Domestic Security Investigations
I. Bases of Investigation A. Domestic security investigations are conducted, when authorized under Section II(C), II(F), or II(l), to ascertain information on the activities of inividuals, or the activities of groups, which involve or will involve the use of force or violence and which involve or will involve the violation of federal law, for the purpose of:
(1) overthrowing the government of the United States or the government of a State;
(2) substantially interfering, in the United States, with the activities of a foreign government or its authorized representatives;
(3) substantially impairing for the purpose of influencing U.S. government policies or decisions: (a) the functioning of the government of the United States; (b) the functioning of the government of a State; or (c) interstate commerce.
(4) depriving persons of their civil rights under the Constitution, laws, or treaties of the United States.
II. Initiation and Scope of Investigations A. Domestic security investigations are conducted at three levels -- preliminary investigations, limited investigations, and full investigations -- differing in scope and in investigative techniques which may be used.
B. All investigations undertaken through these guidelines shall be designed and conducted so as not to limit the full exercise of rights protected by the Constitution and laws of the United States.
Preliminary Investigations
C. Preliminary investigations may be undertaken on the basis of allegations or other information that an individual or a group may be engaged in activities which involve or will involve the use of force or violence and which involve or will involve the violation of federal law for one or more of the purposes enumerated in IA(l) - IA(4). These investigations shall be confined to determining whether there is a factual basis for opening a full investigation.
D. Information gathered by the FBI during preliminary investigations shall be pertinent to verifying or refuting the allegations or information concerning activities described in paragraph IA.
E. FBI field offices may, on their own initiative, undertake preliminary investigations limited to:
1. examination of FBI indices and files;
2. examination of public records and other public sources of information;
3. examination of federal, state, and local records;
4. inquiry of existing sources of information and use of previously established informants; and
5. physical surveillance and interviews or persons not mentioned in E(l)-E(4) for the limited purpose of identifying the subject of an investigation.
Limited Investigations
F. A limited investigation must be authorized in writing by a Special Agent in Charge or FBI Headquarters when the techniques listed in paragraph E are inadequate to determine if there is a factual basis for a full investigation. In addition to the techniques set forth in E(l)-E(4) the following techniques also may be used in a limited investigation:
1. physical surveillance for purposes other than identifying the subject of the investigation;
2. interviews of persons not mentioned in E(l)-E(4) for purposes other than identifying the subject of the investigation, but only when authorized by the Special Agent in Charge after full consideration of such factors as the seriousness of the allegation, the need for the interview, and the consequences of using the technique. When there is a question whether an interview should be undertaken, the Special Agent in Charge shall seek approval of FBI Headquarters.
G. Techniques such as recruitment or placement of informants in groups, "mail covers," or electronic surveillance, may not be used as part of a preliminary or a limited investigation.
H. All preliminary and limited investigations shall be closed within 90 days of the date upon which the preliminary investigation was initiated. However, FBI Headquarters may authorize in writing extension of a preliminary or limited investigation for periods of not more than 90 days when facts or information obtained in the original periodjustify such an extension. The authorization shall include a statement of the circumstances justifying the extension.
Full Investigation
I. Full investigations must be authorized by FBI Headquarters. They may only be authorized on the basis of specific and articulable facts giving reason to believe that an individual or a group is or may be engaged in activities which involve the use of force or violence and which involve or will involve the violation of federal law for one or more of the purposes enumerated in IA(l)-IA(4). The following factors must be considered in determining whether a full investigation should be undertaken:
(1) the magnitude of the threatened harm;
(2) the likelihood it will occur;
(3) the immediacy of the threat; and
(4) the danger to privacy and free expression posed by a full investigation.
Investigative Techniques
J. Whenever use of the following investigative techniques are permitted by these guidelines, they shall be implemented as limited herein:
(1) use of informants to gather information, when approved by FBI Headquarters, and subject to review at intervals not longer than 180 days; provided,
(a) when persons have been arrested or charged with a crime, and criminal proceedings are still pending, informants shall not be used to gather information concerning that crime from the person(s) charged; and
(b) informants shall not be used to obtain privileged information; and where such information is obtained by an informant on his own initiative no record or use shall be made of the information.
(2) "mail covers," pursuant to postal regulations, when approved by the Attorney General or his designee, initially or upon request for extension; and
(3) electronic surveillance in accordance with the requirement of Title III of the Omnibus Crime Control and Safe Streets Act of 1968.
Provided that whenever it becomes known that person(s) under surveillance are engaged in privileged conversation (e.g., with attorney), interception equipment shall be immediately shut off and the Justice Department advised as soon as practicable. Where such a conversation is recorded it shall not be transcribed, and a Department attorney shall determine if such conversation is privileged.
NOTE: These techniques have been the subject of strong concern. The committee is not yet satisfied that all sensitive areas have been covered (e.g., inquiries made under "pretext;" "trash covers," photographic or other surveillance techniques.)
III. Terminating Investigations A. Preliminary, limited, and full investigations may be terminated at any time by the Attorney General, his designee, or FBI Headquarters.
B. FBI Headquarters shall periodically review the results of full investigations, and at such time as it appears that the standard for a full investigation under II(l) can no longer be satisfied and all logical leads have been exhausted or are not likely to be productive, FBI Headquarters shall terminate the full investigation.
C. The Department of Justice shall review the results of full domestic intelligence investigations at least annually, and shall determine in writing whether continued investigation is warranted. Full investigations shall not continue beyond one year without the written approval of the Department. However, in the absence of such notification the investigation may continue for an additional 30 day period pending response by the Department.
IV. Reporting, Dissemination, and Retention A. Reporting
1. Preliminary investigations which involve a 90-day extension under IIH and limited investigations under IIF, shall be reported periodically to the Department of Justice. Reports of preliminary and limited investigations shall include the identity of the subject of the investigation, the identity of the person interviewed or the person or place surveilled, and shall indicate which investigations involved a 90-day extension. FBI Headquarters shall maintain, and provide to the Department of Justice upon request, statistics on the number of preliminary investigations instituted by each field office, the number of limited investigations under IIF, the number of preliminary investigations that involved 90-day extensions under IIH, and the number of preliminary or limited investigations that resulted in the opening of a full investigation.
2. Upon opening a full domestic security investigation the FBI shall, within one week, advice the Attorney General or his designee thereof, setting forth the basis for undertaking the investigation.
3. The FBI shall report the progress of full domestic security investigations to the Department of Justice not later than 90 days after the initiation thereof, and the results at the end of each year the investigation continues.
4. Where the identity of the source of information is not disclosed in a domestic security report, an assessment of the reliability of the source shall be provided.
B. Dissemination
1. Other Federal Authorities
The FBI may disseminate facts or information obtained during a domestic security investigation to other federal authorities when such information:
(a) falls within their investigative jurisdiction;
(b) may assist in preventing the use of force or violence; or
(c) may be required by statute, interagency agreement approved by the Attorney General, or Presidential directive. All such agreements and directives shall be published in the Federal Register.
2. State and Local Authorities
The FBI may disseminate facts or information relative to activities described in paragraph IB to state and local law enforcement authorities when such information:
(a) falls within their investigative jurisdiction;
(b) may assist in preventing the use of force or violence; or
(c) may protect the integrity of a law enforcement agency.
3. When information relating to serious crimes not covered by paragraph IA is obtained during a domestic security investigation, the FBI shall promptly refer the information to the appropriate lawful authorities if it is within the jurisdiction of state and local agencies.
4. Nothing in these guidelines shall limit the authority of the FBI to inform any individual(s) whose safety or property is directly threatened by planned force or violence, so that they may take appropriate protective safeguards.
5. The FBI shall maintain records, as required by law, of all disseminations made outside the Department of Justice, of information obtained during domestic security investigations.
C. Retention
1. The FBI shall, in accordance with a Records Retention Plan approved by the National Archives and Records Service, within years after closing domestic service investigations, destroy all information obtained during the investigation, as well as all index references thereto, or transfer all information and index references to the National Archives and Records Service.
NOTE: We are not yet certain whether empirical data exists to help define a period of retention for information gathered in preliminary or full investigations. Whatever period is determined should take into account the retention period for other categories of information (e.g., general criminal, organized crime, and background checks); since we have not yet considered these areas we cannot fix a period for retention at this time.
NOTE: It may also be possible to establish a sealing procedure to preserve investigative records for an interim period prior to destruction. After being sealed, access would be permitted only under controlled conditions.
2. Information relating to activities not covered by paragraph IA obtained during domestic security investigations, which may be maintained by the FBI under other parts of these guidelines, shall be retained in accordance with such other provisions.
3. The provisions of paragraphs one (1), and two (2) above apply to all domestic security investigations completed after the promulgation of these guidelines, and apply to investigations completed prior to promulgation of these guidelines when use of these files serves to identify them as subject to destruction or transfer to the National Archives and Records Service.
4. When an individual's request pursuant to law for access to FBI records identifies the records as being subject to destruction or transfer under paragraph one (1), the individual shall be furnished all information to which he is entitled prior to destruction or transfer.