DOCUMENT RESUME e (i, - Government Accountability … · cO COCESTRICT£D .-iho! f , ACcountbng ecc0,,t 0 'We General by the Office of Congr'~ tn .L Proal/ REPORT OF THE COMPTROLLER

DOCUMENT RESUME e < (i,04618 - [B0024921] ( e'twek

FBI Taking Actions to Comply Fuj.ly uith the Privacy Act.GGD-77-93; B-179296. December 26, 1977. 18 pp. + ' appendi.ces(88 pp.).

Report to Rep. Richardson Preyer, Chairman, House Committee onGovernment Operations: Government Information and IndividualRights Subcommittee; by Elmer B. Staats, Comptroller General.

Issue Area: Federal Records Management (1400).Contact: General Government Div.Budget Function: Law Enforcement and Justice: Federal Law

Enfo-cement and Prosecution (751); General Government:General Property and Records Management (804).

Organization Concerned: Federal Bureau of Investigation;Department of Justice.

Congressional Relevance: House Committee on GovernmentOperations: Government Information and Individual RightsSutcommittee; House Committee on the Judiciary, SenateCommittee on the Judiciary.

Authority: Privacy Act of 1974 (5 U.S.C. 552).

Since the enactment cf the Priracy Act of 1974, Federalagencies have been required to report in Ihe Federal Registerail of their systems of records on individuals. The federalBureau of Investigation (FBI) central reaordr system is the mainsystem under which all investigative, pe,.Lsonnel, administrative,and other records are kept. Inforuation maintained by fieldoffices and foreign liaison offices is sent to FBI headquartersto be included in the central records system. The FBI maintainsa general index containing names for future retrieval and othercard indexes, photo albums, ccntrol files, and computerlistings. Findings/Conclusioas: As of March 1917, the FBI hadreported 12 systers of records. Until April 1977, descriptionsof the categories of people in the central records system weregeneral and thus inadequate for public access. Ncw the noticesin the Federal Register are more specific and prcvide a betterbasis for determining what files the FBI maintains. Informationin some of the indexes could not be retrieved through anypublished system. The FBI keeps 239 special indexes, exclusiveof 28 classified indexes. Sixty-three of the indexes atheadquarters and the field offices contained infcrmation thatwas not fully retrievable; all indexes kept by the foreignliaison offices contained retr'aeable information.Beco&mendations: The Attorney General should require the FBIDirectcr to take one of the following actions with respect toindexes having nonretrievable information: make nonretrievableinformation on special indexes retrievable as part of a systemof records already published in the Federal Register; publi.b aseparate rotice in the Federal begist.er for each noLretrieva&.e~special index; or destroys when permissible, the information inspecial indexes that is not retrievaLle through a published

system of records. He should also require the FBI Director toissue standard policies and procedures for establishing andhandling special indexes to insure compliance with the PrivacyAct. (lnthor/HTV)

cOCOCESTRICT£D - iho! f , .

ACcountbng ecc0,,t 0 'We Generalby the Office of Congr'~ .L tn Proal/

REPORT OF THECOMPTROLLER GENERALOF THE UNITED STA TES

F.L, Taking Actions ToComply Fully WithThe Privacy ActThe FBI uses various indexes to manage andconduc- investigations. GAO identified 239 ofthem at FBI headquarters, field offices, andforeign liaison offices.

Indexes that are part of, and full j retrievablethrough, the central records system or otherpublished svstems of records need not be pub-lished separately in the Federal Register.

However, 63 of the indexes were not fullyretrievable through a published system ofrecords. The FBI should either

--separately publish a notice of the exist-ence and character of the individualindexes in the Federal Register,

--make them fully retrievable as part of asystem of records already described inthe Federal Register, or

--destroy nonretrievable information inthe indexes.

The FBI said it was taking action to insurethat all indexes are maintained in compli-ance with the Privacy Act.

GGD-77-93 DECEMBER 26, 1977

COMPTROLLER GENERAL OF THE UNITED STATESWASHINGTON, D.C. XA4

B-179296

The Honorable Richardson Preyer, ChairmanSubcommittee on Government Information

and 7'- viJduai RightsGover, -r Operations CommitteeHouse uf Representatives

Dear Mr. Chairman:

In response to a letter dated November 19, 1975, fromthe former Chairman of your Subcommittee, this report identi-fies the indexes of individuals maintained by the FederalBureau of Investigationl (FBI) for investigative purposes anddiscusses the FBI's efforts to comply with the p blicationrequirements of the Privacy Act of 1974. Subseaqently, asagreed with your office, we did not review indexes used foradministrative purposes, nor did we include in this report28 classified investigative indexes relating to foreigncounterintelligence.

Our review was delayed by the FBI's reluctance to co-operate with us without Department of Justice concurrence anduntil we reached a formal agreement with the FBI regardingour access to records. After numerous discussions and ex-changes of correspondence with the Department of Justice andthe FBI, we were given access in May 1976 to the records nec-essary to conduct this review. Thereafter, the FBI coop-erated with us during our review.

Ihe Department of Justice and the FBI were given an op-portunity to comment on this report. They generally agreedwith our conclusions and recommendations. Their commentshave been discussed in chapter 2 of the report and are in-cluded in appendix VI.

As arranged ~v'th your Subcommittee, unless you publiclyannounce its contents earlier, we plan no further distribu-tion of this report until 10 days after the date of the re-port. We will then send copies to interested parties andmake copies available to others upon request.

Sincerely yours,

Comptroller Generalof the United States

COMPTROLLER GENERAL'S FBI TAKING ACTIONS TOREPORT OF THE SUBCOMMITTEE ON COMPLY FULLY WITH THEGOVERNMENT INFORMATION AND PRIVACY ACTINDIVIDUAL RIGHTSCOMMITTEE ON GOVERNMENT OPERATIONSHOUSE OF REPRESENTATIVES

D I G E S T

Since the enactment of the Privacy Act of1974, Federal agencies have been requiredto report in the Federal Register all theirsystems of records on individuals. TheFederal Bureau of Investigation (FBI) hadreported 12 systems of records as of March].977.

The FBI's central records system is themain system under which all investigative,personnel, administrative, and other rec-ords are kept. To find out wha' is in thecentral system, the FBI's general index--3x5 cards containing names for future re-trieval--must be searched.

Each field office and foreign liaison of-fice has its own central records system anda gene 1 index to those records. Most otthe information maintained in these officesis sent to FBI headquarters to be includedin its central records system, with perti-nent names placed in the general index.(See ch. 1.)

In addition to the general index, the FBIhas card indexes, photo albums, controlfiles, and computer listings, among others.It uses these special indexes in day-to-dayinvestigations. (See ch. 1.)

Until April 1977, the descriptions of thecategories of people in the FBI's centralrecords system were general and thus in-adequate for public access. Now, noticesin the Federal Register describe categoriesmore specifically and provide a better basisfor determining what files the FBI main-tains. The FBI does not need to publishseparate notices of the various indexes,

theISBr~~rhoir d Upd rept ~mroi. iGGD-77-93"r dUo reml zt^ aei.

unless information in them cannot be fullyretrieved through another published system ofwhich they are described as a part. However,information in some indexes co,,ld not beretrieved through any published system.Tt.ese indexes should be separately reportedin the Federal Register, be made retrievableas part of an already published system ofrecords, or have nonretrievable informationdestroy-> when permissible. (Se ch. 2 andapps. I.I and IV.)

FBI headquarters, field offices, and for-eign liaison offices keep 239 special in-dexes. (This total does not include 28classified indexes.) GAO's review did notcover indexes used for administrative pur-poses nor indexes involving only foreigncitizens. Sixty-three of the indexes atheadquarters and the field offices ccn-tdined information that was not fully re-trievable through the general index andthus n-t. through the central records sys-tem. All indexes kept by the foreign li-aison offices contained retrievable in-formati-n. (See ch. 2.)

The Attorney General should require the FBIDirector to:

-- Take one of the following actions with re-spect to the indexes having nonretrievableinformation.

1. Make nonretrievable names and other in-formation on special indexes retrievableas part of a system of records alreadypublished in the Federal Register (suchas the central records system).

2. Publish a separate notice in the Fed-eral Register for each nonretrievablespecial index.

3. Destroy when permissible the names andother information in special indexesthat are not retrievable through apublished system of records.

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-- Issue stanlard policies and proceduresfor establishing and handling special in-dexes (including major case indexes) toinsure compliance with the Privacy Act.

Because of the problems noted, the FBIshould also study the special indexesmaintained for administrative purposes tomake sure similar problems do not exist.

The Department of Justice and FBI gener-ally agreed with the findings, conclusions,and recommendations in this report. TheFBI is taking action to insure that all in-dexes being maintained by its headquartersdivisions and field offices are in com-pliance with the Privacy Act of 1974. (Seeapp. VI.)

IU*LiIMIa iii

C o n t e n t sPage

DIGEST i

CHAPTER

1 HOW AND WHERE THE FBI MAINTAINS RECORDS 1Central records system 1General index for accessing records 2Indexes used for managing investigativeactivities 2

2 IMPLEMENTING THE PRIVACY ACT OF 1974 4Requirements of the Privacy Act 4S!'stems of records published by the FBI 5Problems with record systems reported

in the Federal Register 6Some indexes need to be reported in the

Federal Register or revised 9Conclusions 14Recommendations 16Agency comments and actions 17

3 SCOPE OF REVIEW 18

APPENDIX

I November 19, 1975, letter from Chairwoman,Government Informiation and IndividualRights Subcommittee of the Committee onGovernment Operations, House of Represen-tatives 19

II Revised notice of FBI's central recordssystem in Federal Register, April 28,1977 30

III List of indexes maintained by FBI Headquar-ters for investigative purposes 33

IV List of indexes maintained by FBI fieldoffices for investigative purposes 55

V List of indexes maintained by FBI foreignliaison offices for investigativepurposes 102

VI December 6, 1977, letter from the Depart-ment of Justice 104

APPENDIX

VII Principal officials responsible foradministering activities discussedin this report 106

ABBREVIATIONS

DEA Drug Enforcement Administration

ELSUR electronic surveillance

FBI Federal Bureau of Investigation

GAO General Accounting Office

CHAPTER 1

HOW AND WHERE THE FBI

MAINTAINS RECORDS

CENTRAL RECORDS SYSTEM

The Federal Bureau of Investigation (FBI) maintains acentral records system at headquarters for its investigative,personnel, applicant, administrative. and general files. Al-though it has other record systems, this is the primary andmost important one. Basically it consists of one numericalsequence of subject matter files and an alphabetical indexto these files referred to as the general index. All infor-mation on a subject matter or case is included in one file.

To control a file, a numbering system is used to indi-cate (1) the classification or type of investigative viola-tion or administrative area involved, (2) the individualcase file within the category, and (3) the serialization ofindividual pieces of mail in the file. For instance, thenumber 91-200-20 on a piece of nail indicates it is the 20thpiece of mail in the 200th case file assigned to the bankrobbery (91) classification.

The FdI's central records system had 191 classificationsas of May 1, 1977. Most of them pertain to Federal viola-tions rever which the FEI has investigative jurisdiction.Otheres include personnel, applicant, and administrative mat-ters.

Each of the FBI's 59 field offices, where investigationsare conducted, and its 14 foreign liaison offices 1/ has itsown central records system similar to that of headquarters.Most, but not a1!, of the information kept at the field andforeign liaison offices is referred to headquarters andtherefore filed in the central records system.

Headquarters' central records system contains about6 million files or separate cases. The FBI does not main-tain statistics on the number of case files or index cardsmaintained by the field offices.

1/In May 1977, the FBI closed wie foreign liaison office,thus reducing the total to 13.

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GENERAL INDEX FOR ACCESSING tECORDS

The key to the files at headquarters and in the fieldand foreign liaison offices is the general index. It consistsof alphabetically filed 3x5 index cards on various subjectmatters, primarily names of individuals. The cards usuallycontain information such as name, file number, birth placeand date, sex, race, address, and social security number.The general index must be searched to determine what infor-mation, if any, the FBI has in its central records system andwhether it is at headquarters or in the field.

Upon receiving a request under the Freedom of InformationAct or Privacy Act, the FBI searches the general index to thecentral records system to determine if the requested informa-tion is maintained. Other systems of records reported by theFBI in the Federal Register would be searched only if speci-fically requested.

Index cards are created and placed in the general indexonly for information considered pertinent for future retrie-val. The names of the subjects and victims involved in FBIinvestigations are also placed in the general index. How-ever, not all the names of persons who furnish informationduring an investigation are placed in the general index.

The general index to the files at FBI headquarters con-tains more than 59 million cards. These are estimated to re-present 20 million different individuals.

INDEXES USED FOR MANAGINGINVESTIGATIVE ACTIVITIES

In addition to the general index maintained at headquar-ters and at each field office and foreign liaison office, theFBI uses various indexes to facilitate the way investigationsare handled. Primarily, these indexes include index cards,photo albums, and control files.

Headquarters indexes

Operating divisions use headquarters indexes to re-trieve key and frequently used information without a searchin the vast central records system. For example, one sec*-tion maintains a card file on persons involved in theJustice Department's witness protection program--that is,persons who have been given new identities in exchange fortestimony against organized crime figures. Another sectionhas a card file on all criminal informants. These indexesgenerally contain basic identifying information, which is

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also contained in the central files, They also contain FBIfile numbers which a supervisor can use to request a filefrom the central records system. Thus the supervisor doesnot first need to have the name searched through the generalindex. This procedure saves time and facilitates investi-gations.

Field office and foreignliaison office indexes

Indexes are used in the field and foreign liaison of-fices for the same general management purposes as headquar-ters indexes. Although some information in field office in-dexes originates at headquarters, most involves people whoare of interest only to the field office maintaining the in-dex. Some of the photo indexes are used to show pictures towitnesses or victims of crimes hoping to obtain leads onsuspects.

Field office indexes are in various forms. Some are notset up in card or photo format like headquarters, but may in-stead be copies of correspondence concerning individuals ina particular subject area. Some field offices do not catalogthis information in alphabetical order. They may use otheridentifying means, such as telephone number, race, height,date of birth, or chronological order.

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CHAPTER 2

IMPLEMENTING THE PRIVACY P.CT OF 1974

Since April 1977 the FBI's public notice of its mainrecords system--the central records system--has sufficientlycategorized the information it containis. To the extent thatinformation, contained in an index is retrievable through andpart of a pubLished system of records, it is not necessaryfor the FBI to consider each index a separate system of rec-ords that must be individually published as such in the Fed-eral Register. However, 63 of the 239 indexes 1/ we identi-fied as being maintained by FBI headquarters or field officesfor investigative purpcsos *,re not fully retrievable froma published system of records. The FBI should either destroyncnretrievable information when permissible, separatelypublish a notice for each of these indexes, or make the in-dexes retrievable as part of an already published system ofrecords (such as the central records system).

REQUIREMENTS OF THEPRIVACIY ACT

The Privacy Act of 1974 requires that agencies "publishin the Federal Register at least annually a notice of theexistence and character of [each] system of records."

The act defines a record as:

"* * * any item, collection, or grouping ofinformation about an individual that Is main-tained by an agency * * * and that containshis name, or the identifying number, symbol,or other identifying particular assigned to theindividual, such as a finger or voice print ora photograph." 5 U.S.C. 552a(a)(4).

It defines a system of records as:

"* * * a group of any records under the controlof any agency from which information is retrieved

1/This total does not include 28 classified indexes. Threeof the 28 indexes were not fully retrievable through thecentral records system. These 28 indexes relate to FBIforeign counterintelligence investigative responsibili-ties.

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by the name of tho individual or by some identify-ing number, symbol, or other identifying particu-lar assigned to the individual." 5 U.S.C. 552a(a)(5).

The publication requirement of the Privacy Act has twobasic purposes. First, it provides notice about Governmentrecords and, second, it describes access procedures. In gen-eral, the notice function is met if (1) the public is in-formed of Government recordkeeping practices about individualsand (2) individuals are able to make reasonably informed deci-sions about the likelihood of the existence of records aboutthemselves. The description of access procedures must includean explanation of how an individual can obtain access to rec-ords pertaining to him or her and how to contest the contentsof those records. A published notice that properly describesaccess procedure is deficient if it fails to inform thepublic about the nature of the Government record systems.

While the purpose of the Privacy Act is reasonablyclear, it is more difficult to state precisely what mustbe included in the publication notice for any specificsystem of records. The Congress gave agencies considerablediscretion in defining and describing systems of records.

In its guidelines for implementing the Privacy Actpublished in the Federal Register on July 9, 1975, the Of-fice of Management and Budget suggests several factors foragencies to consider ill determining what should be included!in a single system of records. These include:

-- If small groupings of records are treated as separatesystems, notices and procedures will be required foreach. The publication of numerous notices, however,may limit informational value.

-- It a large complex of records is treated as a singlesystem, only one notice is necessary. But, the noticemay have to be ,vuch more complex.

--A major criterion for determining whether a groupingof records constitutes one or several systems is theability of the agency to respond to individual re-quests for access to records.

SYSTEMS OF RECORDS PUBLISHEDBY THE FBI

?he FBI published notices of 12 record systems in theFederal Register.

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1. The National Crime Information Center.

2. The FBI central records system.

3. The Bureau mailing list.

4. Routine correspondence handled by preprinted form.

5. Routine correspondence prepared without file yellow.6. The electronic surveillance (ELSUR) indices.

7. The FBI automated payroll system.

8. The personnel information network system.

9. The Identification Division records system.

10. Employee travel vouchers and individual recordearnings.

11. Employee health records.

12. Time utilization record-keeping system.

PROBLEMS WITH RECORD SYSTEMSREPORTED IN THE FEDERAL REGISTER

Central records system

The notice for the FBI's central records system itemizesand explains several categories of individuals the system hasrecords on. It also makes reference to the general index foraccessing those records. The notice does not list or men-tion oy name specific indexes (such as those discussed belowand listed in apps. III through V) which the FBI uses inmanaging alid conducting its day-to-day operations.

The FBI has not published a separate ritice for each ofthose indexes maintained by various headquarters divisionsand field office squads for daily use, because it considersthem to be part of the headquarters central records systemor the central records systems maintained by field officesor foreign liaison offices. According to the FBI, these in-dexes contain identifying information which duplicates in-formation contained in, and retrievable through, centralrecords. Having separate indexes on location allows thosewho routinely need related information to access them with-out the time-consuming search of the general index, whichis usually maintained in a central location.

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The Justice Department has not issued a writtenopinion on the legal sufficiency of the central recordsystem notice publi3hed in the Federal Register in August1975. In a November 14, 1975, letter, however, a DeputyAssistant Attorney General, Office of Legal Counsel, listedseveral factors that were considered in preparing the notice.These included (1) the ability to readily retrieve informa-tion upon request about an individual from the system and(2) unnecessary duplication of notices.

Most of the indexes we identified were used for thesame general purpose--an investigative aid--and containedinformation retrievable through centrdl records. However,some indexes contained information which was not retrievablethrough central records or any ether published system ofrecords. These indexes might be treated as separate systemsof records for which separate notices would be appropriate.

In addition to not publishing separate notices of thevarious indexes maintained for daily management purposes,the FBI's August 1975 publication notice of its centralrecords system--containing most of the info. ation relatedto these indexes--was very general. The system containsabout 6 million files in 191 classifications on about 20 mil-lion individuals. Yet, the description of individual cate-gories included in the central records system was verybroadly stated. For example, the principal description forinvestigatory records was

"* * * individuals who relate in any manner toofficial FBI investigations including, but notlimited to suspects, victims, witnesses, andclose relatives and associates that are rele-vant to an 'nvestigation."

On April 28, 1977, subsequent to our analysis, the FBIexpanded Its notice in the Federal Register on the centralrecords system. (App. II contains a copy of this notice.)It now contains sufficient information about indiividualcategories to enable ~ne to more adequately determine whatrecords the FBI maintains. But as discussed later in thischapter, some records were not fully retrievable throughany of the published systems. These records should be re-ported in the Federal Register as a separate system ofrecords, be made retrievable las a part of an already pub-lished system of records, vr Lave the nonretrievable infor-mation in them destroyed when permissible,

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Other record systems

Most of the other record systems the FBI listed in theFederal Register do not concern the investigative area;therefore, we did not examine them during this review. Theonly other published record systems in which we found indexesof a.i investigative nature were the (1) ELSUR indices, (2)the National Crime information Center, and (3) the Identifi-cation Division :ecords system.

The indexes we identified as being related to theNational Crime Information Center and the IdentificationDivision records system were retrievable through the respec-tive systems of which they were a part. The publicationnotice for the ELSUR indices, however, lacks some detailswhich would give the public a better idea of what it in-cludes.

The ELSUR index, maintained by FBI headquarters andmost field offices, was published as a separate record sys-tem in the Federal Register because not all names in theindex are retrievable through the general index and centralrecords system. Although the FBI initiated the ELSUR indexin 1966 at the direction of the Department of Justice, threeFBT field offices had initiated ELSUR indexes in 1941.

The field offices have been including in their ELSURindex, and reporting to headquarters for inclusion in itsindex, the names of all persons whose voices have been moni-tored through an FBI microphone installation or a telephonesurveillance since January 1, 1960. (See app. III, p. 49.)The names of monitored subjects are retrievable through theheadquarters or local field office ELSUR index.

Until 1969 field offices were also required to forwardfor inclusion in the headquarters ELSUR index the names ofall persons mentioned during monitored conversations. Head-quarters discontinued this requirement in 1969, but somefield offices still make up mention cards for inclusion intheir ELSUR index. Thereftre, the names of such persons,to the extent they are maintained in field office ELSURindexes, are not retrievable thLough the headquarters ELSURindex--a fact not set forth in th= published notice on ELSURindexes. The notice does not point out that ELSUR indexesare maintained in field offices which have conducted elec-tronic surveillance since 1960.

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SOME INDEXES NEED TO BEREPORTED IN THE FEDERAL REGISTEROR REVISED

Of the types of indexes which we identified as beingmaintained at FBI headquarters, field offices, and foreignliaison offices, several contained some names and informationwhich were not retrievable through the respective centralrecords system or any other published system of records. TheFBI should separately publish the name, nature, and characterof such index in the Federal Register, destroy nonretrievableinformation which they contain, or make them fully retrievablethrough an already published system of records (such as thecentral records system).

Fourteen indexes maintained at FBIheadquarters are nonretrieval!_e

We identified 71 investigative indexes maintained at FBIheadquarters by various divisions. Some indexes consist ofnote cards containing various identifying information, someare computer Lapes, and others consist of photo albums con-taining pictures as well as identifying information. Appen-dix III contains a listing and brief description of the in-dexes.

Fourteen indexes were not fully retrievable through thecentral records system or any other system which the FBIpublicized in the Federal Register. These are the indexon associates of the Drug Enforcement Administration's (DEA's)class I narcotics violators, the White House special index,and computerized listings of data related to 12 major investi-gations conducted by the FBI.

Index on associates of DEA'sclass I narcotics violators

The FBI assists DEA and State and local narcotics controlagencies throughout the country by developing and disseminat-ing intelligence data concerning illicit drug trafficking.In November 1976, in connection with this role, DEA suppliedFBI headquarters with a computer printout of its class Inarcotics violators. These are people known to manufacture,supply, or distribute large quantities of illicit drugs. DEAalso supplied a printout of known associates of these class Iviolators. Information on both the violators and associateswas sent by FBI headquarters Lc A11 field offices and twomajor resident agencies.

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Both FBI headquarters and field offices included theclass I violat(rs in their general indexes. They did notinclude the violators' associates in the general index,however, because of the lack of (1) sufficient identifyinginformation and (2) any significant investigative interest.The names of associates, along with the correspondingnames of violators, are kept on a separate list and are notretrievable through central records.

White House special inde.:

This index, still actively maintained, was initiatedduring President Dwight D. Eisenhower's administration tofacilitate security checks on White House appointees, staffmembers, visitors, and guests. When the President is havingvisitors or guests in or is considering appointments to Gov-ernment jobs or White House staff, the White House securityoffice usually sends their names to the FBI for securitychecks. If the person has a file, it is reviewed. Anyadverse or derogatory information is reported by memorandumto the White House.

The separate index of persons the White House has aninterest in consists of cards with the name, the date thesearch was made, the type of White House function or posi-tion to which appointment was being considered, and the FBIfile number, if one exists. Should a search of the generalindex determine a "no record," a card is prepared for theWhite House special index indicating this. The names ofsuch persons with no record are not included in the generalindex and thus are not retrievable through the headquartersceatral records system.

When the FBI receives a name from the White House, itfirst searches the special index to see if the subject waschecked previously. If he or ski was and the central recordssystem contains information on the subject, the FBI can im-mediately call for the file. Then it has only to determinewhether information has been added to the subject's filesince the last request from the White House. If nothing wasfound in a prior name check performed for the White House,the FBI can limit its search to the time period since thelast search.

FBI officials gave two reasons for creating a separateindex on persons the White House has an interst in. First,many names are referred more than once and, second, thename checks or searches must often be performed quickly--sometimes w_thin an hour.

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Headquarters computer listings onmajor cases contain somenonretrievable names

For major cases or investigations, the FBI establishesspecial indexes to keep track of all the information. ThePresident John F. Kennedy assassination, the Patricia Hearstkidnapping, and the James Hoffa disappearance are examples ofsuch cases. Usually the field supervisor of a major casesets up an index card system to facilitate assigning andkeeping track of investigative leads without having tosearch the general index. The number of major case indexeswe identified in the field offices and the related retrie-val problems are discussed on pages 13 and 14.

Because of the complexity of some major cases, FBIheaquarters computerizes certain information to facilitateits administration. The field offices submit to headquar-ters the names of people on whom information is developed inconjunction with a major case. They also provide licenseplate numbers, evidence, and any other pertinent information.Headquarters then computerizes the information and usually ona monthly basis provides the field offices with a printoutfor each case. It shows the names of persons related to theinvestigation in alphabetical order, a brief summary of theinformation attributed to this person, and a reference tothe location of the information in the headquarters centralrecords or field office files. We identified 12 such com-puter listings.

Although the computer printout is generated as a head-quarters service to aid the field offices investigating majorcases, copies are maintained at headquarters and used bysupervisors responsible for overseeing such cases. Thenames on the computer listings are often included in tileheadquarters general index and thus retrievable through itscentral records system. In some instances the names wouldnot be considered necessary for future retrieval by head-quarters. They would therefore not be included in the head-quarters general index and thus not be retrievable throughthe central records system. All 12 computerized listingswe identified at FBI headquarters were not fully retriev-able through a published system of records.

Forty-nine indexes maintained by FBIfield offices are not fully retrievablethrough a published system of records

The FBI's notice in the Federal Register indicates thateach field office has its own records system and that not all

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information at the field office is retrievable at headquar-ters. Therefore, we surveyed the FBI's 59 field offices todetermine (1) what indexes they maintained and (2) whetherthey maintained information on individuals in any indexesthat are not retrievable through the field office generalindex.

We identified 158 indexes maintained in various formsby the 59 field offices. Appendix IV contains a listing anddescription of these indexes.

Although a few of the FBI's approximately 495 residentagencies which support the field offices maintain special in-dexes for investigative purposes, they do not have a centralrecords system or a general index. They generally use thecognizant field office special indexes and central records asneeded.

The indexes most often kept by resident agencies arerelated to fugitive areas and include wanted flyers, identifi-cation orders, and check circulars. They are generally re-trievable through the cognizant field office general index.One larger resident agency did maintain a couple of the nameindexes we identified in several field offices, and thisinformation was retrievable through the appropriate fieldoffice's central records system.

The names and basic information in most of the fieldoffice indexes we identified are retrievable through apublished system of records, namely the general index andcentral records system of that office. As indicated inappendix IV, however, we identified 49 indexes in the fieldoffices of which some or all of the names and other infor-mation were not retrievable through the field office generalindex and central records system.

For example, not all of the names of persons includedin the bank robbery album maintained by some field officesare in the general index, and they would not be retrievablethrough the field office central records system. The albummight contain information furnished by an informant on a per-son who has never been arrested for bank robbery. It mightcontain a photo furnished by the local police with somebasic identifiers on a person who has been convicted ofarmed robbery and thus is a potential bank robber.

The information in a fe4 indexes may not be retrievablebecause of the manner in which it is filed. For instance,

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in some field offices the bank robbery album is not filedby name, but by various physical descriptions--usually race,height, and date of birth. A few indexes are also filed bysuch classifications as telephone number or chronologicalorder. This makes it difficult to retrieve the informationbased on a request which contains only a name.

The Privacy Act's definition of "system of records"is not specific as to the meaning of the language "* * * re-trieved by the name of the individual * * * or other identl-fying particular assigned to an individual." (Underscoringadded for emphasis.) For this reason, we cannot concludethat all indexes containing information retrievable onlyby physical description, phone number, or chronologicalorder are reportable as a separate system of records eventhough they are not fully retrievable in the general index.We believe that generally, however, if certain data relatedto a person is important enough to be placed in a specialindex, the names are important enough to be included inthe general index--thus making chem retrievable.

Major case indexes in some fieldoffices are not retrievable

As discussed earlier, field offices maintain specialindexes to administer major cases or investigations. Ofthe 158 field office indexes, 68 related to major caseswith 22 major case indexes containing names which were notfully retrievable through the general index. Major caseindexes are included in appendix IV.

The retrieval of major case indexes varied by fieldoffice because of different practices. Some offices used adual card system when placing a name in a major case index--one card for the special index and one for the general index.Some offices only made up a card for the major case index.Other offices made up cards for the major case index and thegeneral index on those names considered pertinent for futureretrieval. In a few major cases having only one index card,the major case index cards that were relevant would be placedii. che general index at the conclusion of the case and therest would be destroyed.

We identified only one major case irdex that was totallyseparate from the general index--that of the President Kennedyassassination, Jack Leon Ruby, and Lee Harvey Oswald case.According to the FBI in the Dallas field office, this indexis searched in connection with information requests under the

13

Privacy Act and Freedom of Information Act, and all relevantnames and information on the index have also been reported toFBI headquarters and included in the headquarters centralrecords.

Informant indexes in two field officesare kept separately

In November 1976 FBI headquarters notified its fieldoffices that they could remove all informant index cardsfrom the general index if security reasons warranted it.Two field offices had done so as of February 1977.

The field offices were instructed that separatingtheir informant cards from the general index would requiresearching both indexes to comply with requestes under thePrivacy Act and Freedom of Information Act. Therefore,even though the two indexes are physically separated forsecurity reasons, the FBI considers them to be, and treatsthem as, part of the general index.

All indeyxs maintained by foreignliaison offices are retrievable

The FBI has 13 liaison offices in foreign countries toinsure a constant and prompt exchange of information andassistance between foreign law enforcement and security agen-cies and the FBI. As with the FBI's field offices, we sur-veyed the liaison offices to determine the indexes they main-tained. We identified only 10 indexes, and all of the namesand information included in them was retrievable throughtheir general index. The indexes we identified are listedand described in appendix V.

CONCLUSIONS

Because of the lack of descriptive detail, the August1975 notice in the Federal Register of the FBI's centralrecords system functioned ineffectively as a public recordof the system's nature and character. While the noticeprovided the public with information to request access torecords, to be more effective it needed to be expanded toinclude more descriptive detail about the categories ofindividuals on whom records are maintained. We believethe expanded notice published in the Federal Register onApril 28, 1977, now contains sufficient information aboutthe categories of individuals included in the central rec-ords system to enable an individual to more adequatelydetermine what records the FBI maintairs.

14

While a separate notice for each index would also beconsistent with the Privacy Act and could further improvethe 'BI's disclosure ?rocedures, the FBI's decision to treatall its indexes as part of the central records system or anyother published system would be a reasonable exercise of theFBI's discretion, providing the indexes are retrievablethrough the system they are a part of. As shown in appen-dixes III and IV, however, 63 indexes are not fully retriev-able through the headquarters or field office central recordssystems or through other published systems. The FBI shouldeither publish a separate notice for each of those indexes,destroy when permissible nonretrievable information in them,or make the indexes retrievable as part of an already pub-lished system of records.

Although the publication notice in the Federal Registerlists the ELSUR indices as a separate system of records, itdoes not disclose that most field offices maintain .n ELSURindex. The current notice would be more effective if it wereamended to point this out. Also, some field offices includeon their ELSUR indexes the names of persons mentioned duringmonitored conversations. Since 1959, however, these namesare not reported to FBI headquarters and thus are not retriev-able through its ELSUR index.

When FBI officials learned that several indexes we hadidentified were not fully retrievable through a publishedsystem of records, they incorporated a procedure to checkthe use and status of special indexes as part of the FBI'speriodic inspection of its headquarters divisicns, fieldoffices, and foreign liaison offices. This procedure hasbeen in use since January 1977 and includes an evaluation ofwhether the indexes are retrievable through the oeneral in-dex. If the inspection staff continues to evaluate indexesas part of its periodic inspections and its findings andrecommendations are enacted, the FBI will be better assuredof being in compliance with the Privacy Act.

In addition to its periodic review of indexes, the FBIshould take action with regard to those indexes that are nctretrievable through a published system of records. We be-lieve this can be accomplished by making such indexes re-trievable as part of an already published system, publishinga separate notice for each index or destroying when permis-sible the nonretrievable information they contain.

15

To avoid future discrepancies among field offices re-garding retrieval of the same types of indexes, such es themajor case indexes, FBI headquarters should issue standardpolicies and procedures on establishing and handling in-dexes.

Finally, we believe the FBI should consider conductinga review of the indexes it maintains for administrative pur-poses, particularly since those indexes were not includedin our review, to insure that problems similar to thosecited in this report do not exist.

RECOMMENDATIONS

We recommend that the Attorney General require the FBIDirector to:

-- Initiate one of the following actions with respect toindexes having nonretrievable information.

Make nonretrievable names and other informationon special indexes retrievable as part of asystem of records already published in the Fed-eral Register (such as the central records sys-tem).

2. Publish a separate notice in the Federal Regis-ter for each nonretrievable special index.

3. Destroy when permissible the names and otherinformation in special indexes that are notretrievable through a published system ofrecords.

-- Issue standard policies and procedures for establishingand handling special indexes to insure compliance withthe Privacy Act.

-- Amend the current notice in the Federal Register tostate that ELSUR indexes are maintained in some FBIfield offices as well as at headquarters and that theheadquarters ELSUR index and some field office ELSURindexes contain mention cards.

Because of the problems we noted concerning investiga-tive indexes, we further recommend that the FBI study thespecial indexes it maintains for administrative purposes toinsure that similar problems do not exist.

16

AGENCY COMMENTS AND ACTIONS

The Department of Justice and FBI generally agreed withthe findings, conclusions, and recommendations in this re-port. (See app. VI.) They agreed that the Congress needsI have detailed knowledge of the FBI's indexes and record-keeping practices to be in a position to consider appro-priate legislation.

To insure full compliance with the provisions of thePrivacy Act of 1974, the FBI has irnstructed all headquartersdivisions and field offices to check all of their indexesand to take one of the three recommended options to maketheir indexes comply with the act.

17

CHAPTER 3

SCOPE OF REVTEW

To identify the various indexes the FBI maintains forinvestigative purposes, we obtained information from FB'headquarters, the 59 field offices, and the 14 FBI foreignliaison offices. Following the identification of the head-quarters indexes, we sent a letter to all field offices andforeign liaison offices requesting that they list and ex-plain the indexes they maintain. A second letter was sentin the form of a checklist to be filled out by the fieldoffices and liaison offices. The checklist consisted ofall the various indexes, such as photo albuims and controlfiles, listed by the field offices in their first response.The checklist response was necessary because of the poten-tial misinterpretation of what an index is. We also hadtelephonic followup with the field officas on areas needingfurther clarification and visited four field offices--Atlanta, Chicago, Jacksonville, and New York--to discussthe indexes they maintained.

We did not include in our review indexes the FBI main-tains for administrative purposes. Nor did we include in-dexes involving only foreign nationals, because only U.S.citizens and aliens admitted for permanent residence arecovered by the Privacy Act. Also, we did not evaluate themerits of the indexes.

We analyzed the adequacy of the FBI's publication noticefor the central records system and other published systemsof records in which we found investigative indexes. We ad-dressed two points: (1) whether the Privacy Act requiresthat the FBI publish a separate notice for each index itmaintains and (2) whether the FBI's notice for the centralrecords system and other systems should provide more detailsabout the categories of information it contains.

18

APPENDIX I APPENDIX I

Sll.A S. ,IUS. N.Y.. eMIAJWdMAN SAM &TWIG , Amz.=W .aJ. SYAN, J N. . WN Im CINTo r . n.. HIUN . PA N. MC COOK9 JR, .;CALI.

-, " .' .." _S NINETY-FOURTH CONGRESS .s-4C...L. Io. .TOM. MS.A, ,lA53, N.J."ANTHOYMlly. CUM.ongreC of ti "e itniteb otatts

Fout of btprentatibGOVERNMENT INFORMATION AND INDIVIDUAL RIGHTS

SUBCOMMITTEEOF THE

COMMITTEE ON GOVERNMENT OPERATIONSRAYBURN HouSE OFFICE BUILDING. ROOM B-349-B-C

WASHINGTON, D.C. 20515

November 19, 1975

Honorable Elmer B. StaatsComptroller General of the United StatesU.S. General Accounting Office441 G Street, NorthwestWashington, D.C. 20548

Dear Mr. Comptroller General:

Enclosed is a copy of an opinion of the American Law Divisionof the Library of Congress concerning the filing, pursuant to thePrivacy Act of 1974, of notice of the existence of Federal Bureauof Investigation systems of records. The opinion finds that theFBI's "Administrative Index" meets the Privacy Act's definition ofa system of records and that the FBI's notice for the Central RecordsSystem does not adequately describe that system.

In your statement to the House Judiciary Subcommittee on CivilRights and Constitutional Rights on September 24, 1975, you mentioned,at p. 20 of your typed statement, that the FBI maintained various"lists of individuals subject to intensified investigative interestbecause of their leadership roles, potential for violence, or in somecases, organizational affiliation." You refer specifically to the"Administrative Index" (which is the subject of the Library of Congressopinion) as well as "the Agitator Index", "the Stop Index" and the"Computerized Teleohone Number Index". You also state that the "KeyActivist" and the "Key Extremist" programs fall within the categoryof programs connected with the maintenance of lists of persons.

In view of the opinion that the FBI should separately list the"Administrative Index" in conformity with the requirements of thePrivacy Act, and in view of the revelation in your testimony of theexistence of these additional lists, I would like the GAO to undertake a

19


Honorable Elmer B. StaatsNovember 19, 1975 Page 2

survey and description of all such lists maintained by the FBi. Iwould like the GAO to determine whether there exist any additionalFBI lists or indexes such as the "Administrative Index" and the othersreferred itu in your testimony.

Please have your staff contact Timothy Ingram, the SubcommitteeStaff Directoi, 225-3741, concerning this request.

Sincerely,

BELLA S. BZUCChairwoman

Enclosure

20

APPENDIX I ArPENDIX I

U. XashiiSton, z Congrcssffonal Research Service'Washi.gton, D.C. 20540

November 11, 1975

To: House Goverrment Information and Individual RightsSubcommittee

From: American Law Division

Subject: Wlhether Justice Department Provided Notice of Existenceo o;Security Risk File Adequate to Meet Requirements of "PrivacyAct of 1974."

This will refer to your request of October 29, 1975, in whichyou asked whether the Justice Department is required by the "Priv:;cy ActLof 1974" (Pub.L. 93-579, December 31, 1974, 88 Stat., 1896, 5 U.S.C.sec. 552a) to, provide notice in the Federal Register of the exisLcnacc iwhat theydescribe as an "administrative index" of persons believed to po.e

a threat to national security.

The "Privacy Act" requires each agency maintaining a systenm o*'records, among other things not relevant to this report, to pu:K1ish at.least annually in the Federal Register a "notice of the existence and: c:l;. -

acter of the system of records" which shall include factors such as Lthe na, ,ard location of the system, categories of individuals whose rcoe.d-l; ;:8,omaintained in the system, categories of records maintained in the systlcn;,routine uses to which the records are put, and the policies and p..actic ...of the agency with regard to storage, retrievability, access, retention ;ii:,:disposal of the recorus. 5 J.S.C. j552a(c)(4).

The existence of tlhe "in. x" was disclosed to the IHouse Civ:iLiberties Subcomnittece in a memorandum by F.3. I. Director Clalhcellc, i.Kelley declassified and released by the Subcorlmittee on October 22, iU'".

21


The system contains the names of more than 1200 persons who were de-

scribed as having

exhibited a willingness or capability of engagingin treason, re'bcllion, sabotage, espionage, as-sassination of govel. ment officials, terrorism,guerilla warfare or other acts which would re-sult in interference with or a threat to the sur-vival of national, 7tate or local government.New York Times, October 23, 1975, p. 13;Washington Post, October 24, 1° ;5, p. A2, quo-ting from FB M.emorandum.

The Justice Department did not provide separate notice for this

"administrative index" in its annual "Notices of Systems of Records" pub-

lished in the Federal Register on August 27, 1975, in accordance with the

requirements of Sec. 3(e)(4) of the "Privacy Act" (5 U.S.C. sec. 552 (e)

(4)). The Department has claimed that since these records are duplicates

of some of the records contained in the larger 'F.BI. Central Records

System, " it is not a separate system. It is contended that since notice

was given of the central files system from whicn all security risk records

were acquired (see 40 Fed. Reg. 38768, August 27, 1975), the "Privacy

Act" notice requirement had been fulfilled and a separate notice need not

be given to duplicates of part of the system and the specialized security

risk index wit. which portions of the whole file could be retrieved.

An examination of a description of the types of records involved,

the language and history of the "Privacy Act", and the authoritative inter-

pretation of that Act provided by the guidelines issued by tle Office of

22


Management and the Budget for implementation of the Act: indicate that

the Justice Department is required by the "Privacy Act" to publish clear

notice of the existence of the system of records listing petrsons considered

to pose a danger to the national security even though the records com-

prising the system are also included in the noticed "F.B.I. Central JRe-

cords System. " As will be shown by this inemoi'ndum, this list meets

the Act's definition of a system of records which is inadequately described

in the notice for the "Central Records System. "

The so-called "inaex" is comprised of cards on which are pr1inted

the nantes, background info.rmation, file numbers and alleged acltivity in

which the individual is engaged which provide the rationale for dci'inia.l,

the subject as a security threat. The individual cards would clearly be

"records" under the "Privacy Act" since each one is "a collection, or

grouping of information about an individual that is maintained by nlu a'(e,)cy,

including but not limited to his...criminal or employment history and that

contains his name, or the ident.fying number... or otlic, identifyitng pac.li-

cular assigned to the it. lividual... " 5 (IS. C. sec. 552a.aj( ). 'ih :'' l.;

file would also constitute a "system of records" under the Act--"a group

;Sec. 6 of the "Privacy Act'? requires the Office of Managemenlt adnt -get to "develop guidelines and reglllations for the use of agencies in i.[pie-menting the provisions of section 552a of title 5, United States (.,odr"and to 'provide continuing assistance to and oversight of implementationof the provisions of such section by agencies.

23


of any records under the control of any agency from which information

is retrieved by the name of the individual or by some identifying number,

symnbol, or other identifying par.icular assigned to the individual." 5

U. S.C. sec. 552a(a)(5). Even if the records could only be ret.rieved from

the central file, the existence of an index alone, with which those records

involving security risks could be segregated from the larger collection,

would constitute a system of records.

Since this information is clearly covered by the "Privacy Act,"

the crucial remaining issue is whether this system of records is a sep-

arate system requiring separate notice or is merely part of the "'F.B.I.

Central Records Systems." If the records are determined to be only a

component of the larger central records, then a determination would have

to be made as to whether the published notice adequately described this

component.

Although the agencies are given wide discretion in defining what

constitutes a separate system, the fact that all of the records in one system

were derived from another system does not necessarily mean, as the Jus-

tice Department asserts, that the smaller collection of records is not a

separate system. The OMB guidelines conclude that

The purpose(s) of a system is the most impor-tant criterion in determining whether a systemis to be treated as a single system or severalsystems for the purposes of the A,-t. If eachof several groupings of agency records is usedfor a unique purpose or setof purposes,... eachmay appropriately be treated as a separate sys-tem. 40 Fed.Reg. 28962-28963(July 9, 1975).

24


The Federal Register notice of the "F.B.I. Central Records Sys -tem" in wnich t:e security system is purported to be included providessome evidence that the security list is distinctive fron thile other filesin the index. The categories of individuals included in the Central sys-tem are described as:

a. Individuals who relate in any manner to of-ficial F.B.I. investigations including, but notlimited to suspects, victims, witnesses andclose relatives and associates Lihat are relevantto an investigation.

b. Applicants for and current and former per-sonnel of the F. D.I.... or persons related topersolmel matters.

c. Applicants for and appointees to sensitivepositions in the United States Government andpersons... considered relevant to the investiga-tion.

d. Individuals who are the subject of unsolicitedinformation, who offer unsolicited information,request assistance. and make inquiries concern-ing record information, including general cor-respondence...

e. hIclividuals, associaLed wits; adniinistrativ coper-Lr;tLi.,l:; orf tit Ievis:L :; ililtu, . . Ctslll [':t¢ L(~ ;:..

Only one of the above categories, "a", would encompass the Lypeof record included in a "security watch system. " As can be seen above,category "a" include; a wide range of criminal suspects, convicts, victilmsand witnesses. The kidnapper, bank rebber and their victins and wi.i. sse;ito their crimes, in most cases, would differ substantially froni the 1200persons who, because of characteristics that the F.B.I. believes makethem dangerous to the national security, can be accessed from hJe central

25


records for special forms of political surveillance or other treatment dis-

tinctive from other types of suspects.

The unique cl.aracteristics of the subjects of the national security

threat list are emphasized by the origins of this system which clearly demon-

strate that it was created for a unique purpose that sets it apart fromn

other criminal or personnel fi'es. Its nucleus was developed prior to 1971

when the F. B. I. maintained a detention list of persons who, under the

authority of the "Internal Security Act of 1950, " Ch 1024, title II, §100-1US,

64 stat. 1019, Sept. 23, 1950, would be subject to incarceration in the event

of a national emergency. The Justice Department has claimed that this

index was discontinued in September, 1971, after that Act was repealed, but

some F.B.I. sources have said that names in the old system, which at its

peak contained as many as 15, 000 names, were included in the present in-

dex. See New York Times, supra. Even though present law no longer pro-

vides specific authority for the incarceration of persons thought to pose a

national security threat in case of a national emergency, Director Kelley's

memorandum to the House Committee stated that the security threat systeirm

was maintained and continuously revised and updated to provide "a record

of individuals who would merit close investigative attention pending legal

steps by the President to take further action" if there was a national emer-

gency.

The hearings, primarily by the Senate Constitutional RiglhLs Sub-

committee and the Houb: Government Operations Committee, reports and

debate that preceded enactment of the "Privacy Act of 1974"made abundant-

ly clear Congress' concern over the effect of secret files on the rights

26

APPENDIX I APPENDIX

of individuals who could not even know that potentially damaging information

exidsted and was being widely disseminated, much less challenge inlornmation

believed to be erroneous. In the "Privacy Act, " Congress specifically

found

in order to protect the privacy of individuals iden-tified in information systems maintained by F'ed-.ral agencies, it is necessary and proper for

Congress to regulate the collection, maintenance,use, anm dissemination of information by such a-gencies. sec 2(a)(5).

The first purpose of the Act was stated to be to:

permit an individual to determine what recordspertaining to him are collected, maintained, used,or disseminated oy such agencies; sec. 2(b)(3).

For this reason, although many sensitive systems, such as C.I.A. llr; law

enforcement systems, are exempt fr'om requiremernts such as thlo.s p n-lit-

ting an individual to see his own record, no system is exempt frori tihe no-

tice reqairements of section 3(e)(4)((B), the requirement that all agencies

nnust rep)rt "the categories of individuals on whom rccords are main-

tained in the system. "

The OMB guidelines clearly recognize the purpose of the notice

requirement when they state:

Agencies shoul'i keep ill mind that' a major pur-pose of the Act is :.ot tlhe restructuring of exist-ing systems of recoiz',s, but rather the publiciz-ing of what those systems are and how they areused. 40 Fed. Reg. 28963(July 9, 1975).

Congress showed particular sensitivity to and concern over re-

ccrds that could be considered to endanger First Amendment rights. See,

27

APPENDIX I APPL'ODIX I

for example Senate Judiciary Committee, Subcommittee on Constitutional

Rights, Hearings on S. 2318, "The Freedom from Surveillance Acl of1973." 93rd Cong., 2nd Sess., April 9, 10, 1974. The "Privacy Act"specifically prohibits the maintenance of records "Describillg how anlly in-dividual exercises rights guaranteed by the First Amendment unless ex-pressly authorized by statute... or unless pertinent to and within the scope

of an authorized law enforcement activity. " sec. 3 (e)(7).

Even though F. B.I. Director Kclly's memorandum to the HiouseJudiciary Subcommittee denied that subjects were included in the security

system solely because of their stated opposition to Government policies

or because of their membership in a subversive organization, it is liceiy

that a person's political views or associations would have some influence

over whether he was included in the system. The old security index was

reported by the Times to have at one time contained the n.,mes of virtual-

ly all known members of the Communist Party. Because of the large nunl-

ber of Communists included in the original system, it is likely that nmanymembers of the Communist Party are still included in the system. Whilethe maintenance of national security iJle maybe justifiable as a law enforce-ment activity, CongreEs' sensitivity to t;is type of political intelligencefile would indicate an intention that clear notice be provided of its exist-ence.

While the OMB guidelines would permit "a large complex of re-

cords" to be treated as a single system, they specify that the "notice and

28


the procedures may be considerably more complex" than if each small

grouping of records were treated as a separate system. 40 Fed. leg.2 8962(July 9, 1975). The notice given does not provide the necessary

specificity. The fact that one could read the notice and not suspect that

records are maintained within this system on persons who are under sur-

veillance as security risks shows that the notice does not meet the function

of alerting the public to existing systems and of informing Congress so

that its regulatory function with regard to sucl personnel information can

be preserved. Since this type of record may ae more subject to abuse

than most routine personnel files and is clearly distinct from other systems

of records includedintheCentrl iiecords, separate notice would be desir-

able. As a minimum, the law would seem to require that, if the Justice

Department were to continue to treat all these records as a unified system,

a much clearer and detailed notice be issued, if not a separate notice.

E. Jeremy HuttonLegislative Attorney

29

APPENDIX II APPENDIX II

REVISED NOTICE OF FBI'S

CENTRAL RECORDS SYSTEM

IN TiE FEDERAL REGISTER I/

DEPARTMENT OF JUSTICEffice of the Attorney General

lOrder No. 724-V7IPRIVACY ACT OF 1974

Systems of Records; CorrectionIn P.R. Doc. 77-12097 appearing at

page 21668 in the issue of Thursday, April28, 1977, the following paragraph wasomitted from the description of the cate-.gorles of records for JUSTICE/FBI-002.titled "FBI Central Records System."

The FBI Central Reccrds System--theFBI utilizes a central recb7rs system o/maintaining its investigative, personnel,applicant, administrative, and generalfles. This system consists of one numeri-cal sequence of -sbiect matter files, analphabetical index to the I;tes, and a sup-porting abstract system to facilitateprocessing and accountability of all Im-portant mail placed in 11le. Files kept InFBI field ojlces are also structured in thesame marner, except they do not utilizean abstract system.

Pursuant to the authority vested in me by5 U.8.C. 652a, the desoription of otegoriesof records printed below replaes the exist-ing one and is heerby adopted.

Dated: May 11, 1977.

OIrn'N B. RELL,Attorney Oeneral.

1/Underscored portion represents what was initiallypublished in the Federal Register on August 27, 1975.

30


NOTICES 26479JUSTIcE/II.4002 8. Falsely Clirmin, Oltisenship 79. Obstruction of Criminal InvestigationsYostem nne40. Passport An Vi Matter 7. Applicatlon for Pardon After Comple-system 1111211w: I Bl~tem641, Ezplostves (obsolete) tlon of Sentence and Application forFBI Crentral Records Bsdt. 4. Deserter; Deert. Harboring Executive Clemency

Categi: 4l ofen4. Il Wl Waring of Uniform: Pai Ad- 74. PerJuryvertiaing or Misuse of'Nroe, 'orda, 78. Bondsmen and SuretiesI s L m E tnmble]Onms or Insignia; Illegal &anu- 76. Escaped Federal Prisoner: Escape andfocture, Use, Possession, or Eale of Rescue: Probation Violator; ParoletEmtle-s and Insignia: Illegal Manu- Violator; Mandatory Releae Vloiatorfacture, Possession, or Wearing of 77. Applicants (Special Inquiry, Depart-Civil Defense Insignia Miscellaneous, mental and Other Oovernment Agen-cO~ lrFPorging or Using Pered Certlificate of cles. except these having special clay-Discharge from Military or Naval enrv- siicatons)_uovor s _Wm _ iO I ice: Miscellaneous, Falsely Making or 78. Illegal Use of Governlment Transpo!,i-Forging Naval. Military, or Oficil tion RequestsPasr; Miscellaneous. Forging or Coun- 79. Missing Personsterfrting Seal of Department or 80. Laboratory Research MattersAgency of the United States; Miuse I. GSold H oarding (obsolete)of the Great Stal or the United States 82 War Risk Insurance (National S.uivi.eor of the Seals of the President or Life Insurance) (obsolete)-l fibations Msod the Vie President of the Unitled gs. Court of ClaimsIn Its basic filing system. They pertain States;: UnAuthohised Use of "Johnny 84. BReconstructlon Finance Corporationprimarily to Federal violations over "Orison" Symbol; Unauthorised Use Act (obsolete)which the FBI huas investigative Jurladic- of "Smokey Bear" Symbol i. Home Owner Loan Corporation (ubst,-vton. However, included In the 131 da- ~4 Civil Rights; Civil Rights, Election l tetsctiaHons are peronndel, applicant, and Laws. Clvil Rights, Election Laws, 6,. Flerul Lending and Insurance Agenciess..ifctstirve mp tberse to falitat tand Voting Righte Act, 1965 87. Interstate Transportation of ftto!l.tiveII matters to facilitate the 4. rime on the High Be (Includme stow- Propervy (Fraud by Wire. Radio. or&wvays 03 1ee Tw· oR bfats and aircraft) Television)tions mae a follows (the word "obsolete" F. raud Against the Government; Anti- 8. Unlawful Plight to Avoid Prosecution.following the name of the clasifidcetion Kickback statute: Dependent Asaist- Custody, or Confinement: UnllawuvIndicated that documer a we no longer ance Act orf 1950; ase Claimsn. Civil; Flight to Avoid Giving Testimonybeing filed under tIhi leeadlng: Pederal.Ald Road Act; Lead and Zinc 89. Assaulting or Killing a Federal Osicer:Act: Publc Works anf, Economic De- Congressional Assassination StatueCLMsymcS2obwa velopment Act of lgtR; Renegotiation 90. Irregularitica In Federal Penal Instil t-1. Training Schools: NtUols Acade5y Act. Criminal; Renegotiation Act, tonsMattes; I Natiohal Acade ~y p CivilU; Trade panalon Aot o Il,; 91. Bank Burglary; Bank Larceny: Blnktter pl Naoaantsl Unemployment Compenatlon Stat- Robbery

2. Neutrality tta. utes; Economic Opportunity Act 92, Antl-Racketeering: A.R., Lea tet; AR.3. Overthrow or Desltruction o the Iom- d inpersonation Interference with Government Corn-. Overthrow or Detruction of the O- 4S. Postal Violation (Except MaUl raud) 'unicationA System; A.R., Hobbs ACtN ational 49. National Bankruptcy Act 93. Aceert ining Financial Ability4. Na tiona l r te m re Arm: Control A 0. Involuntary Servitude and Slavery 94. search Mattersstac Act; Statleul PoFr Contrn or A 51. Jury Panel Inveetigations 95. Laboratory Cases (Examlnaiton or Evi-astance Act; Unlawful Possesieon or 8. Theft. Robbery. oembealement, llgal dence in Other than Bureau Cases)Receipt of Firearms 1Posselon or Destruction of Govern- 96. Alien AP.licant (obsolete)5. Income Tax. Iment Property 97. Reglstratlo.l Act0. Interstate Transportation of Strike- 53. Exce Profits on Wool (obsolete) se. Sabotagebreakers 54. Customs Laws and Smuggling 99. Plant Survey (obsolete)7. Kidnaping 65. Counterfeiting 100. Subversive Matter (ILdlviduals; I :-9. Migratory Bird Act 80. Election Laws nal Security (Organizatlon)9 Extortion 57. War Labor Disputes Act (obsolete) 101. Hatch Act (obsoletei10. Red Cosm Act as. Bribery: Conflict of Interest 1p2. Voorhis Act1.2 Tax (Other than Income) 59. World War Adjusted Compensation Act :03. Intvrstate Tranlsportatlon of Stolen Cat-13. MNarcoteiacs Nto(obsolete) tie1S. Miscellaneous National Defense Act: 0. Anti-Trust 104. Servicemen's Dependents Allowance ActProstitution; Selling Whiskey Within C1. Treason or Misprison of Treason of 1942 (obsolete)Army Camps (obsolete) 62. Miscellaneous-Including Adminlstra- 10S. Internal Security (Nationalistic Tend-~~14. 8ed"I~iotivote Inquiry (formerly Misconduct In ency. Foreign Intelligence) (Individo-18. Theftfrom Interstate Shipment Office) a&Is and Organizations, by country)16. Violation Federal Injunction (obsolete) 63, Miscellaneous. Non-Subversive, includ- 106. Allen Enemy Control; Escaped Prlsones17. Veterans Administration bMatters ing: Black Market In Rallroad Tickets of War and Intern es (obsolete)18. May Act (obsolete); Civil Aeronautics Act (ob- 107 Denaturalization Proceedings (obsoletel19. Censorship Matters (obsolete) solete); Eight-Hour-Day Law: Federal 1( reign Travel Co20. Federal Grain Standards Act (obsolete) Judlciary Inveatatio Federal Ju- Foregn T Contr o lete21. Food and Drugs venile Delinquency Act: Kickback 109. Foreign Political Matters22. National Motor Vehicle Tramc Act (ob- Racket Act: Lands Division Matter 110. Foreign Economic Matterssolete) (Condemnation Proceedings); Misoel- Ill..Foreign cclal Conditions23. Prohibition laneous-Clvil Stit: Miscellaneus. 112. Foreign Fund24, Profiteering (obsolete) 0P.A. Violation (Civll) (obsolete); 113 Fo25. Selective Service Act; Selective Training Mlscellaneouas- Wage and Hour Law 3 Foreign Military d Nval Mattersand Service Act (Fair Labor Standards Act of 1938); 114. Allcl Property Custorian Matter (otio-26. Interstate Transportation 'f dtolen Mo- soldlers and Sailors Civil Relief Act lete)tor Vehicle; Interstate Transportation ul 1940; Tariff Act of 1930; Top Hood- 115 Bond Default; Bail Jumperof Stolen Aircraft lurn Coverage; Unreported Intrstate 116. Atomic Energy Act, Applicant; Atomic27. Patent Matter Shipment of Cigarettes; Federal Ciga- Energy Ac:t. Employee2£. Copyright Matter rette Labeling and Advertisling Act 117. Atomc Energy Act Criminal29. Bahk Fraud and mbeszzlement 64. voreign Misreelaneous 118. Applicant, Central Intelligence Agncy30. Interstate Quarantine Laws (oosoletel Eponge App Celtr ntlgene 31. WhiteSlave Traalc Aei gg,.'ncy31. White Slave Trsffic Ac. (6. Administrative Matters (obsolete)32. Identification (Fingerprint Matters) 67. Personnel Matters 119. Federal Regulatlns of Lobbying Adt33. Uniform Crime Reporting 68. Alaskan Matters (obsolete) 120. Federal Tort Claims Act34. Violation of Lacy Act (obsolete) 69. Contempt of Court 121, Loyalty of Government Employees (ob-38. Civil Service 70. Crime on Ildian Reservation; Inducing solete)39e Mail Fraud Conveyance of Indian Trust Land; 122. Labor Maniagement Relations Act. 194737. False Claims Against the Goveenment Crime on Government Reservation; 123. Special Inquiry. State Department.(obsolete) Embezzlement or Theft of Indian Voice of America (U.S. Informatirn38. Application for Pardon to Restor, Citvi Property Center Pblic Law 402. 0th Con-Rlghte fobeolete) 71 BB~sofL~dtng~ctCenter) IPubllc Law 40a, 80th Con-

Rights (obsolete) 71. Bills of Lading Act gre..)

IORAL IoIST11s, VOL. 42, NO. 100-TUESDAY, MAY 24, 1977

31


26480 NOTICESZ~4. !lueopemn teRcovery Program (Interns- 165. CrlmAehbordAircrant~44 Ituropen Recovery Program (Interne- 184. Crime Aboard Aircraft of Information contained in the Centraltlonal Cooperation Admilnistrat!on), 165. Interstate Transmiaaion o f Waerin ors te Te e dupciveformerly Foreign Operations Admials- Information Records yste. These licativetration, Economic Cooperation Ad- 166. Interstate Transportation In Aid ot records fall intothe following categories:nr.lnistration or ER.P.. Eropean Re- Hicketerlng (1 ) Li tings of individuals used to as-covery Program; A.I D., Agency for 167. Destruction of Interstate Property sist in the location and apprehension ofInternational Development (obsolete) 168. Interstate TrImlportation of Wagering individuals for whom legal process is125. Railway Labor Act; Railway Labor Act. Iaraphernall outstanding (fugitives):Employer's Liability Act 189. Hydraulic Brake Fluid Act (obsolete) Istngs of ndividuals used n th126. NatiJnal Security Resources Board, Spe- 170. Extremist Informants2 stings of ndividuals used n thcial Inquiry (obsolete) 171. Motor Vehicles Seat Belt Act (obsolet)e identification of Particular offenders in127. Sensitive Positions in the United States 173. Sports Brlbery cases where the FPI has Jurisdcctlon.Government, lubllc law 266 (obso- 173. Public Accommodations, Civil Rights These listings include various photo-lete) Act of 1964 graph albums and background data con-128. International Development Program Public Facilities, Civil Rights Act of cerning persons who have been formerly(Foreig; Operations Adminlstration) 1964 charged with a particular crime and who129. Evacuation Clrlma (obsolete) Public Education, Civil Rights Act of may be suspect In similar criminal ac-130. Special Inquiry, Armed Forces Seelrity 184 tivitie and hographs of ndividualsAct (obsolete) Employment, Civil Rights .. ct of 1964 who are unknown but suspected of in-131. Admiralty Matter 174. Explosives and Incendlary Devices;132. Special Inlqilry, Office of De;eluse do- Bomb Threats (Formerly. Bombing volvemelit In a particular criminal ac-aolization (obsolete) iMatters; Bombing Matters, Threat.) tivity, for example, bank surveillance· Nations' Science Foundatlo'. Act, Ap- 175. Assaulting the Prelident (or Vice Presli. 'htollraphs;plicanl (ohsolete oaent) of the United States (3o Listings of individuals as part of134. Security Informants 176. Anti-riot Laws an overall criminal intelligence effort by145. PROSAB (Protecollon of Strategic Air 177. D!scrimination in Housing an overall crminal intelligence eort byCommand Bases of U.S.A. Air Force) '78. Inlerstate Ob.,cene or Harabssing Tic- thb F ll. This would Iiclude photograph138. American Legion Contact (obsolete) hone Call lbums lists of Individals known to be137. CrLminal Informalts 179. Extortlonate Credit Trasliactlun involved in criminal activity, Including138, Loyalty of Employees of the United Na- 180. Desecration of the Flmas theft from interstate shipment. inter-tions and Other Public International 18'. Consumer Credit Protection Act state transportation of stolen property.Organizations 182, Illegal Oambling Businesa: Illegal Gam- and individuals Il the upper echelon of39. Interception of Communications (For- bling Business, Obstruction: Illegal o-ganioed crime:merly. Unauthorized Publicatlon or Gambling Business. Forfeiture ;4) Li

Use of C overunications) 183. Racketeer. Influenced and Corrupt Or- ti ings o individuals In Conr-140. Security of Governmea t Employees anztos tion with the FBI's mandate to carr' outS.O.E., Fraud Against the Govern- 184. Pole Killings Presidential directives on January 8,bent 18~. Polce Killings141. False Entries in Records of Interstate 185. Protection of Foreign Officials and OfR- 1943. July 24, '950. December 15. 195'i.Carriers clal Onlleta of the United States and Fbruarly 18. 1976. which designatedC142 Illegal Us Or Rallroad Pasc 186. Real Estate S-ttlement '.-cedures Act the FBI to carry out investigative work142. Illegal Use syof Railroad Po5 of 1974 in matters relating to espionage, sabo-

revices 187. Privacy Act orf 174, Criminal tage, and foreign counterintelligente144. Interstate Transportation of Lottery 188. Crime Resistance These listings may include photographTicke':s 189 Equal Credit Opporturity Art alblms and other listings containin)l145. Interstate Transportation of Obsc-ne 190. Freedom of Information*Privacy Acts biographic data regarding indivicduls.Matter: Droadeasting Obscene Lan- 191. False Identity Matter This would include lists of identified andguage146. Interstate Transportation of Prison- Files ket n I Fel Oces suspected oregn intelligence agents andMade Goods informant147, Federal Housing Administration Mat- -nt conta (51S Special indices duplicative of theter, in a lnxc central indices used to access the CelntrIal148. Interstate Transportation of Fireworks s ina Reclrds Svstem have been created frolm149, Destriction of Aircraft or Motor Vehicles Records System have been c reated fwt rol150. Harboring of Federal Fugitives, Stattti th was no rosec e ac n unrC time to ti;ne in conjunction with theo151, (Iteferral cases received from CSC under -e[.r- r cs. administratlon and investigation of Inn-P.L 298) Agency for International veloed du es atn e- jor cases This duplication and segre-Development: Atomic Energy Com- gation facilitates access to documentsmission (Cilil Service Commisslon ); prepared In connection with major casesNational Aeronautlcs and Space Ad- jurlsdic!ioln of the Bur Some of the information contained illministration: National Science Foun- the main files has also been extracteddation; Peace Corps: Action: a C, t n h orArms Control and Dsarmament U.S. and placed on coirr.uter to enable valn-

Agency; World llealth Organization; records and recois ous divisonom to retrieve InformationInternationa' Lab-or Organiz tionw | nmore rapidly by avoiding the need forUS1 . Information Agency files are k ept isi a manual search for information main-152. Switchblade Knife Act tained in the main files, For example.153, Automobile Information Disclosure Act tC i e]g] [] tamned In the main files. For example.14. Interstte Transportation of Unsafe ay operati on These records are lists of since investigation of major frauds re-Refrigerators -iua-which contain certain bio-155. National Aelonautics and tSpace Act of grphice data inludig physical descrip- quires th' Agent to collect and organize1950 tion and photograph. They may -lso con- massive vr umes of evidence and other156. WrIfare anad Pension Plans Disclosure taln information coneerniing act!;ites o1 investigative information, the FBI isAct the individual as reported to FBIHQ by using computers to do this in a more157. Extremist Matters; Civ. Unrest the various field offices, The establish- accurat e and expeditious maimer. Addi-158. Labor-Minagement Rei.rtlng and Dis-closure Act or 1en (Securig tynd Dat- ment of these lists s necessioated by the ta.l y Agents occasionally seize vi-ter) AobSolete) needs of the Divisions to have immediate159. Lator-Mansgement Leporting and Dis- access to pertinent information duplica- dence In computerized form and FBIclosure Act of 1959 (Investigative tive of data found in the Central Records computers ire used to organize and sortMatter) without the delay caused by a time- the nformnnatlon in preparation for trial.180. Federal Train Wreck Statute consuming manual search of central A o t nf161. Special Inquiries for White House, Con- Indices. The manner of segregating these WL s matters Wa l Adgresslonal Committee and Other Gov- individuals varies depending on the par-ermnet Agencies ticular needs of the FBI Division. The u162. Intetate Gambling Activities information pertaining to individuals .soa{n5m ietYiJvIi153. Forsen Police Cooperation who are a part of the list is derivative rn Doc 77-14544 Filed 5-23-7;8:45 am I

RKL& EGOISmTEiR, VOL. 42, NO. IOO-lUESDAY, MAY 24, 19/7

32

APPENDIX III APPENDIX III

INVESTIGATIVE INDEXES

FBI HEADQUARTERS (note a)

Title Description and use Status

Indexes retrievablethrough the centralrecords system:

Administrative Consists of cards with Inactiveindex (ADEX) descriptive data on indi-

viduals who were subjectto investigation in anational emergency becausethey were believed to con-stitute a potential oractual threat to the inter-nal security of the UnitedStates. When ADEX wasstarted in 1971, it was madeup of people who were for-merly on the security index,reserve index, or agitatorindex. Maintained in twoseparate locations in FBIheadquarters, ADEX was dis-continced in January 1976.The computer section of theFBI has in storage on com-puter tape all the individ-uals who were on ADEX whenit was discontinued.

Background Consists of cards on persons Activeinvestigation who have been the subject ofindex--Depart- a full field investigationment of Jus- in connection with their con-tice sideration for employment in

sensitive positions with theDepartment of Justice, suchas a U.S. attorney, Federaljudge, or high leveldepartmental official.

a/Does not include ten classified indexes.

33



Background Consists of cards on per- Activeinvestigation sons who have been theindex--White subject of a full fieldHouse, other investigation in cn inec-executive tion with their consid-agencies, and eration for employmentthe Congress in sensitive positions

with the White House,executive agencies (otherthan the Department ofJustice), and the Congress.

Bank robbery Consists of photographs of Activenote file notes used in bank robber-

ies in which the suspecthas been identified. Thisindex is used to help solverobberies in which the sus-pect has not been identi-fied, btut a note was left.The note is compared withthe index to try to matchthe sentence structure andhandwriting for the purposeof identifying possiblesuspects.

Car ring theft Contains cards on individ- Activeworking index uals involved in car ring

theft cases on which theFBI laboratory is doingexamination work.

4


Title Descrietion and use Status

Check circular Consists of fliers filed Activefile numerically in a control

file on fugitives who arenotorious fraudulent checkpassers and who areengaged in a continuingoperation of passingchecks. The fliers includethe subject's name, photo,a summary of the subject'smethod of operation, andother identifying data.They are used to alertother FBI field offices andbusiness establishmentsthat may be the victims ofbad checks.

Computerized Consists of a computer Inactivetelephone listing of telephone numbersnumber file (and subscribers' names and'CTNF) addresses) alleged to have

. telligence been used by extremists andrevolutionaries. These num-bers were matched with othertelephone numbers discoveredduring investigations to de-termine possible connectionswith known extremists andrevolutionaries. This infor-mation was gathered fromtelephone company tollrecords. The index wasdeveloped to facilitate FBIefforts to locate persons itclassified as extremists andrevolutionary. The FBI dis-continued using this com-puterized information in Feb-ruary 1975, but the computertapes of the following in-dividuals and organizationsare in storage: (1) AlFatah (an Arab terroristgroup), (2) Weatherman, (3)?w Left, and (4) Black and

ether ethnic extremists.

35



CTNF--organized Consists of computerized Activecrime and gam- listing of telephone num-bling bers (and subscribers'

names and addresses) usedby organized crime and gam-bling figI.Les. These num-bers are matched with tele-phone numbers obtainedthrough subpoena in subse-auent investigations, usuallyto determine possible connec-tions with organized crime andand gambling figures. Thenames and addresses of sub-scribers of telephones usedby known organized crime andgambling figures are retriev-able through this index.

Criminal Consists of cards con- Activeinformant taining identity and briefindex background information on

all active and inactive in-formants furnishing informa-tion in thd criminal area.

DEA class I Consists of a computer Activenarcotics listing of narcotic viola-violators tors--persons known to

manufacture, supply, or dis-tribute large quantities ofillicit drugs--with back-ground data. It is used bythe FBI when assisting DEA indisseminating intelligencedata concerning illicit drugtrafficking. (See p. 9 ofthis report.)

36



Evidence Consists of cards main- Activecontrol tained by the FBI labora-index tory containing the names

of suspects, subjects,victims, etc., in matterswhich are currently underexamination or have under-gone examination withinthe last 3 years. Theindex is used to facilitatemanaging evidence examina-tions.

Extremist Consists of cards with Inactiveinformant identity and backgroundindex data on all extremist

informants. It was usedas a reference to aid inthe supervision of theinformant program. Thisindex was discontinuedin Novmeber 1976.

Extremist photo Consists of photo and Inactivealbum descriptions of known extre-

mists, extremist fugitives,and some informants. All per-sons in th, key extremist pro-gram were included in this al-bum. Used for ready referenceand fugitive identification,this photo album was discon-tinued in January 1977.

False identi- Contains cards with the Activeties index names of deceased individuals

whose birth certificates havebeen obtained by other personsfor possible false identifica-tion uses and in connectionwith which the FBI laboratoryhas been requested to performexaminations.

37



FBI wanted Consists of cards on Activepersons persons being sought underindex Federal warrants covering

violations which fall underthe jurisdiction of the FBI.It is used as a readyreference to identify thosefugitives.

Foreign Consists of cards with Activecounter- identity and background dataintelligence on all active and inactive(FCI) asset operational and informationalindex assets in the foreign counter-

intelligence field. It isused as a reference aid ofthe FCI asset program.

Fugitive alert Consists of fliers, filed Inactivefile numerically in a control

file, on fugitives chargedwith crimes relating to kill-ing or attempting to kill alaw enforcement officer orbelieved to be a threat tothe safety of law enforce-ment personnel. The fliers,which include names, aliases,physical descriptions, andphotographs, are distributedto law enforcement agenciesby the FBI to alert them ofsuch persons. This programwas discontinued in June 1977,and the file is no longermaintained at headquarters.

Fugitive bank Consists of fliers on bank Activerobbers file robbery fugitives filed se-

quentially in a control file.FBI headquarters distributesto the field offices flierson bank robbers in a fugi-tive status for 15 or moredays to facilitate theirlocation.

38



Gambling case Consists of a listing of Activelisting persons under investiga-

tion for gambling on whichthe FBI laboratory has pro-vided assistance since1969.

Identification Consists of fliers filed Activeorder, fugi- numerically. Whein immediatetive flyer file leads have been exhausted in

fugitive investigations anda crime of considerablepublic interest has been com-mitted, the fliers are givenwide circulation among lawenforcement agencies through-out the United States andare posted in post offices.The fliers contain the fugi-tive's photograph, finger-prints, and descripticn.

Key activist Consists of photos and Inactiveprogram photo descriptive data on selectedalbum individuals advocating civil

disobedience and other unlaw-ful and disruptive acts. Itwas used to intensify theinvestigative effort on thosepersons. This index was dis-continued in February 1975.

Key extremist Contains a listing of selec- Inactiveprogram ted individuals who werelisting under investigation for ex-

tremist activities and onwhom investigation was to beintensified. Individuals in-cluded those who traveled ex-tensively and called forcivil disobedience and unlaw-ful or disruptive acts. Itwas used to intensify theinvestigative effort on thosepersons. This index was dis-continued in Vebruary 1975.

39



Kidnapping book Consists of data, filed Activechronologically, on kid-nappings that have occurredsince the early 1950s. Thevictims' names and the sus-pects' names, if known,would be listed with a briefdescription of the circum-stances surrounding the kid-napping. The file is usedas a reference aid inmatching up prior methods ofoperation in unsolved kid-napping cases.

La Cosa Nostra Contains cards on individ- Active(LCN) member- uals having been identifiedship index as members of the LCN.

The cards contain personaldata and pictures. Theindex is used solely by FBIagents for assistance ininvestigating organized crimematters.

Leased line Contains cards on individ- Activeletter request uals and organizations whoindex are or have been the subject

of a national security elec-tronic surveillance in whicha leased line letter wasnecessary. It is used as anadministrative and statisti-cal aid.

Mailed cover Consists of cards containing Inactiveindex a record of all mail covers

conducted on individuals andgroups since about January1973. It was used for refer-ence in preparing mail coverrequests. This index wasdiscontinued in 1975.

40



Military deser- Consists of cards contain- Activeter index ing the names of all mili-tary deserters the variousmilitary branches haverequested FBI assistance inlocating. It is used as anadministrative aid.

National bank Consists of fliers on bank Activerobbery album robbery suspects filed

sequentially in a controlfile. When an identifiablebank camera photograph isavailable and the case hasbeen under investigation for30 days without identifyingthe subject, FBI headquarterssends a flier to the fieldoffices to help identify thesubject.

National fraudu- Contains photographs of the Activelent check signatures on stolen andfile counterfeit checks. It is

filed alphabetically, butthere is no way of knowingif the names are real orfictitious. The inde) isused to help solve st)lencheck cases by matchingchecks obtained in suchcases against the index toidentify a possible suspect.

National securi- Contains cards on individ- Activety electronic uals and organizations onsurveillance whom a national securitycard file electronic surveillance(requested) has been requested. It is

used as an administrativeand statistical aid.

41



National securi- Contains cards on individ- Activety electronic uals and organizations onsurveillance whom a national securitycard file electronic surveillance has

(instituted) been instituted. It is usedas an administrative andstatistical aid.

Night deposi- Contains cards with the Activetory trap names of persons who haveindex been involved in the theft

of deposits made in banknight depository boxes.Since these thefts haveinvolved various methods,the FBI uses the index tosolve such cases bymatching up similar methodsto identify possible sus-pects.

Revolutionary Consists of photos and Active

Communist descriptions of individualsParty (RCP) who are leaders and activ-photo album ists in the RCP, formerly

the Revolutionary Union.The FBI has identified theRCP to be a Marxist-Leninist-Maoist revolutionary organi-zation, which calls for aviolent revolution in theUnited States. This index isused as an investigative aid.

Revolutionary See description and use for InactiveUnion (RU) RCP album. This album wasphoto album discontinued after the RU

changed its name and anupdated photo album wascreated titled RCP.

42



Security of Contains cards on persons ActiveGovernment whom the FBI, for securityemployees or loyalty purposes, hasindex investigated under Execu-

tive Orders 9835 and 10450.The index is used to facili-tate the location of thesubject's file.

Security infor- Consists of cards contain- Activemant index ing identity and brief

background information onall active and inactiveinformants furnishing in-formation in the criminalarea.

Selective Ser- Contains cards on individ- Activevice violators uals being sought on theindex basis of Federal warrants

for violation of theSelective Service Act.

Skyjack fugitive Contains photographs with Activealbum descriptive data of fugi-

tives wanted for skyjacking.It is used as a referenceaid in cases where thefugitive may reenter theUnited States.

Symbionese Contains cards with mixed InactiveLiberation subject entries, such asArmy (SLA) individuals, weapons, andindex vehicles, thought to have a

connection with the SLA. Itwas used to tabulate andretrieve data relating to SLAactivities. The FBI has in-dicated this index wi!l bedestroyed when the JusticeDepartment gives it permis-sion to destroy intelligence-related documents.

4-



Toll record Contains cards on individ- Activerequest uals and organizations onindex whom toll records have been

obtained in nationalsecurity-related cases andwith respect to which FBIheadquarters had to preparea request letter. It isused primarily to facili-tate the handling of repeatrequests on individualslisted.

Top echelon Consists of cards contain- Activecriminal ing identity and brief back-informant ground information on indi-program viduals who are either fur-(TECIP) nishing high level informa-index tion in the organized crime

area or are under develop-ment to furnish such informa-tion. The index is usedprimarily to evaluate, cor-roborate, nd coordintc¢informant information and todevelop prosecutive dataagainst racket figures underFederal, State, and localstatutes.

Top ten pro- Consists of fliers, filed Activegram file numerically in a control

file, on fugitives consid-ered by the FBI to be oneof the 10 most wanted.Including a fugitive on thetop 10 usually assuresgreater national newscoverage as well asnationwide circulation ofthe flier.

44



Wanted fliers Consists of fliers, filed Activefile numerically in a control

file, on badly wanted fugi-tives whose apprehension maybe facilitated by immediatenationwide circulation of aflier. The flier containsthe names, photographs,aliases, previous convic-tions, and caution notices.

Weatherman Consists of photos and Activephoto album descriptions of individuals

associated with Weathermanactivities for use as areference aid in Weathermaninvestigations.

Witness protec- Contains cards on individ- Activetion program uals who have been furnishedindex a new identity by the U.S.

Justice Department becauseof their testimony in orga-nized crime trials. It isused primarily t' notify theU.S. Marshals S rvii whe-iinformation rela,'d cJ tiisafety of a protected wit-ness comes to the FBI'sattention.

Indexes not fullyretrievable throughthe central recordssystem

Associates of Consists of a computer ActiveDEA class I listing of individualsnarcotics DEA has identified asviolators associates of class I

narcotics violators.(See p. 9 of thisreport.)

45



White House Contains cards on all poten- Activespecial tial White House appoin-index tees, staff members, guests,

and visitors referred to theFBI by the White House se-curity office for a recordscheck to identify any ad-verse or derogatory informa-tion. This index expeditessuch checks in the tighttime frame usually required.(See p. 10 of this report.)

Major ca3e Consists of computerized syn- Inactiveindex-- opses of information mostlyPatricia on persons related tc theHearst kid- investigation--subjects, sus-napping pects, friends, associates,

witnesses--and other key 0dsca,such as license plate numbers,telephone numbers, and physi-cal evidence. This informa-tion .s computerized tofacilitate the management andcoordination of large and com-plex investigations. Not allthe names included on the com-puter tape are consideredimportant enough to includein th£ general index and thus,are noc retrievable throughthe cent:-l records system.

Major case Same as above. Activeindex- -bombi-.g ofTWA passen-ger terminalat La Guar-dia Airport

Major case in- Same as above. Inactivedex--burg-lary of Demo-craticNational Head-quarters(Watergate)

46



Major case in- Same as above. Inactivedex--murderof FBIagents onPine RidgeIndian Re-servation

Major case in- Same as above. Activedex--Phoenixland fraud

Major case in- Same as above. Inactivedex--DonSegretticampaignlaw viola-tions, aspinoff ofthe Water-gate inves-tigation

Major case in- Same as above. Activedex--extor-tion bythreat ofbombing ot200 majorU.S. compan-ies by un-known sub-ject, someletter bombswere re-ceived

Major case in- Same as above. Activedex--inves-tigationinto possibleorganizedcrime in-fluence overwaterfrontbusinesses andunions in At-lantic andGulf ports

47



Major case in- Same as above. Activedex--investi-gation con-cerning anillegalgamblingbusiness

Major case in- Same as above. Inactivedtx--inves-tigationinto a seriesof bombingsin the westcoast area

Major case in- Same as above. Activedex--inves-tigation ofan individualunder theRacketeer In-fluence andCorrupt Or-ganizations(RICO)Statute

Major case in- Same as above. Inactivedex--inves-tigation ofan individualunder theRacketeerInfluence andCorrupt Or-ganizationsStatute

48



Electronic sur- Consists of cards on individ- Activeveillance in- uals who have been thedices records subject of a microphonesystem or telephone surveillance

by the FBI from 1960 topresent. This includesindividuals who were the(1) targets of directsurveillance, (2) partic-ipants in monitored con-versations, and (3) owners,lessors, or licensors ofthe premises on which theFBI has conducted an elec-tronic surveillance. Inaddition to the persons'names, the card would con-tain the date the voicewas monitored, a sourcenumber to identify theindividual on whom thesurveillance was installed,and the location of thefield office which con-ducted the monitoring.It also includes personswho were mentioned from1960 to 1969. The highlypublicized 17 White Housewiretaps were initiallylisted separately on thespecial cove.-qe indexuntil th? summer cf 1976when they were merged intothe ELSUR index. The ELSURindex is used to respond toinquiries by the Departmentof Justice anJ to preparetitle III affidavits. (Seep. 6.)

49



Indexes retriev-able throughthe Identifi-cation Divi-sion recordssystem

Criminal Consists of cards, filed by Activefingerprint fingerprint classifi&di;-ncard file on all individuals whose

fingerprints have been sub-mitted to the FBI as a re-sult of arrest or incar-ceration by Federal, State,or local law enforcementagencies.

Criminal Consists of index cards filed Activefingerprint alphabetically on each in-card index dividual who has a criminal

fingerprint card at the FBIas a result of arrest .,r in-carceration by Federal,State, or local law enforce-ment agencies. These ca.rdscontain a number which refersto records on individualscalled rap sheets, which arecompilations of arrests andrelated data submitted to theFBI by Federal, State, andlocal law enforcement agen-cies.

Civil finger- Consists of cards, filed by Activeprint card fingerprint classfication,file on all individuals whose

fingerprints have been sub-mitted to the FBI as a re-sult of (1) Federal employ-ment application, (2) mili-tary service, (3) alienregistration or naturaliza-tion, and (4) desire tohave their fingerprintsplaced on file.

50



Civil finger- Consists of index cards filed Activeprint card alphabetically on individualsindex who (1) have civil fingerprint

cards at the FBI as a resultof Federal employment applica-tion, military service, cralien registration and na-turalization and (2) desireto have their fingerprintsplaced on record with the FBIfor personal identificationpurposes.

Single Contains fingerprint cards on Activefingerprint individuals with the capa-card file bility to commit, or who

are known to have committed,the following types ofcrimes--bank robbery, bankburglary, major thefts, in-terstate transportation ofobscene material, bombings,extortion, professionalfraudulent check passing,white extremists, hijacking,and kidnapping. This indexis searched when latentprints are available in cor-responding crimes. A searchof all criminal fingerprintsmaintained could not be donebecause of the volume ofcriminal fingerprint cards.

Idertifica- Consists of cards with finger- Activetion prints and an alphabeticalorder, listing of those FBI fugi-fugitive tives on whom identificationflyer file orders have been issued. It

is used for any immediatecomparison desired with thefingerprints of any one ofthese fugitives. (See descrip-tion for identification order,fugitive fliers file on p. 39of this appendix.)

51



Missing per- Consists of cards containing Activesons index the names of and other data on

missing persons. The index isused to help locate missingpersons at the request of aninterested relative and localand Federal law enforcementagencies and to facilitate thehandling of requests from theWhite House and the Congressfor assistance in missing per-son matters.

General ap- Consists of index cards filed Activepearance numerically and containing aindex photograph and physical

description of individuals whohave committed or who arecapable of committing any typeof swindle or confidence game.One section of this card fileis devoted to individuals whoare in the major theft sectionof the single fingerprint file.The index is used for the pur-pose of identifying subjects ofconfidence games by means ofdescriptions made available bythe victim or other witnesses.

52



Indexes retriev-able throughthe NationalCrime Informa-tion Center(NCIC) recordssystem

NCIC criminal Consistc of computerized infor- Activehistory mation on individuals who harefile been convicted of significant

violations of Federal, State,or local law. Data stored inthe computer includes personalidentification data as well aspublic record data concerningeach of the individual's majorsteps through the criminal jus-tice process. This informationis used by criminal justiceagencies in the discharge oftheir officia2 mandated respon-sibilities.

NCIC missing Consists of computerized infor- Activepersons mation on any person who is (1)file missing and because of proven

physical/mental disability issubject to personal and im-mediate danger, (2) missing un-der circumstances indicatingthat the disappearance was notvoluntary, (3) accompanied byanother person under circum-stances indicating that his orher physical safety is in dan-ger, and (4) declared unemanci-pated as defined by the laws ofthe State of residence and doesnot meet any of the other entrycriteria. This information isused by law enforcement agen-cies to locate persons who arereported as missing.

53



NCIC wanted Consists of computerized in- Activepersons formation on individuals whofile have committed, or have been

identified with, an offensewhich is classified as afelony or serious misdemeanorunder the existing penalstatutes of the law enforcementjurisdiction originating theentry. Probation and paroleviolators meeting this criteriaare also included as are in-dividuals for whom Federal war-rants are outstanding. Thisinformation is used by lawenforcement agencies to locatefugitives.

54

APPENDIX IV APPENDIX IV

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APPENDIX VI APPENDIX VI

tIiTED STAATES DEPARTMENT OF JUSTICE

WASHINGTON, D.C. 200

Addresl He:la to theDivislon Indicated

"d Rfr to Initial. and Numb. .b 977

Mr. Victor L. LoweDirectorGeneral Government DivisionUnited States General Accounting OfficeWashington, D.C. 20548

Dear Mr. Lowe:

This letter is in response to your request for com-ments on the draft report entitled "FBI Investigativeindexes--Action Needs to Be Taken To Be In ComplianceWith The Privacy Act Of 1974."

We are in general agreement with the findings andrecommendations contained in the report, which for themost part acknowledge the propriety of the FBI's inter-pretive position. We agree with ttn need for Congressto have a detailed knowledge of the FBI's indices andrecordkeeping practices in order to be in a positionto promulgate legislation in this area.

Initial implementation of the notice provisions ofthe Privacy Act proved to be extremely complex. The FBI,like other agencies, was required to commence implementa-tion prior to the issuance of the Office of Managementand Budget guidelines. Further, as the report indicates,the guidelines, when issued, left a large degree of dis-cretion with the agencies in implementing these pro-visions. Consequently, there was little guidance inanswering the threshold question -- "What is a systemof records?" However, with the Department's approval,the FBI's approach was to identify and publish all group-ings of records about individuals if the groupings con-tained information which was not retrievable from a searchof our Headquarters central index or the respective fieldoffice general indices.

104

APPENDIX VI APPENDIX VI

In carrying out this approach each FBI HeadquartersDivision was queried to ascertain whether such systemsexisted. The FBI specifically excluded those recordswhich were duplicative of information retrievable throughthe Headquarters general index. Field offices were notqueried, but by letter dated July 13, 1976, the fieldwas reminded that in accordance with standard existingFBI policy and regulations, no investigative records areto be maintained separately that cannot be accessedthrough the general indices. Additionally, as the reportnotes, during the past year the FBI Inspection Divisionhas been examining field office indices in light of thePrivacy Act. Because of the paucity of legislative history

and lack of specific implementation guidelines concerningthis area of the 'rivacy Act, the FBI welcomed this studyof its investigative indices and worked closely with GAO

in identifying problem areas with its implementation ofthe notice provisions.

To insure full compliance with the provisions ofthe Privacy Act, each field office is being furnisheda copy of the draft report with instructions to check

all indices maintained by them against the report andLo take one of the three options available to bring allirdizes into compliance with the Privacy Act. Similarly,

the Headquarters Divisions are receiving the same instruc-tions.

As indicated previously, we appreciate GAO's assis-tance in this endeavor to insure FBI indices are beingmaintained in full compliance with the Privacy Act andcommend the thoL3.-hness and objectivivy of the individ-uals from GAO involved in this study.

We also appreciate the opportunity given us to

comment on the draft report. Should you have anyfurther questions, please feel free to call us.

Sincerely,

Kevin D. RooneyAssistant Attorney General

for Administration

105

APPENDIX VII APPENDIX VII

PRINCIPAL OFFICIALS RESPONSIBLE

FOR ADMINISTERING ACTIVITIES

DISCUSSED IN THIS REPORT

Tenure of officeFrom To

DEPARTMENT OF JUSTICE

ATTORNEY GENERAL OF THEUNITED STATES:Griffin B. Bell Jan. 1977 PresentEdward H. Levi Feb. 1975 Jan. 1977

FEDERAL BUREAU OF INVESTIGATION

DIRECTOR:Clarence M. Kelley July 1973 Present

106

Documents

DOCUMENT RESUME e (i, - Government Accountability … · cO COCESTRICT£D .-iho! f , ACcountbng ecc0,,t 0 'We General by the Office of Congr'~ tn .L Proal/ REPORT OF THE COMPTROLLER