court order authorizing the interception of communications
relating to the specified offenses listed in Title III Title 18, USC,
Section 2516!. Judicial control, however, does not cease with the
signing of a court order authorizing the interception of
communications but continues into the operational phase of the
electronic surveillance--installation, monitoring, transcribing and
handling of tapes. Ih addition, a cover electronic communication is
to be sent to FBIHQ with a copy of each periodic report prepared for
the prosecuting attorney and filed with the court. This report is to
be submitted to FBIHQ1the same day or next workday after the periodic
report is filed with the court.
r Q _ d! !An EXTENSION order may be sought to continue
monitoring beyond theiinitial 30-day period without a lapse in time._ When_a break in coverage has occurred, a RENEWAL order may be sought
.:Qg to continue monitoring the same interceptees or facilities identifiedgégé in the original authorization. The affidavit and application in
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support of an extension or renewal must comply with the same ' srequirements as an original Title III application, including approval
of the Attorney General or designee. - '
Except as explained below, extensions and renewals which occur within30 days of the original Title III order do NOT require review by
FBIHQ. .A£ter_a lapse of more than 30 days, DOJ requires review by
FBIHQ and a memorandum requesting renewed electronic surveillance.
There may be situations when particularly unusual circumstances
dictate that the FBI adopt an already existing Title III from another* federal law enforcemdnt agency. Such a procedure will be approved on *
a caserbyrcase basis, and only in exceptional circumstances.
»aaYMoreover,~beforethe4FBI~begins~or~adopts"the~administrationofa * arr - " 4
Title III pursuant to a court order, the field must obtain FBIHQ
approval. Therefore, extensions and renewals within 30 days do NOT
require FBIHQ approval ONLY if the Title III in question has already
been approved by FBIHQ. In order to ensure compliance with the
statutory and procedural requirements, it is imperative that Chief 7
Division Counsel be consulted whenever electronic surveillance is CST; ' contemplated. i
'v§ - ! It is essential that the requirements_set forth in
Title 18, USC, Section 2518, be followed meticulously in the
preparation of a Title III application. In addition, it is essential
that the following points be covered: '
a! That the probable cause is current;
b! That definite grounds have been established for
certifying that normal investigative procedures have been tried and
failed or demonstrating why these procedures appear to be unlikely to I
succeed or would be too dangerous if tried the courts have made clear
that the use of "boilerplate" statements in this respect are
unacceptable!;
c! An attempt has been made to identify the
subscriber to the telephone on which coverage is sbught, if the name
is not that of one of the principals; .
d! That minimization will ge assured, especiall. 1 <--mnrpr-*4""'.I.i"-.»-4 i%%'*-,1.- ' M1,.-=1 ,=when the coverage involves a_§Eblic_telepho %*booth:§@r§st§br5n%i; utable or the like I ~va* @" ¢¥§%§$@**# t?asssaunw¥@ ~- i9, 9 I. , 92 1 _ _ '~- ....::.f-pf ~ -1 *»
e! That the premises to be covered are described iZ:% fully, including a diagram, if possible, in requests for microphone;Q§;' installations although no surreptitious entries are to beconducted
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for the purpose of obtaining such data!, see 10-9.l0! below!;
f! That upon consideration of preparing an
affidavit for coverage under Title III, the field office forward an
electronic communication to FBIHQ, under.case caption, setting forth
by separate subheading the SYNOPSIS OF OVERALL INVESTIGATION, PRIORITY
OF THE INVESTIGATION WITHIN THE DIVISION, ANTICIPATED MANPOWER
REQUIREMENTS AND WHATTOUTSIDE SUPPORT, IF ANY, WILL BE NEEDED, a
SYNOPSIS OF PROBABLE CAUSE JUSTIFYING TITLE III APPLICATION, the
PROSECUTIVE OPINION of the U.S. Attorney, and CHARACTERIZATION OF THE
INTERCEPTEES; . I _ .
It'-n
1.
:1 '.{:.!,': g! That a request for an ELSUR search of all office
records be submitted, in writing, to the office ELSUR File Assistant
EFA! within 45 days prior to the submission of the affidavit to
FBIHQ. The request should identify the substantive case title, to '
include the violation had field office file number. It should state
the request is being submitted in anticipation of Title III ELSUR
coverage and list the following: ! person s!, ! facility s!, !
p1ace s! and, if appropriate, ! vehicle identification number s!,
etc., under consideration in order to identify prior applications.
The EFA will conduct alsearch of the ELSUR Automated Records System
EARS! database requesting "all office records." Only the Principal,
Proprietary Interest, and Intercept records contained in the EARS
database, which relateto unclassified criminal matters, should be
printed in their entirety, attached to the search request, and
furnished the requestor. No information relating to court-ordered
ELSURs conducted pursuant to the Foreign Intelligence Surveillance Act
or information relating to consensual monitorings conducted pursuant
to Attorney General Guidelines for FBI Foreign Intelligence .
Collections and Foreign Counterintelligence Investigations should beprinted or provided to the requestor. It is the responsibility of the
requestor in the office seeking a new court order to follow up the
results of the search. ,Contact must be made with those offices
identified as having filed previous applications to the court to
obtain facts required for inclusion in the affidavit being prepared.
h! Where extension orders are sought naming NEW
person s! principals/targets!, facility s! or place s!, an ELSURsearch must be conducted on the newly added principals/targets, prior
to submission of the extension affidavit to the DOJ. Where extension
orders are sought naming the same principals/targets, facilities, or
places specified in the initial affidavit submitted to FBIHQ, a
"recheck" of the EARS will be conducted for the purpose of updating
the_search. The "recheck" will be conducted for all extensions sought90 days following the filing of the initial application. p
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i! Requests for ELSUR searches which relate toTitle 21, USC violatons, must be searched through the Drug
Enforcement Administration DEA!, Washington, D.C. This will be
accomplished by the FBIHQ ELSUR index for all search requests which _relate to 245 violatihnsr The need-for an ELSUR search of the DEA
records for any othervio1ation must be specifically requested through
the office EFA at the time the ELSUR search request is submitted. All
pre-Title III ELSUR searches conducted will be transmitted to FBIHQ
ELSUR index automatically via the EARS. Headquarters will forward the
request to the DEA, Washington, D.C., and provide a response to the
requesting office. Appropriate documentation confirming the conductmtg." v
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_ of"all pre-Title-TTI"searchesfmustrbeseriali;ed"and"fr1edrinrthe "r
substantive case file or the corresponding ELSUR subfile to the case
file. Documentation may be in the form of an electronic
communication, teletype, or search slip. Requests for a search of the
ELSUR index received from any outside agency or department are to bereferred to the ELSUR1subunit at FBIHQ. ' g
! See Title 18, USC, Section 2518 for a complete
listing of the statutory requirements procedure for interception of
Title III!;
! Where it is necessary, prior to issuance of a courtorder, to survey property or premises to determine the feasibility of
installation of wire or oral communication intercepting devices, or
other electronic surveillance devices such as beepers and closed
circuit television cameras, the survey shall not exceed lawful
activity, i.e., no entry or other intrusion into an area where a
reasonable expectation of privacy exists may be made absent consent of
the proper party. See ! e! above.!
! In matters involving the use of Closed CircuitTelevision CCTV! in conjunction with a Title III electronic
surveillance, refer also to Part II, Section 10-10.1 & 10-10.9 of this
manual. I ' 92
4
I _ 8! Roving Interceptions. One of the most significant
additions to Title 18, USC, Section 2518 brought about by the I
Electronic Communications Privacy Act of 1986 concerns the specificity
required in the description of the place where, or the telephone over
which, electronic surveillance is to be conducted. The original law
required that the application for, and the order authorizing, an
electronic_surveillance request indicate the "particular" facility or
place in which the interception was to occur. The new law contains an
exception to the particularity requirement and, in effect, allows an
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Hanual of Investigative Operations and Guidelines
Part II l x _ PAGE 10
interception order toitarget a specific person rather than the
specific telephone oripremises that person might use. The amendments
establish two similartrules to govern the interception of "oral
communications" and "wire or electronic communications" where the
target facility need not be identified with specificity before the
interception order is obtained Title-18, USC, Section 25l8 ll!!.
/ a! With respect to "oral communications," theapplication must contain a full and complete statement as to why the
ordinary specification requirements are not practical. The i
application must also identify the person committing the offense and
whose communications are to be intercepted. The judge must then make.gi':9£'-g - *
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- 40
anspeeirie finding tH§f_th¬4EfdiEary specification rule? af¬_H3t
practical under the circumstances Title 18, USC, Section
25l8 ll! a!!. Examples of situations where ordinary specificationrules would not be practical include cases in whichsnspgstgéggtginp3t§ingE1OtBiOf§fiélsofhove ffaoglroom»to?hbf¬P$T65myInf§5§'aw ..e-.$ :?+ -.~=~~wn»@e~ . s .srFW¢= T * s ~ "~'attempt$f6§§§§1dfelectronic survei1lancé§Y In such cases, the order
PT}.
=-"xa
ksPwould allow law enforcement officers to follow the targeted individual
and engage in the interception once the conversation occurs Title 18,
USC, Section 25182!!; _ A
b! The provision concerning "wire or electronic
communications" is similar to that governing oral communications. The
application must specifically identify the person committing theoffense whose communications are to be intercepted. The application
must also show, however, that the person committing the offense has
demonstrated a purpose to thwart interception by changing facilities.In these cases, the court must specifically find that such purpose has
been evidenced by the suspect. An example of a situatign that wouldmeet this test would bethe1§bT3Et§Hb73Q¬?§fE37ph$§§§§§§th§@§§ phone_b6ih gnsésiles £a"h63§E%E§t§§¬§§§§¬%§ Ti:fZ 18, USC,
1 -_:.92Section 2s18 ii! b!!._} 'f ' Y
.
c! With respect to both oral and wire or electronic
communications, the approval of the Attorney General, Deputy Attorney
General, Associate Attorney General, Assistant Attorney General or an
Acting Assistant Attorney General is required before a relaxed
specificity order is sought. Approval by a Deputy Assistant AttorneyGeneral in the Crimina Division, which is authorized for all other
interceptions, is not sufficient for this type of application.
d! The government cannot begin the interceptionuntil the facilities frbm which, or the place where, the communicationis to be intercepted is92determined by the agency implementing theorder Title 18, USC, Section 25l82!!. Congress also intended that
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Hanual of Investigative Operations and GuidelinesPart II . H . PAGE 10.. . - _
92 " - . .the actual interception not commence until the targeted individualbegins, or evidences an intention to begin, a conversation. It wasnot intended that thelrelaxed specificity order be used to tap aseries of telephones,§intercept all conversations over those phones,and then minimize thelconversations recorded as a result. Thisprovision puts the burden on the investigatory agency to determinewhen and where the interception is to commence. There is no ' _requirement of notification to the court once the premises or specificphone is identified prior to making the interception; however, aspecific place or phone must be identified. Limiting interceptions tospecific places once they are determined should satisfy the lspecificity requirement of the Fourth Amendment. '1 _-;:_-_ -31'.
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l 33%» e! Obviously, this provision will be a valuabletool in criminal investigations as sophisticated suspects have beenquite effective in avoiding electronic surveillance by frequentlychanging their meeting places and telephonesi However, the Fourth
Amendment implications involved in this procedure should not beignored. This is an extraordinary provision and it is the intentionof the Department of Justice that it be used sparingly and only in
clearly appropriate cases. This provision is not a substitute forinvestigative footwork it is not intended that the ordinary showingof probable cause with*respect to a specific telephone or location be
dispensed with on the theory that the subject is a criminal who
engages in criminal conversations wherever he/she goes.
' f! A further consideration, especially in wire or
electronic interceptions, is the practical problems faced by the 92telephone company or other provider of electronic communication
services in effecting the interception, complete with leased lines tothe government listening post, on extremely short notice. Care has tobe exercised to work with the telecommunication companies and to
provide them with as much information and notice as possible as far inadvance as possible. Telephone companies in particular have expressedgreat concern about their ability to comply with-such orders, which may require action on their part that will strain their ability toassist law enforcement officials in these cases. tongress, at the
request of the telephone companies, included a provision in the Actallowing the companies;to move the court that has issued a reduced h
specificity order for the interception of wire or electroniccommunications to modify or quash the order if the interception cannotbe performed in a timefy or reasonable manner Title 18, USC, Section25l8 l2!!. The key for all concerned is to approach this procedurewith care and foresighd and to be aware of the practical and legal
problems that may arise. - '
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. 9! _It is also necessary that the post-execution sealing
requirements of Tit1e92l8, USC, Section 25l8 8! a! be met. Failure toadhere to this requirement could result in suppression of relevant
interceptions in the absence of a satisfactory explanation for any
delay in sealing. Agents should therefore be prepared to submit the
original recordings of all interceptions to the issuing judicialofficial for sealing immediately at the conclusion of the.period of
continuously ordered electronic surveillance. In this context, ifthere is no break in time between the expiration of.the original order
and any subsequent extensions, Agents may wait until the expiration of
the final extension before fulfilling this requirement.- 42. V rain U
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If any delay*in"making~this-delivery~is~anticipated;~the Agent~* ~a we
supervising the electronic surveillance should document the causes for
this delay, i.e., duplication equipment failure, unforeseen manpower
allocation priorities, and notify the supervising Assistant United
States Attorney or Strike Force-Attorney of the anticipated delay. If
the supervising Agent anticipates this delay to be any greater than
five days from the expiration date of the continuous electronic
surveillance, he/she should, through the supervising attorney, within
that fiveday period obtain an extension of time in which to fulfill
the sealing requirements from the appropriate judicial official.
The timely review of Title III electronic surveillance ELSUR! tapes,
CCTV recordings and cdnsensual recordings is crucial to the overallsuccess of a criminaliinvestigation. This review should take place as
soon as possible. This is especially true in "crisis" situations,
generally defined as life or death" matters. In those situations,
Title III tapes, CCTV.recordings and consensual recordings must be -
reviewed as quickly as possible from the time of the intercept.
Pertinent conversations in "crisis" situations must be brought to the
attention of supervisory personnel immediately. In all other.
situations defined as "noncrisis" matters, the tapes should be
reviewed promptly, as deemed necessary based upon the exigencies of
the investigation. To ensure adherence to this policy, it is
incumbent upon the supervisory personnel to establish and follow a
systematic policy providing for the appropriate review articulated
above! of all tapes. * . -
0! Tit1e{l8,-USC, Section 2518 ! provides for a 30-day
time limitation on Title III interceptions of wire, oral and
electronic communicatibns. The 30-day time limitation shall commence
at the time and date that the Title III monitoring equipment is
activated, regardless of when an actual communication is first
intercepted. If the mbnitoring equipment is not activated within ten
days of the signing of the Title III court order, however, the 30-day
Sensitive
1 ' PRINTED: 02/18/98 _, 3" - ii : _"' ' - . _ I - .' ' Q ' - . ...i.._ '.' "J.F-T '¢"""' -' ; .~' Y" '1..:.::' 1" --=.-<-- 1 <57 ..._.:..;:+; -.;;. I»,-?.'~'."-1'" "TI"I..':.?f» -,~-- .=--1t..,- 92~--.-"'-Tr-:5 z.-':_rr92,-= *.-;:e-Y; "'7;'.":T':*.T-.--..-jsufrz-1;;'~~.-vi =='1i".1¬~ 92-", 2:" .-~..- -' nu-w-'.i?i"7;-i§;i'_».-a! .-=~r=:-,=-:'.. -_'.z-"-.-?»?~:<r-"'-I-:..'i-'.':¢-.- ~-'11!-::1»:_92§:,.|-".'_-|T"i| . -_',-.'41;'-7;, . ;-. ~{-~..J-.-,~ .1-.._;v 5?..21:J.':;92;k5§'?,»,~'~.-_=;;i§1i.'~_=f. aYC"r.;_'r,.;-,~_-3,1;-_ ,_; _,,- :3, , .J
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;'.=Manual of Investigative Operations and Guidelines
Part II a ' PAGE 10
- A ,. . -~ ; x _.i .
time limitation begins with the eleventh 24*hour period after the
order is signed. " l .
- 1
EFFECTIVE: 02/28/97
10-9.11 Emergency Provisions, Title III Criminal Mattersi
! In regard to the interception of wire communications
or oral communications in<which a reasonable expectation of privacy. -W ' -- --- --- --.-»a_7ee e..__--- -- _ N _, _ ._ - _ _ _ ._z _ ________ _
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92
recognize no exception to their requirement that a warrant first be
obtained. However, if an emergency situation exists wherein time does
not permit following the warrant process and such electronic
surveillance is believed crucial, the Attorney General, Deputy
Attorney General, or the Associate Attorney General, under the
authority of Title III Title 18, USC, Section 2518 !!, can
authorize electronic surveillance prior to obtaining a court order.
This means, of course, that no SAC or FBIHQ official has the authority
on his/her own to authorize interception of wire, oral, or electronic
communications, even under emergency circumstances where a human life
is in jeopardy. Title 18, USC, Section Z518 !, which contains the
specific requirementslfor emergency authorization, provides as
follows:
"Notwithstanding any other provision of this chapter, any
investigative or law enforcement officer, specially designated by the
Attorney General, the Deputy Attorney General, the Associate Attorney
General or by the principal prosecuting attorney of any State or
subdivision thereof acting pursuant to a statute of that State, who
reasonably determines that"-
" a! an emergency situation exists that involves--
' _ I " i!' immediate danger of death or serious
physical injury to any person,
" ii! conspiratorial activities threatening -
the national security interest, or f
» " iii! conspiratorial activities
characteristic of organized crime, that requires a wire, oral, or
electronic communication to be intercepted before an order authorizing
such interception can, with due diligence, be obtained,_and -
< ' '
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H - " b! there are grounds upon which an order could beentered under this chapter to authorize-such interception, may
intercept such wire, oral, or electronic communication if an
application for an order approving the interception is made inaccordance with this section within forty-eight hours after theinterception has occurred, or begins to occur. In the absence of an
order, such interception shall immediately terminate when the-
communication sought is obtained or when the application for the orderis denied, whichever is earlier. In the.event such application forapproval is denied, or in any other case where the interception isterminated without an order having been issued, the contents of any. _,- ¢=1',¢... -»- ., _ .1 _-_-»_ ,_'92;§_<s.;'y;-:.*_-Q . .. 1. ,_92_,§ _ _ - _<.. >., .
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the person named in the application."
! During normal working hours a field office seekingemergency Title III authorization should advise the appropriate unitof the Criminal Investigative Division CID!, FBIHQ, telephonically of
such request, and contemporaneously facsimile a concise writtenstatement of the facts, circumstances and probable cause supportingthe request for interception as well as emergency authority. During
weekend, holiday, or nighttime hours, requesting field offices shoulddirect emergency Title III telephonic and facsimile communications to
the CID duty supervisor who will advise the appropriate CID I
substantive Unit or Section Chief of the request. The substantiveunit will be the pointiof contact for the field requesting the
emergency Title III request and will maintain a log, during normal
working hours, pertaining to the progress of the authorization
process. During off hours, weekends, and holidays the Emergency TitleIII request log will be maintained by the'CID duty supervisor in the
Strategic Information and Operations Center SIOC!. -
! The grounds upon which an order may be entered inemergency situations! are limited to violations of those crimesenumerated in Title 18, USC, Section 2516, and to En emergencysithation existing that;involves immediate danger of death or seriousphysical injury to any person, conspiratorial activities threateningthe national security interest, or conspiratorial activities
characteristic of organized crime.
92
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characteristic of organized crime" is not defined in either thestatute or the legislative history. Therefore, what activity meets
this definition must bepconsidered on a case-by-case basis. It is
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Part II I - PAGE 10
I" _ _. . .noted that DOJ has inkthe past demonstrated a willingness to consider
authorizing emergencygelectronic surveillance on the basis that _participants were members of an organized crime group in the
traditional sense that the term has been applied. It would seem that,it a minimum, there would have to be evidence of two subjects - I exclusive of informahts and undercover dperatives! conspiring to a
commit some violationienumerated in Title l8,.USC, Section 2516.
! With regard to the phrase "conspiratorial activities
threatening the national security interest," both the statute and thelegislative history aie devoid of any definition. Requests from the
field for emergency Title III authority may in some cases be examined
---e4~at-FBIHQsto-determine+any~possible~applicabilityethat-theeabove as- .~s%. I W9; '.'-
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statutory language may have to the activity in question. In some
cases a determinationimay be made that the application for electronic
surveillance can more appropriately be made'under the emergency
provisions of the Foreign Intelligence Surveillance Act Title 50,USC, Section 1805 e!!. _ ' '
! Since Section 2518! requires that a written
application for electronic surveillance be received by the court from
which authorization is being sought within 48 hours after the "
interception has occurred or begins to occur, preparation of the
affidavit should commence contemporaneously with.the
telephone/facsimile request to FBIHQ. The affidavit should be .
transmitted by facsimile to FBIHQ as expeditiously as possible to
allow for necessary processing by FBIHQ and DOJ, and submission to the
appropriate court within the statutory time limit. Field offices mayprovide assistance to local USAs' offices without facsimile facilities
by transmitting the application and proposed order over field office
facilities to FBIHQ. These documents will be handcarried along with
the affidavit to the DOJ. In accordance with DOJ policy, written
application will be made to a court for an order approving the '
interception, whether hr not the interceptions obtained are determined
to be fruitful from an evidentiary standpoint. In the event that the
need for electronic surveillance evaporates following authorization
but prior to the installation and activation of the technical
equipment, the submission of an affidavit is not necessary. In such
cases it will be sufficient to submit an LHH briefly setting forth thefact that a request for emergency electronic surveillance was made,
the basis for such request, and the reason why.such surveillancebecame unnecessary. 1 * _ I V
! It should be emphasized that the abovedescribed
procedures under which emergency Title III authorization can be
obtained do not in any way eliminate the need to comply with the
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Jrequirements of a nonémergency Title III application since one may. =_
intercept communications under oral emergency authority only ". . . IFAN APPLICATION FOR AH}ORDER APPROVING THE IQTERCEPTION IS MADE IN
ACCORDANCE HITH_THIS SECTION WITHIN FORTY=EIGHT HOURS AFTER THE_mrsncsrrron occunnsb, on nscms T0 occua . . ." Emphasis added!.
The net effectof theiemergency authorization process is that,following receipt of emergency authority, the entire nonemergency
process must be undertaken, but within a much shorter period of tim
8 hours!. ' . I r =
8! With regard to oral communication microphone
interceptions as opposed to wire interceptions!, it is important toSensitive p _
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.i%;-F nof¬thatTit1e III athorityIis,"by definitipn see Title I8, USC,Section 2510 !!. required when such oral communications are uttered
by a person who exhibits a justifiable expectation of privacy. In the
absence of such justifiable expectation e.g., a forcibly occupied
building, the residence of a stranger or of a hostage, and similar
situations!, no Title III court order is necessary for interception of
the comunications. Prior approval for such interceptions must be
obtained in the same manner required for the approval of consensual
monitoring of nontelephonic oral communications. Nontelephonic
consensual monitoring in criminal matters may be approved by the SAC,
except when one or more of the seven sensitive circumstances listed in
MIOG, Part II, l0l0.3 l! is present. Requests for authority to
conduct consensual monitoring when the seven sensitive circumstances
are present can be approved by the SAC when an emergency situation
exists, and must be submitted to FBIHQ for Department of Justice
approval in routine situations. See HIOG, Part II, 10-10.3| 9!.!] Afield office desiring to institute microphone surveillance in hostage
or other emergency situations where the existence of a justifiable
expectation of privacyis in doubt should telephone the request to
CID, FBIHQ. _ Where possible, such request should recite the opinion
and recommendations of the field office Chief Division Counsel.! CID
will furnish all knownnfacts and recommendations to Office of the '"
General Counsel OGC!, which will make the final determination
regarding the presence or absence of a justifiable;expectation of
privacy. If_DGC determines that there is no justifiable expectation
of privacy in the particular situation, CID will orally authorize use
of the microphone surveillance. The field office must follow with a
teletype reciting the oral authorization given and the facts'upon_,which the authorization was based. The subsequent confirming letter
from CID to the DOJ should specifically include the AUSA's opinion,
and should state the opinion of OGC with respect to the absence of a
justifiable expectation of privacy and the basis for that conclusion.
If OGC determines that a justifiable expectation of privacy does,
exist, Title III authority is, of course, necessary for the microphone
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Manual of Investigative Operations and Guidelines I '
Part II; ' .~;'}LL = PAGE 10
surveillance.
9! With regard to microphone surveillance, it is notedthat some electronic tracking devices commonly referred to as "ETDs,""beepers, or homin devn ' -
microphone capabilities. Although the primary use of such devices maybe for their homing capability, the incidental microphone capabilityof the devices may require that Title III court authorization be
obtained prior to their use. SAC may authorize the use of suchdevices in criminal investigations. See HIOG, Part II, 10-10.8.!
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to install microphones absent a court order. In a situation wherethere is determined to~be a justifiable expectation of privacy, orinstallation would involve trespass, emergency Title III authority _must first be obtainediunder Title 18, USC, Section 2518 !. TheU.S. Supreme Court held that the power of the courts to authorizecovert entries ancillary to their responsibility to review and approve
electronic surveillance applications is implicit in the Title III '
statute. OGC believes that authority for the investigative or law
enforcement officer specially designated by the Attorney General normally the Director! to approve entries to install microphones canlogically be derived from the emergency provisions of the statute Section 2518 !!, and that this derivation of authority isconsistent with the Court rationale. Since FBI policy requires theinclusion ofia specific request for surreptitious entry authority inroutine Title III affidavits when such entry is necessary, this
request, along with the underlying basis, should, of course, appear inthe affidavits submitted within the 48~hour time frame! following
emergency Title III authorizations.
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Part II 7 h A 92H. . I1 PAGE 10
10-9.11.1 Form 2 Report 7
! The Form 2 report, to be submitted by a field office
upon completion of Title III ELSUR activity, is a form designed by the
Administrative Officehof the United States'Courts ADC!, and is
utilized by the Department of Justice DOJ! and the AOC to obtain .
certain specific information relating to the administration of Title
III physical activity} i.e., actual monitoring, physical
surveillance, etc., in direct support of the ELSUR! and the results
obtained therefrom. Usually in April of each calendar year, the AOC
publishes a booklet reporting all Title III activity for the previous
calendar year. This report is required by Title 18, USC, SectionV _' . . ' _ 7 ' "_"' - - " ' - ' ->3 _u _..__...._ I .. A; 0Y Y " i ' - 7 ' - --'**--- --*--i- - - P-~ ----V ____
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' ! FBIHQ, upon notification of the filing of an
application for a Title III court order,wil1, on a case-by-case
basis, forward by airtel under the substantive case caption of the
field office involved, a prenumbered, precarboned Form 1 and Form 2
packet as provided toythe FBI by the AOC. The Form 1 report consists
of ply 1 and ply 2 of the packet. The Form 2 report consists of ply 3
and ply 4 of the packet. u
! Form Z reports and related correspondence are to be
typewritten. - -
! On or before the 30th day following the denial of a
Title III court order or the expiration of the authorized period of
the order, including all extensions, the designated Special Agent will
assist the prosecutingattorney in completing plies 1 and 2 Form 1
portion of the packet!.and items 1 through 6 of plies 3 and 4,
Form 2 portion of the packet! identical on both the Form 1 and Form
2. The Form 1 portion should remain with the prosecuting attorney.
The prosecuting attorney shall then be responsible for providing the
issuing judge the ply 1 and ply 2 Form 1! for review, approval, and
signature so that the court may forward the Form 1 to the AOC.
- ! Items 6 through ll of plies 3 and'4 of the Form 2
report are to be completed by the designated Special Agent and not by
the prosecuting attorney. Ply 3 of the Form 2 report is to be
submitted to FBIHQ 60 calendar days following the termination of a
court-authorized Tit1eiIII. This rule will apply strictly to all
Title IIIs, whether denied or granted, routine or emergency, except
those authorized during the last 60-day period of the calendar year.
Any Title III authorized during the last 60 days of the calendar year
or terminating on or before December 31 are to be submitted to FBIHQ
no later than five working days following termination of the TitleI
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III. This submissionIis to be made regardless of whether or not
resource costs Item 9B! of the installation, basically supplies andother items, are available at the time of submission. The ply 4portion of the Form 2Iis to be submitted appropriately to the
prosecuting.attorney. ' _
! Any Title III expiring before midnight of December 31should be reported to FBIHQ, telephonically, on the next working dayfollowing the termination of Title III activity. Thereafter, the Form2 should be submitted to FBIHQ within five working days.
! In a joint or tas force type investigation involving
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Ikanother agency, the agéEy wHich"is resp6nsib1e"£or-recordkeeping" " W
procedures, as outlined in the MIOG, Part II, Section 10-9.9, shall be
responsible for the preparation and submission of the Form 2 plies 3and 4 of the packet! in accordance with that agency's established
procedures. It will be the responsibility of the designated SpecialAgent to maintain effective liaison with the responsible agency in
order that all necessary statistics, costs, and results are compiledand reported on one Form 2 to be submitted by the responsible agency,
if other than the FBI. . I
4 .
EFFECTIVE: O6/18/37 _
10-9.11.2 Completion of Form 2 Report
The following is a listing of each Section and Subsection
set forth on the Form 2 report with an explanation of the information
to be entered for each Section/Subsection. I
! "COURT AUTHORIZING OR DENYING THE INTERCEPT"
The Form 2 shows the above caption as Item 1 and all plycopies of the Forms l and 2. The docket number is generally
preprinted and is utilized to track the form itself. To properly
complete item number one, the full name of the judge signing ordenying the Title III court order should be shown, along with the
identity of the court to include the exact street address and not a
post office box number. e
! "souncs or APPLICATION" I
a! Subsection 2A "Official Making Kpplication."This section should be used to show the full name of the official
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hanual of Investigative Operations and GuidelinesPart II - K PAGE 10
making the original application to the court, generally an AssistantUnited States Attorney. The title of the official making the original
application should be shown with his or her telephone number and area
code. The county and the agency name should be shown with the exact
mailing address, not, Federal Building, with the name of a city and
state.
b! Subsection 2B "Prosecution Official Authorizing
Application." The appropriate name to be shown is a DOJ official in
Hashington, D.C., not a United States Attorney or an Assistant. The
word "same" may be shown only if a DOJ official was also the official
making the original application, as shown in Subsection 2A.- 50;';,,>_
__,
MOST SERIOUS OFFENSE FIRST!" ! "orssusss LIST
Enter the92offense s! specified in the Title III order orapplication for an extension of the order predicate offenses, i.e.,
ITSP, TFIS, etc., cited in application!. List, in capital letters,
and underline the most serious offense first, only one offense should
be underlined!. The following controls should be used to determine
the most serious offense: _
a! When two or more offenses are specified in the f
application, the offense with the highest maximum statutory sentence
is to be classified as the most serious. -
b! When two of the offenses have the same maximum
sentence,_a crime against a person is to take priority over a crime
against property.
When listing the offenses, a general description such as gambling,
narcotics, racketeering, etc.,-will suffice. D0 NOT cite the offense
by title and section of the U.S. Code.
I ! "DURATION or INTERCEPT" -
1 Enter thelnumber of days requested and the date of the
application. Use the appropriate box to show whether the application
was denied or grantedland show the date of the order or denial of the
order. If the application was granted with changes, changes should be
listed in the column captioned "Granted With These Changes." That is
to say, if the judge,1the official making the application or the
prosecuting attorney duthorizing the application differs from those
named in Item 1 and 2above, the new individual should be named and
identified by title in this section. Also, if emergency authorization
was granted, it should be shown in this section along with the date
/ " I I 92
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Sensitive "
J Hanual of Investigative Operations
Part II <
numbers or techniquesauthorized.
number of_section and title, as an
_ " ! -"PLACE"
' 4 ___7 *__ " _ **Check"the*appropriate'b1ock s!T Be specific'as"tothe ***__and Guidelines
.- PAGE 10 -
.' granted i.e., "Emergency Authority 9/1/86." "Do not list source -
If insufficient space exists in* this section to show all changes, submit on plain bond paper with
attachment to ply 3 of the Form 2.
! "TYPE or INTERCEPT" 1
Check the appropriate block s! and note the specificdevice if not telephone or microphone. - '
. business type and other type location, if_any.
the Form 1 portion plies 1 and 2!
issuing judge for review, approval
court to forward the orm 1 to the
required to file the Form 1 report
expiration of the order, including1': é
E_ .-e
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! "INSTALLATION"
checked.
92 Subsections BA through
was terminated; 1 .
b!- the specific
i in actual use;
Communications Intercepted," 8E!,
intercepts per day. 1
92_ .4 1_ .1.._-;.'_-1; " 92
'. y:;.:. ,'< .1».- .NOTE: When this portion of the form has been completed,
is to remain with the prosecuting92 attorney who shall then be responsible for providing the form to the
and signature in order for the
ADC. The authorizing judge is
with the AOC within 30 days of the
all extensions.
Check the appropriate block; only one.block should be
8! "DESCRIPTION or INTERCEPTS"
8F to be utilized to show:
' A a! that date on which the last ELSUR installation
number of days the installation was
7 c! the average frequency of intercepts per day, rounded off-to the nearest number!. Divide the "Number of
by the "Number of Days in Actual"Use," BB!, i.e., 131 intercepts divided by 29 days equals 4.51 or 5
a! the number of identifiable individuals whose
communications were intercepted, count each person only one time even
Sensitive
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Hanual of Investigative Operations and Guidelines1
Part 11 ,' . PAGE 10 - 52
if intercepted more often!;
e! the estimated number of communications
intercepted, and
' f! the estimated number of incriminating
communications intercepted.
9! "COST" _
a! Subsection 9A "Nature and Quantity of PersonnelUsed to Install and Monitor." This section should be utilized to show____ all _ _ in ___ 1.1__i _the exact number of Special Agents SAs! assigned'to physica y
monitor, log, perform other administrative functions or work in any
other capacity, specifically regarding the Title III itself. Also,the specific number of support clerical! personnel utilized for tape
transcription, duplication or other administrative support should be
shown in this subsection. SA time should be shown in total number of
work days, i.e., "65 Special Agents days." Use the same formulation
for support personnel. If a joint operation, other agencies either
state, local or Federal! personnel time should be shown by number of
work days and broken down as above. If three Deputy Sheriffs were
utilized for five days, show "15 Deputy Sheriff days." The expended
personnel time of other Federal agencies should be listed in the same
manner. Do not co-mingle state, local, or Federal time. "PersonnelCost" segment should be left blank. Cost figures will be computed at
FBIHQ. Therefore, it is necessary that accurate and specific
information be furnished to FBIHQ via this form.
b! Subsection 9B "Nature of Other Resources Cost
of Installation, Supplies, etc.!." Requires specific cost figures
which pertain to the Title III_itself. For instance, leased line
figures, if available at the time of reporting; equipment or tools
necessary for the specific insta1lation s! and any other supplies, notto include tapes, unless purchased with case funds specifically for
this case. This resource cost is to be shown in the block to theright of item 9B marked "Resource Cost." The "Total Cost" figure is
to be left blank.
0! "RESULTS"A
This subsection should be executed when results have been
obtained. Do not place the words "not applicable" or "N/A" in this
subsection. This subsection should be utilized in much the same
manner as an FD515 Accomplishment Report Form!..1
Sensitive '
_ PRINTED: 02/18/98 _-
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Sensitive
Manual of Investigative Operations and Guidelines
Part II
Items 10A
a!
into Federal custody,
Offenses." Enter the total
person only once regardlessi.e.,
all offenses charged in the
such as gambling, narcotics
not enter individual's namePAGE 10
through 10D are to be utilized_to show;
"Number of Persons Arrested" or otherwise taken
pre- or postrindictment summons! & "Arrest
number of persons arrested. Count each
of the number of offenses charged. List
arrests. Again, a general description
racketeering, etc., will suffice. Do
and do not use U.S. Code citations.!
G b! "Number of Motions to Suppress." Enter the
number of motions to suppress quash evidence! which were granted,
asa1éa §Ha'5¥e*§£1I1*5ea1ng""t*"" "**"-'" *"""-t *"*' "*"**"
c! "Number of Persons Convicted" & "Conviction
Offenses." Enter the total
of the interception and thenumber of persons convicted as a result
offenses, by general description, forwhich the convictions were obtained. Persons who pled guilty would be
counted in this category. Again, count each convicted person onlyonce. Report upon conviction. Not necessary to await sentencing.!
- d! "Number of Trials Completed." Enter the number
of trials resulting from this Title III installation which have been
completed. Do not count as
taken during the
information such
1!
This subsectiona trial any instance where a plea was
trial. Also, do not count any grand jury
as dismissal of indictment. i
"COMMENTS AND ASSESSMENT"
should be utilized mainly to show if twoor more Title III installations are related. This may be shown by
inserting the words "related to document number ." hll Form 2s
are prenumbered, and the docket number for the related Form 2 should
be shown. The remaining sections of item number ll should be left
blank. The prosecutor's signature and date of report are to be leftblank. These blocks are executed by the Attorney General or Attorney
General's designee in Washington, D.C., at the time of the Annual
Report.!
Retain one copy of the completed Form 2 ply 3! in a field
office control file and one copy in the 1A Section of the substantive
case file for supplemental submissions and recordkeeping purposes.
p Sensitive
PRINTED: 02/18/98 _ _ _
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I . 2!
Manual of Investigative Operations and GuidelinesPart II ¢ PAGE10 - 54
EFFECTIVE: 06/18/87
f 10-9.l1.3 Submissions of Form 2 Report to FBIHQ -
! Appropriate administrative controls are to beutilized by field offices to ensure accurate and timely submission% the Form 2.. The Special Agent to whom the case is assigned and
his/her supervisor are administratively responsible for the Form 2
report. SACs are "responsible" for the accuracy of the content ofall Form Z reports and their timely submission. .of
92 ! The report is to be forwarded by airtel in a plainbrown envelope, sealed and clearly marked: '
I Director, FBI
ELSUR Index
FBIHQiig I The airtel will include the following information:
- a! Complete case title and name of Special Agent
executing Form 2. '
' b! List of principals named in the initial
application for the specific Title III. Should principals be added inan extension application, these names are to be listed and identifiedwith the specific extension order, i.e., "lst extension," "2nd
92 extension," etc. -
:- c! The annual salary of any nonFBI personnellisted in Item 9, Subsection 9A, used to install and/or monitor the
Title III. -
' d! Should a case be deemed sensitive to the point * that any information disseminated outside the FBI or DOJ would
compromise the investigation or witnesses, etc., a detailed statementp must be made in the airtel relative to the reason why the Form 2
report should not be sent to DOJ for dissemination to the AOC for
publication.
e! The names required in Item " b!" above are to belisted, in the format as described, on a white 3 X 5 inch cardcaptioned "Principals," followed by-the docket number correspondingi :;;% to the docket number on the Form 2!, and the names of the individuals
.»
G
Sensitive
PRINTED: 02/18/98 i .;
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J-'! .1
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92.
Manual of Investigative Operations and Guidelines -
Part II ,q- _ - - PAGE 10 - 55
named as principals in the initial application and each extension
thereof. This 3 X 5 inch card is to accompany the airtel and Form 2
report submitted to FBIHQ. -T '
EFFECTIVE: 06/1s/87
10-9.11.4 Supplemental Form 2 Reports
! Supplemental reports pertaining to statistical
information called for in Item 10, caption "RESULTS" are included in
H 1.
L; ""/3,», ll r-"'5 »_.J-_".u¢=:":~'¬*eachrcalendar year Title III_report m§ae*by the KOCI The resort; " I I » 5*
called for in the supplemental report pertain to Title III ELSUR
activity conducted during prior calendar years. Therefore,
supplemental reports are to be submitted to FBIHQ as indicated in .10-9.11.3, above and subsequent to the submission of the original Form2. The supplemental reports are to be submitted to FBIHQ by no later
than close of business November 15 of each individual calendar year.
Field offices will be reminded of this required submission by annual
airtel to all SACs.'
~ ! If no supplemental information has been developed,
that is to say, no further statistical information exists for the case
or is forthcoming_pertaining to the Title III, field offices are to
submit an airtel to FBIHQ setting forth the fact that no supplemental
information will be submitted and giving reason, i.e., case closed,
trial set for following year, etc. . - i
i ! The November 15 deadline will be extended only in the
event statistical information is to be routinely reported by Form 2within the same calendar year the original Form 2 is submitted. This
information could include arrests, convictions not necessarily to
include sentencing!, number of trials completed or major seizures
prior to the end of the calendar year. Further, if no additional
statistics are expected to be reported, the field office should so
state in the submitting airtel. . '
! The additional information to be reported should be
added to the copies of the previously submitted ply 3 of the Form 2
retained in the lA section of the substantive case file and the field
office designated control file. The form should then be duplicated
and forwarded to FBIHQ. A copy of supplemental Form 2 should beretained in the 1A section of the substantive case file and the field
office designated control_file.
Sensitive
t PRINTED: 02/18/983 . - . V . .
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Manual of Investigative Operations and Guidelines I i
Part II ¢'* p - _ PAGE 10
! For further guidance regarding the execution of aForm 2, refer to the "ELSUR WORKING GUIDE," Title III Section, pages
63 and 63.01. ' .
- ! Special Agents preparing Form 2 reports should note
the Form 2s are to be prepared and submitted by Special Agents,
not Assistant United States Attorneysaor other DOJ officials,
notwithstanding instructions appearing at the bottom of ply 3 of theForm 2.[f ' I - '
EFFECTIIIE: 0§/13137 _ 7 p if _ai r
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as
lO9.l2 ELSUR Indexing in Title IIICriminal Matters
The ELSUR support employee in each field division will
index or supervise the indexing and_review of all ELSUR cards in Title
III matters prior to their submission to FBIHQ. This is to ensure all
cards are complete, accurate and in a format specified herein. For
indexing procedures, refer to the "Index Guide" available at each
field office through the File_Assistant/ELSUR support employee.! In
Title III matters, all ELSUR cards will be typewritten. Two original
cards will be prepared, one to be forwarded to FBIHQ for inclusion in
the FBIHQ ELSUR Index and one to be maintained in the field office
ELSUR index. If the information appearing on an ELSUR card is
classifiable, the card must be classified in accordance with standard
classifying procedures. For indexing purposes, microphone surveillance
HISUR! being utiliged in conjunction with either a closed circuit
television CCTV! surveillance or an electronic tracking device will
be treated as a microphone surveillance. g
' ! Principal Cards f 3-x-54inch cards maintained in the
ELSUR indices containing the true name or best-known name of targets
of Title III electronic surveillances. The term "principal" means any
individual specifically named in the application furnished the court
as being expected to be monitored during the course of the electronic
surveillance. Included on the Principal card is the term "Principal.Title III"; the control number assigned the source, the Bureau file
number, if known; and the field office file number. In Title III
matters, Principal cards are prepared on blue index cards and are to
be submitted to FBIHQ within ten working days of the date the .
application is filed with the court.regardless of whether or not
authorization is granted.and whether or not an installation is made oractivated. In the event that a new individual s! is named in an
application for an extension or amendment of a court order, ensure
.. itdo
...
-»-J.92 --..-sup 1'1-?-
-
' . ..- Sensitive
- 1 . PRINTEW 92/13/95 I , . _ e. ..' - - - » = - - , - ' ,.; _. ; _ e .-'= ' ¢ 1.3- - - . J-31-' - -,L ' _ .-§."='-:¢*=.. k . , A _. 92 2 .. _....!_ ,_ . ;_ _. . 9292_,=,%§1;,.1-
-I-1-*> _~- . ,v' .__- ~~_-V--|!92''?~:_-1%., _ _*fY- -. -r-'--_ e ._' . J ...,;,:_.;_ .1 9292 92 ;i_I,I¬<r~ are-em- 1I* r- -_s
4-e_'_
92 =;,'!:.==_;..%_ -
21' -1.. Sens i t ive92 1
Hanual of Investigative Operations and GuidelinesT5?
A
u
-a"
Part II ' . " PAGE 10 - 57 z
Principal cards are submitted on the new individual s!. y
Example of Principal Card -
Principal Title III Blue 3*x-5inch index card!
a. SMITH, JOHN
b. PRINCIPAL TITLE III
E.' "92
3
"1 -1'. i-in
J
0.-752, as 5 r~.-c. AL NDNY 1
d. 182-111
e. AL 182-1
! Proprietary Interest Cards - 3-x-5-inch cards
maintained in the ELSUR Index identifying the entity s! and -
individual s! who own, lease, license, or otherwise hold a possessory
interest in locations subjected to electronic surveillance. These
cards also identify the locations, telephone numbers, vehicle
identification number, etc., targeted in the Title III application.
Proprietary Interest cards further include the control number assigned
the source; the date the surveillance was instituted; space for the
date it will be discontinued; Bureau file number if known; and field
office file number. Proprietary Interest-cards should be prepared in
a manner so as to be retrievable by the name of the proprietor s!, the
location, and each facility specified in the application.
Accordingly, to accomplish this cross-referencing, an appropriate
number of these cards should be prepared, interchanging the top three
entries in conformity with proper crossfindexing and filing _
procedures. In Title III matters Proprietary Interest cards are
prepared on blue index cards. Where electronic surveillance devices
are being installed on a motor vehicle, the vehicle identification
number and not the license number! will appear as item "c." All
Proprietary Interest cards are to_be submitted to FBIHQ within ten
working days of the date the application is filed with the court,
regardless of whether or not authorization is granted by the judge
whether or not an installation is made or activated. In the event
that a new location or facility is identified in an application for an
extension or amendment of a court order, ensure Proprietary Interest
cards are submitted reflecting this new or modified information withinand
Sensitive I
PRINTED: O2/18/93u
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Manual of Investigative Operations and Guidelines ,Part II PAGE 10 - 58
ten working days of the date the application is filed with the court.
a! Examples of Proprietary Interest Cards forTelephone Surveillance TESUR! Coverage in Title III Criminal Matters
- 1._ Proprietary Interest card for filing byname s!. I
a.i SMITH, JOHN
b. 202-324-3300 A
1 92 7 - _c. 901EI"Avenue, Roo300 I _ J 7 im_ u J_
Albany, New York
Holiday Inn
AL NDNY-1
I Instituted: 11-1-82
Discontinued: to be filled in later!
182-000
AL 18Z"12
2. Proprietary Interest card for filing bytelephone number. e
92
J b. 202-324-3300
a. SMITH, JOHN
c. 901 Elm Avenue, Room 300
Albany, New York
Holiday Inn -
d. AL NDNY-1
e. Instituted: 11-1-82
r. Discontinued: to be filled in 1ater!i5. 1s2-1000 ' _
h. AL 182-12 _
3. Proprietary Interest card for filing byaddress.
c. 901 Elm Avenue, Room 300
Albany, New York
Holiday Inn
SMITH, JOHN '
Sensitive
PRINTED: 02/18/98 ._
_ 1 : l _ v-*ii? "wf T - .~.- 1- "' _ --w<'-_w -.-w~'FJ¢-- ~ ,~'-,-,?'-AI-',-.-Y--w-_~_ , -:-1.-_*_-_';=vcS:? K.:p:j1{ p .:_.';;11,i;iT~--ejr."}~-j-.1;_ig _".-,-_r92- 92"_*- '2." -.2. 3._¢_;_-'7"-I . -r-'-; »'T-".2 v'-*-?.'.i--¢- -.1 -'.'~-'~>'-'~»'L ~-- - 92" '- ' '- ' -' "'
__92_, .
92
Manual of Investigative Operations and Guidelines
Part II _H PAGE 10 59
202-324-3300
AL NDNY-1 -
Instituted: 11-1-32
Discontinued: to be filled in later!
182-1000
AL 182-12 '
4. Proprietary Interest card for filing byfacility. 1: ~i,i . J . SB1"lS1t1Ve -
z
C.Holiday Inn
901 Elm Avenue, Room 300
Albany, New York
SMITH, JOHN
202-324-3300
AL NDNY-1 '
Instituted: 11-1-82
Discontinued: to be filled in later!
182-1000
AL 132-12
b! Examples of Proprietary Interest Cards for TESURCoverage in Title III Criminal Matters Hherein More Than One PersonOwns, Leases, Licenses, or Otherwise Holds a Possessory Interest in
the Property Subjected to the Surveillance
1. Proprietary Interest card for filing byname s!.
3 .
b.
c.
d.
e.
f.
gtufga hSMITH, JOHN
JONES, SARA
202-324-3300
901 Elm Avenue
Albany, New York
ABC Trucking Co.
AL NDNY-1
Instituted: 11-1-82
Discontinued: to be
182-1000 .
AL 182-12 ' ' filled in later!~92.
+.
.~;-r. MT: '
' 1 ._ ..
5..
92 . Ir .'*' §;5..~_ _ - 1"" Sensitive
Manual of Investigative Operations and GuidelinesPart II 0 PAGE 10 - 60 .
I e u S I
2. The above card will be filed under the name of SMITH, JOHN and another should be prepared for filing under thename of JONES, SARA. ' _ p _
a. JONES, SARA
SMITH, JOHN
b. 202-324-3300' A
c. 901 Elm Avenue
" Albany, New York
ABC Trucking Co.
" H['_ALNDNY:I_* __¥DW 4* ' kw A
e. Instituted: ll-182
f. Discontinued: to be filled in later!
g. 182-1000
h. AL 132-12
n::1_ 3. Proprietary Interest card for filing byJ telephone number.
92
b. 202~324-3300
3. SMITH, JOHN .
JONES, SARA
c. 901 Elm Avenue
Albany, New York
ABC Trucking Co.
d. AL NDNY-1
e. Instituted: 11-1-82
E. Discontinued: to be filled in 1ater!t
g. 182-1000 ' ~'
h. 182-12 '92
a
4. Proprietary Interest card for filing byaddress.
c. 901 Elm Avenue
;§§. Albany, New YorkQQQF ABC Trucking Co.
'- Y x."
e
Sensitive. d y "Ii,__ _ pp, PRINTED: 02/18/90 '_ A @¬3§%%§§' - ' V ;-,: r ' _ - _. .-Ag; -_'¢.'-:=:'1.~'g
». .-...<-..92~*.-:;,~,.,_-_.T - -* ¥J_:=+--r=-==_-=1;-ht-1t?"n;q.:--e,;:-:;~,._gs-_¢:-Ha. ~'-: ~- 4';5Y;;:.:a3EiP-§?2="-;=:.'.-§?£a>-:¥::<_i;1'.r-"'=*,..2="="'....F¬¬l">'§ . 1--F="q=. L-
-~ %¬; - ,gg
HM? Sensitive
Manual of Investigative Operations and GuidelinesPart II _ PAGE 10 - 61
a. snnn, JOHN_ .
_ JONES , SARA
202-324-3300 r
AL»NDNY 1'
Instituted: 11-1r82
Discontinued: to be filled in later!182*1U00 " '
AL 18Z*12
Q I ' K T 5. 'Pf6§fi¬t¬fY_It¬T¬§twbfgfbfifilingmby
facility. _-
c. ABC Trucking Co.' 901 Elm Avenue
Albany, New York'3 a. SMITH, JOHN JONES ,1 sum -
202-324-3300
AL NDNY-1
Instituted: 11-1-82 1'
Discontinued: to be filled in later!
182-1000
AL 182-12
c! Example of Proprietary Interest Card for HISURCoverage in Title III Criminal Matters
- 1. Proprietary Interest card for filing byname.
3. SMITH, JOHN
b. rusun '
c. 901 Elm Avenue, Room 300
Albany, New York '
Holiday Inn
d. AL NDNY-2
e. Instituted: 11-I-82 _ -E. Discontinued: to be filled in later!
I g. 182-1000 -
h. AL 182-12 - ' '
A
Sensitive
PRINTED: 02/ 18/98 .
_ _ _,-_ , ._ __; __'_ _ ___ ' a. _',~ r. -__; . V 7», W _92 _- -'92_" - r'; _. .-. .-'_".=.¥.'I§;_- --F?_:rs 11+ _..;~ __.:w.-.. -,',j__- _ _-_'-*,---.'g;',~a--.f'T..=-§;.1-»~7_ I ,1. 3;;-r;
, .~
Sensitive
Manual of Investigative Operations and GuidelinesPart II i PAGE 10 -
2 Proprietary Interest card for filing by the
901 Elm Avenue, Room 300
Albany, New York
Holiday Inn
SMITH, JOHN
HISUR
AL NDNY*2
Instituted: '11-1-82
a Discontinued: _ to be fiIled in l ter! k_18231000
AL 182-12 .
3 Proprietary Interest Card for filing
Holiday Inn
901 Elm Avenue, Room 300
Albany, New York
SMITH, A JOHN
MISUR
AL NDNY-Z
Instituted: 11-1-82
Discontinued: to be filled in later!
182-1000
AL 182-12
d! Example of Proprietary Interest Card for MISURCoverage Involving a Vehicle in Title III Criminal Matters
1 Proprietary Interest card for filing by
° 4
SMITH, JOHN
HISUR
VIN lA2345RA789
A1. NDNY-3 '
Instituted: 11*1-82
Discontinued: to be
182-1000
AL 182-12
Sensitive
PRINTED: 02/13/98
. 6
-J.-_=.1n_~~I~5-hrs-I1 -§$-in-e--e >, _ ¢~.r;:_.,__,- ... _ ,._-_~ _< , -;<1.~.v~¬;f--- -~_-.'-..,s_»,1v.r+--1---1 awn-Ff111ed in later!
.... 3; |
=_.
4},
B
Sensitive
Manual of Investigative Operations and Guidelines yPart II "
-. PAGE 10 f 63
A y 2. Proprietary Interest card for filing by the
vehicle identification number. .
1
VIN 1A2345RA789
SMITH, JOHN-
nrsun _
AL NDNY3
Instituted; 11-1-82
aw Discontinued; _ to_be filled in later!m18251000I -'_I*"_ " " " __ I4 I _ 'I4 __
AL 182-12
No card for filing under the
-a motor vehicle.address is required in matters involving
e! Example of Proprietary Interest Cards for CCTVCoverage in Connection With HISUR Coverage
- ' 1. Proprietary Interest card for filing by
'name.
a.
b.
c.
d.
e.
f.
g.
h.SMITH, JOHN
HISUR
901 Elm Avenue, Room 300
Albany, New5York
Holiday Inn
AL NDNY-3 '
Instituted: 11-1-82
Discontinued: to be filled in later!182~1000 I
AL 182-12 "1
2} Pr
address. _1 _ 92oprietary Interest card for filing by the
C-
3-
,§IY b- " <1-. Albany, New York
Holiday Inn'
SMITH, JOHN
MISUR
AL NDNY-3901 Elm Avenue, Room 300 I.~
¢."'~"|';.,
- eh ' -
leefr, Sensitive
Manual of-Investigative Operations and GuidelinesPart II , , PAGE 10 - 64
e. Instituted: 11-1-82
f. Discontinued: to be filled in later!
g. 132-1030 .
h. 182-12
3. lProprietary Interest card for filing by thefacility.
c." Holiday Inn
901 East Avenue, Room 300
"-"l 4" Albany; NewrYork
a. SMITH, JOHN
b. HISUR
4. AL_NDNY3 -
e. Instituted: 11-1-82
f. Discontinued: to be filled in later!
g. 132*1000
h. 182-12
In most.situations when Proprietary Interest cards are prepared, item"f" will not be known. In some situations, items "d" and "e" may notbe known. When this information is determined, it should be furnishedto FBIHQ, by airtel, or an amended card s! should be prepared.
! Overhear Cards - 3-x*5-inch cards maintained in the
ELSUR indices containing the true name or best-known name of allindividuals including non-U.S. persons, Special Agents, assets,informants, cooperating witnesses, etc.! who have participated inconversations intercepted during the conduct of a Title-III electronicsurveillance. Only one Overhear card is required per source for anyindividual overheard, regardless of the number of times his/her voiceis overheard. If the individual is overheard on more than one source,
a separate Overhear card should be submitted to FBIHQ for each sourcethe first time an individual is overheard. As fhe ELSUR indices
maintained at FBIHQ will only contain one Overhear card the first timean individual is overheard on a specific source, it will be the
responsibility of the field office to maintain records of allsubsequent overhears of that individual over the same source. pAccordingly, the field office should enter the date of each subsequentoverhear on the card maintained on that individual in the field officeELSUR indices. Overhear cards are only submitted if the identity ofthe individual overheard is known or a full name is given. In theevent that a.partia1 name, code name, nickname or alias overheard
Sensitive
PRINTED: 02/18/98
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during an electronic surveillance is positively identified with aspecific individual through investigation or further monitoring, anOverhear card is then submitted to FBIHQ. The overhear date will bethe earliest date the individual was monitored over that source andall subsequent overheats determined to be identical to that individualshould be recorded on the field office ELSUR card. In addition to thename of_the individual overheard, Overhear cards contain the date onwhich the conversation took place; the symbol number assigned to the
source; Bureau file number, if known; and the field office filenumber. In Title III matters, Overhear cards are prepared on blueindex cardsland submitted to'FBIHQ within a reasonable period of time,not to exceed 30 calendar days following the first instance an _Q l* i._ 1; , in 7' __-
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'individual"is identified as*having been*overheardover"each differentELSUR installation. All Overhear cards will be submitted to FBIHQ, inaccordance with instructions for the submission of ELSUR cards.|
Example of Overhear Card in Title III Matters
Overhear Title III, TESUR or MISUR coverage._ 1 1. 5'1"",:.
I a. SMITH, JOHN
b. 12-7-81 92
c. AL NDNY-1
d. 182-111
e. AL 132-1
Any additional information a field office deems necessary forinclusion on any type ELSUR card being forwarded to FBIHQ should belabeled on the card and explained in a brief statement in the FD-664.As an example, an auxiliary office submitting Overhear cards to FBIHQas the result of an ELSUR conducted at the request of another fieldoffice may wish to reflect on the Overhear card the file number of theoffice of origin. An Overhear card prepared in this manner would *
appear as follows:
;
a. SMITH, JOHN
bi'.l2-7-81
C. AL NDNY-1
d. 182-11
e. AL 182-11 ' *.§%.*. '4'-
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It would not be necessary for the auxiliary office to prepare copiesof the Overhear cards for inclusion in the ELSUR index of the officeof origin; to forward a copy of the FD*664 to the office of origin for
information purposes is sufficient.
EFFECTIVE: 06/O6/36
10-9.13 Marking of Recordings for Identification
{I»J..9?8:1;.%..u2f £1155 !¥.E.?'*§_1_ - 4 V See Part
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10-9.14 Loan of Electronic Surveillance Equipment to State and
Local Law Enforcement Agencies .
I See Part II,|16-7.3.4]of this manual.
EFFECTIVE: 09/22/87
10-9.15 Submission of Recordings
. For instructions regarding the forwarding of tapes toFBIHQ see Part II, 16-8.2.4 and 16-8.2.8 of this manual, and HAOP,| Part I1,|2~4.4.11.[
EFFECTIVE: 10/16/96
I-'' .Sensitive
PRINTED: 02/18/98
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Manual of Investigative Operations and GuidelinesPart II _ 1 PAGE 10- 67
10-9.16 Transcription of Recordings
! FD-652, Transcription Request/Approval Sheet, shouldaccompany each request for transcription of any tape. |Include on theFD652, under "Summary," information describing where thediscussion/meeting took place, what the subject of the conversationwas, and any other details_that would be helpful to the typist in
accurately transcribing tape recordings.| It is mandatory that the SACgrant approval for all fu1ltext transcriptions and indicate this
approval by initialing the appropriate block on FD~652. The finaldisposition of this form is being left to the discretion of eachindividual office. They may be disposed of in the same manner as the"FD=77I DiFtEtion*SIip!.'IISee MKOP, ParE_II,'SEEtionl0:I8T1T,If3FI use of FDT77.!; _
! For additional instructions regarding the preparationof transcripts of recordings, see Correspondence Guide - Field,Section 2-11.6. 1
fw--__.,
EFFECTIVE: O4/19/91
10-10 . CONSENSUAL MONITORING - CRIMINAL MATTERS
EFFECTIVE: on/19/91 '
10*1O.1 Use of Consensual Monitoring in Criminal Matters
! Consensual monitoring is the interception by andevice of any wire or oral communication wherein one
the communication has given prior consent to such
and/or-recording.electronic
parties to
monitoringof the
! Title 18, USC, Section 2511 ! C!, requires consentfrom one of the parties to the communication to bring the interceptionwithin an exception to the general warrant requirement. To documentconformance to the requirements of the statute, FBI policy requiresthat a consent form be obtained from the consenting party. See| MIOG, Part 11, 10-10.3|!.!| ;
- ! No exception should be made to executing and properly
iii ' cooperative witness CW!, a Special Agent or any other law enforcement1%? witnessing the consent form in the situation wherein an informant,
Sensitive
PRINTED: 02/18/98
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92officer is the consenting party. Additionally, the consent form .constitutes an accurate, reliable official record that may be utilizedin a court in the event the issue of consent is raised or the -
administrative procedure needs to be documented to assure the courtcompliance with Title'18, USC, Section 2511 ! C!; See MIOG,| Part 11, 101o.s|!.!] " -
! Separate control files - One for telephonic
consensual monitoring and another for nonte1ephonic_consensual
monitoring body recorders and/or transmitting devices! should beestablished in each field office. Documents relative to the hi- authorization and utilization of these techniques should be retained e i
-ee_-_-es~in the_appropriate_controla£i1e.aeThesescontro1_files_will_belforrthe ___rr____rl_____
- I a! Agents should obtain written consent for allpurpose of the SAC's administrative control and for use during theinspection. I ,5
J! In matters involving the use of Closed CircuitTelevision CCTV! in conjunction with the consensual monitoring
technique, refer also to Part II, 10-9.l0! and 10-10.9 of this
'12; manual. = AP; '.s= - ,
EFFECTIVE: 02/28/97 1%
-5;10-10.2 Monitoring Telephone Conversations in Criminal Hatters
See MIOG, Part I, 892.ll!, 9ll1.3.2!, 192-14!; 3
Part 11, 109.9!, 16-7.4.1.!
An FD-670, Checklist ~ Consensual Monitoring - Telephone Criminal Matters! form, lists all recordkeeping and operationalrequirements specified in the MIOG, MAOP, and the "ELSUR WorkingGuide." This form is available for optional use as a reference andtraining aid to ensure adherence to all existing Bureau requirements.
" ! SACs may authorize monitoring of telephone
conversations in criminal matters for the duration of the '
investigation. Each authorization should be documented on Form FD*759 Notification of SAC Authority Granted for Use of CONSENSUAL
Monitoring Equipment!, and may be granted-under the conditions that:
. .v
ELSURs not approved by an appropriate court!, as documented by an ' iii; executed Form FD-472 Telephone Device Consent!, whenever possible;Qiigt however, oral consent will be acceptable in those instances where the
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Part II . - PAGE 10
consenting party declines to give written consent." When oral consentis obtained, at least two Law Enforcement Officers one of whom shouldbe an Agent of the FBI! should be present to witness this consent.The fact that the consenting party has declined to give written
consent should be recorded on the FD-4723' This form should then beexecuted in all respects with the exception of the consenting party'ssignature. Once the consent form has been obtained, it will not be
necessary to obtain a separate consent form for each instance whereinconversations are to be monitored and/or recorded. "It is sufficientif the consent form is signed for each investigation so long as theoffice has obtained telephonic consensual monitoring authority and thesubject matter for which the authority was granted; the consenting
party"5F~§artiE§*t¬_th¬ iHtEféEpti5n}'and/Er the'judicia1 district' onot change. This consent form shall remain valid until such time asthe consenting party expresses the desire, either orally or inwriting, to a Special Agent of the FBI to rescind the consent;
. b! Prior to its initial use, the USA, AUSA, orStrike Force Attorney for the particular investigation in which themonitoring will be utilized should provide an opinion that noentrapment is foreseen'and concur with the monitoring and/or recordingof the conversation as an investigative technique. This initial
concurrence should be confirmed in writing. Whenever a change in parties or circumstances occur, subsequent opinions should be obtainedand confirmed in writing. See HIOG, Part II, 10-10.3 2!.!
- c! Consensual monitoring conducted outside thedivision in which authorization is obtained requires coordination withand concurrence from the SAC of each division where the monitoring _will occur. |Such concurrence must be documented in writing by theoffice of origin if not documented by the lead office in the ECforwarding the recordings to the requesting office.| .
d! A separate control file for telephone monitoringshould be established in each field office and appropriate documentsrelative to the authorization and utilization of this procedure shouldbe retained. This control file will be for the purpose of the SAC'sadministrative control and for review during inspection.
e! The FD-759 is to be typewritten, completed inits entirety and forwarded as indicated on the copy count of the formwithin ten working days of the date authority is granted as indicatedin Item 5 of the form. In those investigations wherein both
telephonic and nontelephonic consensual monitoring authority is .granted, SAC approval may be documented on one FD-759. .This may bedone only when both techniques are being used in the same
- . . 92
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Manual of Investigative Operations and GuidelinesPart II *..,; . _ . I PAGE 10 ' . .-E . "- '. . - _ , -_ EL . _ _ J ;. |_ ' ' ~investigative case and all facts required on the FD-759 are the samefor both techniques. Any variations in the facts contained on the FD~759 will require two separate FD-759s, such as more than oneconsenting party or the duration for which the authority is grantedfor each technique differs, etc. Telephonic consensual monitoringauthority is case.specificand is not transferrable to any otherinvestigation except when the case file under which the authority wasgranted is consolidated or reclassified. FD759s documenting onlytelephonic consensual monitoring authority need not be forwarded toFBIHQ. See HIOG, Part II, 1010.3 !.!
! In cases of extreme sensitivity, SACs should continue-. 70. .'$Q1;. A - ' " ',*.-. 4 $2 . _ 92 . - _ 1.. V , .l!._. . . . . ,,. A __ aI92.:s'-H '-** in"-f'~*--~*~--~-:f~*%- - --~~-- -i -~----Ag-.~?--i - -- ---- as -7 _----_ 7. - -4- -_s_. __-__ __..i_.. _ _ . . _. __ ".%_;92 L. . . - »g~'¢j-- » - . ..,;;ir._
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toobtain"FBIHQ_authority for"consensual_monitoring"of telephone*conversations. Title III of the Omnibus Crime Control and SafeStreets Act of 1968 specifically exempts consensual monitoring bothtelephonic and body recording equipment! from the provisions of thestatute.
! In certain situations, it may be more effective andefficient to utilize threeway or conference calling in conjunctionwith approved telephonic consensual monitoring. Once consent formshave been signed and authorization received, three-way or conferencecalling may be used to make more efficient use of an Agent's timeand/or to alleviate the necessity for faceto-face_contact with theconsenting party, thereby avoiding the compromise of a covertinvestigation. However, the use of conference calling is notappropriate in all cases. In some instances, it may be desirable forthe Agent to be with the consenting party at the time the call isplaced in order that the Agent may utilize notes or gestures toprovide information and guidance to the consenting party during thecourse of the call. _ '
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92 DELETED PAGE INFORIVIATION SHEET - .
_i___ Page s! withheld entirely at this location in the le. One -or more of the following statements, where indicated,
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D Deletions were made pursuant to the exemptions indicated below with no segregable material available for
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Documents originated with another Government agency ies!. These documents were referred to that agency ies!
I Pages contain information furnished by another Government agency ies!. You will be advised by the FBI as
Page s! withheld for the following reason s!: _to the releasability of this information following our consultation with the other agencyes!.
Page s! withheld inasmuch as a nal 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 _
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Manual of Investigative Operations and Guidelines
Part II u _ - I PAGE 10 - 73
C . I
EFFECTIVE: G5/10/96
10-10.3 Monitoring Nontelephone Communications In Criminal Hatters
" See moo, Part 1, 7-14.64!, 9-7.z!, 91-11.3.3,
192-15; Part II, 10-9.9!, 10-10.9.3!, 167.4.1; &
Legal Handbook for Special Agents, B-3.3.3!.!'I
An FD-671, Checklist - Consensual Monitoring - i
Nontelephone Criminal Hatters! form, lists all recordkeeping and
operational requirements specified in the HIOG, HAOP, and the "ELSUR
_ Working Guide." This form is available for optional use as aQ :i'g reference and training aid to ensure adherence to all existing BureauJP ' 92Z' requirements. I '
I .
Sensitive
92J PRINTED: 02/ 18/98
92 *"'"~**"""" * "*'- ""**'~" " '
.-__ _
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Sens 1. t ive
Manual of Investigative Operations and Guidelines
Part II ' _ " PAGE 10 - 74
' ! Nontelephonic Consensual Monitoring NTCH! in
criminal matters may be approved by the SAC, except when one or more
of the seven sensitive circumstances is present. Requests for
authority to conduct consensual monitoring when any of the seven
sensitive circumstances are present will be submitted to FBIHQ for
Department of Justice approval in ROUTINE situations, and can be
approved by the SAC when an emergency situation exists. EMERGENCY
situations are those wherein the monitoring is expected to take place
within 48 hours. Emergency authority cannot exceed 30 days and
requests for extension will be submitted to FBIHQ for Department of"
Justice approval. See !, 9! and 0!.!
' SAC approval for routine nonsensitive NTCM usage or for -
emergency NTCH usage involving sensitive circumstances is to be
documented on Form FD-759 Notification of SAC.Authority Granted for
Use of CONSENSUAL Monitoring Equipment!. The FD-759 is to be
typewritten, completed in its entirety and forwarded to the
appropriate FBIHQ entities within ten working days of the date :5? authority is granted as indicated in Item 5 of the form. See MIOG,
- -* Part II, 10-10.2 ! e!.! NTCM authority is case specific and is not _|;M?
:I" transferrable to any other investigation except when the case file
under which the authority was granted is consolidated or
reclassified. - -
SAC authority to approve NTCM usage in all but the seven
sensitive circumstances may not be redelegated; however, an acting SAC
may authorize Agents to conduct routine.consensua1 monitoring, if
specifically and individually designated by the SAC to act in his/her
stead when the SAC is absent. See MIOG, Part II, 10-9.11 8!.! The
seven sensitive circumstances are as follows: _
" a! The interception relates to an investigation of
a Member of Congress, a federal judge, a member of the Executive
Branch at Executive Level IV or above, or a person who has served*in
such capacity within the previous.two years;
b! The interception relates to an investigation of
any public official and the offense investigated is one involving-
bribery, conflict of interest, or extortion relating to the
performance of his or her official duties. Public official is
defined as an official of any public entity of government including
special districts as well as all federal, state, county, and municipal
governmental units.!;
tggggg c! The interception relates to an investigation of
-1..
__-L1 I --.-*'F§-
Sensitive. g,
_ , PRINTED: 02/18/93
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Manual of Investigative Operations and Guidelines
Part II '
enforcement officia a federal law
" d! The consent
member of the diplomatic corps of
e! The consenting or nonconsenting person is or has
of the Witness Security Program and that fact is known been a member
to the agency involved or its off
f! The consenting or nonconsenting person is in the
custody of the Bureau of Prisons
Service; in cases where the individual is in the custody of the Bureau
of~Prisonseor_the-United-States_M
teletype requesting authorization
devices on a prisoner, or a reque
transfer of a prisoner, must cont
addition to that information set
i 1. The 10c
' 2. Identif
FBI number, inmate identificatio
etc.!;
3. The nec
investigation; 'i PAGE 10
12
- - /' 0ing or nonconsenting person 15 a
a foreign country;
icers; '
or the United States Marshals
arshals~Service,"the~fie1dYoffice We75c
for use of consensual monitoring
st for a furlough or extraordinary
ain the following information in
out in 10-10.3 9!:
ation of the prisoner;
ying data-concerning the prisoner
n number, social security number,
essity for using the prisoner in the
4. The name s! of the target s! of the
investigation; '
5. Nature
consensual monitoring device, Eur
6, Securit
prisoner's safety if necessary;
- 7. Length
in the activity;
i8. Whether
witness;
- 9. Whether
will be necessary upon completion
- 10. shether
PRINTED: 02/18/98' "Q?of the activity requested wear
lough, extraordinary transfer!;
y measures to be taken to ensure the
of time the prisoner will be needed
the prisoner will be needed as a
a prison redesignation relocation!
of the activity; .
the prisoner will remain in the
Sensitive
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Hanual.of Investigative Operations and Guidelines
Part II _ _ PAGE 10
custody of the FBI or whether he/she will be unguarded except for
security purposes. "
The authority of the SAC to approve consensual monitoring when an
emergency situation exists does NOT alter the requirement for priorDOJ authorization to use a prisoner who is in the custody of the
Bureau of Prisons BOP!, or the United States Marshals Service USMS!.
Accordingly, field offices are required to continue coordinating the
use of a prisoner, who_is the subject of consenting_or nonconsenting
monitoring, through FBIHQ as set forth in MIOG, Part II, 10-10.3 and
27l6.5. - A
____-44_m_ g!_eThe_Attorney_General,~Deputy Attorney General, e76
Associate Attorney General, Assistant Attorney General for the
Criminal Division, or the United States Attorney in a district where
an investigation is being conducted has requested the investigating
Aagency to obtain prior written consent for making a consensual
interception in a specific investigation.
The presence of one or more of the above seven circumstances requires
Office of Enforcement Operations, DOJ approval. Additionally, all
requests requiring DOJ approval shall be reviewed and approved by the
Chief Division Counsel CDC! prior to submission of the communication
to FBIHQ with the name of the CDC stated in the requesting
communication. ,
! The Guidelines also mandate the FBI's obtaining prior
authorization from the United States Attorney, Assistant United States
Attorney, Strike Force Attorney or any other previously designated DOJ
attorney for the particular investigation in which the monitoring will
be utilized.
!. The Director has delegated authorityto the SAC to
approve NTCH of verbal communications except when the circumstances
listed in HIOG, Part II, 10-10.3 ! above, are present. SACs may
authorize NTCM usage for the duration of nonsensitive investigations
so long as the circumstances under which the authority was granted
i.e., the subject matter, the consenting party or parties to the
interception, and the judicial district wherein monitoring will take
place! do not substantially change--the authorization will remain
valid. Where such changes are noted, consideration should be given by
the SAC to determine whether or_not the NTCM authority should continue
or new authority obtained. Where new authority is obtained, a new FD
759 must be completed.
! Consensual monitoring conducted outside the division
Sensitive
PRINTED: 02/18/98F
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~ Sensitive
Hanual of Investigative Operations and Guide
Part 11f PAGE 10 - 77 _~
in which authorization was obtained requires
concurrence from the SAC of each division wh
occur. |Such concurrence must be documented
of origin if not documented by the lead offi
the recordings to the requesting office.|lines
coordination with and
ere the monitoring will
in writing by the office
ce in the EC forwarding
' ! Agents should obtain written consent, documented by -
an executed FD*473 Nontelephone Device Cons
possible. However, oral consent will be accent! form, whenever ' .
eptable in those instances
where the consenting party declines to give written consent. When
oral consent is obtained, at least two Law Enforcement Officers one
of whom should be an Agent of the FBI! shoul
e*~»this~consent.The~fact that the-consenting~
written consent should be recorded on the FD
then be executed in all respects, with the e
consenting party's signature.
! Once the consent form has b
be necessary to obtain a separate consent fo
wherein communications are to be monitored a
sufficient if the consent form is signed ford be present to witness
party-has~dec1inedsto gives
-473. This form should
xception of the
een obtained, it will not
rm for each instance
nd/or recorded. It is
each investigation solong as the office is continuing to operate under the same authority
and the subjects target s! and consenting p
consent form shall remain valid until such t
party expresses the desire, either orally or
Agent of the FBI to rescind the consent.
! No exception should be made
witnessing the consent form in the situation
cooperative witness CW!, a Special Agent or
officer is the consenting party. See MIOG,
!.! The consent form constitutes an accur
record that may be_utilized in a court in th
consent is raised or the administrative proc
documented to assure the court compliance wi
2511 ! c!. As in any case involving consarty! do not change. This
ime as the consenting
in writing, to a Special
to executing and properly
wherein an informant,
any other law enforcement
Part II, 10-10.1 ! and
ate, reliable, official
e event the issue of
edure needs to be
th Title 18, USC, Section
ensual monitoring, it is
essential that the consenting party be present at all times when the
monitoring equipment is activated.'
8! SAC or DOJ authority is required in joint operations 'with nonfederal law enforcement agencies in which FBI nontelephone
monitoring equipment will be used. See HIOG, Part II, 16-7.3.4!.!
9! In requesting Departmentiof
for use of nontelephonic consensual mon
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