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SECTION 159. LABOR-MANAGEMENT REPORTING AND DISCLOSURE ACT OF l
1959 INVESTIGATIVE MATTER!
159-1 STATUTES
I" Title 29, USC,[Sections|501 c!, 503 b!, c!, 504, 522,and 530. " ' p p
EFFECTIVE: 05/28/85
159-1.1. Section 501 c!
EFFECTIVE: 05/28/85
:25' 1s91.1.1 Elements .
! " c! any person who embezzles, steals, or unlawfullyand willfully abstracts or converts to his own use, or the use ofanother, any of the moneys, funds, securities, property, or otherassets of a labor organization of which he is an officer, or by whichhe is employed, directly or indirectly, shall be fined not more than$10,000 or imprisoned for not more than five years, or both."
EFFECTIVE: 05/23/85
159-1.2 ' oSections 503 b! & c!
EFFECTIVE: os/2s/as
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. 159-1.2.1 Elements
' ! h! No...employer shall directly or indirectly paythe fine of any officer or employee convicted of any willful violation
of this chapter. '
! " c! Any person who willfully violates this sectionshall be fined not more than $5,000 or imprisoned for not more than
one year, or both." '
! Section 503 b! also prohibits the payment of a fine
by_a,labor4organizationwof_any"officergor_employee_convicted of_any
willful violation of this chapter. Such violations are investigatedby the Department of Labor. '
EFFECTIVE: 05/28/85
:ji_ 159-1.3 Section 504
' - EFFECTIVE: 05/2a/as
159-1.3.1 Elements
! " a! No person...uho has been convicted of, orserved any part of a prison term resulting from his conviction of,robbery, bribery, extortion, embezzlement, grand larceny, burglary, Aarson, violation of narcotics laws, murder, rape, assault with intentto kill, assault which inflicts grievous bodily injury, or a violationof subchapter III or IV of thislchapter, any felony involving abuse ormisuse of such person's position or employment in a labor organizationor employee benefit plan to seek or obtain an illegal gain at theexpense of the members of the labor organization or the beneficiariesi of the employee benefit plan, or conspiracy to commit any such crimesor attempt to commit any such crimes, or a crime in which any of theforegoing crimes is an element, shall serve or be permitted to serve-
' " l! as a consultant or adviser to any labor
_ organization, 92
A "! as an officer, director, trustee, member §;¬_ of any executive board or similar governing body, business agent,Qégg y manager, organizer, employee, or representative in any capacity of any
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labor organization,
"! as a labor relations_consultant or adviser to a
person engaged in an industry or activity affecting commerce, or as
an officer, director, agent, or employee of any group or associationof employers dealing with and labor organization, or in a position
having specific collective bargaining authority or directresponsibility in the area of labor-management relations in anycorporation or association engaged in an industry or activity
affecting commerce, or e
. "! in a position which_gn§itlss its __m__V___mf_4_*62Eh555E"EB'E"§H5¥E*5?"EE5"5¥BEEEas"dfI'¢& as an officer or executive
or administrative employee of, any entity whose activities are in
whole or substantial part devoted to providing goods or services to
any labor organization, or
' "! in any capacity, other than in his
capacity as a member of such labor organization, that involvesdecisionmaking authority concerning, or decisionmaking authority over,or custody of, or control of the monies, funds, assets, or property ofany labor organization, during or for the period of thirteen yearsafter such conviction or after the end of such imprisonment, whichever
is later, unless the sentencing court on the motion of the person convicted sets a lesser period of at least three years after such
conviction or after the end of such imprisonment, whichever is later,or unless prior to the end of such period, in the case of a person so
convicted or imprisoned, A! his citizenship rights, having beenrevoked as a result of such conviction, have been fully restored, or B! the United States Parole Commission determines that such person'sservice in any capacity referred to in clauses ! through ! would
not be contrary to the purposes of this Act. Prior to making anysuch determination the Commission shall hold an administrative hearing
and shall give notice of such proceeding by certified mail to theSecretary of Labor and to State, county, and Federal prosecutingofficials in the jurisdiction or jurisdictions in which such personwas convicted. The Commission's determination in any such proceeding§ shall be final. No person shall knowingly hire, retain, employ, or1 otherwise place any other person to serve in any capacity in violation
of this subsection."|
shall be fined not more than $10,000 or imprisoned for not more thanfive years, or both."92 -
! 92" c! For the purpose of this section-
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"! A person shall be deemed to have been '
i convicted and under the disability of conviction from the date ofthe judgment of the trial court, regardless of whether that judgment
remains under appeal.' "! A period of parole shall not be considered as I
p part of a period of imprisonment."l .
92 ! |" d! Whenever any person- _' " l! by operation of this section, has been barred
from office or other position in a labor organization as a result ofia
conviction, and 92___ W _g _ _"!w_hasWfi1ed an_appeal_ofWthat conviction,_anyu"W _ _4W____4z____gdsalary which would be otherwise due such person by virtue of such
office or position, shall be placed in escrow by the individualemployer or organization responsible for payment of such salary.Payment of such salary into escrow shall continue for the duration ofthe appeal or for the period of time during which such salary would be
otherwise due, whichever period is shorter. Upon the final reversalof such person's conviction on appeal, the amounts in escrow shall be ' paid to such person. Upon the final sustaining of such person'sE conviction on appeal, the amounts in escrow shall be returned to the
92»~"l individual employer or organization responsible for payments of those
amounts. Upon final reversal of such personis conviction, such person
shall no longer be barred by this statute from assuming any position
92 from which such person was previously barred."
! Subchapter III of this chapter deals with reportingby labor organizations, officers and employees of labor organizations,and employers. Subchapter IV deals with trusteeships. Violations of
these chapters are investigated by Department of Labor.
EFFECTIVE: 05/28/85
159-1.4 Section 522 .
EFFECTIVE: 05/28/85
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159-1.4.1 Elements
! " a! It shall be unlawfu1_to carry on picketing on
or about the premises of any employer for the purpose of, or as part
of any conspiracy or in furtherance of any plan or purpose for, thepersonal profit or enrichment of any individual except bona fide -
increase in wages or other employee benefits! by taking or obtainingany money or other thing of value from such employer against his willor with his consent." i '
! b! Any person who willfully violates this section
§IL'_1_1 rb=-.£in_ssLI12t sores ths2i1°,_°00r_=>r imPri§.@e¢:>°trm=1r.§ thax r- 5
1_
92s=twenty years or both."
EFFECTIVE: 05/23/85
159-1.5 Section 530
EFFECTIVE: 05/28/85
159-1.5.1 Elements
! "It shall be unlawful for any person through the use
of force or violence, or threat of the use of force or violence, to
restrain, coerce, or intimidate or attempt to restrain, coerce, or
intimidate any member of a labor organization for the purpose of
interfering with or preventing the exercise of any right to which he
is entitled under the provisions of this chapter. Any person whowillfully violates this section shall be fined not more than $1,000 or
imprisoned for not more than one year, or both." I
EFFECTIVE: 05/28/85
159-Z BILL OF RIGHTS OF MEMBERS OF LABOR ORGANIZATIONS
The principal rights to which a member of a labor
organization is entitled under the provisions of this act are set
in Title 29, USC, Sections 411, 412, 414, and 415.out
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159-2.1 Section 411
EFFECTIVE: 01/31/73
159-2.1.1 Bill of Rights; Constitution and Bylaws of Labor
Qrsasizstionsr .___- '* 7 c , i '7 l_. .-vkY
l! " a! ! Equal rights - Every member of a labor
organization shall have equal rights and privileges within such
organization to nominate candidates, to vote in elections or
referendums of the labor organization, to attend membership meetings,
and to participate in the deliberations and voting upon the business
of such meetings, subject to reasonable rules and regulations in such
organization's constitution and bylaws.r"wl
92:*" "! Freedom of speech and assembly - Every member of any
labor organization shall have the right to meet and assemble freely
with other members; and to express any views, arguments, or opinions;
and to express at meetings of the labor organization his views, upon
' candidates in an election of the labor organization or upon any
business properly before the meeting, subject to the organization's
established and reasonable rules pertaining to the conduct of
meetings: Provided, that nothing herein shall be construed to impair
the right of a labor organization to adopt and enforce reasonable
rules as to the responsibility of every member toward the organization
as an institution and to his refraining from conduct that would
interfere with its performance of its legal or contractual
obligations. '
"! Dues, initiation fees, and assessments r Except in
the case of a federation of national or international labor
organizations, the rates of dues and initiation fees payable by
members of any labor organization in effect on September 14, 1959
shall not be increased, and no general or special assessment shall be
levied upon such members, except
" AD in the case of a local labor organization, i!
by majority vote by secret ballot of the members in good standing
voting at a general or special membership meeting, after reasonable
notice of the intention to vote upon such question, or ii! by
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majority vote of the members in good standing voting in a membership
referendum conducted by secret ballot; or l '
" B! in the case of a labor organization, other than
a local labor organization or a federation of national or * '
international labor organizations, i! by majority vote of the
delegates voting at a regular convention, or at a special convention
of such labor organization held upon not less than thirty days
written notice to the principal office of each local or constituent
labor organization entitled to such notice, or ii! by majority vote
of the members in good standing of such labor organization voting in a
membershinmsesreassmusqnéeqted by 5Q9EBt_baL10t,_0r_ iiil by maj9:ity.__"
vote of the members of the executive board or similar governing body
of such labor organization, pursuant to express authority contained in_
the constitution and bylaws of such labor organization: Provided,
that such action on the part of the executive board or similar f
governing body shall be effective only until the next regular
convention of such labor organization.
"! Protection of the right to sue - No labor '
organization shall limit the right of any member thereof to institute
an action in any court, or in a proceeding before any administrative
agency, irrespective of whether or not the labor organization or its
officers are named as defendants or respondents in such action or
proceeding, or the right of any member of a labor organization to
appear as a witness in any judicial, administrative, or legislative
proceeding, or to petition any legislature or to communicate with any
legislator: Provided, that any such member may be required to exhaust
reasonable hearing procedures but not to exceed a fourmonth lapse of
time! within such organization, before instituting legal or
administrative proceedings against such organizations or any officer
thereof: And provided further, that no interested employer or
employer association shall directly or indirectly finance, encourage,
or participate in, except as a party, any such action, proceeding,
appearance, or petition.
"! Safeguards against improper disciplinary action - No
member of any labor organization may be fined, suspended, expelled, or
otherwise disciplined except for nonpayment of dues by such
organization or by any officer thereof unless such member has been A!
served with written specific charges; B! given a reasonable time to
prepare his defense; C! afforded a full and fair hearing.
! " b!_ Any provision of the constitution and bylaws of
any labor organization which is inconsistent with the provisions of
this section shall be of no force or effect."
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159-2.2 Section 412
EFFECTIVE: 01/31/73
159-2,-2,_1_i .§i!i1.. A<=ti9s_.¬.9.r_._.I_nf 1tinssn1en§_q§_E.i.shL_s;_-.1 ut1:ia<1' _t_i9_r,1____
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_ ! "Any person whose rights secured by the provisions of
this subchapter have been infringed by any violation of this
subchapter may bring a civil action in a district court of the United
States for such relief including injunctions! as may be appropriate.
Any such action against a labor organization shall be brought in the
district court of the United States for the district where the alleged
violation occurred, or where the principal office of such labor
organization is located."
EFFECTIVE: U1/31/78
159-2.3 Section 414
EFFECTIVE: 01/31/78
159-2.3.1 Right to Copies of Collective Bargaining Agreements
! "It shall be the duty of the secretary or
corresponding principal officer of each labor organization, in the
.case of a local labor organization, to forward a copy of each
collective bargaining agreement made by such labor organization with
any employer to any employee who requests such a copy and whose rights
as such employee are directly affected by such agreement, and in the
case of a labor organization other than a local labor organization, to
forward a copy of any such agreement to each constituent unit which
has members directly affected by such agreement; and such officer
shall maintain at the principal office of the labor organization of
which he is an officer copies of any such agreement made or received
by such labor organization, which copies shall be available for
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inspection by any member or by any employee whose rights are affectedby such agreement. The provisions of Section 440 of this title shall
be applicable in the enforcement of this section."
! Section 4O of Title 29, USC, deals with the
authority of the Secretary of Labor to bring civil actions where
appropriate.
EFFECTIVE: O1/31/78
159-2.4 Section 415
EFFECTIVE: U1/31/73
159-2.4.1 Information to Members of Provisions of Chapter
! "Every labor organization shall inform its members
concerning the provisions of this chapter."
EFFECTIVE: O1/31/78
159-3 OTHER RIGHTS TO WHICH A MEMBER OF'A LABOR ORGANIZATION IS
ENTITLED UNDER THE PROVISIONS OF THIS ACT
! Right to inspect reports - Title 29, USC, Sections
431 =! and 461 b! E
Every labor organization required to submit a report
under subchapters III and IV of this chapter shall make the
information contained in such report available to all its members.
! Right to inspect books Title 29, USC, Sections 431
c! and 461 b! '
Any member may for just cause inspect books, records,
and accounts in order to verify reports made under subchapters III and
IV of this chapter.
! Right to have literature distributed - Title 29, USC,
Section 481 c!
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Every national or international labor organization except a federation of national or international labor organizations!and every local labor organization shall have the duty to comply withany reasonable request to distribute campaign literature for any bona
fide candidate at the candidate's expense, and to refrain fromdiscrimination for or against any candidate with respect to the use of
membership lists and with respect to the distribution of campaign
literature of candidates. -
! Right to inspect membership lists - Title 29, USC,
_S__e__c t_ip_n__48,l,_ c!_=____z__.._._ 7 _ _.. z_.__"___.__
' Any bona fide candidate may, once within 30 daysbefore the election, inspect a list of members who are subject to
union-security agreements, which list must be maintained and kept at
principal office of the organization.
! Right to have an observer at the polls Title 29,
USC, Section 481 c! 92
Any candidate shall have the right to have adequate
safeguards to insure a fair election, including the right to have an
observer at the polls of an election and at the counting of the
ballots.
! Right to be a candidate - Title 29, USC, Section 481
e! -
Every member in good standing shall be eligible to b
a candidate subject to Title 29, USC, Section 504, and reasonable
qualifications uniformly imposed!. "8
! Right to choose candidates " Title 29, USC, Section
481 e!
A reasonable opportunity shall be given for the
nomination of candidates and every member in good standing shall have
the right to vote for or otherwise support candidates of his choice
and to have the prescribed notice of election.
- ~ 8! Right with respect to removal of officers - Title 29,
USC, Section 481 h!
If the Secretary, upon application by any member of a
local labor organization, finds the constitution and bylaws do not
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provide an adequate procedure to remove an elected officer guilty of
serious misconduct, such officer_may be removed by members in good
standing voting in secret ballot; _ 4 '
9! Right to recover damages to the union - Title 29,
USC, Section 501 b!
Any member may sue to recover damages or secure an
accounting when an officer has violated his fiduciary duties and
responsibilities and the labor organization refuses to bring such an
action.
EFFECTIVE: 01/31/78
159-4 DEFINITIONS TITLE 29, usc, SECTION 402!
"For the purposes of this chapter -
! " a! Commerce means trade, traffic, commerce,
transportation, transmission, or communication among the several
States or between any State and any place outside thereof.
! " b! 'State' includes any State of the United States,
the District of Columbia, Puerto Rico, the Virgin Islands, American
Samoa, Guam, Wake Island, the Canal Zone, and Outer Continental Shelf
lands defined in the Outer Continental Shelf Lands Act." Title 43,
usc, Sections 1331-1343.!
! " c! Industry affecting commerce means any
activity, business, or industry in commerce or in which a labor
dispute would hinder or obstruct commerce or the free flow of commerce
and includes any activity or industry affecting commerce within the
meaning of the Labor Management Relations Act, 1947, as amended, or in
the Railway Labor Act, as amended.
- ! " d! Person includes one or more individuals, labor
organizations, partnerships, associations, corporations, legal
representatives, mutual companies, jointstock companies, trusts,
unincorporated organizations, trustees, trustees in bankruptcy, or
receivers. '
! " e! Employer means any employer or any group or
association of employers engaged in an industry affecting commerce !
which is, with respect to employees engaged in an industry affecting
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commerce, an employer within the meaning of any law of the UnitedStates relating to the employment of any employees or ! which may
deal with any labor organization concerning grievances, labordisputes, wages, rates of pay, hours of employment, or conditions of
work, and includes any person acting directly or indirectly as anemployer or as an agent of an employer in relation to an employee but
does not include the United States or any corporation wholly owned by
the Government of the United States or any State or_political
subdivision thereof.
! " f! 'Employee' means any individual employed by an
consequence of, orlin connection with, any current labor dispute or
because of any unfair labor practice or because of exclusion orexpulsion from a labor organization in any manner or for any reason
inconsistent with the requirements of this chapter.
! " g! Labor dispute includes any controversyconcerning terms, tenure, or conditions of employment, or concerningthe association or representation of persons in negotiating, fixing,maintaining, changing, or seeking to arrange terms or conditions ofemployment, regardless of whether the disputants stand in the
proximate relation of employer and employee.
! " h! Trusteeship means any receivership,trusteeship, or other method_of supervision or control whereby a labor
organization suspends the autonomy otherwise available to a
subordinate body under its constitution or bylaws.
9! " i! Labor organization means a labor organization
engaged in an industry affecting commerce and includes anyorganization of any kind, any agency, or employee representationcommittee, group, association, or plan so engaged in which employeesparticipate and which exists for the purpose, in whole or in part, of
dealing with employers concerning grievances, labor disputes, wages,rates of pay, hours, or other terms or conditions of employment, andany conference, general committee, joint or system board, or jointcouncil so engaged which is subordinate to a national or international
labor organization, other than a State or local central body.
0! " j! A labor organization shall be deemed to be
engaged in an industry affecting commerce if it -
" l! is the certified representative ofemployees under the provisions of the National Labor Relations Act, as
amended, or the Railway Labor Act, as amended; or
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"! although not certified, is a national or
international labor organization or a local labor organization
recognized or acting as the representative of employees of an employeror employers engaged in an industry affecting commerce; or '
' "! has chartered a local labor organization or
subsidiary body which is representing or actively seeking to representemployees of employers within the meaning of paragraph ! or !; or
"! has been chartered by a labor organization
representing"9r actjvely_seeking to represent employees_within the_WWz_
meaning of paragraph ! or ! as the local or subordinate body"
through which such employees may enjoy membership or become affiliated
with such labor organization; or
"! is a conference, general committee, joint
or system board, or joint council, subordinate to a national or
international labor organization, which includes a labor organizationengaged in an industry affecting-commerce within the meaning of any of
the preceding paragraphs of this subsection, other than a State or
local central body.
ll! " k! Secret ballot means-the expression by ballot,voting machine, or otherwise, but in no event by proxy, of a choice
with respect to any election or vote taken upon any matter, which is
cast in such a manner that the person expressing such choice cannot be
identified with the choice expressed. _
2! "! Trust in which a labor organization is
interested means a trust or other fund or organization ! which was
created or established by a labor organization, or one or more of the
trustees or one or more members of the governing body of which is
selected or appointed by a labor organization, and ! a primarypurpose of which is to provide benefits for the members of such labor
organization or their beneficiaries.
3! " m! Labor relations consultant means any person
who, for compensation, advises or represents an employer, employer
organization, or labor organization concerning employee organizing,
concerted activities, or collective bargaining activities.
4! " n! Officer means any constitutional officer, any
person authorized to perform the functions of president, vice
'president, secretary, treasurer, or other executive functions of a
labor organization, and any member of its executive board or similar
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governing body.
5! " o! Member' or member in good standing, when used
in reference to a labor organization, includes any person who hasfulfilled the requirements for membership in such organization, and
who neither has voluntarily withdrawn from membership nor has been
expelled or suspended from membership from appropriate proceedings
consistent with lawful provisions of the constitution and bylaws of
such organization. '
6!" p! Secretary means the Secretary of Labor.
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1_ 7! " q! Officer, agent, shop steward, or other
representative, when used with respect to a labor organization,
includes elected officials and key administrative personnel, whether
elected or appointed such as business agents, heads of departments or
major units, and organizers who exercise substantial independentauthority!, but does not include salaried nonsupervisory professional
staff, stenographic, and service personnel._
8! " r! District court of the United States means a
United States district court and a United States court of any place
subject to the jurisdiction of the United States."
EFFECTIVE: 01/31/78
159-5 JURISDICTION
Jurisdiction under the statute is assigned to the
Secretary of Labor. On 2-16-60 the Attorney General and the Secretary
of Labor signed a Memorandum of Understanding whereby the Secretarydelegated jurisdiction with respect to the above-quoted portions of
the act to the Department of Justice. Labor Department retained
'urisdiction as regards civil enforcement actions and other criminalJ"violations not quoted above. The pertinent portion of the text of the
Memorandum of Understanding dealing with the investigation of criminal
violations is as follows:. 92
l "2. Investigations of Matters made Criminal by the Act
"Subject to specific arrangements agreed upon by the
De artment of Justice and the Department of Labor on a case-byrcase _P .basis, investigation under the Act will be conducted as follows:
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" a! The Department of Labor will through its own
staff investigate those criminal matters arising under: -
"1. Title II Reporting by labor organizations,
officers and employees of labor organizations and employers!.
"2. Title III Trusteeship!.
"3. Section 502 Bonding! of Title V.
"4. Section 503 a! Making of loans by labor
Title V.
"5. That part of Section 503 b! of Title V
which relates to the payment of a fine of a laboriofficial or employee
by a labor union.
" b! The Department of Justice will, under
delegation from the Secretary of Labor, investigate those criminal
matters arising under: -
"1. Section 501 ! Embezzlement of union
funds! of Title V.
"2. That part of Section 503 b! of Title V
which refers to a payment of a fine of a labor official or employee by
an employer.
i "3. Section 504 Prohibition against certain
persons from holding office! of Title V.
"4. Section 505 Containing an amendment to
section 302, Labor Management Relations Act of 1947, as amended! of
Title V." See Part I, Section 122 of this manual.!
"5. Section 602 extortionate picketing! of
Title VI. .
' "6. Section 610 deprivation of rights by force
and violence! of Title VI."
EFFECTIVE: 05/10/82
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159-6 {SIGNIFICANT EXCLUSIONS IN COVERAGE
_ ! Unions comprised solely of.employees of the United
States, or any corporation wholly owned by the United States. _
' ~ a! Exception - unions comprised of employees of the
U.S. Postal Service are covered by the Labor-Management Reporting and
Disclosure Act LMRDA! of 1959 by virtue of the Postal Reorganization
Act, Title 39, usc, Section 1209. '
b! Violations involving internal union affairs by
Federal empl9y§g_unions_are investigated_byFthe_Department_pfmLabor__ 4 UUiY by virtue of the Civil Service Reform Act, Title 5, USC, Section
1101, and Executive Order 11491, as amended in 1978.
A ! Unions comprised solely of employees of any state or
political subdivision thereof.
Exception - DOL holds that a labor organization comprised of state or
local government employees is covered by LMRDA if the local admits to
membership at least one privateindustry employee.|
EFFECTIVE: U5/10/82
159-7 IPOLICY
! Allegations, together with any pertinent information
in field office files, should be discussed with USA immediately to
determine whether violation is indicated, and if so, specific section
involved. If violation is within Labor Department's jurisdiction,
furnish USA sufficient information to enable him/her to refer
complaint to Labor-Management Services Administration, and submit
closing airtel and LHH. If violation is within our jurisdiction,
obtain USA's opinion as to whether material furnished contains a
sufficient indication of possible violation to justify investigation
by the Bureau and prosecution in Federal court or whether he/she
desires to refer the matter to local authorities.
! If USA requests matter be referred to local
authorities, determine if violation is one that if conviction
resulted would prohibit a person from holding a union office Title
29, USC, Section 504!. If conviction of the crime would bar subject
from holding a union office, advise local authorities upon referral.
Also, the name and mailing address of the local prosecutor to which
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the case was referred should be set forth in the closing LHM. When
serious matters i.e., deprivation of union member rights by force
or violence! are referred to state or local authorities for_
prosecution, depending on availability of resources, the status of
prosecution should be followed 120 days after-referral. If state or
local authorities decline prosecution or fail to commenceprosecutive action within 120 days, rediscuss with USA and ascertain
if investigation is desired. The discussion with USA should be
confirmed by letter.
! Joint interviews may be conducted with DOL on- 17
_authorityWof_SACmand_decided"on_a_case:by:case_basis-__However,__joint investigations with DOL may only be conducted with FBIHQ
authority and will be decided on a case-by-case basis. Requests
joint investigations should be submitted by airtel, unless
circumstances dictate otherwise, and the communication should
contain sufficient justification for the request, the opinion
USA, and a statement from the-SAC reflecting his concurrence.for
of the
!l FBI reports of LMRDA investigations may be
disseminated to DOL subject to the provisions of Rule 6 e!, Federal
Rules of Criminal Procedure, on the authority of the SAC. However,
dissemination should be decided on a case-bycase basis, and should be
with the concurrence of the USA. Questions should be resolved by
1 contact with FBIHQ.]
EFFECTIVE: 05/10/82
159-3 IINTERVIEN or UNION OFFICIALS _
These interviews may be conducted on the authority of the
SAC, provided all the following circumstances exist:
' ! Files of field office'where interview is to be
conducted contain no information to indicate such interview would be
1 inadvisable.
i ! Interview is not premature and other available
i sources of information desired from union official have been
exhausted.
i ! Interview is absolutely necessary in interest of
conducting complete and thorough investigation: "
1
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PRINTED: O2/18/93
».:_=,;l; ».,1. 1;:E92 _J
_.. 92_interview.]u_ I _s_ ,_, 0 _ V e _ 1 e___V_s-__meem___sa-___ee-_
92-..u-"2.Sensitive
Manual of Investigative Operations and GuidelinesPart I - - PAGE 159 -
- ! Interview will not interfere with any other
investigation of the official or union.
! FBIHQ is notified in advance in the event the _
interviewee is prominent, extremely controversial, or of such stature
as to focus national attention on the investigation.
EXCEPTION: Interviews with officials of national headquarters of a
I union are to be conducted on a UACB basis. The UACB communicationshould set forth sufficient identifying data on the union official as
well as recommendation as to advisability of and necessity for the
EFFECTIVEE 05/10/82
||159-9| INVESTIGATIVE PROCEDURE
EFFECTIVE: 05/10/82
l159*9.1| Embezzlement of Union Funds Title 29,]U.S. Code,|Section
501 c!!
' ! [Embezzlement investigation should develop in detail
shortages in funds of labor organization and independent evidence
should be secured to prove the person or persons responsible for shortage. Besides minute examination of accounting_or"othe;wgecords?, . l- .1;--' -=-92z"~» -"92w-*--- ¢'-- "'4" " -w ' -'4 '. ' _»-9-1' 1;»-.'» '-H -'_=-- ' " '-92 -of the union, p§£s9ns;wh0'are ind1cated,to have knojégggagfushontages --;.¢- -- -. - -5- -~ --1 " _ '.' _, ._' ':r-ct. ;-...1=92»- P ,--my-ix-e'_ 1.; . " - _ '-' - . ?"d;xg;,_.-¥s4%+4_:P*£R.%§§=§%_%<s§%§_/Essaas§,§EaT.§s+.%eR$%Eggjewé d,.-,~*?"%*'=+11FY °foer a ~ ersons; gr, Weis p wages» ou__n¢e£1nwLh ie, $Jé~@$9w@§;_wConsid_ _ 'Ftshouldbe_afforde ¬§:2§inggrecords?Isuch as?bank and_A "_~_-i,'_-_ I _,,;i"~ "-_f=r'*':jy;§'~;~*:v-go--.>;-K":-'-aA~ 9g.¢~Q;j»1,'92¢ 92l924'l$_I-I:rI<,:;?u-la-1-P' _,.lJ:s92,.-iv-og:§,Qie_!;9._-_~:@P|3:"{'lj4"92§ *1 92 ,_ r_,,otherpbusiness agounts,_i2g;0r*lhrough-qhich fundgéggpgpher assqqggf* "'msY.. h'=92's,§ ass. ii-l@§}Es!25%%s§++s.1?s."i1oLPs. 1=:=.r§%=1=1=*;fii'*92-'5 '=h'°*é**"s'=a 53= '15 'dwhichtfefi ds;of§the Fnionmare a1tered*or,destro ed or for some other~»,_r-;_."..1-*¢;:~=££-,s;>-0 ~ , 1 "bl J" '-" --" ' " -- - Y
I838O &I6Un8V31 a e.-*rsF1#L"~ ;~- . ~ six & g_....<.. -.
!92 Since funds of health, welfare, or pension plans are
separate from funds of labor unions or their locals, allegedembezzlement of such welfare funds is not considered covered byprohibition in this statute which deals solely with funds or other
assets of a union. A welfare fund is established in form of a trust,
the funds of which are contributed by employers, and such funds are
utilized for hospitalization, insurance, and pension benefits payable
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Manual of Investigative Operations and GuidelinesPart I PAGE 159 - 19
to members or their beneficiaries. As distinguished from funds of.awelfare plan, funds of a union are derived from dues, initiation fees,assessments, etc., payable by employees who.are union members, andunion funds are disbursed to officials of the union, as well as forpurchase of any material in connection with the official operation of
the union. In complaints received and investigations conducted, bealert to determine facts which specify whether alleged embezzlementpertains to money or other assets considered as property of a laborunion or money to be maintained in a welfare plan trust fund. Possible violations concerning funds of a welfare plan are coveredI inlPart I,92Sections 122 and 156, of this manual.!
EFFECTIVE: 05/10/82
[159-9.2] Payment of Union Officer's Fine By Employer Title
29,|U.S. Code,|Section 503 b!!
l!' The investigative jurisdiction of the Department of[:Q * Justice is confined to that portion of this section dealing with the-=' payment of a fine by an employer imposed on a labor union officer oremployee convicted of a willful violation of this Act. It does notprohibit an employer from paying a fine imposed on such person p
convicted of violating another law.
! Investigations concerning indicated violations ofthis section will closely parallel and generally will involve similaritems of proof necessary to establish a criminal violation of the -' I Labor Management Relations Act of 1947. See92Part I,92Section 122, of
this manual.!
EFFECTIVE: 05/10/82
29, |U.S Code,|Section 504 b!!I159-9.3 Prohibition Against Certain Persons Holding Office Title
_ ! Verify from examination of court records that subject _has been convicted of crime that falls within scope of this sectionand that conviction is not under consideration by higher court. Ifunder appeal and final judgment not rendered, conduct no furtherinvestigation and submit closinglairtel and LHH suitable for
.;yggfg i dissemination to the DOJ.|~ I<:<P>-.
Sensitive.
. PRINTED: 02/18/98
' " Sensitive
Manual of Investigative Operations and GuidelinesPart I . PAGE 159 - 20
. ! _If conviction was under state and local statute,
determine and report specific penal code citation.
! If the subject, prior to conviction, was active in a
particular labor organization or one particular local, investigation
should not be limited to determining whether|he/shejhascontinuedlhis/herIactivities with respect to this particular
organization or local alone; it should be determinedwhetherjhe/shelis active in any capacity prohibited under the Actincluding other labor organizations or as a labor relations consultantor officer, etc., of a group or association of employers dealing with I____i_anylabornorganization._w . ______ _. __ _ ' ,_im"_~,W _mfui___,
! Investigation should determine exactly what thei subject's occupation has been since|the date of his/her conviction.|
i ! lTo determine subject's employment the following
1 sources of information should be considered:
f* = I I I a! Review the various DOL LM Reports.
t-§ ' b! Contact subject's co-workers, neighbors, andassociates. However, it should be noted that interviews of co-workers
j are prohibited during a preliminary inquiry.
p c! Contact informants and other reliable sources of
i information. c -
' ' d! Contact business firms from which subject has
sought credit recently; however, note that contact with logicalcredit bureaus is subject to the provisions of the Fair CreditReporting Act see Part I, 62-5, of this manual!.
- J
a e! Subject to the provisions of the Right toFinancial Privacy Act of 1978 RFPA! see Part II, 23-6, of this
92 manual!, ascertain employment by:
1 1. CHHYQEFEEE banks, credit unions, and credit ,card companies.. " W 7 ' I
s i LN . - __,,__.,.._ _ _».<<;.'_r=.- .. _ es... .,., .,.,___,__._,________:_;,_,,_:_1,,._;___,n,_ _1' | ?.:=:.: _D=t@¢mi"-1% @=1Hs<=.-is--.9 §=.s;I..§»'.wi..:;.s I?thggughjégéminationof deposits to subject's bank accountsT|Ef¬"
.___, , ....
In each case in which it is indicated the subject is
iikal consultant, interview|his/her]employer to verify such employment and.!I employed other than by a labor organization or as a labor relations
hr I-.
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Manual of Investigative Operations and GuidelinesPart I PAGE 159 - 21
determine whether the subject has engaged in any prohibited activity
1 during the period of|his/herlemployment.
! If the subject is indicated to be employed by a labor
organization or as a labor relations consultant, endeavor to verify
such employment through independent sources, such as suggested above,rather than by direct contact with employer. THis would include "_e;amination'df bank'recordsipertaining to labor organization or firm1@}M
Tpf labor ieiations cgsultants to show compensationhbeing received QXQQ
-spgiegtgfggisejyicesirendered?"lIt¢should'benoted7thatwhilevaccessf§f*tcgbenk$re¬o?d§:§I§1§b5¥ 5?ganizatiosvisin3tfEe$ered*5§?tHe RFPA§%ih¬ET1 ;y§4|.r1gniI=" tn re .»- W, . _~-- p_ _--Sr. J-é_ pr J
92 - ....;,,. ' _ n I, ,» .;_ _ .
8! The Department;hasadvised'that when investigationé;%§1BsesTa§sub§eE?WisWpFEsently serving a prison sentence it should,"~-:_-' -*1. L -¢."""" " '- "- . . _ A ¢- ~ ' . 1" Gil <"£'2?"'_'.'3-1'.-1"'?b . 1;;[,be determined whether|he/shelis drawing a salE§$I¥$3§?HTbn*orir§%§»w ~ - - -- "i='-fr -W "sf - n">'"*n'*=n1I-'*'-£25 "*9-'*--¢1ir-i1 " ¥:i?carried onQthe records ofia union as-an orgies??? This should be_;@~T?J7 ._.... -.s»~_».-~,:r L» .- » ~-=--.-»~=-,~~.'1--'-»~-»<-=~'--~~"~<-cs:-::;~-ew:.~:;$=e::;=H developed through independent sources, such as_ment1oned above Q 1' g :&~'__~__ . 0 - _ ,1_ V . _ 92 Q1-.1 kw; 1 . ..-_W|'"1"' --- ~ --1 '3 ' 1"|g,~ _=9.£-_92-51--'~<~-, a3dd1t1OnfU3 check should be made with;prison.o£fioial§§w e§g5£§§uL§gc,e - - 1 l . .4.» - _ P1" . _~--. -1 :92- qw-:-_':|' .. .1 _ggg.§;4. ___ _ _92_ _i__L 1 " -I , - ' . _V_, i-.-.--.-'. - - 4- '-' "335'»""_$1'-h:'3l" '1'_-[,",.___.:_-.'. -t uv .92,_. , : vi . ."f_ ___; L Sub]eC§Q§j12£§£§§£?§§dtO"3SCBft31'Fhéthsfhe/5he{h§5E§ggE?%§§w >5 13§Q§wQ§g§§izations§or management concerning union businesses: lab
eematters. 7 w 7 .
EFFECTIVE: O5/10/82
{I159-9.4 Extortionate Picketing Title 29,|U.S. Code,|Section 522!
Investigation concerning indicated violations of this
section will parallel to some extent and will involve items of proof
which are similar to those necessary to establish a criminal violation
of the Labor Management Relations Act of 1947 or the Hobbs Act.
EFFECTIVE: 05/10/82
¢?>»3§%
Sensitive
PRINTED: 02/18/98,v.92.'<=.='-' =<l;::':'--£3" ----= _ 4 "--.¢-1.: 3'-'§"".=:= -. -..-;_ 92. .=3".,.'-;1'»",>.1;"f§:;;ii92'"3;_}-s;;,-.,,-5 > '"-,,;__~.-_--- - = :-igsr a1n;instan es c gig" g§_ cords;p§§igbor$-el§Eionghpon_lt1ng- ; J.§¬§%%ZE§§§E§§§%§¬§%%%by~¬%e*RfPA* see*P§rtIf%£§3*6f oE*this manual"? ~ "
. 4- =14".-- 1..'3n
i
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Manual of Investigative Operations and GuidelinesPart I - PAGE 159- 22
l59*9.5l Deprivation of Rights by Force or Violence Title 29,|U.S.
" Code,|Section 530!
' Complainants alleging violations of this section should beinterviewed thoroughly; particular stress should be placed upon havingthe complainant identify witnesses to the alleged force or violence or threat thereof! which deprived a union member of rights guaranteedunder the Act; in addition, specific information should be obtainedfrom the complainant as to which rights of the individual have been
interfered with or denied.
C;EFFECTIVE: 05/10/32
159-10 REPORTING REQUIREMENTS
! |An initial airtel with accompanying LHH originaland three copies! should be submitted to FBIHQ within 60 days if theinvestigation involves LCN members or associates. The LHH should_
contain the preliminary opinion of the USA and sufficient
identification data on the subject s! for indexing purposes.
! IA progress letter should be submitted to FBIHQ every180 days containing a summary of investigation conducted to date and astatement regarding investigation contemplated during the next 180
days.]
! A closing airtel should be submitted to FBIHQ withan LHM restating the predication for opening the investigation,summarizing the investigative findings and detailing the dispositionof the investigation. The LHM should include the final opinion of
the uss. 92- I
! |If the investigation involves non-LCN groups i.e.,Asian organized crime, Sicilian Mafia, etc.!, advise FBIHQby airtelwith accompanying LHM as described above within 60 days. The resultsand/or summary should be reported by LHM original and three copies!.|
sFFscr1vE='10/18/as
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3,-~_ _ :___
~-A-An-7m»---.1-,1-1_1-.. - _8___
1"" -
'6...-Manual
Part I
159f11
EFFECTIVE: 10/18/88Sensitive
of Investigative Operafions and Guidelines - PAGE 159 - 23
CHARACTER - LABOR*MANAGEMENT REPORTING AND DISCLOSURE ACT
OF 1959 - INVESTIGATIVE MATTER _ _
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Manual of Investigative Operations and Guidelines
Part I -PAGE 160
sscrzo 160. FEDERAL TRAIN WRECK srsrurs
160"1 STATUTE
Title 18, USC, Section 1992
EFFECTIVE: 11/O8/78
_i.7____i__-______.._. _ 7 .m
160-1.1 Elements
! "Whoever willfully derails, disables, or wrecks anytrain, engine, motor unit, or car used, operated, or employed ininterstate or foreign commerce by any railroad; or"
"* ! "Whoever willfully sets.fire to, or places anys 3 explosive substance on or near, or undermines any tunnel, bridge,~ J I viaduct trestle, |track,|signal, station, depot, warehouse, terminal,Sor any other way, structure, property, or appurtenance used in theoperation of any such railroad in interstate or foreign commerce, orotherwise makes any such tunnel, bridge, viaduct, trestle, track,signal, station, depot, warehouse, terminal, or any other way,structure property, or appurtenance unworkable or unusable orhazardous to work or use, with intent to derail, disable, or wreck atrain, engine, motor unit, or car used, operated; or employed in
interstate or foreign commerce; or"
! "Whoever willfully attempts to do any of the
aforesaid acts or things --"
"EFFECTIVE: 11/08/78
¢?FR¢;;R
user
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._s4. ___i-.i___i_.£-
IIIIIIIIIIIIIIIIIIIIIIIIIIIIIInu---,.__hn.
H'-n-" >:_
h92_',; Y
" ~e-J23?
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Hanual of Investigative Operations and Guidelines PAGE 160 - 2
Part I
160-1.1.1 '0ther Provisions _
! False Reports of violations of Title 18, USC, Section' ' ' ' 1992 are covered1991 Entering a Train to Commit Crime! and Sectionby Title 18, USC, Section 35. Refer to Section 149 of this manual.
' ! Double Jeopardy r Subject cannot be tried in Federalcourt under this statute for same acts after being convicted oracquitted on the merits of the case in a state court.
!
Mas. ¢.9mit§ss1.-_ ,Venue lies in Federal judiciary district in which act
EFFECTIVE: 11/O8/78
160-2 POLICY AND PROCEDURE
! Accept for investigation all cases involving
violations of this act.
_ ! In view of widespread public interest created bymajor train wreck, immediately advise FBIHQ by teletype of all suchincidents. ' -
! No teletype necessary regarding minor incidents inabsence-of some unusual circumstances which would make such action
expedient.' ! Incumbent upon the SAC to make arrangements to insurethat information regarding actual or attempted train wrecks will betl reported to the field office so that Bureau will have
promp yeffective coverage over this type of violation. .
! The Bureau of-Alcohol, Tobacco and Firearms ATP!,has jurisdiction over violations of Title 18, USC, Section 844 i!,Federal Bombing Statute, which involve the malicious damaging ordestruction, by means of an explosive, of property used in interstateor foreign commerce. According to Department of Justice investigativeguidelines, ATF jurisdiction does not, however, apply to instanceswhere the FBI had investigative jurisdiction in a separate substantivearea prior to the enactment of the Federal Bombing Statute. This isthe case insofar as explosives offenses are concerned under theFederal Train Wreck Statute FTWS!. Advise FBIHQ immediately byteletype of any attempts by the ATF to infringe upon FBI jurisdiction
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Manual of Investigative Operations and Guidelines A PAGE 160 - 3
Part I
under FTWS.
! As investigations of this act may result in sentencesof capital punishment if the action results in the death of anyperson!, Agents making such investigation should bear in mind that allevidence used in trial will be given strictest interpretation and willbe subject to closest scrutiny by trial court.' Every means should betaken to obtain and preserve pertinent evidence in such form that it
will withstand scrutiny of court.
! Immediately following receipt of information ' ' ' h ld1'ess_¥$i.ss;~j2}2£i.*m__9£.Eh£=_i£s.E2Ps_L-Pam= t?Li.!18._.i_'!.Y_°£Fi8?t 1 on .=*-_!>2_.i
___i.._-
.--._k1
,,./
ixbe made at scene. p
B! Complete crime scene search should be immediatelymade in vicinity of wreck in effort to locate any evidence which mightc be of value to investigation. 'sés£¢h should not be confined,togH@FN' immediate vicinitypas tools and other objects hsed to wreck s;;;sia;,.i. If '1 s§5 t;am place where_wreck have been located as much as a ha mi e _yoccurred. - '
i l 9! Photographs should be taken of general scene and of
any physical evidence located at scene. .
0! A thorough neighborhood investigation should be
conducted in area surrounding scene of wreck.
ll! Officials of railroad police department and otheremployees, particularly section foremen, should be questioned' ' ' f mer or regarding possibility wreck was brought about by a or
disgruntled employee of railroad company.
2! The use of facilities of the FBI Laboratory as
id should be kept continuously in mind.investigative a
3! In many instances train wrecks brought about asresult of objects placed on railroad tracks by children. Where it islearned that children may have committed act which brought about the. . . ftrain wreck, consideration should be given to securing cooperation oofficials of h ls in vicinity in order that Agents may interviewsc oostudents for information which might lead to identity of children
responsible for wreck. '
1 4! Time is of essence in initiating investigations. Inorder that securing of evidence through crime scene search may beenhanced, sufficient number of Agents should immediately be dispatched
n Sensitive
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_USA92ss0££ice,iuti1izingscurrentrBureau.guiSensitive
Manual of Investigative Operations and Guidelines' PAGE 160
Part Ito scene upon receipt of information that wreck was brought about as
' ' h tatute result of violation of t is s .
EFFECTIVE: ll/08/78
921603 REPORT WRITING RULES
I, ! Forward to FBIHQ copy 0 any preport prepared in this classification of investigation for the'delines for the, _i_s"
preparation of such reports.! No report need be forwarded under any othercircumstances unless it is determined to be the most logical meansto disseminate the results of investigation accumulated, or when it' t ans to disseminate suchis decided that a report is the bes meresults to other Federal agencies through FBIHQ rather than via an
92 LHH.l
EFFECTIVE: 11/os/7s
160"4 PENALTIESM 'mum r $10,000 or 20 years, or both. When act resultsaxi92 in death, the penalty is death or life imprisonment.
EFFECTIVE: 11/07/94
l92160-592 CHARACTER - FEDERAL TRAIN wnscx STATUTE
EFFECTIVE: 11/08/73
%
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PRINTED: 02/18/98f rosecutive summary
.,_t_i. _r____i_r___
NUIIIIIIIIIIIIIlllllll!!IU!!llI!!!!!!-!=r==+=tsms_____Wr
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1 E Investigative Operations and GuidelinesHanua oPAGE 161 1
Part I
SECTION 161. SPECIAL INQUIRIES FOR WHITE HOUSE, CONGRESSIONALCOMMITTEES, AND OTHER GOVERNMENT AGENCIES
161-1 GENERAL INSTRUCTIONS
These instructions supplement those contained in Part
of this manual. _II,
Section 17,
,.-r» .
--..-.-
_ ,. E;lEFFECTIVE: 12/1O/91 '
161-2 AUTHORITY
See Part II, Section 17-1, of this manual for the
authority to conduct these investigations.
EFFECTIVE: 12/10/91
161-3 NATURE OF SPECIAL INQUIRIES
l S 'al In uiries|are personnel background All] peci q investigations conducted pursuant to specific written request of the' d rf the President or other government agencies for persons un e
Office oconsideration for Presidential appointments requiring Senate ' ' ' !' t ffs of firmation PAS!; other Presidential appointments PA , s a
conthe White House, National Security Council NSC!, and varioush e uire frequent access to congressional committees;_and persons w o r qthe White House complex telephone repair personnel, for example!.'t'vit and/or the high level of positionsBecause of the sensi i yinvolved, the highest priority consistent with the established Bureaudeadline BUDED! and absolute thoroughness are required in these
investigations.
EFFECTIVE: O7/21/95
' Sensitive
_PRINTED: O2/18/98
_
_ij _..1.'.92.Q92.£.1._.Y_ ._.__i.__ _n_r_.a-_r . . _ 1 ' h level of the position for which the candi a e
r""."<.i
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'15, ISensitive
0 t'ons and Guidelines
Part I _ -
161-4 TYPES 0FlSPECIAL INQUIBYICASESThe type of|Special Inquirylinvestigation will be set outby theISpecial Inquiry|Unit92 SIU!,]FBIHQ, in the opening communicationby subclassification l61A r l6lL.! HIOG, Part II, Section 17,defines the various 161 subclassifications.! The type of92SpecialInquiry92investigation will fall within one of four differentcategories, which will also be set out in the opening communication.-
Set forth below in ! are the four categories of]Special ' the client __gmI r linvestigations which E!1l§__£_QI!_d£§_t_e§__h8_$§¢L_L!P,0L_ _i i___i,,_afi.agency being served, t e 'd tis being considered, and other considerations:! Expanded Name Check ENC! - Consists of a search ofthe candidate's name through FBIHQ records systems, including theCriminal Justice Information Services Division, National CrimeInformation Center NCIC!, Criminal Law Enforcement Application CLEA!, Intelligence Information System IIS! and ELSUR index; checksof the field office general and any other specialized indices exceptconfidential and ELSUR! in field offices where the candidate works andresides; and checks of the civil and criminal files of the UnitedStates Attorneys USA! offices at these same locations. ENCs may beconducted in lieu of a full-field investigation or prior to theinitiation of a full-field investigation. ENCs should not be confusedwith "regular name checks" which are handled by the ExecutiveAgencies, Personnel, and Administrative Support Unit, InformationResources Division, for various client agencies. Regular name checksdo not include checks of USAs' offices and FBI field office indices.
! Full-Field Investigation FFI! - An FFI encompassesrsonal interviews and a wide range of record checks and is conductedth
pein accordance with MIOG, Part II, Section 17. The scope of ethe osition involved and whether orinvestigation will depend upon pnot there has been a previous background investigation BI! concerning. . t.the candidate. However regardless of the scope of the investiga ion,Ifield offices are expected to conduct whatever additional - investigation 1 t 1 that may be necessary to thoroughly and comp e e yaddress any unfavorable information or issues developed. The scope ofthe various FFIs is set forth below, and will also be designated by
I the|SIU92in the opening communication:
Type of FFI Requested Scope'Level I Covers the extent of the
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Part I
Level II
Level III
Update Investigation
_| a! If the|SIU]can detStates government agency previously couidelinesPAGE 161 P 3
candidate's adult life.
Level I BIs are conducted
primarily on all Cabinet-
level, Inspector General and
senior White House staff
appointments.
Covers the past fifteen years
of the candidate's life or
since age 18, or at least the
last two years. Level II Bls
-arewconducted.£or»all-other~_ _~»---es-fJ-rs--4-
fulltime Presidential
appointees not covered by
Level I and White House,
National Security Council and
Congressional committee
staff/access positions.
Covers the past ten years of
the candidate's life or since
age 18, or at least the last
two years. Level III Bls are
primarily conducted on
support, access andmaintenance positions at the
White House and part-time
Presidential appointments.
Covers the period of the
candidate's life since a
previous BI conducted by the
FBI and when candidate
has had continuous employment
or access at the White House
since the last BI.
ermine that another United
nducted a BI concerning the
1 f those candidate, the|SIU|will attempt to obtain the resu ts o' ' ' !| ' r to o ening an FBI BI. The entire scope of theinvestigation s prio pcandidate's BI will be addressed by the FBI, but the results of the' " t' ationotheragencies' BI will be used to supplement the 161 inves ig ,[ and duplicative leads will not be set out. The92SIU|wil1 mark offitems indicated on the candidate's personal history statement i' ' ' ' another Standard Form SF! B6! that have previously been verified by
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Manual of Investigative Operations and GuidelinesPAGE 161 r
Part I_agency and which do not need to be addressed in the FBI BI. Theresults of the prior BIs will also be used to identify issues that mayhave developed which may need to be further addressed by the FBI.
ithat a1 !- If a field office develops information ' that theb' BI has been conducted by another agency and it appears' ' t
prior|SIU92is not aware of this information, the field office is oimmediately advise the92SIU92by telephone to determine if-thisinformation can be used to supplement the FBI BI. '
' t' tion LUI! - Conducted at the! Limited Update Inves iga t d within thei___iJiWh'te House when an FFI has been comple e_, M request of then i . .' ' l'mited to an interview of the candidate;
_ Llast five years. The LUI is iinterviews of persons who are familiar with the candidate in aprofessional capacity; and appropriate records checks, i.e., FBIHeadquarters and field office indices, law enforcement agencies,United States Attorneys Offices, and appropriate state and/or federalagencies. Inquiries will also be conducted concerning any issueidentified on the SF 86 or developed during the course of the LUI that
has not been previously explored.! Limited Inquiry LI! - Conducted to resolve aparticular issue or question usually arising from a regular name check' ' f FFI. It is not intended to beor an ENC or after the completion o anan FFI and only addresses the specific issue.
EFFECTIVE: 07/21/95
92 161-5 DEADLINES IN92SPECIAL INQUIRY|MATTERS|_ Investigative deadlines set by the92SIU92 BUDEDS-the datethe completed results of the investigation are expected to be receivedat_FBIHQ! will be set from the date of the opening communicationaccording to the following schedule; however, deadlines may be set atshorter or longer intervals to meet the needs of the client agency.i92 The92SIU92will_allocate as much time to the field to conduct theseinvestigations as possible. In view of the fact that the maximumamount of available time is allotted to the field, field offices must' ' e that these cases are fullyassign sufficient personnel to assurI investigated, completed and reported to the92SIU92by the BUDED.
Subclassification or Category BUDED Schedule
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I
of Investigation
21
30Calendar Days161 A, B, c, and L
1§1 D, E, G, and I Calendar Days
161 F, H, J Five-year 75 Calendar Days
Reinvestigations - _
10 Calendar Days161K
I Lu1_1c=n_be_any_161;____W1w__W_ ______ mg4M___IgWill,be_set_based_ _i_s__m1Ir"_1_I"rri_e__
w 1
_.w'
|i"=»-9%
QQ?subclassification, except 161K! _ upon subclassification
LI Can be any 161 wi11 be set by|s1u92subclassification, except 161K! based upon the nature of
- the inquiries to be
covered
Refer to MIOG, Part II, Section l7~3.5, for specific instructionsregarding those situations in which circumstances preclude reporting
the complete investigation of a case by the BUDED.
EFFECTIVE: 07/21/95
161-6 INTERVIEWS
! A sufficient number of interviews of personsknowledgeable about the candidate must be conducted to cover thatportion of the candidate's life falling within the scope of theinvestigation. In most cases the principal office s!, that is, theoffice s! which covers the candidate's past five years of residence
and employments, will be expected to obtain the majority of theseinterviews. The|SIU|wil1 indicate in the opening communication the
number of interviews expected of the principal office s!. Variousfactors are taken into consideration when deciding if a sufficientl
number of interviews have been conducted during a BI. Some
significant factors are the candidate's age, number of employments,length of employments and position s! held. The following chart setsforth the general standards regarding the total number of interviews
which could reasonably be expected to be conducted including
interviews in neighborhoods, at employments, of given references and
associates, and of other persons developed in the investigation who
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are knowledgeable of the candidate!; however, field offices shouldensure that each aspect of the candidate's background is covered byinterviewing individuals who would be in a position to commentconcerning that person as opposed to merely obtaining "numbers."
Z! Should an office determine that it cannot locatesufficient persons to be interviewed, the|SIU92shou1d be immediatelyIUI notified by telephone. Prompt notification is essential so the SIv'de uidance and coordination to the offices involved in thecan pro i ginvestigation. However, when conducting interviews, field offices areexpected to determine from persons interviewed the names of other
_knowledgeab1e_individua1s_and_arrange"to_haverthose persons contacted,__Wl__in___n___nn_
if necessary, to fulfill the interview requirements.
Type of BI Interview Standards
ENC None
FFI
Level I Z5 - 30
Level II 15 - 25
Level III10 - 15
Five~Year Reinvestigation 5 - 7
LUI 5 - 10
LI Interviews necessary only
if specifically requested
by the|SIU|
! Also, field offices are expected to conduct whateverinvestigation is required to thoroughly and completely address anyunfavorable information or issues developed during an investigation to
satisf the FBIs obligation to ensure that full and completeYinformation is developed regarding the candidate's suitability for
federal office and/or employment.
EFFECTIVE: 07/21/95
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Hanual of Investigative Operations and Guidelines
Part ISensitive
161"? DESCRIBE NATURE OF EMPLOYING FIRMPAGE 161 7
- Briefly describe the nature of the business of employing
firms when reporting employment verifications if the nature of the
firm is not readily apparent.
EFFECTIVE: 01/18/91
161-B AGENCY CHECKS
In Presidential appointment cases, particular attentionmust be given to conducting logical and appropriate agency checks asI set forth in Part II,|l7-6.13,|of this manual. While FBIHQ will setleads for many of these checks, the field offices are in a position to
'ud e which additional local offices of Federal agencies, state,J Scounty or city government agencies or private sources e.g., BetterBusiness Bureau! also might logically have record of complaints or _ investigations concerning the|candidate[or the businesses with whichthe|candidate|is associated. Therefore, field offices shouldcarefully analyze the[candidate's[background and conduct thoseadditional checks which could develop information bearing onI a|candidate's|character and fitness for holding a position with the
Federal Government.
EFFECTIVE: 01/18/91
161-9 CHARACTER| See MIOG, Part 11, 17-2, for character,
classification and alpha designators.!92
l
EFFECTIVE: 01/21/95
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Part I ~ _
SECTION 162._ INTERSTATE GAMBLING ACTIVITIES
162-1 OBJECTIVES '
! Investigations under the Interstate GamblingActivities IGA! classification are directed toward ascertaining the
nature and scope of gambling activities in each field office,including the amount of illegal participation, the identity ando ,0-.- _ I -
i PAGE 162
.i_i~l__ 19§2£i22_9£_lay0ff_and ill§sal_b2£§s race !i5s_£a§ilitiesiIth§_s9urssI,of "line" information and manner in which it is disseminated, the typeof numbers game which is prevalent in certain areas and the extent of
corruption facilitating such illegal activities.
! Investigations under this classification are"intelligence-type" inquiries concerning certain phases of gamblingactivities and for conducting gambling surveys primarily for thepurpose of developing all information to be considered for violations
of Federal gambling statutes under the FBI's jurisdiction.
EFFECTIVE: O1/31/78
162-2 INVESTIGATIVE PROCEDURES -
! Use of this classification_shou1d be confined to thegathering of intelligence data with respect to gambling activities and
should not be used for general criminal intelligence inquiries.
! New cases on individual gambling subjects, developedas a result of IGA investigations, should be handled as substantivematters under the appropriate substantive gambling statutes, depending
on the nature of the violations.
! Leads to initiate investigations may result from
information provided by informants, contacts with law enforcement
agencies and from public sources.
! It is important that each field office develop a_well-rounded picture of the integral functions of major gamblingoperations in their respective territories. This will require thatall field offices are fully aware of the make up, operational detailand control of large-scale gambling operations within their areas and
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Partsl
interstate wire communicationwhether or not they are making use of
facilities for gambling purposes.
EFFECTIVE: 01/31/vs
162-3 REPORT WRITING PROCEDURES p
I I I I II E¢5Ies o¬EEE§é'¥eport§ areidisseminated and it 15essential that information included in them as furnished byconfidential informants be appropriately paraphrased to protect theidentities of these sources. Form FD-302 should be used to record allinformation of an evidentiary nature including interviews of subjects
and potential witnesses whenever deemed appropriate.
l6Z'4 CHARACTER r INTERSTATE GAMBLING ACTIVITIES
EFFECTIVE: O1/31/78
:
mg
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all
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t§§§' request and to the coverage of logical leads growing out of the.Sensitive _
Manual of Investigative Operations and Guidelines - PAGE 163 1
Part I _
I SECTION 163. CFOREIGN POLICE COOPERAIION
163"l POLICY _ - _
I As many Bureau cases require the investigative assistanceof foreign police and intelligence agencies, the Bureau willreciprocate by conducting investigations for such agencies in theUnited States. FBIHQ will also arrange for investigations in the 'foreign countries covered by Les_=l_A§_t3g_119§_l g1_1l}?9gba1,i__9§____1!-_$- as-=:11q13§,, ____,,_____{t_ranastare"a"r"1b¢51'_p<i1ice? * L -
EFFECTIVE: 10/18/88
163-1.1 Investigative Request
Foreign Police Cooperation FPC! requests are to be
accepted in the following categories:
! Requests of foreign police and security agencies forcoverage of investigative leads in our field offices in the United
States arising out of foreign investigations.
! Requests for name checks of Bureau files and name or
fingerp
Services92Division records. - 92 rint searches of the|Criminal Justice Information -
H - ! Requests by U.S. agencies abroad in matters handledby them provided they have no adequate facilities to handle such
investigations themselves.
' a! Border offices should advise FBIHQ promptly uponei t of requests for investigation and of any action taken pursuantrec pthereto. FBIHQ need not be advised of routine requests on which
individual cases are not opened.
b! Requests received at FBIHQ from Legal Attachesand other sources will be referred to the field_by FBIHQ. In thef additional instructions or information known to the field absence 0 _office which would make it inadvisable, the requested investigationshould be conducted. The investigation should be limited to the
R
' Sens itive ' ALL I192l'FOBMA'I*ION comnmrn
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' f t'on developed S Recommendations for additional investigationin orma 1 .outside the scope of the original request should be set forth in thecover letter transmitting the results of the investigation to FBIHQ
and should await FBIHQ approval. -
EFFECTIVE: 03/05/96
163-Z INVESTIGATIVE INSTRUCTIONS AND PROCEDURES -
7 '_ _"__"'i' ' ' ' "-7 ' 7_ 7* ' '7' 14 177""
,,.-- Q
g..
.0 -SIGN I Since investigative requests are received by LegaAttaches or border offices FBIHQ in some matters! the following
should be secured: .
! Brief resume or background of case.
Descriptive data of subjects or suspects, including ' !
photographs, if available.
Pertinent information that will aid investigation. ' <3!
92 <4!
investigation is desired.A concise statement of what information or
EFFECTIVE: 10/18/as
I163-2.1 Opening Foreign Police Cooperation FPCI - General
Criminal Matters GCM!
! The following guidelines should be adhered to in all92
g 163A FPCGCM! investigations:
a! When information received by the FBI from a
foreign police agency contains no substantive U.S. statutoryviolation, but the submitting agency requires FBI assistance ininvestigating a criminal offense which occurred in the host country,the Legat should first assess the nature of the crime and open a 163case in accordance with existing guidelines, i.e., 163A, 163B, etc."
92
b! When a host government police agency has' t' t've_provided details which appear to warrant statutory inves iga 1
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interest by the FBI, but are of no further interest to the hostgovernment, Legats should submit same in a detailed communication tothe appropriate field office s!. If a field office opens aubstantive case and assumes origin, the Legat providing the initials
information should be so advised. To facilitate transmission ofinitial information, Legats should submit an initial communicationunder the zero miscellaneous! classification of the allegedviolation, e.g., 7-0, l96'0, 281-0, etc.; or if the violation is not
well defined, the 163-0 classification.
if c! When a foreign police/security agency provides' f t'on re uiring investigative_lead coverage on their behal£ W__M _}D.DrP3_1M E ,q..r. ._.._ 8 . - Fwhich also discloses a potential/existing violation of U.S. federal' ' ' ' ' h ld statutes or investigative interest within FBI purview, Legats s ousubmit same under the appropriate 163 classification, with the Legat' ' ' ' ' t th FPC as ects of the assuming office of origin status to coordina e e pinvestigation. This does not preclude a field office from initiatinga separate spin-off case under the substantive violation, ifcircumstances warrant same; however, results of Legat's inquiriesshould be reported under the appropriate 163 classification.
d! Noncompulsory Letter Rogatory and Mutual LegalAssistance Treaty requests facilitated through the Office of' ' M' ' tr ofInternational Affairs OIA!, DOJ, from a respective inis yJ stice/Interior in the host country and subsequently furnished touFBIHQ for investigation by the field will be managed by the' ' ' ' ' ' D'visionInternational Relations S9Ct1On IRS!, Criminal Investigative i
CIED, according to the above provisions.
EFFECTIVE: 03/08/96
, 163-2.1.1 Letter Rogatory Process
- ! OIA, DOJ, will send FBIdesignated requests of a
' d' ' l nature known as "letters rogatory" or "compulsoryJU icia ,investigations/inquiries," directly to the AUSA with instructions for
Y the AUSA to contact the appropriate federal law enforcement agenc ,which will include the FBI, to assist with the investigation. In the. . . 1 t.past, these requests were received in the International Re a ionsS t'on IRS!, Criminal Investigative Division CID!, and sent to each
6 in the same district.i ec iYIQ field office with instructions to coordinate the request with the AUSAIii; 92
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! Upon receipt of the request from the AUSA, eachb foffice is instructed to conduct a global and HQ indices search e oreIf the search reveals a no record response, theopening the case.field office should open the matter as a 163A and assume origin for' ti ation If the indices search reveals an office hasthe inves g .already opened the matter, each office will then use the existing' ffice ofuniversal case file number with the originating office as o' ' A1 if the indices search reveals an ongoing investigationorigin. so,under a different classification, the office of origin should contact. . . . . d. tathe office where the investigation is being conducted to coor ina
d k before opening ael63A-case. _
! Upon completion of the investigation, each fieldoffice will report the results to the AUSA in your district which' ' ' ' AUSA w'll beprovided the tasking, not the office of origin. The i'bl for disseminating your final product, i.e., letterheadresponsi ememorandum or FD-302 to OIA for the foreign government requesting theLetter Rogatory/Mutual Legal Assistance Treaty HLAT! request.
! To ensure that foreign fugitive cases meet the° nts for issuance of a provisional arrest warrant andrequireme
subsequent extradition, no field investigation in these matters is to' ' t in mostbe undertaken prior to receipt of FBIHQ authorization excepurgent cases. Legats or offices with border liaison may set out suchleads with appropriate background and descriptive information but withth aveat that no investigation is to be undertaken untilFBIHQ, IRS,e cauthorization is received. FBIHQ will coordinate the request with. t. 1DOJ, OIA, to ensure that the treaty and other interna iona
considerations are met.
Additionally, FBIHQ will check with Interpol Washington to determinet for a fugitive investigation had been receivedif a parallel requesby the U S National Central Bureau USNCB! of Interpol and is beingt.handled by another agency. If another agency is already conduc ingthe fugitive investigation, interested Legats and field offices willbe advised to discontinue. Any office locating a foreign fugitive isto immediately advise FBIHQ, IRS, and the local USA's Office. TheUSAs Office should be requested to make immediate contact with DOJ
y and OIA. See 163-5, ias-5.2.! _
3 ! For your information, requests for investigationst IRS,i th t do NOT require compulsory process will still be directed 092 aFBIHQ. IRS, CID, will remain as office of origin in matters which are' ' t forconducted solely on a reciprocal basis pursuant to a requesassistance by the foreign government via OIA. FBIHQ will coordinate
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Part I
responses with the appropriate field office on behalf of OIA, and' ' f ' h d to OIA. _responses will be directed to IRS and subsequently urnis e
! All recipients are reminded that these changes Q
' d d tpertain only to 163A FPC-GCH investigations/inquiries an o no' edures relevant to 163B INTERPOL!, 163Cchange reporting proc DOMESTIC SECURITY/DOMESTIC TERRORISM!, or 163E NAME TRACE! cases.
EFFECTIVE: 03/08/96
r"~
. _,.163-3 REQUESTS FOR DOMESTIC SECURITY/TERRORISM INVESTIGATIONS
Requests for investigation by agencies of a foreign
to bev rnment concerning domestic security/terrorism matters are _IIgo ehandled under the caption of "Foreign Police Cooperation. Bureau' ' ' B files as well asassistance will be limited to checks of ureaurecords of state, local and Federal law enforcement agencies.
_J
EFFECTIVE: 10/16/90
163-4 REQUESTS FOR NAME AND FINGERPRINT CHECKS
from a foreign police or intelligence
files and/or a search of Bureaudesignated for the Executive|AgenciesSubunit Information Resources Division IRD!.92 Requests for a search
Sof Bureau fingerprint records92shou1d onlylbe designated to' the|Criminal Justice Information Services Division.| Requests fora|search92of Bureau files and/or a check of fingerprint records, which' 1 d s a request for field office investigation, should bealso inc u e92 designated to the attention of thellnternational Relations Section,Requests received
agency for a search of Bureau
fingerprint records should be
cIn.92
EFFECTIVE: 03/05/96
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Hanual of Investigative Operations and GuidelinesPart I PAGE 163 "
163-5 A FOREIGN FUGITIVES
A foreign fugitive cannot be arrested in the United States
based on the foreign warrant alone. Sorcalled international arrest
warrants are not valid in the United States. Current United States
law requires that a foreign government must request the arrest ofsafugitive from that country by formal diplomatic note and agree to J
extradite the fugitive. The fugitive must then be located in aparticular Federal judicial district, and, thereafter, a United Statesprovisional arrest warrant must be issued in that district for his/her
arrest prior to the actual arrest. !6
EFFECTIVE: 10/16/90
163s.1 Policy|- Moved to 163-2.1.1]
EFFECTIVE: 03/08/96
1635.2 A Case Captions| See 163-2.1.1.!|
- All communications in Foreign Police Cooperation mattersinvolving foreign fugitives will contain the name of the subject and
aliases, the character, and the words "Foreign Fugitive," followed by
the name of the foreign country concerned. For example: p
JOHN DOE, aka
Sam Smith;
FOREIGN POLICE COOPERATION
FOREIGN FUGITIVE - FRANCE
'00: FBIHQ
EFFECTIVE: 03/08/96
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Manual of Investigative Operations and GuidelinesPart I _ PAGE 163
163"6 REPORTING
- The reputation of the Bureau within foreign agencies willbe directly affected by the manner in which FPC cases are handled.
The ualit of the investigations, the promptness with which they'areQ Yconducted, and the accuracy and completeness of the reporting of theresults thereof will come directly under the scrutiny of officials of
foreign police and security agencies. It is, therefore, incumbent. . t. tupon each Agent to whom a case of this type is assigned to inves iga eit promptly and thoroughly and to report the results accurately and
completely. ' _
_.._ .. _ is-_..____ mm-. _i_____..._s7__-- . __v __-i ..- _ ~s7s_-4. ._- es. -- vs - -- . 7 s _ - - I .---- - -'57s__-.--k7 M ! All communications, except LHMs, transmi ing _Foreign Police Cooperation matter should include "Foreign Police
Coo eration" in the caption, along with the correct investigativePprogram according to the alpha designator, and should be marked forthe attention of the particular unit and division that is handling
S3158. _
The alpha designators and an explanation of each are
as follows: See MAOP, Part II, 3-1.1, 3-1.2, 10-23; Correspondence
Guide-Field,.l*l7.1.! _
t a! l63AForeign Police Cooperation - General
Criminal Hatters should be marked to the attention of the
International Relations Section IRS!, CID.
b! 163B-Foreign Police Cooperation - International
Criminal Police Organization Interpol! should be marked to the
attention of the IRS, CID.
c! l63C~Foreign Police Cooperation - Terrorism,
should be marked to the attention of the Domestic Terrorism Unit,
National Security Division.
d! l63EForeign Police Cooperation - Bureau Files
and Criminal Justice Information Services Division - InformationRequests should be marked to the attention of the Executive Agencies
Subunit, Information Resources Division IRD!. "
! |FBIHQ has determined that several foreign.policencies refer the use of an FDr302 or handwritten statement in lieuage pof the previously required LHMs when testimony of the investigatingAgent/Officer is expected. The FD'302 and handwritten statements have
b n acce ted in foreign courts without further testimony_o£ theee p _' ' t c'ated with travelinvestigator, thus, precluding excessive cos s asso i
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and lodging which must be borne by the FBI. Therefore, use of abovecommunications are approved, noting that use of LHMs are stillI preferred in noncompulsory cases since they provide a reportingl92flexibility beyond that of an FDPBOZ. All provisions surrounding theprotection of sources and disclosure of third agency information
furnished to the foreign governments still apply.
I a! Legats and field offices are advised that lead
I coverage for federal government executive agencies within the' Washington, D.C., metropolitan area should be directed to the
Washington Metropolitan Field Office.
I b! Legats should obtain all possible identifyinginformation on subjects and witnesses from the foreign police agencies
I so that field offices are able to readily identify, locate, andinterview same. Legats are to ensure that indexing of pertinent
subjects, et al., is entered into FOIHs.I
- I!IResults of investigation should be submittedIviaLHHIor FD-302I original and five copies!Ito the office of origin»-.s I
I I I!IDo not use the character "Foreign Police Cooperation"in LHHs The caption should be limited only to the subject s! andaliases and substantive character i.e., Financial Institution Fraud!.' See Correspondence Guide-Field, 2-5.5.6; Correspondence Guide HQ,
12-7!.! -
I 'I!IHark nondissemination copies of documents with properclassification level Top Secret, Secret, Confidential! and authorityand OADR or declassification information. Mark dissemination copieswith the classification level only and omit authority and OADR ordeclassification information. See Correspondence Guide-HQ, 12-1,
'12-3, 12-7!-!
I I!INo classified information may be included when the_LHH is submitted through Interpol channels. Dissemination ofclassified information generally is made to foreign governments wheninformation disseminated may serve U.S. national security or policy
interests.
I I I I!IThe property statement should appear on LHMs being
disseminated to a foreign government. I See Correspondence Guide-I FBIHQ, 12-2, 12-4; Correspondence Guide-Field, 2-5.3, 2-5.5.2.!I
W enforcement officers in the LHH. Agents and law enforcement officers{Fig I I 8!IDo not include the names of Agents and law,
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should be identified in the cover communication.
~ - "=.~>z2i1.¢~-~*<'-=:==* A ~ .
| 9!|l5formation from confidential~ pupcga$3Q§stechniques;;{mus t be 0 paraphrased ,such_ _ a'T_;qway' as: to "fulidentities. _Hhen reporting information from an.iqfo£gant§~do.not-qse¬%k ~l"4?""""!"' 3- "*w~~ --'-~_, ' .~.;..---- ~..--.+ _ , i ' "* =-P" ._ ...r=~ 3-~;."' 1- '"THfsymbo1§?bf th§?$Brdsisource" or "informant.1. The phrase Fr ,.g92Or- i I-- F:-=1" H ,,,,.,..¢...-»--=|-.;=-w'==192-_- -,-3 ~."""*',*-P-P' >" _m, . _l] ;_se iv "inve§Ef§§§%§h§? di?losed.aof§s1milar wording shoul J V-m.I;£i.';=; _:_-:_:i'.'::__._92.:!;';:;=;.,. .__1- 1- -J?-~~ " ' -'""'--" ~------ -----i--...-..._... i 1-___ e
| l0!|Personal addresses in the United States and Social
Security Numbers are to be omitted on LHMs unless they are pertinent
to the inquiry.
.t ._ l -.___._._._._m.m. ___________ m_.__.-.- _ . 1|1!|If the request concerns information from a loca ,
state, or other federal government agency, include in the LHH only the
information which that agency is willing to have furnished to the
interested foreign government. A statement should be included in the
cover communication indicating authority has been secured and the
agency has agreed to such dissemination.-
[2!|In applicant-type investigations for foreign
agencies, no reference should be made to the applicant's loyalty to
the United States. In such cases, inquiries should be made as to
whether the applicant is loyal to democratic principles.
| l3!]Signed statements in foreign countries should be
taken only when specifically requested or when good judgment dictates.
If feasible, secure a foreign police officer to witness the signing of
the statement. See Part II, Section 23-8.2 8!, 9!, and 0! of
thisimanual.!
|4!|Results of routine investigation conducted by FBI
field offices on behalf of a foreign government must reach FBI
Headquarters within 60 days from the date of the Bureau comunication
which forwarded the request, unless a shorter deadline is specified.
Legal Attaches are given 90 days to respond.
' - | l5!|Avoid using dual characters. If a foreign police
cooperation request develops into a substantive Bureau case, the
character "Foreign Police Cooperation" should be dropped and the
proper character used.
and |6!lA1l Bureau instructions concerning investigations
report writing are applicable to this classification, unless
specifically modified herein.
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EFFECTIVE: O3/O8/96
163-7 RULE 6! MATERIAL
- Grand Jury material should not be disclosed to
representatives of foreign governments. If foreign government
representatives cannot conduct the investigation without Grand Jury
material disclosure, the field office from which the lead originated
should have the attorney for the government in the district where the
GrandeJury~wasconvened petition the-courtfor~a court order ~ -- = c "g
directing disclosure pursuant to Rule 6 e!! C! i!.|
EFFECTIVE: 10/18/88
163-3 PRIVACY ACT
! The Privacy Act of 1974 does not preclude
dissemination of information to a foreign government- The act's
coverage is limited to records in a system of records containing_
retrievable information about U.S. citizens or aliens lawfully
admitted for permanent residence in the United States. The Privacy
Act has no application if records sought to be reviewed do not
contain personally identifiable and retrievable information. The FBI
Centra1»Records System encompasses all centralized records of not
only FBI Headquarters, but our field and Legat offices.
! Dissemination of information from FBI Central Records
Systems to a foreign government is proper when the following
conditions have been met:
a! Information is disclosed to a legitimate agency
of a foreign government; '' 1
- b! The FBI determines the information is relevant
to the agency's responsibilities;
c! Dissemination serves the best interests of the
U.S. Government;
d! The purpose in making thebdisclosure is
compatible with the purpose for which the information was collected.|
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163-9 RIGHT TO FINANCIAL PRIVACY ACT l
! The Right to Financial Privacy Act controls the U.S.
government's access to financial information in financial
institutions. Foreign governments frequently request access to the
financial records of individuals in the United States in connection
with criminal inquiries. A request from a foreign government for
financialWrecords_mustnemanate_£rom_a_foreigniadjudicativeibodys _. ___ e
foreign court! in the form of a letter of request. Upon receipt of
such a request from a foreign government, the Department of Justice,
Office of International Affairs, seeks a court order under Title 28,
USC, Section 1782. The order directs a financial institution to
deliver the information to the Department of Justice for transmittal
to the foreign government.
! Accordingly, requests emanating from foreign
governments for financial records maintained in U.S. financial
institutions, should be submitted through diplomatic channels directly
to the Department of Justice, Office of International Affairs, or may
be forwarded tolFBIHQ, Criminal Investigative Division, International
Relations Section.| -
EFFECTIVE: 03/05/96
16310- INTERNATIONAL CRIMINAL POLICE ORGANIZATION INTERPOL!|
EFFECTIVE: 10/18/33
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163-10.1 Background| See Legal Attache Manual, 6-9.!|
! Interpol has a membership composed of 147 countries.
It exists for the purpose of facilitating international criminal
investigations. By providing a communications channel among the
member countries, Interpol provides a full range of law enforcement
services from records checks to the accomplishing of complex criminal
investigations. Interpol will, upon request, transmit a worldwide All
Points Bulletin APB! or issue an internationaliwanted notice to
locate and effect the arrest of international fugitives.
1-.
<! Interpol member nations will only cooperate in
criminal matters, which include acts of international terrorism. No
classified, source sensitive, or foreign counterintelligence
information will be accepted for investigation. _
! The constitution of Interpol strictly prohibits
involvement by the organization in political, religious, racial, or
military matters.
! The U.S. National Central Bureau USNCB! of Interpol
is located within the Department of Justice and is operated jointly by
the Departments of Justice and Treasury with a membership composed of
representatives of the FBI; Bureau of Alcohol, Tobacco and Firearms
BATF!; Drug Enforcement Administration DEA!; Internal Revenue
Service IRS!; United States Marshals Service USMS!; Postal
Inspection Service;-Secret Service; Office of the Inspector General,
Department of Agriculture; and the Department of State.
! The USNCB of Interpol has access to and is able to
check many electronic indices and data bases through in-house
terminals. These include: FBI National Crime Information Center
NCIC!; FBI Criminal History Records Interstate Identification
Index!; Drug Enforcement Administration DEA! Narcotic and Dangerous
Drug Information System NADDIS!; U.S. Treasury Enforcement Computer
System TECS!; USNCB Interpol Case Tracking System ICTS!;
Immigration and Naturalization Service INS! records; all drivers
license and vehicle registration records of 50 states.
! |The|responsibility for Interpol matters|is handled by
the International Relations Section IRS!, CID. The IRS is the
Bureau's designated point of contact with the USNCB
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BFFECTIVE: 03/05/96
1631O.2 Policy See Legal Attache Manual, 6-9.! . p
! FBI requests for foreign investigation of matters
involving substantial FBI interest in all FBI Programs will be handled
by our Legal Attaches Legats! unless there is an excepted concurrence
of FBI Headquarters FBIHQ! and the appropriate Legat. All matters
under our National Foreign Intelligence Program; sensitive matters,
such as source protection;-classified matters; and civil rightsa@--
matters are to be handled by our Legats.
! Nhere the FBI is not formally accredited and where
the FBI does not have formal representation, investigative requests
from the FBI to a foreign country will be handled by Bureau
representatives at Interpol or the Department of State.
! With the concurrence of the appropriate Legat, or at
his/her request, simultaneous criminal FBI investigative leads in
multiple countries, requiring expeditious handling, will be handled byInterpol. l
p ! Foreign criminal record check requests involving auto
registration, drivers licenses, birth records, passports, outstanding
warrants wants!, and criminal history arrest records! in which the
request requires no additional investigation will, for the most part,
be handled by Bureau representatives at Interpol.
! The handling of all requests by foreign countries for
criminal investigative assistance to the FBI will be left to the I
discretion of our Legats. '
- ! Legats may wish to handle matters from foreign
governments, which are insubstantial, through direct contact with the
foreign Interpol channel.
, ' ! Frequently, situations arise whereby foreign police
entities request Legat assistance and/or involvement on their
investigations and simultaneously request assistance in the same ;
investigations through Interpol, USNCB, Washington, D.C. In those
situations where the Legat suspects that dual requests are likely to
occur, Legats are requested to ensure that the foreign police entities
indicate on Interpol communications that there has been previous
coordination with the Legat and/or investigative action by the FBI in
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the U.S. This will ensure the matter is handled by the FBI
representative to Interpol, as opposed to some other agency
representative.
8! FBI field offices on routine investigative matters
are to communicate with Interpol, USNCB, viallnternational Relations|
Section| IRS!,|Crimina1 Investigative Division CID!, FBIHQ. No
direct communication to the USNCB by the National Law Enforcement
Telecommunications Systems NLETS! or other means is to be undertaken
by Bureau field offices, except in urgent matters by telephone to the
FBI representative at the USNCB.' Telephonic inquiries in such .
instaosssimuatmbswsgnfirmsdiby.tsl§Lyps_£9.f§l§Q- SLaLeIanQ_lp§al_las
enforcement agencies within the U.S. may contact the USNCB via NLETS
or other available systems to request investigative assistance.
Legats can directly access USNCB, Washington, D.C., via their "
Embassy's telecommunications system. The FBI representative at the
USNCB will, upon receipt of a request by telex, set forth leads to any
foreign NCB on behalf of the Legat. Legats may, at their discretion,
utilize the Interpol NCBs in the various countries in their
territories to assist them in covering criminal leads.
9! All communications in reply to Interpol requests or
from the FBI requesting Interpol assistance will be by LHM with a
cover|electronic communication,|unless circumstances dictate the use
o£_a teletype. Regardless of character, the titles of all
communications concerning Interpo1related matters should contain the
additional character "Interpol," and when directed to FBIHQ, should be
to the attention of|IRS,|CID.
' l0! Requests from field offices for Interpol record
checks may be submitted to FBIHQ to the attention of|IRS,[CID,_by LHM
or, in urgent cases, by teletype. All available identifying data
regarding the individual should be included in the LHM, along with a
statement indicating the type of criminal activity under
investigation. Such a statement is required to ensure that the
request falls within the Interpol Constitutional guidelines. Such
record checks will include Interpol files at USNCB, the General
Secretariat in Lyon, France, and, when requested, specific Interpol
member'countries.
EFFECTIVE:~03/05/96
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163-10.3 International Notices
_ ! International Notices are published by Interpol to
provide the police services of all member countries, via their NCBs,
with information about persons and property. FThe Interpol General
Secretariat validates these notices every five years.
! The six types of International Notices are described
as follows:
a! RED NOTICE - Red Notices request the arrest of a
subject withla viewWto_extradition.n-These_notices.provide detailsrofw
the charge against a subject, along with warrant information and prior
criminal record. The USNCB requests the Interpol General Secretariat
to issue Red Notices only after review and approval of the Department
of Justice, Office of International Affairs.
b! BLUE NOTICE - Blue Notices request information
regarding a person, such as his/her criminal record or verification of
his/her identity. They are also used to locate missing persons,
locate a criminal who has not been fully identified, or to locate a
wanted person whose extradition may be requested.
c! GREEN NOTICE - Green Notices disseminate
information about persons who have or are likely to commit crimes
affecting several countries and who may be in those countries.
Specific details are given regarding prior arrests and convictions.
.Green notices are issued concerning only important international
criminals.
d! BLACK NOTICE - Black Notices provide information
about unidentified bodies of deceased persons who were probably using
false identities. Photographs of the body, description, fingerprints,
and dental charts, as well as other identifying information is
included. I _
e! STOLEN PROPERTY NOTICE - Stolen Property Notices
provide information about stolen property on recovered property
suspected of being stolen. In the case of works of art or cultural
objects, a photograph or detailed description is included along with
facts concerning the theft or recovery.
£! nonus OPERANDI NOTICE Modus Operandi Notices
provide information concerning the modus uperandi, procedures and
hiding places used by international criminals. These notices also
serve to centralize such information at the Interpol General
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Secretariat to assist in analyzing worldwide criminal activity.
_ p ! All requests for the issuance of an Interpol
International Notice will be forwarded to FBIHQ, Attention:
International Relations Section, CID,|in LHM form with a
coverlcommunication. The cover|communication|will set forth
sufficient background and justification for such a request to permit
FBIHQ to make a determination whether the request should be forwarded
to Interpol, USNCB. Include in the cover[communication|the name of
the Assistant United States Attorney handling the case and his/her
opinion regarding extradition. In UFAP cases, list local warrant
information_first_and.list the name, address,;and.telephone numberlofl._- __ ______ _m_
the local prosecutor.
! LHMs requesting the issuance of a Red Notice will
contain the usual case title, a brief summary of the investigation to
date, and the following numbered and captioned paragraphs:
Present family last! name
Family name at birth or previous family name
Forenames A
Aliases and nicknames
Sex
Date of birth
Place of birth
Father's name
Mother's maiden name
Nationality indicate confirmed or not
confirmed!
ll. Identity indicate verified or not verified!
Occupation
Areas, places, or countries subject may visit
Date of photograph
Identity documents type, number, date and place12.
13.
14.
-15.
of issue!
-16.
17.
18.
" 19.
provided for each andDetailed physical description
Characteristics habits, mannerisms, etc.!
Languages spoken
Warrant information this information must be
every warrant outstanding for the subject!
a. Warrant number s!
b. Date s! of issue
c. Court s! of issue
d. Federal or state criminal citation s! i.e.,
Title 18, usc, Section 659!
e. Type s! of offense i.e., Theft from
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Interstate Shipment!
f. Maximum penalty for each charge or sentence,
if already convicted
g. Name of prosecuting attorney familiar with
facts of the case and his/her official address and telephone number
20. Summary of the facts of the case date, place,
modus operandi!
21. Name s! of accomp1ice s!
22. Previous convictions date, place, charge,
sentence!
....»'
»! Three clear copies of the subject's photograph must
accompany the LHH. FBIHQ will automatically provide Interpol a copy
of subject's fingerprints from|Criminal Justice Information
Services|Division records.
! LHMs requesting Blue or Green Notices should follow
the same format as for Red Notices with the omission of nonapplicable
information.
a! Blue or Green Notice requests concerning
criminals who have not been fully identified or who are wanted and
whose extradition may be requested should substitute the following
paragraph information}
1. Family name
2. Forenames
3. Date and place of birth indicate if
verified!
Father's name
Mother's maiden name _
Harital status
Spouse's name
Identity documents type, number, date and
place of issue! -
9. Occupation
- 10. Nationality indicate if verified or not
verified!
11. Identity indicate exact or uncertain!
12. Aliases and nicknames
13. Previous addresses with dates
14. Types of crimes committed and modus operandi
15. Detailed physical description
Languagesspoken16. _gg 17. Reason for and date of last arrest and date
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of release Blue Notice requests concerning_missing persons should
contain a detailed account of the disappearance!
18. Previous convictions date, place, charge,
sentence! ' ' A
19. Address to which subject intended to go
after release
_ b! Dental charts, if available, should accompany
missing person Blue Notice requests in addition to photographs.
c! Offices contemplating the submission of a
request-for~a~Stolen_Property-Notice_invo1vingsworks~of-art~or_L -_ -4~~~ _ e
cultural property should communicate with the|IRS, CID,|for details of
the descriptive information required for such notices.
! The information contained in LHHs requesting the
issuance of International Notices will be subjected to close scrutiny
and verification at FBIHQ, and LHMs requiring changes will be returned
to the field for resubmission.
8! Upon issuance of an Interpol International Notice, a
copy will be provided to the office of origin which will be
responsible for the immediate notification of FBIHQ by LHH of any
change in the notice information, including the apprehension of a
fugitive or the recovery of all or part of any stolen property. All
Legats will be provided a copy of Interpol International Notices
issued at the request of the Bureau and will be notified by FBIHQ of
modifications or cancellations thereto.
EFFECTIVE: 03/05/96
163-11 OFFICE or ORIGIN See MAOP, Part 11, 10-16.2!.!
! Legal Attaches will be the office of origin O0! in
all 163 cases which do NOT require Bureau assistance/input. '
! Ilnternational Relations Section IRS!, CID,|wi1l
continue to function as the originating office on Foreign Police
Cooperation requests from the foreign law enforcement representatives
based in Washington, D.C. l63A!; on requests made by foreign law
enforcement through Interpol 63B!; and on foreign requests_made
through the Office of InteI3tiOn31 Affairs OIA/DOJ!. |IRS, CID,[wi1l
continue to assist operational leads through the Interpol channel.
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I a! The Executive Agencies|Subunit|will handle all
163E record check requests to be conducted at FBIHQ. The originator
of the request will be the 00. _
I - ' b! The Bureau App1icant|Investigations|Unit BAIU!
will handle 63E! applicant/background investigative requests in the
United States on behalf of foreign governments. These
applicant/background foreign government investigative requests are on
United States and non-United States persons who are either themselves
or are.relatives of persons who are being considered for sensitive
positions in thevoreignvgovernment andbrequire security clearanceshug
The originator of the request will be the O0. i
I n c! The Domestic Terrorism Unit,|National Security|
Division, will retain 00 status in all 163C Domestic
Security/Terrorism DS/T! investigations. i
= EFFECTIVE: 03/05/96
[|16312| CHARACTER FOREIGN POLICE COOPERATION
EFFECTIVE: 10/18/88
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SECTION 164. CRIME ABOARD'AIRCRAFT
164-1 BACKGROUND1 ¢
! As a result of several aggravated incidents aboard
commercial aircraft/during 1961 which included the first actual '
hijacking of an aircraft in the United States, Congress on September
5, 1961, passed an amendment Public Law 87-197! as embodied in the
Federally, 'ni$_t§Q1$gsW=1_L1ji_t1e_ 42_ U56 _$e9ti9_11_14ZZ This _______i. ____ ___ imi , , .
statute specifically designated the FBI to investigate violations of
aircraft piracy and related criminal acts as contained in subsections
i! through n! of this statute. |Title 49, U.S. Code, Chapter 465,
addresses crimes committed aboard aircraft to include aircraft
piracy, interference with.flight crews, carrying weapons or
explosives aboard aircraft and false information and threats. .
Chapter 465 replaces subsections i!, j!, !, m!, and n! of Title
49, USC, Section 1472 Public Law 103-272!, which also moved the
section concerning the FBI's exclusive jurisdiction over those
offenses from subsection 1472 ! to Title 28, USC, Section 533.!
! As a result of several incidents where accidents 4
involving common carriers resulted from operators being impaired by
alcohol or drugs, Title 18, USC, Sections 341, 342, and 343, were
enacted to address the obvious concern for public safety.
! Executive Order 12564, dated 9/15/86, entitled "Drug
Free Federal Workplace," facilitated drug screening of airline pilots.
EFFECTIVE: 12/23/96
164-2 STATUTES
Title 49, USC, Section|46314 or Chapter 465 and Title 28,
USC, Section 538;|Title 18, USC, Sections 341, 342, 343; and Executive
Order 12564.
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EFFECTIVE: 12/Z3/96
164-2.1 Section|46502. Aircraft Piracy
|" a! IN SPECIAL AIRCRAFT JURISDICTION.-f! In this
subsection-
- " A! aircraft piracy means seizing or
exercising contrglggfwanwaircraftgin_the special_aircrafth__m_ _m .
jurisdiction of the United States by force, violence, threat of force
or violence, or any form of intimidation, and with wrongful intent.
I " B! an attempt to commit aircraft piracy is in
the special aircraft jurisdiction of the United States although the
aircraft is not in flight at the time of the attempt if the aircraft
would have been in the special aircraft jurisdiction of the United
States had the aircraft piracy been completed. "
"! An individual committing or attempting to commit
aircraft piracy-- _ s
" A! shall be imprisoned for at least 20 years;
or
" B! notwithstanding section 3559 b! of title
18, if the death of another individual results from the commission or
attempt, shall be put to death or imprisoned for life."
" b! OUTSIDE SPECIAL AIRCRAFT JURISDICTION--! An
individual committing or conspiring to commit an offense as defined
in the Convention for the Suppression of Unlawful Seizure of
Aircraft! on an aircraft in flight outside the special aircraft
jurisdiction of the United States-- »
" AD shall.be imprisoned for at least 20 years;
or *
" B! notwithstanding section 3559 b! of title
18, if the death of another individual results from the commission or
attempt, shall be put to death or imprisoned for life.
"! There is jurisdiction over the offense in
paragraph ! if-
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" A! a national of the United States was aboard
the aircraft; ~
" B! an offender is a national of the United
States; or
" C! an offender is afterwards found in the
United States.
"! For purposes of this subsection, the term
lO1 a!2! of the Immigration and Nationality Act 8 U.S.C.
1101 a! 2!! ."|
EFFECTIVE: 12/23/96
1642.2 Section|46504. Interference With Flight Crew Members
|and|Flight Attendants
|"An individual on an aircraft in the special aircraft
jurisdiction of the United States who, by assaulting or intimidating
a flight crew member or flight attendant of the aircraft, interferes
with the performance of the duties of the member or attendant or
lessens the ability of the member or attendant to perform those
duties, shall be fined under title 18, imprisoned for not more than
20 years, or both. However, if a dangerous weapon is used in
assaulting or intimidating the member or attendant, the individual
shall be imprisoned for any term of years or for life."|
Public Law 101-164, passed ll/21/8?, amended Section 404
of the Federal Aviation Act of 1958 by prohibiting smoking on domestic
airline flights scheduled for six hours or less. Violations of these
restrictions are investigated and reported to the Flight Standards
Group of the FAA and not the FBI. However, it is possible that a
violation of Section|46504 formerly 1472 j!!|could occur, should an
attempt to enforce the "No Smoking" restriction by a flight crew
member, or attendant, evolve into an assault, intimidation or threat
towards that crew member or attendant. Should such an incident occur,
FBI investigation would be warranted.
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EFFECTIVE: 12/23/96
164-2.3| Section|46505.I Carrying|a Weapon or Explosive on an
Aircraft
" s! DEFINITION.-In this section, loaded firearm means
a starter gun or a weapon designed or converted to expel a projectile
through an explosive, that has a cartridge, a detonator, or powder in
the_chamber,_magazine,_cy1inder,wormclip. _ _~WM as "t"_
" b! GENERAL CRIMINAL PENALTY.An individual shall be
fined under title 18, imprisoned for not more than ten years, or both
if the individual-
" l! when on, or attempting to get on, an aircraft
in, or intended for operation in, air transportation or intrastate
air transportation, has on or about the individual or the property of
the individual a concealed dangerous weapon that is or would be
accessible to the individual in flight;
"! has placed, attempted to place, or attempted to
have placed a loaded firearm on that aircraft in property not
accessible to passengers in flight; or
"! has on or about the individual, or has placed,
attempted to place, or attempted to have placed on that aircraft, an
explosive or incendiary device. _
" c! CRIMINAL PENALTY INVOLVING DISREGARD FOR HUMAN LIFE.
--An individual who willfully and without regard for the safety of
human life, or with reckless disregard for the safety of human life,
violates subsection b! of this section, shall be fined under title
18, imprisoned for not more than 15 years, or both. I
" d! NONAPPLICATION.""Subsection b!! of this section
does not apply tor-
"! a law enforcement officer of a State or
political subdivision of a State, or an officer or employee of the
United States Government, authorized to carry arms in an official
capacity;
"! another individual the Administrator of the
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Federal Aviation Administration by regulation authorizes to carry a u
dangerous weapon in air transportation or intrastate air
transportation; or
"! an individual transporting a weapon except aloaded firearm! in baggage not accessible to a passenger in flight ifthe air carrier was informed of the presence of the weapon."|
EFFECTIVE: 12/23/96
[164-2.4] Section|46506. Application of Certain Criminal Laws
to Acts on Aircraft
i p "An individual on an aircraft in the special aircraftjurisdiction of the United States who commits an act that- p
"! if committed within the special maritime and
territorial jurisdiction of the United States as defined in Section7 of Title 18! would violate section 113, 114, 661, 662, 1111, 1112,1113, or 2111, or Chapter 109A of title 18, shall be filed under title] 18, imprisoned under that section or chapter, or both; or ;
"! if committed in the District of Columbia would violate section 9 of the Act of July 29, 1892 D.C. Code, sec.
22-1112!, shall be fined under title 18, imprisoned under section 9of the Act, or bQrh."]
! As enumerated in Title 49, USC,|46506,|Title 1s,
defines the following violations:
Section 113. Assault
Section 114. Maiming
Section 661. Embezzlement and Theft
Section 662. Receiving Stolen Property
Section llll. Murder
Section 1112. Manslaughter
Section 1113. Attempt to Commit Murder or
Manslaughter p '2111. Robbery 1
Section 2241. Aggravated sexual abuse
giqm Section 2242. Sexual abuse
{@§% Section 2243. Sexual abuse of a minor or wardSection
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See MIOG,
Section 22
persons to
or to make
commit any
Co1umbia,.underipenalty of.not.more than $300 fine,.or
not more than_ninety days, or both, for each and every
offense described in subsection a!, knowing he or she
the presence of a child under the age of sixteen years,. PAGE 164
Section 2244. Abusive sexual contact
|Section 2245. Sexual abuse resulting in death
Part 1, 45-2 and 70-2.![ -
! As referred to in Title 49, USC, Section|46506,I
1112, D.C. Code states:
" a! It shall not be lawful for any person or
make any obscene or indecent exposure of his or her person,
any lewd, obscene, or indecent sexual proposal, or to
other lewd, obscene, or indecent act in the District of
imprisonmentiof
such offense.
" b! Any person or persons who shall 1 commit an
or they are in
shall be
punished by imprisonment of not more than one year, or fined in an
amount not to exceed $1,000, or both, for each and every such
offense."
EFFECTIVE: 12/23/96
1642.5 Section|46507.| False Information and Threats
An individual shall be fined under title 18, imprisoned
for not more than 5 years, or both, if the individual-
"! knowing the information to be false, willfully
and maliciously or with reckless disregard for the safety of human
life, gives, or causes to be given, under circumstances in which the
information reasonably may be believed, false information about an
alleged attempt being made or to be made to do an act that would
violate section 46502 a!, 46504, 46505, or 46506 of this title; or
"! A! threatens to violate section 46502 a!, 46504,
46505, or 46506 of this title, or causes a threat to violate any of
those sections to be made; and '
carry out the threat
F" T! has the apparent determination and will toII
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EFFECTIVE: 12/23/96
_ ___________~j--16a-2.6 [Moved to 1ea<2.1T
' .
_EEEECTIVE:l12[23/96r__4_l___r,
Title 28, USC, Sect16a-2.7 |- Piracy and Related V
" "The Federal Bureau
violation of Section 46314 or
EFFECTIVE: 12/23/96
| 1642.8 |Venuegggi-.
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d Guidelines 7 ative Operations an _ PAGE 16b i
_.__ ___________._.¬-_,_ . _ ___ _._ _ #_,t._4_.____._-_.__@.__!__,__¬_ .___.___ _____.__- !_f__.j7
ion 538. Investigation of Aircraft
iolations
f Investigation shall investigate anyo
Chapter A65 of Title 49."|
'. d 'n the Federal Rules ofVenue provisions are containe 1ter 211 of Title 18, U.S. Code.9292 Criminal Procedure and Chap
EFfECTIVE: 12/23/96
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Manual of Investigative Operations and Guidelines
Part I164-2.9 Title 18, U.S. Code, Sections 341, 342, and 343.Operation of a Common Carrier Under the Influence of
Alcohol or Drugs _
! Section 341 - defines a common carrier to include an
air common carrier.
92jI -! Section 342 - states "whoever operates or directsoperation of a common carrier while under the influence of alcohol orany controlled substance, as defined in Section 102 of the ControlledSubstances Act Title 21, U.S. Code, Section 802!, shall bez" -' ~l PAGE 164 s'-.1-.
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a! imprisoned not more than fifteen years
b! or fined under this title
c! or both! Section 343 r states for the purposes of this
statute: a! an individual with a blood alcohol content of.10 percent or more shall be presumed to be under the influence of
alcohol; and. b! an individual shall be presumed to be under theinfluence of drugs if the quantity of the drug in the system of theindividual would be sufficient to impair the perception, mentalprocesses, or motor functions of the average individual.
EFFECTIVE: 04/19/91
l642.l0 Executive Order 12564 - Drug-Free Workplace
! Executive Order 12564 facilitates the random drug
screening of airline pilots.~ ! The Order specifically states "Drug testing shall notbe conducted pursuant to this Order for the purpose of gatheringevidence for use in criminal proceedings." T! Prosecution of a pilot or crew member cannot be basedsolely on the results of air-carrier drugrscreening as mandated under
Executive Order l2564.92
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EFFECTIVE: 04/19/91
164-3 DEFINITIONS | Title 49, U.S. Code, section 46501!
192 "! aircraft in flight means an aircraft from themoment all external doors are closed following boarding--
'1§55aEaa £6 5I15v'55§§sageistia leave the aircraft; or
" B! until, if a forced landing, competentauthorities take over responsibility for the aircraft and individuals
i and property on the aircraft."! special aircraft jurisdiction of the UnitedStates includes any of the following aircraft in flight:
lp " A! a civil aircraft of the United States.U 1 " B! an aircraft of the armed forces of the
United States.i " C! another aircraft in the United States.
i " D! another aircraft outside the United States92 __ .I " i! that has its next scheduled destinationor last place of departure in the United States, if the aircraft next
lands in the United States;" ii! on which an individual commits anffense as defined in the Convention for the Suppression of Unlawfulo
Seizure of Aircraft! if the aircraft lands in the United States with
the individual still on the aircraft; or
l ' " iii! against which an individual commitsan offense as defined in subsection d! or e! of article I, sectionI of the Convention for the Suppression of Unlawful Acts against the . . . . ' . . . . d st t S Safety of Civil Aviation! if the aircraft lands in the Unite a e
1 with the individual still on the aircraft.
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" E! any other aircraft leased without crew to alessee whose principal place of business is in the United States or,if the lessee does not have a principal place of business, whosepermanent residence is in the United States."! an individual commits an offense as defined inthe Convention for the Suppression of Unlawful Seizure of Aircraft!when the individual, when on an aircraft in flight--f " AJ by any form of intimidation, unlawfullyseizes, exercises control of, or attempts to seize or exercise_<==>=192;_£.§>__1 _r9__¬,-__.,£hs_,_siL=._£=if t_=._..,<21-;_.i_i.,_.i1_.i_i. . I _ , i_r , _r
" B! is an accomplice of an individual referred
to in subclause A! of this clause."92
EFFECTIVE: 12/23/96
l644 STATUTORY INTERPRETATION! As used in the statute, the term "piracy" is to bedistinguished from Title 18, USC, Section 1651, where it is referencedto the law of nations. The elements of aircraft piracy arespecifically stated within the statute.! Accordingly, acts which would be covered by Title 18,USC, Section 7 ! crimes within the special maritime and territorialjurisdiction of the United States! should such acts occur -geographically within the special maritime and territorial jurisdiction of the United States, are by the present statute made . . . . . blecriminal regardless of their geographical situs. It is conceivathat a single act could be in violation of both sections of the USC.
! In connection with the term "within the specialaircraft jurisdiction of the United States" as set forth in Title 49,USC, Section9246502, 65O, 46506,92and the term "special aircraftjurisdiction of the United States" as defined in Title 49, USC,92 Section92k65Ol,92the FBI has investigative Jurisdiction insofar as violations in connection with the following aircraft are concerned:
a! civil aircraft of the United_States no matter
where in the world they are in flight; .
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b! aircraft of the92armed92forces of the UnitedStates no matter where in the world they are in flight;
c! foreign aircraft which actually land in the
United States.
EFFECTIVE: 12/23/96
154-1 _i_. _iR_°1-E 9._Fl*""¥ FFVERAE. *¥.Y,1_*§I¥.9!_,,:.*P 1"15TRAT19H_.§E1°~AL.- . e _
i Title 49, USC, Section924903 e!92provides that "TheAdministrator92has the92exclusive responsibility92to direct92lawenforcement activity related to]the safety of92passengers onan92aircraft involved in_an offense92under Section924650292of thistitle92from the moment all external doors of the aircraft are closedfollowing boarding until those doors are opened to allow passengers toleave the aircraft. When requested by the Administrator, other- departments, agencies, and instrumentalities of the Government shallprovide assistance necessary to carry out this subsection.
EFFECTIVE: 12/23/96
92164-6 MEMORANDUM OF UNDERSTANDING BETWEEN THE FEDERAL AVIATIONADMINISTRATION AND THE FEDERAL BUREAU OF INVESTIGATION
- ! Basic policy with regard to the FBI's handling ofaircraft hijacking incidents centers on'a memorandum of understandingbetween the FAA and FBI agreed upon officially on 2/26/75. The"Memorandum of Understanding Between the Federal AviationAdministration and the Federal Bureau of Investigation" MOU! iscontained in its entirety in Part II, Section 18, of this manual.
I ! Part II of the MOU, entitled "Designation of
Authority" states:. "A. When the aircraft is in flight.
"1. When an aircraft is in flight, that is from themoment when all external doors are closed following embarkation,until the moment when one such door is opened for disembarkation, the
1
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l pilot in command of the aircraft shall have normal operational control
of the flight.l
i "2. The Administrator of the Federal AviationI Administration has exclusive responsibility for direction of any law enforcement activity involving an offense under 902 i! or 902 n! of
the Federal Aviation Act of 1958, as amended.
"3. As appropriate, in each case involving such anoffense, the designated official of the Federal.AviationAdministration shall request the assistance of the designatedpofficial of_the_Federa1 Bureau of Investigati9nL
"4. After fully considering the expressed wishes_of thepilot in command, the responsible official of the airline operatingthe aircraft and the designated official of the Federal Bureau ofInvestigation, the designated official of the Federal AviationAdministration shall determine if law enforcement action isappropriate. In those instances in which the designated officialof the Federal Aviation Administration determines that lawenforcement action is appropriate, he shall request the designatedofficial of the Federal Bureau of Investigation to advise as to theappropriate methods to be used and, after approval of thedesignated official of the Federal Aviation Administration, take
the law enforcement action that is required.
"5. Whenever such a request is made, the designatedthe Federal Bureau of Investigation shall provide such law
assistance as is necessary.official of
enforcement
"6. The designated official of the Federal Bureau ofI Investigation and the designated official of the Federal AviationAdministration shall maintain continuing coordination between their* respective offices during the course of such law enforcement
activity.
"B. When the aircraft is not in flight.
"1. when an aircraft is not in flight, that is prior tothe moment when all external doors are closed after embarkation andafter the moment when one such door is opened for disembarkation,the designated official of the Federal Bureau of Investigationshall make the decision to take law enforcement action with respectto a hijacking. The designated official of the Federal Bureau ofInvestigation shall give full consideration to the expressed wishesof the pilot in command, the responsible official of the airlines
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__ ____T:_V; ; _,__é__ _ .-. __ ;,_ ____ __ _ _ 473»:--_-_ ,;,-;-. -L-3;-~ 7-3:7-.-,___-._-'_. -._.- -ac.---___-.+._-.-.-.--__-3.,-,-T.-- "5"f92I", ~_~, ------1-<-:; I, "V!F "Q"7*""IP92I Y"|P'l'i~h"__ H '---r -'P--"| -'----
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Part Ioperating the aircraft,-and the designated official of the FederalAviation Administration prior to initiating action.' "C.- The decision of the designated official of theFederal Aviation Administration shall prevail in those instances where a question arises as to whether an aircraft is in flight or is
not in flight."92
EFFECTIVE: O2/15/B2PAGE 164 "
___ _ __ _,__ __, J. _____.# _.__,._._ ,_.____J_.-____
'r'r'I'HmI16h:7""' 5E§1TKETKi_1STRUETibS'r'rm"I_'_"'r'I_! The Department of Justice D01! continues to advocatesevere penalties for aircraft hijackers as a deterrent to future actsf air irac Consequently authorization from the Criminal0 P Y 9 Division, D01, must be obtained by the U.S. Attorney before he/sheenters into any agreement to forego an air piracy prosecution under Title 18, USC, Section9246502,92in favor of a guilty plea to alesser offense or decides otherwise not to prosecute fully an act of
air piracy.! The Department of Justice has requested that whenUSAs decline prosecution in those unaggravated violations of Title 49,USC, Section924650492and Title 49, USC,_Section9246506,92where a crewmember is a victim, that the FBI, with the approval and recommendationof the USA, then refer the matter-to the local FAA representative,together with the results of any investigation for their considerationf oceedin against the offender civilly for violation of Federal
° PT 8Aviation Regulations FAR! as codified in Title 14, Code of FederalRegulations CFR!, Section 91.8, entitled "Prohibition against
interference with crewmembers."! FAA preboard screening procedures periodically resultin nonpassengers being found in possession of concealed deadly or 'dangerous weapons. These individuals have no tickets to board anyaircraft but for the most part are discovered to be armed duringexamination at sterile concourse areas while either meeting or biddingfarewell to persons who are ticketed passengers. The Department ofJustice has advised that since these weapon-carrying nonpassengers .have no apparent intent to board or attempt to board an aircraft,l there is no violation of Title 49, USC, Section9246505.92 In view ofthis, it is not necessary for the field to respond to these incidentsor to submit LHM to FBIHQ. Specifically note that an indication ofintent to board or attempt to board an aircraft on the part of these
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weapon-carrying nonpassengers requires the adherence to establishedinvestigative and reporting procedures. Each field division shouldensure that local airline, airport, FAA and law enforcement officials
are aware of these instructions. 7. ! In those unaggravated violations of Title 49, USC,Section9246505,[i.e., firearms only! where state or local prosecutionis declined upon USA deferral, it is current departmental policy torefer the matter to FAA for their consideration of proceeding againstthe offender civilly for violation of FAR as codified in Title 14,CFR, Section 107.21, entitled "Carriage of firearms, explosives, orincendiary devices." All offenses involving explosives or incendiarydevices'will continue ta bé"§¬5§6EE£eaF5§ £he Department as criminalviolations. See HIOG, Part I, Section 174.!
! Prosecution under the Hobbs Act. Considerationshould also be given to use of the Hobbs Act as a vehicle ofprosecution where an extortionate demand is made directly or pindirectly upon a commercial air carrier which would obstruct, delay,or affect commerce. The Department has instructed all USAs that whensuch an extortionate situation is encountered where it may bedesirable to charge a violation under the Hobbs Act, the Department
must be consulted.
EFFECTIVE: 12/23/96
16h-8 REPORTING PROCEDURES! Immediately advise FBIHQ by telephone or teletype,depending upon the exigency of the circumstances, of all casesinvolving aircraft piracy or where there is loss of life, danger topublic safety, or widespread public interest. Each complaint shouldreceive prompt and expeditious investigative attention.
! In all violations of Title 49, USC,92Sections46502 through 6507,92a succinct LHM original and one copy! should besubmitted to FBIHQ by FD-365 within ten working days of receipt ofinitial complaint. Upon receipt of the LHM, FBIHQ will disseminate a_copy to United States Secret Service, Intelligence Division, 1800 GStreet, s.w., Washington, n.c. 20223. 92 See HAOP, Part 11, 10-4.3;Correspondence Guide - Field, 2*5.S.ll.!|! The appropriate regional office of FAA should be
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promptly advised upon receipt of all complaints with close liaisonbeing maintained during the course of each investigation.
! In all cases, the field office is to disseminateadditional copies of the LHH within ten working days to the nearestCivil Aviation Security Field Office CASFO!, FAA Regional Office,United States Secret Service Field Office, and to the FBI field officewhich covers the subject's residence. Other interested agencies, suchas the National Transportation Safety Board, Office of SpecialInvestigations, etc., should likewise be advised locally whenappropriate. Depending upon the'exigency of the matter, immediatenotification to the above agencies may be necessary. o
, ! In those cases wherein the USA's office declinesprosecution, defers prosecution to state or local authorities, orrefers the matter to FAA for civil enforcement, or wherein it is knownthat state or local prosecution is declined upon USA deferral, theinitial LHH should so indicate. One copy of this LHM should bedirected to the USA confirming the USA's opinion in lieu of a separate
confirmation letter.
! In all cases, dissemination is to be indicated on theFD*365 which transmits the LHM to FBIHQ with the LHM identifying thoseindividuals and agencies already notified of the violation.
! When additional investigation is required, recordresults so they may be later incorporated into the prosecutive report.Two copies of these reports should be submitted to FBIHQ. In eachinstance, reports should set forth full facts including field officefile numbers, complete descriptive and background data concerning each-subject best descriptive information available of an unknown subjectshould also be set forth!, data concerning mental stability, the aircarrier, flight number, origin and destination, time and place ofoffense, number of passengers and crew, weapons used, type of aircraftinvolved and any injuries. In hijacking situations, indicate whereflight diverted to, motive, and terrorist affiliation, if any, and
demands made by hijacker or hijackers.-
I 8! In order that the FBIHQ substantive case file mayreflect the final outcome of each violation, the following FBIHQnotification policy should be followed by the office of origin.
' a! In those cases wherein the initial LHH submittedto FBIHQ by FD~365 reflects the final outcome, no further notificationis necessary.
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b! In those cases wherein the AccomplishmentReport, FD-515, reflects the final outcome, no further notification is
necessary.
9!' Technically, a bomb threat or actual device! aboard
an aircraft is a violation of Title 18, USC, Section 35, Destructionof Aircraft or Motor Vehicles DAMV!, as well as Title 49, USC,Section|46507.l However, as a matter of policy, all fake reports or
actual instances! of a bomb aboard an aircraft unrelated to anaircraft hijacking incident should be investigated and reported underthe DAMV 49! classification. Any incidents of this nature involvingan aircraft hijacking incident should be carried under the Crime____ _m __
Aboard Aircraft7Tlb@!ElassificationT_mThe foregoing is to create
uniformity in the Time Utilization and Recordkeeping TURK! records,
as well as to maintain program segregation.
c! In all other cases, including those cases in
which a USA declination or deferral was rendered subsequent to theinitial LHM/FD-365 submission and those unsolved cases closed underSAC authority, a closinglelectronic communication|should be directedto FBIHQ which clearly sets forth the basis for closing.
EFFECTIVE: 12/23/96
164-9 OBTAINING FEDERAL PROCESS
! Federal process should be obtained as soon aspossible after the subject is identified and it is determined that the
subject will be prosecuted federally. _
! In those instances wherein an aircraft hijackingoccurs, the subject is successful in avoiding apprehension and thesubject's identity_remains unknown, the field division should discusswith the USA's office the obtaining of a "John Doe" indictment of theunknown subject in order to toll the Statute of Limitations, Title 18,
USC, Section 3232, prior to its expiration.
EFFECTIVE: OZ/20/90
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164-10 AIRCRAFT HIJACKING INCIDENT MANAGEMENT
1
h field division to! It will be incumbent upon eac 'ensure that FBIHQ is advised on a current basis as to on-the*scene. .. . . .d nt
developments in each aircraft h1]3Ck1g inci e .
l ! A hijacked aircraft may change course rapidly at ad to a foreign country. Upon receipt of :i;E hijacker's request and procee
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d' tely notified by telephone.such information, FBIHQ should be imme ia' o riate governmental agencies throughFBIHQ will notify the appr p. .. .___ _k_nQ1s_ I
i-1
EFFECTIVE: 02/20/90
164-ll CONTINGENCY PLANNING! The FBls prime concern in all Crime Aboard Aircraftincidents is for the safety of the passengers and crew.
! The FBI and FAA have established an effective,coordinated effort on a Headquarters level concerning Crime AboardAircraft incident management. Practical incident management requiresthe continuation of that spirit of cooperation through to the field.Accordingly, each field office should maintain liaison with theappropriate FAA Security Office in order to ensure_a mutual effort inour joint responsibilities must bethe event of an incident where
exercised.
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a!hpInasnubh as itfill be incumbent upon each fieldoffice to e§su;e@§hat§FBIHQ is advised on a current basis as to on-thersceetdevelbpents in each aircraft hijacking incident, direct andinstantaneous communications between Agents in the vicinity of thethe FBIHQ
s absolutely
c! It is suggested that sufficient telephoned ost would consist, undercommunications within the primary comman p' ' t l ast five telephone lines available for' bideal conditions, of a e' ' ' l'nes as an example, might eexclusive FBI utilization. Those i ,' ation_with the following:utilized for communic
s' a. Field Office
5. Miscellaneous
vailable for' e! Appropriate facilities should be a
terviews of the subject s! and witnesses.the inf r the prompt dispatch of
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Part It to major air terminals and militaryufficient personnel and equipmen " I. s
airfields within the division is essentia g! All equipment necessary for Agents to carry out, . _i:-_ := rn be operative and readily available. '
92
I
oi}! All enforcement agencies and appropiiate a_"_,h FBI's personnel at air terminals should be fully aware of t e" kn s in order to ensure maximum' nsibilities in aircraft h1]3C i g cooperation in an ac " ' ' ' d the continuance of a
- common strategy."respo' ' tual hijacking situation an
I! Each field division is to remain prepared to conductthorough crime scene examinations in regard to Crime Aboard Aircraftincidents. Physical evidence collected should be submitted to FBIHQfor examination by the FBI Laboratory and/or Latent FingerprintSection when it appears that such an examination is desirable.Thorough crime scene examination becomes most critical in thoseinstances wherein a successful aircraft hijacking occurs, thesubject s! avoids apprehension, and the subject's identity remainsunknown, e.g., flights diverted to Cuba.
'f' d b airtel of instances! FBIHQ is to be noti ie ylanning a Command Post Exercise CPX! orwherein a field division is pField Training Exercise FIX! regarding aircraft hijacking contingencytraining. The airtel should be directed, Attention: Violent92Crimes/Fugitive92Unit, Criminal Investigative Division, with an' C 'tical Incident Response Group'sinformation copy designated for the riU it 92 The caption should indicate the type of ' craftCrisis Management n . exercise, i.e., CPX and/or FIX; the type of training, i.e., airhijacking contingency training; the divisional name; the exercise dateand the Crime Aboard Aircraft character, with pertinent detailssynopsized in the text of the communication.
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_ _h FEDERAL BUREAIIOF INVESTIGATION '1 FOIPA -. I DELETED PAGE INFOR1VlATION SHEETXXXXXX
5 Page s! withheld entirely at this location in the le. One or more of the following statements, where indicated,
explain this deletion.
Cl Deletions
release to
U b!!
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U b!!were made pursuant to the exemp 'ons indicatedtl
you.
Section 552 _
U b!! A!
b!! B!
b!! C!1:1
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1i_j_- 4___.._below with no segregable material available for
Section 552a
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request is listed in the title only. .
Clfor review and direct response to you.* !"""'" "" "*I* !! E! n 00!
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Information pertained only to a third party with no reference to the subject of your request or the subject of your
Documents originated with another Government agency ies!. These documents were referred to that agency ies!
Pages contain information furnished by another Government agency ies!. You will be advised by the FBI as
_,_,_1-to the releasability of this information following our consultation with the other agencyes!.Page s! withheld inasmuch as a final release determination has not been made. You will be advised as to the
disposition at a later date.
_,_,_-1--
__.i1-e Pages were not considered for release as-they are duplicative of _
X Page s! withheld for the following reason s!: _
U i lly?-gj i; Z§Z<f5Zbs°° °§2'ig 31g/ilésiiigi 9~ F/1» 5/#25
.:->1;
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X Deleted Page s! X
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Pa
| The following is prescribed by ARINC: i _
b"/ >W
EFFECTlVE: 02/15/82
92 [164-14 NEWS MEDIA INQUIRIES POLICY
' ! In many cases, violations of this statute generateintense public and media interest. The FBI's news media 1qU1I1&Solic is in strict compliance with instructions issued by the2 P YDepartment of Justice concerning the release of information in' ' ' tained incriminal and civil matters. These instructions are conTitle 28, CFR, Section 50.2. i
! For complete details regarding this topic, includinga restatement of the above CFR instructions, see Manual ofAdministrative Operations and_Procedures, Part II, Section 5-1,' ' ' ' 'th N ws Media " andentitled "Policy and Guidelines for Relations wi e ,92 Section 5-2, entitled "Contacts with News Media." '
* ! Utmost discretion should be exercised in releasing
to the news media any information concerning a modus operandi92 utilized by a subject in a violation of this statute.]
EFFECTIVE: 02/15/82
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164-15 CARRIAGE OF WEAPONS
! Title 49, usc, Section 46505, grants the FAAAdministrator authority to except other such persons as the .Administrator may deem necessary from prohibition of carrying deadlyor dangerous weapons in air transportation or intrastate air '
transportation. ,
'! FAR as codified in Title 14, crn, Section 103.11,addresses the carriage of weapons aboard aircraft and is considerablyabroader than Title Q9, USC, Section 46505, since it covers bothconcealed and unconcealed weapons.~ FBI jurisdiction, however, islimited to violations specifically enumerated in Section 46505 of
Title 419.
EFFECTIVE: 04/07/97
1164-16 CHARACTER - CRIME ABOARD AISCRAFT CAA! - FOLLOWED BYDESCRIPTION or CRIME; E.G., CAA AIRCRAFT PIRACY|
EFFECTIVE: 02/15/32
[1164-11 CLASSIFICATION 164|
EFFECTIVE: 02/15/82
.,.,_
. .'2
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Manual of Investigative Operations and GuidelinesPart I PAGE 164 - 26
| 164-13 SUBCLASSIFICATIONS _ _
For details concerning this topic, see the Manual ofAdministrative Operations and Procedures, Part II, Section 31.1,'
entitled "FBI Classifications and Subdivided Classifications."
EFFECTIVE: 10/18/95
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Hi... I ____ _i. i "I ...._I| I |-
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Manual of Investigative Operations and GuidelinesPart 1 _ PAGE 165
SECTION 165. A INTERSTATE TRANSMISSION OF WAGERING INFORMATION
165-1 STATUTE
Title 13, usc, Section 10s4
;_ " a5 Nhoever being engaged in the business of betting orwagering knowingly uses a wire communication facility for the
transmission in interstate or foreign commerce of bets or wagers or 1
i5£6¥55£IEh assisting in the placing of bets or wagers on any sporting
event or contest, or for the transmission of a wire communicationwhich entitles the recipient to receive money or-credit as a result ofbets or wagers, or for information assisting in the placing of bets orwagers, shall be fined not more than $10,000 or imprisoned not more
than two years, or both.
" b! Nothing in this section shall be construed to prevent
the transmission in interstate or foreign commerce of information for
use in news reporting of sporting events or contests, or for thetransmission of information assisting in the placing of bets or wagers
on a sporting event or contest from a State where betting on thatsporting event or contest is legal into a State in which such betting
is legal. N
" c! Nothing contained in this section shall createimmunity from criminal prosecution under any laws of any State,Commonwealth of Puerto Rico, territory, possession, or the District ofColumbia. '
" d! When any common carrier, subject to the jurisdictionof the Federal Communications Commission, is notified in writing by aFederal, State, or local law enforcement agency, acting within itsjurisdiction, that any facility furnished by it is being used or will
be used for the purpose of transmitting or receiving gamblinginformation in interstate or foreign commerce in violation of Federal,
State or local law, it shall discontinue or refuse, the leasing,furnishing, or maintaining of such facility, after reasonable noticeto the subscriber, but no damages, penalty or forfeiture, civil orcriminal, shall be found against any common carrier for any act done
in compliance with any notice received from a law enforcement agency.Nothing in this section shall be deemed to prejudice the right of anyperson affected thereby to secure an appropriate determination, asotherwise provided by law, in a Federal court or in a State or local
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;_ __ _ _ ____ __,_ _ __ ______r_;;: _ i _____ _4___,:__ _:________, .,..__,_,:_.__,.._.T_,_._.._ V .__ __.._._...,T_,. _,._ . .i - Y -. .. ,___, .. ._..___....,s-,_92 _ ,,_.__,._....,,..,_.,._._.._.,.l-_._._ .,__.-"I- _...
£%I¥ -
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Manual of Investigative Operations and GuidelinesPart I s PAGE 165 - 2
tribunal or agency, that such facility should not be discontinued or
removed, or should be restored."
EFFECTIVE: 01/31/73
165 1.1 Definition of Term Wire Communication Facility"
Title 18, USC, Section 1081. "The term wire
communication facility means any and all instrumentalities,p§_r;sp_13_nel_,__and_s"ery_ices among_0ther,_things.,__the receipt,__for,warding,._..c_.._..._a.__ _._m--_or delivery of communications! used or useful in the transmission ofwritings, signs, pictures, and sounds of all kinds by aid of wire,
cable, or other like connection between the points of originand
reception of such transmission."
EFFECTIVE: Ol/31/78
::5' 165-2 POLICY
! In regard to d! of section 1084, dissemination ofinformation to the carrier regarding those individuals utilizing theirfacilities in interstate or foreign commerce will be made by the
Department upon receipt of evidence of such utilization.
! In those instances in which allegations of violations
of this type are received, it is not necessary to show that theoperator is engaged in the business of betting, etc., but merely thathe is transmitting or receiving wagering information through a wire
facility.
! Forward such a complaint with corroborative evidenceto FBIHQ for dissemination to the Department in the form of letterhead
memorandum containing:
a! The name and address of the telephone company
furnishing service.
b! The name, address, and telephone number, ifavailable, of the subscriber known to be in violation of this section.
- c! A short statement of facts with names of
witnesses and a brief summary of their potential testimony.
Sensitive-
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.-- I, u u .... H I
. -"i !.". V . - - _ _ ' ';_ _-?3§ ~ . -»=--*"' »svl#%--enmm#a§g?@£$A5em'o?§%a ' -3, ailable .suc =as»to11#tic$ts*Tco .e I ecommunrda r nsrEV _ rams»: ----_-~.,.......s-.8., . _£qi;gm' ~e»* ~* *"" ' -:;3r.-'-;.;~g=_.¬;?-. =J':i'U!_{{:-- _-.-fiv, ~. ..,.,_ _Sensitive
Manual of Investigative Operations and GuidelinesPart I i - ' PAGE 165 -
- H d! A statement as to whether it is known if
' subscriber moves from place to place or if it is the general practice
to operate from a specific location. _4
! Local violations should be disseminated with any
evidence available to the appropriate local or state authority in
writing after Bureau's interest secured. When disseminating without
-accompanying evidence, state in letter of dissemination that the
information being furnished not substantiated through investigation by
this Bureau;
_ ! When information is received from local or state
authorities that notification has been given by them to a carrier, -
such information should be forwarded to FBIHQ in the form of a
-letterhead memorandum. .
! In connection with investigations of wire services,
bear in mind the possibility of prosecution as principals under Title
18, USC, Section 2, the aiding and abetting section.
EFFECTIVE: 01/31/78
165-3 INVESTIGATIVE PROCEDURE
l! when information developed that an individual engaged
in the business of betting or wagering is using a wire communication
facility in violation of this law} '
q_92q a! -pevelop information relative to wire-communication facility utilized; that is, whether telephone,telegraph, etdl k mm' '
I b!n
, .
Identify individuals contacting or contacted by
subject.
<2!
receive from subject.
l d! Interview these individuals and subject when
investigation has progressed to point where interview logical.Determine what service they furnish to or
' - .:
e! Obéggqaliidocume agy evidencewfglatibng mt.--.
etG¢v-
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Manual of Investigative Operations and GuidelinesPart I I - I 1 PAGE 165 - 4
1
' f! Utilize informants.
' g! Consider surveillances when applicable. _
!. Upon developing information as to the existence of a
wire service: .
a! 1ar"__
b! eéfggggégéfiia§3§§§pri£vs§ab=cribersstéiii , 'the nu&bar§r¢a11éa*in§g%§FR% ' -~ -
__ _ - 3 H ___ _ Ilg*_|r+:1-.. -I _" ' _ , _ - é r __ _
' '..-_-¢_>.-. .-- 4d>_-»_.>, L:: :,.L-',_r'_"_J-_li5_s__a_§:=¢-__!115..,_-*_92,'_g_'@_.;.. - __ ' """ ---< ,--,i ,._ ----~n|~--n- ;-->-~i-r-;."-~.~- : . -"-- u';'=»§92=iJ'ii,'i1'*i4»",;3':" -i,,"'rE'f?'.*'7'l:¢i; h""it ti e_ "'é@§ub§c§rPers u 1 - _. ," |',-92i'- c..""' T4-r ' '-"-ti "-..-92 , _ 1- _ I _ _'____, ~ . - 92-*1" 3 , "§.t'-?~=°*"" _ ""5 "9? n=,f-'_ '%§P Y$£E.g:@sMs!1;sas=sas=seris.s@. = . §rub=sr1.b¢rs- ma , a so ialfggttgr inasmgg ass; Qg;pg£g%g§¢pf@the interview is to--R-W__,,.. I _ . N ._ JR _- '~;_.... _..a-r6.rr| .-;_-fl Irv; v~ ___~__:__ ' __ ;./7' -.__:.__:,, _m_ I estabIis§;§E3Euse'bf the sery1céTb§?the subscriber.. ,;_ H, B92,._:?'.- - -_ . . c! Interview_a_;s
_~_-..,>¢i-- . - N. ___,_-,-
A d! M1nte§g§ew»owners_and emploxeesu _ "' I J-" "' "" "' "-"'_ :_ "2 . ...;-.1-1 V_-'-' "e*am1s' j§§§%§§§as£§&#$$§$E$~1"5°'@a"¥éogs""- -wmjwmof wire service_ Ir .4-arr ' _s
1-»
EFFECTIVE: 01/31/78 .
165' VENUE
In any district from, through, or into which suchinformation transmitted. Title 18, USC, Section 3237!
EFFECTIVE: 01/31/73
165-5 CHARACTER r INTERSTATE TRANSMISSION OF WAGERING
INFORMATION
EFFECTIVE: O1/31/78
92
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Manual of Investigative Operations and GuidelinesPart I K ' 0 PAGE 166 " 1
SECTION 166. INTERSTATE TRANSPORTATION IN AID OF RACKETEERING
166-1 _ STATUTE
| Title 18, USC,|Sections|1952,]1958, and 1959.1
,,_.__W_.___,_E§FP¢T¥f'§LE§ ?B[?§_-.-- -uu_..._- - t _ -- 11.. _.-u 5...- ._n_.
166-1.1 Section 1952 - Interstate and Foreign Travel orTransportation in Aid of Racketeering Enterprises l See
A MIOG, Part 1, 504.2.!92
* commerce or uses any facility in interstate or foreign commerce,::i- _ " a! Whoever travels in interstate or foreign
' including the mail,.with intent to--
"! distribute the proceeds of any unlawful
activity; or
"! commit any crime of violence to further
any unlawful activity, or
A "! otherwise promote, manage, establish,
carry on, or facilitate the promotion, management, establishment, orcarrying on, of any unlawful activity, and thereafter performs orattempts to perform any of the acts specified in subparagraph !,!, and !, shall be fined not more than $10,000 or imprisoned for
not more than five years, or both.
l " b! As used in this section92 i!,]'unlawfulactivity means, ! any business enterprise involving gambling,liquor on_which the Federal excise tax has not been paid, narcotics,or controlled substances as defined in section 102! of theControlled Substances Act,92or prostitution offenses in violation ofthe laws of the State in vhich they are committed or of the United States; or, ! extortion, bribery, or arson in violation of the laws
of the United States,]or ! any act which is indictable under I Q subchapter II of chapter 53 of title 31, United States Code, or under,s.,53i %. section 1956 or 1957 of this title, and ii! the term State includes
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92, %___: : __,__ _ __ 7,, l .-_- ___:___ _ _Y_v__ ______ __. -_;-,_ 7?-¢T_. Y.':'IT~§":*92-K: ._ =- ---, .,-_-,._.=-.1-_.,,~;g;<-,-_ ,k.__ ---_-=-, _ ~ -~, 7. V 1 __ ,:. .v
41:5.92._-;.-"s '1,.,__.__.;, ._.-I-vi? -;.»-/
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Manual of Investigative Operations and GuidelinesPart I PAGE 166 '
a State of the United States, the District of Columbia, and anycommonwealth, territory, or possession of the United States.
" c! .Investigations of violations under this sectioninvolving liquor shall be conducted under the supervision of the '
Secretary of the Treasury."
EFFECTIVE: 08/30/93
l66'l.2 Section 1958 * Use of Interstate Commerce Facilities in
the Commission of Murder"for-Hire
" a! Whoever travels in or causes another including '
the intended victim! to travel in interstate or foreign comerce, oruses or causes another including the intended victim! to use the
mail or any facility in interstate or foreign commerce, with intentthat a murder be committed in violation of laws of any State or the
United States as consideration for the receipt of, or as
consideration for a promise or agreement to pay, anything ofpecuniary value, shall be fined not more than $10,000 or imprisoned
for not more than ten years, or both; and if personal injury results,shall be fined not more than $20,000 and imprisoned for not more thantwenty years, or both; and if death results, shall be subject toimprisonment for any term of years or for life, or shall be fined not
more than $50,000, or both.
" b! As used in this section and section 1959 -
g " l! anything of pecuniary value meansanything of value in the form of money, a negotiable instrument, acommercial interest, or anything else the primary significance of
which is economic advantage;
"! facility of interstate commerce includes
means of transportation and communication; and
"! 'State"inc1udes a State of the United
States, the District of Columbia, and any commonwealth, territory, or
possession of the United States.
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Hanual of Investigative Operations and GuidelinesPart I - PAGE 166 - 3
EFFECTIVE: 03/30/93
166*1.3 Section 1959 - Violent Crimes in Aid of Racketeering
Activity
" a! Whoever, as consideration for the receipt of, or
as_consideration for a promise or agreement to pay, anything ofpecuniary value from an enterprise engaged in racketeering activity,m,MJ__,_ornformthewpurposemofwgainingmentrance_touor_maintaining_or increasing_ri__._,_a_;__ia___position in an enterprise engaged in racketeering activity, murders,kidnaps, maims, assaults with dangerous weapon, commits assault _resulting in serious bodily injury upon, or threatens to commit a
crime of violence against any individual in violation of the laws ofany State or the United States, or attempts or conspires so to do,
shall be punished-
» » for any term of years or for life or a fine of not more than $50,000, Q::, 92 _ "! for murders or kidnaping, by imprisonment
J 0 or both;
1 "! for maiming, by imprisonment for not more
than thirty years or a fine of not more than $30,000, or both;
"! for assault with a dangerous weapon or
assault resulting in serious bodily injury, by imprisonment for noty more than twenty years or a fine of not more than $20,000, or both;
"! for threatening to commit a crime of
violence, by imprisonment for not more than five years or a fine of
y not more than $5,000, or both;
"! for attempting or conspiring to commit
murder or kidnaping, by imprisonment for not more than ten years or a
fine of not more than $10,000, or both; and
"! for attempting or conspiring to commit a
crime involving maiming, assault with a dangerous weapon, or assault
resulting in serious bodily injury, by imprisonment for not more than
three years or a fine of not more than $3,000, or both.
i " b! As used in this section-
EEEE y "! racketeering activity has the meaning set
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Manual of Investigative Operations and GuidelinesPart I _ ' PAGE 166 4 s
| forth in section 1961 of this title; and
"! enterprise includes any partnership,
corporation, association, or other legal entity, and any union or
group of individuals associated in fact although not a legal entity,
which is engaged in, or the activities of which affect, interstate or
foreign commerce."|
EFFECTIVE: 08/30/93 e
166-2 POLICY
! At the time these cases are presented to the USA for
prosecutive opinion, he/she should be advised whether forcible entry
is foreseen in the service of arrest or search warrants.:CV: ! Furnish copies of all reports to the appropriate USA.
- r! Extortion violations which involve threats to injure
reputation or to accuse another of a crime through the use of the
mails are to be handled by the postal inspectors.
! The Department has advised that Title 18, USC,
Section 1084 d! ITWI!, is sufficiently broad in scope to cover
violations of Title 18, USC, Section 1952, where "facility" is being,
used for gambling purposes. Appropriate consideration should be given
to termination of telephone or telegraph facilities which are utilized
for gambling purposes, as provided in Title 18, USC, Section 1034 d!.
See Section 165-2, of this manual concerning submission of notice to
the Department.!
! The amendment adding arson as a'vio1ation to the
statute, by its terms, applies to any arson, where facilities of
interstate commerce are used; however, the FBI will concentrate its
efforts on violations involving organized crime figures, arsonfor-
profit, arson-for-hire, and/or cases where the complexity of the
investigation warrants Federal interest. Investigations should be
conducted with organized crime and arson-for-profit as the focus.
That is, where property owned by organized crime figures is
deliberately set afire, or where property is set afire by a known iii? - professional torch, with intent to defraud an insurance company, or
ST? where property is destroyed by fire as a strong-arm tactic by
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. . ,. . _ _ _ Z, _ , , _ ___ ___ _ , -._-~ Y., W V ._ ._ __ .._..-~~;g-,- - .-- --w- ;--,-~.--~~-~--- - ---- -=-.---------,--~--.-------- I-~-w---1------='---"-~--*-=~"-'------"-- -"--"- "-"
we ='»:~'». .1: _ w ,-_.=~. "-
I
I3
92-uni&Sensitive
Manual of Investigative Operations.and Guidelines
Part I 92 PAGE 166
organized crime, and facilities of interstate commerce are used to
effectuate the arson, investigation should be conducted.
! ITAR - Arson non-LCN! - ITAR - Arson investigations
in which no known organized crime members or associates are involved
should be investigated, when appropriate, within the Interstate Theft
Subprogram. All ITAR Arson investigations involving LCN members or
LCN associates are to be referred to the Organized|Crime/Drug
Operations Section #2,|Criminal Investigative Division, at FBIHQ.
! The FBI s statutory authority for conducting arson
investigations@is_underathe Racketeer-Influenced_and~Corrupt_~sswwsmmOrganizations RICO! Statute, Interstate Transportation in Aid of
Racketeering ITAR! Statute and Crime on a Government Reservation
CGR! Statute. The RICO and ITAR Statutes are most frequently used.
Under the RICO Statute there are several arsonrelated unlawful acts
known as "predicate offenses" Federal violations covered are Hail
Fraud, Fraud by Hire, Obstruction of Justice and Bank Fraud!,
violations of state law covered are arson, extortion, murder and
bribery!, which form a pattern of racketeering.
8! Inner-city arson is a scheme designed to defraud
insurance companies and is frequently investigated under the ITAR
Statute. Inner-city arson has a direct impact on the daily lives of
citizens, whereby people are killed or injured, property destroyed,
insurance premiums raised and the very quality of community life
drastically lowered. To assist the investigator in the recognition of
inner-city arson, the following are sources of arson information:
a! Police/fire department records obtain a list of
arson suspicion fires!
b! Local newspapers look for articles on arson!
c! State fire marshals
d! Insurance Crime Prevention Institute ICPI!
e! Insurance adjusters
I
f! Informants
9! The following are clues which indicate positive
circumstantial evidence that a fire was set for an insurance fraud:
a! Presence of incendiary material
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92 . .H;,,-.-v-92.i.-.¢-4,-ix-.92>-i.h;.;Q,».;-'-e - _- _ ' - '
._'1,_:_-N._" 92.2-.=;_r,-=35 "*.'-1': . *3 J,1.-<»..' Sensitive"
Manual of Investigative Operations and GuidelinesPart I PAGE 166 - 6
W _ loss
_..--4
. ' --_-4. 5 b!
to be profitable!
C!
d!
e!ultiple origins of fire arson must be a total '
J. ~92;§'-6!-192'>'s*""""f'=*,-Pis.-.-=-._ -r, . . .,.' ..--= -A;Locaf3§6ItheFf1re?1n a~bu11d1ng:ook.for2§;92-,-aw -"ff; .,'f1-,;»:,|»ln"IN".a.---~>v "11""-r"4'lKvl¢-6'-§?*""-" '- -' ;;- * -n5..-.I$'*'_n-.,;;...:-H'I:I§;+-~-"Eh--n.firefstarted near the"roofhas'manysinsuracefadjustors hill §e§Iare"a;_N fire_aMtota1 loss once the roof is"aé§r?6yeE! * '_ " '6
Suspicious hours no witnesses!
Holiday fires
CI?6 E!
g!
In!
i!
'!
k!
!Vacant building - '
Renovation of building
Recent d駧}r6ié'o£ @eEa§55ts Q
Removal of-objects woodwork, plumbing, etc,l up
Property for sale
Previbé r{¬§i¥
Building overinsured
mil Habitual claimants
n!
policypexpirest
follows:. __92_i,- _
Fires occurring shortly before the insurance
92-...L_~e..~¢:-'7 . - ~ - _ _ __ !_ -._ _
To!Fires where insurance has recently been obtained
~-~m..¢.- _,~4'¢~<P~ *;fr'= H" ~ -* gY§§_92 ' :»,92'g,-."' 1' 5"-:,..; ."".:,£;" V--i <- , . p!L Recent saIe7of#uifding';I _
0!Investigative techniques that are most frequently
used and have proven to be effective in arson investigations are as
a!
b!
c!
d!Informants
Surveillance
Reviewing records
Consensual monitoring
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ianual of Investigative Operations and GuidelinesPart I PAGE 166 * 7
e! Court-ordered Title III electronic surveillance
f! Grand Jury and/or grants of immunity
1! Field offices should not open cases on the mere fact
that a fire is of a suspicious origin, rather they should concentratetheir efforts on violations involving organized crime figures, arson-' '
for-profit, arson-for-hire, and/or where the complexity of the cases
warrants Federal interest. All investigations being conducted under
this statute should be closely coordinated with FBIHQ and the
a22?°Pria§9 E§&;_mw_1_"_,ll__ ,le1___"rl_n __l0. . A ..,1e.. _1l1l._1. 1l__.l___
| 2! [Deleted|
| 3! |Deleted|
| 4! |Deleted|
* element any use, attempted use, or threatened use of physical force iii 5! Violent crime is defined as any crime which has as an
-J against the person or property of another; Violent crime is also
defined as any other offense that is a felony and involves a
"substantial risk" against the person or property of another.
EFFECTIVE: 08/30/93
166-3 REPORTING PROCEDURES See HAOP, Part II, 1097!.!
!! ITAR violations in support of or related to organized
criminal enterprises are handled by the Organized Crime/Drug Sections
and will be reported accordingly.
! ITAR Murder and other ITAR offenses in support of
other violent crimes, committed by subjects who are not connected toan organized criminal enterprise, are handled by the Violent Crimesand Hajor Offenders Section VCHOS!, FBIHQ. All offices should advise[ FBIHQ, CID, Violent|Crimes/Fugitive Unit VCFU!,|by teletype wheneveran ITAR - Violent Crimes case is initiated. The initial communication
sshould set forth the following:
éggg I a! A characterization of the target investigation;
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___:;:_._*_ 1 . _ .. _ _.__. . __,_ ;'_ _. _ _ __ _ __ ::----¢.~-7?,-----,-1-,~¢-¢--=-~ ---1-H-----_._-___,._.._._._--........._. ._. _l_....... . __.... ..._..____.i ..... __ ..?,____i_._.._ -
iii. e
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Manual of Investigative Operations and GuidelinesPart I PAGE 166 - 8
b! A brief summary of the violent crime activity in
which the target of the investigation is involved;
c! Basis for federal jurisdiction; and
d! Proposed investigative approach.
| ! |De1eted| '
| ! Each FBI office will advise FBIHQ, CID,|VCFU,|of all
pending ITAR Violent Crimes investigations that involve the purchase
**-"- "*s£"a;ag§ s§ ;asa1£EI5g"a qo;;£es1§"sI§£;1"s§"££;"§1:£5"a¥"¢s¢L " tJanuary, April, July, and 0ctober.i The airtel should include the case
caption, office file number, and a brief summary of all drug
transactions that took place during the previous quarter in that
investigation.
I ! In the event an ITAR - Violent Crimes investigation,
"" which involves the purchase of drugs, contemplates the use of any of Zip I the following sophisticated techniques, Prior approval must beJ H obtained and the respective field office must refer to and comply with
I thelPart I, Section 28l|of the Manual of Investigative Operations and
Guidelines HIOG!. I ' -
516
| ! Each field office should advise FBIHQ, vcnos,lvcFu,[
by teletype whenever an ITAR-Violent Crimes investigation iszilé prosecuted and/or closed.
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J ;:§f .p;=rY if ;;_., _j@¥%y;T;92 _ _Tq@T%j1TTT{?W~@T¢¢~_@¢m~vw@@1@vA%"¢-~MM""~ . .
.Jw
F,12:; . . P 'gs _ Sensitive
Manual of Investigative Operations and GuidelinesPart I _ PAGE 166 - 9
EFFECTIVE: 07/20/95
} 166-4 |THREA'I' T0 LIFE DISSEMINATION OF INFORMATION See
HAOP, Part II, 9-7; KIOG, Part I, 89-6, 175-22.1,
and l79~7.! '
" The following guidelines cover the FBI's responsibilityto warn ersons of threats to their life or threats that may result in" __ _P92seriou§_bodily injury ahd policy regarding notification to other lawenforcement agencies of such threats. Extracted from Resolution 201 dated 12/16/96. See footnotes at the end of this citation.! In allinstances, manner depending upon exigencies of situation, FBIHQ shouldbe advised of details of such threats together with a notification ofaction taken or a recommendation as to action to be initiated UACB.
:i©¥ , "III. Guidelines A
i
"ii "A. Warning to the Person.
' ' "! Expeditious Warnings to Identifiable Persons.Except as provided below in paragraph IIIA!, when a Federal LawEnforcement Agency has information that a person who is identified or
can be identified through reasonable means is subject to crediblethreat to his/her life or of serious bodily injury, the Agency shouldattempt expeditiously to warn that person of the nature and extent of
, the threat.92
Al -
1 "! Manner, Means, and Documentation of Warning.
"a. The Agency may determine the means and manner of
the warning, using the method most likely to provide direct notice to the intended victim. In some cases, this may require the assistanceof a third party. The Agency must document in writing in its filesthe content of the warning, and when and where, and by whom it was
delivered to the intended victim.l
"b. An Agency may seek the assistance of another law, enforcement agency to provide the warning. If this is done, thei Agency must document in writing in its files the notification of the
threat,,and when, where, and the name of the other agency'sA ii:§ representative to whom it was delivered, along with the other agency's
ff$¥ , agreement to provide a timely warning..L
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__'t__,_f,_, _ Viv __, _7;__ _ _;,_ _, _»--_- _, i_____,__,__ _____ _ ;<_y:1;~';~§;V~».--.1-:-..._»-;._~,-.,-,--sf-___¢.i_...,.-.....-i i.-e-.--_,- L! .. 1-1.,-__--H .',-_. ,=,--,.,-_-..,.---.---.-.--~-.---------92---~
by 1 J 0 2'
1
*1.'~§?;:I,; é- , _Sens 1. t ive
Manual of Investigative Operations and GuidelinesPart I PAGE 166 - 10
"! Exceptions.
p "a. A Federal Law Enforcement Agency need not
5 attempt to warn an intended victim of a threat to his/her life or
of serious bodily injury in the following circumstances:
" i! when providing the warning to the intended
victim is likely to cause equal or greater physical harm to one or
more persons; 1
______ it _ .__ l,_ ..i_i! Y"h° _ l'-!.tL_i_1.._t_E'_,_l'=¬.._."i-Tti." !=s2:~_e5b.s__ns.E»_§s_. _ r___._u_____rand extent of the specific threat against him/her; or
" iii! when the intended victim is: a! a
public official who, because of his/her official position, is provided
a protective detail; b! a participant in the Witness Security Programthat is administered by the United States Marshals Service; or c!
detained or incarcerated. See paragraph IIIB!.
Agency's decision not to provide a warning in the foregoing
circumstances must be approved, at a minimum, by a Senior Field
A Manager. 2 In all cases, the reasons for an Agency's decision not toprovide a warning must be documented in writing in the Agency's
i files. ii Z l "b. Whenever time and circumstances permit, an
"NOTE: This paragraph does not apply to the agencies directlyresponsible for providing the security for the individuals referredi to in paragraph IIIA!a iii!, above, when the threat is to the
N referenced individual. In such cases, documentation, if any, should
be created in accordance with the agency procedures. .
"B. Notification to Law Enforcement Agencies With Protective or
92 Custodial Jurisdiction.
" l! Expeditious Notification. When a Federal Law
Enforcement Agency has information that a person described above inparagraph IIIA!a iii! is subject to any threat to his/her life or
of serious bodily injury, the Agency must expeditiously notify other
law enforcement agencies that have protective or custodial
jurisdiction.
"! Means, Manner, and Documentation of Notification.
_;j$ The notifying Agency may determine the means and manner of the ii; Q notification. When providing notification, the notifying Agency shall
Sensitive
* PRINTED: OZ/18/98
,_»~ é_ --7--¢=w j-_.m,-w; - _,_ - .-;_..._.-._,:___s-.-.- --_ --_-_-.__,¬.__-,~.,.__-_ -_e -.-- --- .-- --_-,--~-A.-_ 7 .»-- ms.--.-.,-_ H,-.----.--.-as _...-- --.--.--~-..
i§?§- u
*¥§% Sensitive
Manual of Investigative Operations and GuidelinesPart I . p PAGE 166 - 11
92 provide as much information as possible regarding the threat and the
credibility of the threat. The notifying Agency must document in
writing in its files the contentof the notification, and when, where,
and to whom it was delivered.
"C. Notification to Law Enforcement Agencies That Have Investigative
Jurisdiction. '
" l! Expeditions Notification. Except as provided below
in paragraph IIIC!, when a Federal Law Enforcement Agency has
, information that a person other than a person described above in
i paragraph IIIA!a iii!! who is identified or can be identified
nvwji ithrough reasonable means iE*§B}¬Er to a credible thréa:EBEI£7E6}
< life or of serious bodily injury, the Agency should attempt
expeditiously to notify other law enforcement agencies that have
investigative jurisdiction concerning the threat.
"! Threats to Occupied Structures or Conveyances. When
a Federal Law Enforcement Agency has information that a structure ori* g conveyance which can be identified through reasonable means is. f subject to a credible threat which could cause loss of life or
~- .serious bodily injury-to its occupants, the Agency should provide
expeditious notification to other law enforcement agencies that have
jurisdiction concerning the threat.
92 ! Means, Manner, and Documentation of Notification.
-The Agency may determine the means and manner of the notification.
The Agency must document in writing in its files the content of the
notification, and when, where, and to whom it was delivered.
"! Exceptions.
_ "a. A Federal Law Enforcement Agency need not
92 attempt to notify another law enforcement agency that has
92 investigative jurisdiction concerning a threat:
- " i! when providing the notification to the
other law enforcement agency is likely to cause equal or greater
physical harm to one or more persons; or
" ii! when the other law enforcement agency
knows the nature and extent of the specific threat to the
intended victim.
.#¥ "b.» Whenever time and circumstances permit, an;éS% , Agency's decision not to provide notification to another law
Sensitive '
PRINTED: 02/18/98
__._ '_;;'___ _ __ __ __ _ v;_:.-_A_. _ _ __ __ ___ __ __ _ _;._?._-.,, .:_.7___._. :,.._._.___.Tr._.7-.7... ..,:._ -__ ___i__,_...:r,__..____.r_.__....-.,.- . ..__,_ __._..,..,____,._.,7,_92 ,.__._-, _,_.,,-,____,,,,_,.;.'-~_.,,.._._._.__ ."_._..x._-.,-----
"5%§a ' I
Sensitive
Manual of Investigative Operations and Guidelinesp Part I ' ' PAGE 166 - 12
enforcement agency in the foregoing_circumstances must be approved,
at a minimum, by a Senior Field Manager. In all cases, the reasons
for an agency's decision not to provide notification should be
documented in writing in the Agency's files.
"IV. Rights of Third Parties.
1 "Nothing in these guidelines is intended to create, or does
create, an enforceable legal right or private right of action.
Footnotes: ' '
"1 If the equal or greater harm would occur to a
Government informant or Agent as a result of his/her participation in
an investigation, consideration should be given to extricating that
individual from the investigation or taking other appropriate
measures in order to minimize the risk. _
"2 As used in these guidelines, Senior Field Manager :j_ * refers to a Federal Law Enforcement Agency operational field manager* of the-GS-15 rank or higher, or the person serving in that capacity in
r his or her absence."| , '
EFFECTIVE: 03/14/97
||166-5| POSSIBLE APPLICATION OF INVOLUNTARY SERVITUDE AND SLAVERY
swsrurss IN INTERSTATE TRANSPORTATION IN AID OF
' RACKETEERING ITAR!-PROSTITUTION CASES
When conducting ITAR-Prostitution investigations, Agents
should be alert to facts which indicate that prostitutes were held or
sold into conditions of involuntary servitude or slavery through use
of force, threat of force, or coercion. Such situations may
constitute violations of the Involuntary Servitude and Slavery and
related statutes, Full details of these laws, as well as FBI policy
and procedure, are set forth in Part I, Section 50 of this manual.
EFFECTIVE: 03/14/97
E '_-;¢_.';?
Sensitive
PRINTED: O2/18/93
-Manua1 of Investigetive
Part I
VENUESensitive
and Guidelines .
PAGE 166 -Operations
which travel or||1666]
In any district from, through, or into
' of statute has occurred Title 18, USC,transports
Section 3237!.
»
EFFECTIVE: O3/14/97tion in violatzon
ERSTATE TRANSPO ID or
GAMBLING, PROCHARACTER - INT
ORTION, BRIBERY,||1s67|
_ RACKETEERING - EXT
R AND vxotnnr CRIMES ARSON, MURDE ,
EFFECTIVE: O3/14/97
_.
SensitiveRTATION IN A
STITUTION,13 _
PRINTED 02/18/98
*___._, _ ___e.._,_-_.#_e.._+.. __-.._...,. .,._v...I.._..______
etch
g»: ~ Sensitive
__:_i.._i_.7
:._.
Hanual of Investigative Operations and GuidelinesPart I ' PAGE 167 - l
SECTION 167. DESTRUCTION OF INTERSTATE PROPERTY
1167-1] STATUTE
Title 15, USC, Sections 1281 and 1282
This statute prohibits the willful destruction or injury
to property moving in interstate or foreign commerce while suchR521:-3,1tv;é3i12i£2s21=_t£2l-.9_¬ls_9;-m9s_21";=2s£5as.t <=§££i21;=» 1;l1is_1_§1
is limited to rail, motor vehicle, and aircraft carriers.
EFFECTIVE: O1/21/86
||1a7-1.1| Section 1231
Prohibition against destruction of property in possession
of carriers; penalty; prima facie evidence of commerce
" a! It shall be unlawful for any person willfully
to destroy or injure any property moving in interstate or foreign
commerce in the possession of a common or contract carrier by
railroad, motor vehicle or aircraft, or willfully to attempt to
destroy or injure any such property.
" b! Whoever violates subsection a! of this section
shall be fined not more than $5,000 or imprisoned not more than ten
years, or both. i 1
" c! To establish the interstate or foreign commerce
character of any property involved in any prosecution under this
section, the waybill or similar shipping document of such propertyshall be prima facie evidence of the place from which and to which
such property was moving."
EFFECTIVE:iO1/21/86
Sensitive
PRINTED: 02/18/98
. ,-_.;:v.;- ..
ts Sensitive
- Manual of Investigative Operations and GuidelinesPart I PAGE 167 - 2
||l671.2| Section 1282. State Prosecutions
"A judgment of conviction or acquittal on the merits under
the laws of any State or possession of the United States, the District
' of Columbia or the Commonwealth of Puerto Rico, shall be a bar to any
prosecution under this chapter for the same act or acts."
EFFECTIVE:i01/21/86
H1674-3| E15»-"-=n¢=_ __, _ ____ __ 4____ ___ W
! Property is moving in interstate or foreign commerce
in the possession of a common or contract carrier. .
l ! The property is being shipped by rail, motor vehicle,
or aircraft. ::ii ! The property is willfully destroyed or injured.
ti? 4! An attempt is made to willfully destroy or injure
such property.
EFFECTIVE: 01/21/86 _
]|167-2| POLICY
! Upon receipt of a complaint indicating a possible
violation of this statute, FBIHQ must be advised by the most
expeditious means depending upon the exigencies of the case involved
setting out briefly the facts and the action being taken.
! If any questionable complaints are received, thefacts should be immediately discussed with the appropriate USA for a
determination as to whether a violation exists and whether he/she will
authorize prosecution in the event the subjects are identified.
! This statute does not limit in scope the type of
property covered, mode of carriage excepting water transport! nor
does it distinguish between a common or contract carrier.
=?f willful intent is specifically required to constitute a violation. :EE§ ! Unintentional acts are excluded. The element of
Sensitive '
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_ _ g __ _ __ ____ _ .._ a .- - -_, r ---.--.. - T _- --.--.-.-____...,.._,._§...,..-_-1--.r-. s.---; ;., --..-.,-'-»_-1-:- 4-,.--_-_92~ 1.-,1.-:1-92-.-»,--~<-,-r-.-.-1-R
tégég 6 - -'::=l . Sensitive
Manual of Investigative Operations and GuidelinesPart I. PAGE 167 3
! Those cases wherein the willfulness of the act is not
obvious or where circumstances do not strongly indicate concerted
efforts should be brought to the attention of the USA beforeinitiating any investigation so that he/she may discuss the matter '
with state or local law enforcement officials and render a prosecutive
opinion.
y ! Once it has been determined either from the facts of
a case or upon receipt of the opinion of the USA that there has been a
violation of the statute, an immediate, continuous, and exhaustive
investigation must sm§£&§v¢tsd;_,u_m__m___m,___ __r__"t_ _m____u__t_w_ b
EFFECTIVE: 01/21/86
92|1673| INVESTIGATIVE PROCEDURE
"*3 ! Waybill must be obtained to determine the interstate §Z;} or foreign character of the property involved, together with the' ' identity of the individual competent to introduce it into evidence.
_ ! lAn examination must be made of the damaged goods.
Foreign substances, bullets, tool marks, and any other items of
evidence located must be submitted to the Laboratory for examination.
! Photographs should be taken when the damage is
extensive or when deemed warranted.
! The location of the violation should be determined in
the early stages of the investigation.
! A thorough and meticulous crime scene search should
be conducted once the place ofYviolation has been established.
! Thorough interviews must be conducted of all persons
connected with the shipment of the damaged property. Signedstatements should be taken from any witnesses furnishing information
of value.
EFFECTIVE: O1/21/86
Sensitive
PRINTED: 02/18/98 92
V I
_ _ _ i _ _ _____ , _ _I______2__________ __i____.,7_.:l.,>_,__,__._.t__,f,_._sf7,r_._,__.._.._ c..__ ,.._.,f__ _ . . .._ .- - 7-, .-i.---.7... .,.-v_---..__--..-..-._-__,-ei-l....--- -_-
92_: .11,f92J.-1.1.--IV it O C
7 I-1':
his 1 -5 : Sensitive
Manual of Investigative Operations and GuidelinesPart I . ' PAGE 167
||167-4| ossrnucrxon or INTERSTATE PROPERTY IN CONNECTION WITH
UNION ACTIVITY ' _
! If information is developed indicating the damage was
caused as a result of a strike or union activity, advise FBIHQ
immediately.
! FBIHQ authority is not needed to interview union
members in connection with these investigations; however, FBIHQ should
be advised prior to conducting an interview of union officials.
! In r_=°rms9t_i.9_I1l"ir£h__t_hs=s i=1Is¥vis"s- _§i?_3.BF}_i..2EL, '_
I.
'1member Br union official should be specifically and unequivocallyadvised that this Bureau is not interested in the demands or merits of
the strike; that this Bureau is charged with protecting goods moving
in interstate and foreign commerce and the investigation is todetermine whether there has been a violation of Federal law and, if
there has been, to determine the identity of those persons
responsible. _
! All major developments must be furnished to FBIHQ byappropriate communication, and all leads to other offices must be set
forth by teletype. . p
! In connection with these investigations the
Department has stated:
a! "Where explosives are used or where an attempt
is made to injure the driver of a vehicle moving on the roadways the
actor has violated the statute; in the first case because he obviously
intends to destroy the entire vehicle and any cargo it may be
carrying; in the second instance one who commits such an act so
directly dangerous to the life and safety of the driver of a moving
vehicle must be presumed to intend all of the natural consequences of
his reckless act which would inevitably include the wrecking of the
vehicle and the destruction of whatever cargo it may be carrying.
Acts short of shooting whose clear intent would also be to force the
truck into a wrecked situation would likewise be fit occasions forprosecutions for the same ultimate objective of destruction of truck
and cargo is a presumptive conclusion." I
b! "While the cases might be more difficult ofproof and less obvious, it cannot be said that damage not of an
explosive nature! to a vehicle at rest is invariably outside the
statute. Where damage is done to a vehicle at rest which mightreasonably cause harm to that vehicle at a later time and while in
Sensitive
PRINTED: 02/18/98
z
/ O r» Qt or
- 4
§§§%~ . . .=§$ Sensitive
Manual of Investigative Operations and Guidelines Part I E PAGE 167 5»
motion would fall within the same category as previously mentionede.g., the weakening of an air brake system or of the running gear theintended effect of which is to occur at a later time. These caseswould depend upon the specific kind of damage occurring and theprobable intended results." _ i
' c! "Attempts at damage to cargoes difficult orincapable of damage are to be considered as covered unless the attempt
could not conceivably have been successful;"
Errscriyg; Q1/2;/86' pp _ _ _ 4 __ g 7 __rgu pg _
92|167-51 VENUE - - E 7
In the district in which the damage or destructionoccurred. If the location of the act is unknown, prosecutivejurisdiction will lie either in the district of origin or the districtCi: ' of terminus of the shipment. _ p
EFFECTIVE: O1/21/86
11167-6] E mounts JEOPARDY
A judgment of conviction or acquittal on the merits underthe laws of any state or possession of the United States, the Districtof Columbia, or the Commonwealth of Puerto Rico shall be a bar to anyprosecution under this act for the same act or acts.
EFFECTIVE: 01/21/as
|92167-7| CHARACTER DESTRUCTION or INTERSTATE PROPERTY
EFFECTIVE: 01/21/86
Egg? i .
Sensitive c
' PRINTED: 02/18/98 -
_ .
;.;- I -.¢-.7-3"".1;-_?]._J ,5.-' -7':~.¢-;."
--.-. ;,
Sensitive
Manual of Investigative Operations and Guidelines 1Part I _ - PAGE 168 -
SECTION 163. INTERSTATE TRANSPORTATION OF WAGERING PARAPHERNALIA
168-1 STATUTE .
' Title 18, USC, Section 1953
" a! Whoever, except a common carrier in the usual courseof its business, knowingly carries or sends in interstate or foreign. . . . . 1.commerce any record, paraphernalia, E}§hQgl_E§5P1f1C§t¬!_blilS3§_}Pj___4M__'t8ké5;'555éii"GEifI5g;"d¥"6iher device used, or to be used, oradapted, devised or designed for use in a! bookmaking; or b!wagering pools with respect to a sporting event; or c! in a numbers,1policy, bolita, or similar game shall be fined not more than $10,000
or imprisoned for not more than five years, or both.
_ " b! This section shall not apply to ! parimutuelbetting equipment, parimutuel tickets where legally acquired, orparimutuel materials used or designed for use at racetracks or othersporting events in connection with which betting is legal underapplicable State law, or ! the transportation of betting materialst b ed in the placing of bets or wagers on a sporting event into ao e usState in which such betting is legal under the statutes of that State,or ! the carriage or transportation in interstate or foreign 1commerceof any newspaper or similar publication, or ! equipment,tickets, or materials used or designed for use within a State in alottery conducted by that State acting under authority of State law.
1" c! Nothing contained in this section shall createimmunity from criminal prosecution under any laws of any State,h D' t ' t ofCommonwealth of Puerto Rico, territory, possession, or t e is ric
Columbia."
Note: In regard to the use of the mail as a vehicle oftransportation, violations are investigated by the U.S. Postal Service
under Title 18, Section 1302.
EFFECTIVE: 01/31/78
Sensitive
PRINTED: 02/18/98
;g __ ______' _ __ _ _ v _._ _ ;__ __,,__ ____ ___ 7 _ _T _ _;-- 73-, 4=-_-,;._--».-P--¢..__. -._ .. . "#7-s,-_--...r-_.__--.--~ -_: .:' r-v:v T; _. _ >/ -_ . .._ W .-..--_..__.V. _,_._.-..-..-r._,-.---
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Hanual of Investigative Operations and GuidelinesPart I s PAGE 168
163"2 DEPARTMENTAL POLICY
! With respect to bookmaking, Section 1953 wouldprohibit transportation of items, such as flash paper intended for
recording of bets, pads of paper, adding machines, and similarmaterial, where it can be shown that the material used was intended
adapted for such use
! Regarding wagering pools with respect to sporting
events, the section would prohibit transportation of sweepstakestickets football, basketball, and baseball pool cards, and similar
material, as "ell as snx_9the£_9Pis§t= "hishim§y_Pe uses 1n 9§££y1ns
dn such_activities
3 Material used in numbers, policy bolita, and similar
games that is prohibited from transportation would include slips on
which numbers are recorded, tally slips, adding machine paper,printing plates, presses, and the like. The Department does notconstrue the language of the law to extend to lotteries of all kinds,
but rather it should be confined to the types enumerated and
variations thereof. Games, such as bingo or punchboards, are not
included in the statute. The Department interprets the work
"knowingly" to require a conscious act on the part of the personcarrying or sending the material, which act would require a knowledgeof the nature of the material and a knowledge and intent that the
material be transported. It does not require a knowledge of thespecific prohibition of the statute or even of the existence of the
statute
EFFECTIVE: 10/18/as
163-3 INVESTIGATIVE PROCEDURE
! The records of the carrier should be examined to
determine the name of the shipper, consignee, route, and date of
shipment
! Any material used by the carrier or other documentary
evidence that would establish the interstate character of the shipment
should be obtained
! When transportation is accomplished by means other
than the use of a common carrier, consider the advisability ofsurveillances to establish the interstate transportation of the items.
Sensitive
PRINTED 02/18/98
ié . .>:- Sensitive
Manual of Investigative Operations and GuidelinesPart I PAGE 168
! The development and utilization of confidential"informants, other investigative techniques, and the use of the FBI
Laboratory should be considered. .
! Violations of the 1nterstate.Transmission of Wagering
Information and Interstate Transportation in Aid of Racketeeringstatutes may accompany violations of Interstate Transportation of
Wagering Paraphernalia. 1.3e
__ii,§EE§CIIYE3 1Q[l§l33 -. B aria r___ni__r_ __nI__ I _ I- or _
168-4 VENUE t
In any district from, through, or into which suchparaphernalia transported. Title 18, USC, Section 3237!
r_; EFFECTIVE: 10/18/88
92.ai
168-5 IREPORTING PROCEDURES
! In 163A cases involving LCN members and/or associates
or 168B cases involving other organized crime groups i.e., Asianorganized crime, Sicilian Mafia, etc.!, submit an airtel to FBIHQwithin 60 days of opening the case. This communication should-includefacts predicating the case and sufficient identification data on the
92 subject s! for indexing purposes.
1 ! A progress letter should be submitted every 180 days
restating the predication and a summary of the investigation.
! The results and/or summary of investigation should be
j reported by airtel.
92 - ! In 168C cases, no reporting to FBIHQ is required.|
EFFECTIVE: 10/18/88
Sensitive
PRINTED: O2/18/98L
Sens i-tive
Manual of Investigative Operations and Guidelines .168 - 1|
_ Part I 92 _ _PAGE
||1686| CHARACTER - INTERSTATE TRANSPORTATION OF WAGERING
_ PARAPHERNALIA
EFFECTIVE: 10/18/88
92_;¥
9*. .
Sensitive
PRINTED: 02/18/98____.._i__i
5%
§'.'_'?!%
§V
r -
§ .-ISensitive
Manual of Investigative Operations and GuidelinesPart I . PAGE 172
' SECTION 172. sronrs BRIBERY
172-1 STATUTE
Title 18, bSC, Section 224, effective 6-6-64-
Section 224. Bribery in Sporting Contests
- " a! Whoever carries into effect,_attemptsto_carrybinto1 effEct,7or*conspires with sE§'6thé} person to carry into effect any
scheme in commerce to influence, in any way, by bribery any sporting
contest, with knowledge that the purpose of such scheme is to,
influence by bribery that contest, shall be fined not more than
$10,000, or imprisoned not more than 5 years, or both.
" b! This section shall not be construed as indicating an
intent on the part of Congress to occupy the field in which thissection operates to the exclusion of a law of any State, territory,Commonwealth, or possession of the United States, which would be valid
in the absence of the section shall be declared invalid, and no local
authorities shall be deprived of any jurisdiction over any offense
over which they would have jurisdiction in the absence of this
section. g ' .
" c! As used in this section -
"! The term scheme in commerce means any scheme
effectuated in whole or in part through the use in interstate orforeign commerce of any facility for transportation or communication;
"! The term 'sporting_contest' means any contest
in any sport, between individual contestants or teams of contestants
without regard to the amateur or professional status of the
contestants therein!, the occurrence of which-is publicly announced
before its occurrence,
"! The term person means any individual and any
partnership, corporation, association, or other entityr"
EFFECTIVE: 01/31/78
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PRINTED: 02/18/93
--'_
Sensitive
Manual of Investigative Operations and Guidelines- -
Part I PAGE.172
172-1.1" Elements
! A "scheme in commerce"
! Designed to influence a sporting contest by bribery
!! An attempt to carry into effect the scheme or actual
carrying into effect of the scheme or alternately, a conspiracy to do
this, noting that this section contains its own conspiracy provision!
! With knowledge of the.purpose of the scheme
EFFECTIVE: O1/31/78 .
l72*1.2 Exceptions 92
Nothing in this section shall pre~empt the laws of any
state, territory, commonwealth, or possession of the U.S. or deprive
local authorities of jurisdiction over existing statutes in this
field. '
EFFECTIVE: 01/31/78
172-1.3 Analysis of Statute '
! 'This section makes it a Federal offense to attempt to
or to influence, in any way, a sporting contest by bribery. From the
legislative history it is clear that Congress intended this statute to
cover not only outright "throwing" of contest but also more subtle
practices, such as "point-shaving." The section covers both the
briber and the recipient, be he participant, coach, trainer, referee,
or anyone else who could in fact "influence" the outcome of the
contest.
! It is also evident from the legislative history of
the section that Congress intended to extend Federal jurisdiction only
to those schemes which involve interstate use of interstate facilities
in carrying the scheme into effect.
. - ! "Bribery" is not defined by the statute, and at
common law referred only to the misconduct of public officials. The_
Department has advised, however, that it is apparent the congressional
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i,-'3-':
.2;
F-"">._
?
P'-1
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I
Manual of Investigative Operations and GuidelinesPart I ' A K - PAGE 172 ' 3
intent was to use the word in its genera
…[truncated]