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TM 30-218Cl

TECHNICAL MANUAL

COUNTER INTELLIGENCE INVESTIGATIONS

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CHANGES } DEPARTMENT OF THE ARMYNo.1 WASHINGTON 25, D. C.t. 15 June 1948

TM 30-218, Counter InteJligence Investigations, 20 October 1947, is changed as follows:Remove pages 3 through 8 and substitute page 3, revised page 4, page 5, revised pages 6 and

7, and page 8.Remove pages 19 through 26 and substitute page 19 and revised pages 20 through 26.Remove pages 65 and 66 and substitute revised page 65 and page 66.

[AG300.7~~!~~ T?I-'-- <.)0 -?-I 2 ' ..

By ORDER OF THE SECRETARY OF THE ARMy:

t(

OMAR N. BRADLEYChief of Staff, United States .Army

f

OFFICIAL:

EDWARD F. WITSELLAI ajor GeneralThe Adjutant General

DISTRIBUTION:

Army:GSUSA (2) j SSUSA (2); Adm Sv (2); Tech Sv (2) ; AFF (5); OS Maj Comd (25);

Base Comd (25); MDW (25); A (ZI) (40), (Overseas) (25) j CHQ (10); D (5);B (1) ; R (1); SDn (1); FC (2) ; USMA (5); Sch (5); Tng Ctr (2); PE (5);SPECIAL DISTRIBUTION.

Air Force:USAF (10).

For explanation of distribution formula see TM 38-405.

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l AGO 2102A-June 771952°-..8

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AUG 70 1848

CHAPTER 1

INTRODUCTION,\,

3. Scope

Thi~ manual 9ut1ines count~r iutelligel1ce

operations and activities with res~t to bot4

Army l)ersonnel and civilia-n emplojees of, or

in f*cilities operating for, t~re ArII\y Establish ment., and other civilians who are, by directive

QJ" agreement, ,vithin the jurisdictiou of. the

A;rmy Establishme11t, sitch as civilians em,

ployed on classified contracts for the Army,

4. Investigati9'e Jurisdiction

The responsibiijty. for im.~stigation ,of aU ac.,tivjties comjng under the category of COtlnter.,

espionage, subversion, and sabotage within th"United States and its. territories js assigned,to.tile Federal nureau of Investigation and ..tl1eArmed Services. The Delimitation Agree-ment, which hfiS bt'{'n ftrri"ed fit. Jointly by theI;'ederal Bureau of Jnvestif!fit.ion and the A~med

~t:..l;"vices and whici~ is'r'evised periodicAlly to~onform to changiilg conditions of commandand jurisdictjon, defin{'s the exact scope of au- .thorjty of the signatories as to investigat,ivejurisdiction o"er personnel and geographicareas. This agreement, as.amended by currentDepartment of the .-\.rmy directj,'es, pro,'ides'the basi<' investigative jurjsdictional authorityfor the .-\.rmy.

2. Purpose

This manual, in conjunction with special di-

rectives, outlines the sphere of Army investi-gational jurisdiction, the types of counter ,intel-ligence investigations and the control thereof,

-and the procedures to be employed by intell~-

ge'tce personnel witllln, the j'urisdic{ion of tfieAnny Establishmeri.t in Ildminist~ring the,cmmter intellig£'nce ii'lvestigath'e mis..,ion andto- I

a, Inforn1 an concerJ)ed of the general pro-cedural prin('ipl£'s governing the conduC't ofC'ount'-er int£'lIigen('e investigations, securitysurveJ's, and insPf'Ctions,

b, Insure uniformity -in the prepaJ-ation of

count.,er intelligence reports,c, Set forth Dt'partment of the ..\rmy counter

intelligence policies \vhich l>ertain to the clas-Sification, J'equests for, and reports of suchinvestigations,

5. Delegation of Responsibility

a. GEXF.R,\r. S:r.\FF, UNITF:f) S"',\TF.o; ..\IIMY..'\cting for the Secl-etnry of the Army, the In-

telJige~ce Divisi(),!~ Genernl Stnff, UnitedStat~~ AI'my, will dlschnrge its responsibility\"ith resllect to the (~mlnt('r intellif!ence mis.~ionby pl-escribinf! policies and e~erci~ng genera Istuff supervision.

b, COM)L\NDERS. SUbject to the policies ftnd

supervision of the Department of the Army"commanders are res!J'Ons'ible for cotmter mtelli.

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~ J~n 249

gence acti,'ities and for {akin/!, or Ncommend-\i1g appropriate action toward the ~ccon1plish-

,ineRt of the counter intelligence !111~ion.

(

inquiry will be referred to hereafter as "back.:/11'o?JlId i1l1)errl1:qatioRR. They will ~ di,'idedinto five classes, 'progressively incl'easing i'n.completeness, as follows: -

(1) Local agency checks (LAC)'I\See" par. 22.)

(2) National agency ch~ks (NAC). (Se~par. 25.)

(3) General agency checks (GAC). (See-par. 27.)

(4) Partial background in..'estigtttions(pnI). (See par. 30.) -

(5) Complete background investigations(CBI)." (See par. 3~

.6.

Counter Intelligence Corps

The Counter Intelligence Corps is the counterfint~l1igence investiga~ive agency of the ArmyEstablffihment. It ronsists 0:£ tr~inea investi-gative personnel under t1te"ass1gnment juris--diction of the Director of Intelligen.ce, GeneralStaff, United States Army. ,The componentsof this agency are. under the operational juris-diction of the army commandel'S and the Chief,Transportation Corps~

Notl'. The term "firmy ehnlmfinders" liS u!ledthroughout thiN mllnulIl includes army commllnders"ithin the zone of interior, IInd oversea 'commllnders,vhere appropri!lte anlI where the pro.cedures containedherein lire applicable.

8. Complaint Investigations

'Vhen information is developed jn the course ofa packground inveStigatio'b, or is obtained fromany source, which arouses reaSQnable doubt as toan individual's loyalty to the ~-\rmy Establish-ment or the Government Df the United States~or where there are grounds to suspect sabotage,espionaf!e~ treason, sedition, subversive activity,or indication of ~lisaffection, the l"esultinf! in-vestif!ation will 1m referred to as a com,plointinve8tigoiiml.. Such investigation wiij be ascomplete as. is necessary to support fully thedoubt or suspicion~ or disprove it and, if sup-J)orted, to provide sufficient evidence on whichappropriate action may be taken.

7. Background Investigations.

a. 1Vhen it is necessary to inquire into thelo.yalty, discretion, and integrity of an indi-,vidual because of the duties to which suchindividual is assigned, or is to be assigned, t,heinquiry made is one in \vhich back~'ound in-formation is required. This inquiry nli\y belimited to a review of the files and records con.taini~lg information previously obtained eitherby investi:!;ation!; and reports in the possessionof Army investigative agencies or by those ofother Go\Ternment investigative agencies.IIowe,Ter, an inquiry of such limited.,scope fre-quently is inconch~sive with respect to the par-ticular point at issue if posItions of great trustare in,Tol,Ted. In these cases ulrther back-groulld illf(lrmntioll is require(l all(l I)l'rsonlllcontact ,vith possible source!; of infol;mationusllally is neces."ary. Therefore, these inql1iriesmay vary in collipleteness from a limited filecheck ~o one in ,vhich all important phases andactivities of Il sl1bject's life are scrlltinized.

b. In the past, the!;e type!; of inqlliries havebeen referred to as "loyalty checks," "loyaltyinvestigations," and "special investigations",(when carried to their ft111est extent), Sincethey are concerned with discretion and integ-rity (character) as ,veIl as loya1ty, and inqllireinto the subject's bacl{ground, these types of

9. Changes in Terminology

The basic material upon which the results ofan investil!fttion arl' based is the report sub...mitted by the af!('nt inv(,Rtif!ator to the controloffice}, This in th(' past has been accomplishedby tIle submission of memoranda which becam6'a part of the case report ,vhirh in turn ,vas thebasis upon ,vhich the Sllmmary l-eport. was con-structed. This memorandum of the agent in-vestigator is a l'eport and win herenfter bereferred to as such, namely the agent report.The file heretofore referred to as a "Case Re..port" is not a "rel>ort" bllt rather a file whir-hremains in the control office, and to avoid COI:1"'fusion, will hereafter be caned the control fiie.The final prodllct of an investigation heretoforereferred 'to.i\s:a "1S11Plmary report"'ls:morethan

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1M 30-21')\Jun 49

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b. Clearance of pel'-sonnel for access to classi-fied information is a function of the commandto ,vhich the individual in question be!onbrs andnot a function of the Intellig'('nce Division,General Staff, United States Army, or of anyintelligence.' agency within tile Army. Afunction of counter intel1igence ,vithin theArmy is to provide l"eSults of'investigation ontile. h,asis of ,vhich the l'esponsible commandmay predicate such clearance.

this title implies since the w()..'d "summary"denotes R d,igest. To make it clear t-llat full-results of. ari j~testifiation 'are,~ncl~4~d, thisreport hereafter ,vill be called the report ofinvestigatiO1i. The short form of report of in- I

vestigatioh will- ~e caHeda letter ,;.e~rt; and, ,

the digest of repotts-and 'fi~es,*Ulbee~l1~ the8umJ'~ary of in,formation. 'AU':'ti\~se ty;Pes ofreports, files, and digests ,viII ~ ,explaiped inthis manual under their 'appropi'iate h-oodiJ)i!:s.

,..

10. Security Surveys and Inspections; c:,;~;

a. A xecurity .~urvey is a counter 11~el1~enco.investigation conducted for the purl)Ose of es...tablishin~ security procedures to protect againstespionage alld sabotage of Army or civilianinstallations and offices containing cl'assified i,n-formation or material, or to mak~ recommenda-tions to improve on those already in force..

b. A xecllrity inxpeetion is an investi~ationconducted to determine ho,v established securityprocedures are being enforced. This cate~ol'Yincludes violations of security under AR 380-5.

12. Release of Information

,0. INFORM~TION ('ONCERNTNO THE PROORE.."SOR OUTCO)(E ;OF A CO)[PLAINT INVE8T(G,\T(ON.No- information concernin~ the pro~ress or out-come of a complaint investigation' made by theArmy win. be released to the press, to the public,or to anyone not requiring the information forthe dischar~e of his official duties \vithout thespecific authorization of the Department of theArmy in each case.. -

b. RELEASE OF INFOR)[ATION. Release of in-formation of this character so authori7Rd witlbe made only by the Public Information Divi~sion, Special Staff, {~nited States Army, afterapproval by the Director of Intelligence,General Staff, United States Army.

11. Action Agency

a. The action aflcncy is the command ,vhichis responsib1e for taking the administrative ordiscip1inal'Y action ,varranted by the facts pro-duced

in a counter inte1ligence investigation.

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TM 3~218

CHAPTER 2

CONTROL AND JURISDlcnON OF INVESnGA nONS

13. Control Office

The headquarters having.' inv,estigative juris-d.t.ction is kno,vn as the, control office. It is theheadquartel'S res(>onsible for integrating andcoordinating all phases of the investigation. .

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pertaining to a case so forwnrde.d. Thecontrol office so designated nornlally"",:ill be tIle army in the area in whichthe greatest number of lends are to bede.veloped. An exception to the aboveis in the case of a civilian concerningwhom a eolnp14il1t type investigationis required. Such ci.vilian complaintcases \vilI.be forwarded to the Intelli-gence Division, Genera.} Staff, UnitedStates ArnlY, for appropriate act~on.Should a change of status of an indi-vidual occnr, or an incident ease beclosed overseas prior to receipt of re~port of investigation, the ovel'Sea co~n-mand will notify the appropriate atn1Y(or the Director -of Intelligence forci\'ilian complaint cases) by a l'apidmeans of comnlUnicatiQn, in order thatno unnecessary investigation is con~ducted. .

(2) The port of embarkation ,vhich is toact as control office ",ill be desi~natedby the Chief of Transportation forthose cases in \"hich the Transporta-tion Corps undertake." the investiga-tion of pel'Sonnel or materiel under hisinve~tigative jUl~isdict.ion bnt not underthe jurisdiction ora particular port ofembarkation.

(3) The Dil'ector of Intelligence, GeneralStaff, United States Army, will desig-nate the control office in tIle case of allinvesti~ations initiated by the Illtelli-gence Di\Tision, General Staff, UnitedStates Army.

14. Assignment of Jurisdiction and Desig-nation of Control Office

In all background and <!omplaint investigationsof pe.rsonnel over ,vhom the .Department ofthe Army has investigative jurisdiction, thefollowing control offices ,vill haye jurisdiction.and responsibility for carrying out su.ch in~

vestigations:a. GENER~~L. Except as provided in b and ~

belo,v, the army command within tile geograph-ical limits of which the person being' investi..gated is stationed or w~thin which the incidentoccurred.

t. FOR TRANSPORT.~~ON CORPS PORTS OF "ZM-BARKATION. The port of embarkation within,vhose jurisdiction the person being investi-gated i~ stationed or ,vithin ,vhich the incident

'occurl'ed. (The port of eiubarkation ,vill co-ordinate aU investigations made outside Trans-portation Corps channels and ports of embar-Ii;ation jurisdiction ,vith tile appropriate army

commander.)c. FOR COUNTER INTELLIGENCE CORI:'S PER-

80NNEL (background investigation only).When an individual is assigned to the CounterIntelligence Corps, or is under considerationfor such fi&~ignment. the Intelligence Division,GeneTal Staff, United States Army.

d. FOR SI'.~CL\L C.\."E8. ."

(1) When fin individufil is stfitioned, or fin.incident occurs ovel'seas, and an inves-

tigation in the zone of interior is re-quired; the over6'ea commander ",illdesignate the appropriate army com-mand in the zone of interior as controloffice and ,viII forward request for in-vestigatiQil of the case directly to thatarmy. {)ve~~ :'commands ,vill not

1; thereaftel~gendleads to any other at'my

15. Subcontrol Office

The cOlltro] office may, at' i~s discretion, dele-gate the duties of control]ing and coordinatingthat pl\rt of the investigation of a case \vhichcan be done with"l the geogi'a}lhicl\} lilltlts orscope of responsibUity;of the control office. Thesubordinate command so desigllated \vill ~referred to as the suheontrol ofliee"

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TM 30-218

CHAPTER 3

BA-CKGROUNB INVESTIGATIONS

...\Section 1. GENERAL

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ments 1l1ade ill his personal history statement.(See pars. 33 through 35.r -

17. Determining Extent of Investigation,

Various duties 1\nd assignments entail varyingdegrees of security risk, and therefore ~equirea determination of the risk involved in each in":dividual case,. Economical al1d adequate se-curity for the Army Establishment cltn beeffected only by concentration of'investigativeeffort on personnel under consideration forsensitive assignment ",hose reliability cannotother",ise be reasonably determined. The de-termination by responsible commandelos of therequired type of background investigation canbe made only ",hen the provisions for initiatinga background investigation as set forth in para-graphs'I8 and 19 are complied ,vith in full.

18. Requests for Initiation of Investigation

A commarulil1f!officer, his <lesif!l1at~d represent-ative, or hif!her allthority, III~ol1 <leterrnininf!that a background illvestigation of ('jth('r mili-tary o~' civilian peI'Sonnel is necessary, willforward a. r<,qllest that an investif!ation l)econdllcted to the commandinfr f!eneral of t]learmy area in ,vhichthe individual is stationed(Attention: Assistant Chief of Staff, (}-2), orto the port of <,mbarkation ,vhen appropriate.(S(~e I)ar. 14.) This reqllest ,viII stat(' clearlyand completely the reasons for such request andspecify the type of investigation desired. (Seepar. 16.) It also ,viII in<~llid(' a statl.'ment asto the hifrhest claR.qification of the' informa~lol1and Illaterial to ,vhich the indiviuual ,vilf beallowed acces.c;,. ~-\ll requests' for backgroundinvestigation ,viII be accompanie<l by' a Illini-mum of t,vo ctJpies of the appropriate forlndesignftted as follows:

16. 'Types-A b k d .."t .. I .ac groun InvesLlgahou IS one t lat IS con-ducted when ah inquiry into the loyalty, dis-~r{'tion, and integrity of an individual isnecessary, and his reliability as to s('Curitycannot other\vise be reasonably determined.Five types of background investigations may beconducted. These vary principally in thethorougImess of their inquiry into the subject'sbackground. They a~'e defined as follo\vs:

a; U)CAL AGI-:NC'\~ CHRCK. A' local agencycheck (LAG) is an investigation of records andfiles located in the area of the principal resi-dence of the individual being investigated.(See pars. 22 through 24.)

b. K.\TIOXAr, .\GI-;NCY CIIECK. 1\ 'national'nge'ncy check (NAG) is an examination of thefiles of such national investi~ati\~e agencies asmay be pertinent (See pars. 25-26.)

c. {tENI-;R,\L AGRXC'\- Cl I I-;CK. A generalaf!;ency cheek (G..\C) consists of a local af!;encycheck suppleillentecl by an investigation of therecord~ and files of such national agencies asn}ay be pertinent to the pllrpose lor \vhichthe inveRtigation is conclucted. (S()e pars. 27through 29.)

d. P.\RTr.\r. D.\CKGRO{TND IXVRSTIG.\TIOK. 1\partial backgrollnd investigation (PHI) is aninqllil'Y into ~I)('citi(~ phases of an individual'slife history. (See pal'S. ))0 throllgh 32.)

(!. COMPLI-;TR R\CKGRO{:TND I XVI-;S';IGATI0N. A

complete backgrollnd investigation (Gm) in-cludes a partial background investigation andis one in \vhich all important facts with regardto the subject's life history are inquired intoand checked. It includes the investigation ofall records concerning the subject and verifica-tion, to the greatest extent possible, of all state-

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I~-TM 30-218 ~."""~,, I..!un 4~

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for the type requested if such substitution doesnot violate requirements of lligher authority.

20. Case Classification\

Regardless of. type "back.t{fouud" will be con-sidered as the case classification for all back~ground investigations.

21. Change of Case.aas~ification

During the course of a back.t{round investiga-tion, if credible inforn11\tion reflecting on thl}loyalty of the subject is l'eCe.ived, the classifica-.tion of the case ",ill be chau.t{ed to one of thos&listed in parag~ph 43, and then('eforth ,vill b& .developed as a 'complaint investigation nnue}'appropriate in:,'estigative jurisdi(,tioJ:t as estab,lish~d in separate instructions. The classifica-tion willll()t be changed because informationis develoijed i-effecting adversely on the char~acter, integrity, or discretion of an individual,,vhich 'may render him unacceptable for theduties to ,vhicb 4e is assigne,d or to ,vhich it iscontemplated he ",ill be assigned, unless theelement of disloyalty as indicated above also isdeve]oi>ed by the evidence-

a. DA AGO Form 6j!3A (Personal HistoryStatement) ,vhich ,viII be completed by all mil-itary and civilian personnel, both citizens a,ndaliens (except as expressed in band c below)of the Department of the Army, ,vhen an inves-tigation is to be requested.

b. NME Forn1 48 (Personnel Security Ques-tioona:ire), which is completed by'all TJnitedStates citizens ",hen subject to investigation foremployment on classified contracts.

c. NME Form 49 (Alien Questionnaire),which is completed by all aliens to be investi-gated .for proposed employment on work cov-ered by aeronautical or classified contracts ofthe Army, Navy, or Air Force, or having accessto plans, specifications, or trials under such con-tracts. .

19. Eliminating Unnecessary BackgroundInvestigations .

Section II. LOCAL AGENCY CHECKS (LAO22.

Scope.

The minImum requirement for a local agency..check colisists of a check of the records andfileS of-

a. Intel1igelice files of the army tlrea con-cerned;

b. A-\ppropriate field office of tIle Federal Bu-reau pf .Investigation;

c. Local police; I\ndd, In thoRe cl\ses which indicl\te previous

service or employment-(1) Appropril\te distri(,t office of the Office

of Nl\val Intel1if!ence.(2) Appropriate Distri(,t Office, Office of

Specil\l Investigations, Insl)eCtor Gen-, eral, .i\ir i~'oi,ce.

Unnecessary background in,'estigations ,vill'beeliminated by proper screening and the as-sumption of calculated risks.

a. SCREENING. Requesters are enjoinedto screen r~quests for investigations in accord-'ance with b belo,,", and to refrain ft'om requ~t-ing investi!!ations except ",hen they are thor- .

~ughly justified.b. CA}:.cULATED RIsKs. In inftiatin!! investi- .

gations, a calculated risk' may and should be-taken in those instances where substantial dam-age to the national security is not likely toresult, except when such investi!!ations aremade mandatory by l-egulation or statute. De-'cision to take a calclllated risk is arri,'ed !it bynlaking a reasonable determination of the like~lihood'of the sllbject's disloyalty (assisted by"any jnformation already available concerniu!!the sllbject) rirul balancing that likelihoodagainst the extent of the injury to the national'security because of the subject's employmentor contempll\ted employment.

c. RI':J}:t~TIOX1' OR Srl\RTITITTIONS. The com-manding gen,~raJ of the -army area may l-ejectrequests when the reasons given for .the investi-gation are insufficient to indicate to his satis-faction that an investigation is Justified. Like-wise, at his discretion, any of the other types ofbackground im'estigat.ions may be substituted..

23. When Conducted .

A local agency check c!r«jnarily ,viII be con-ducted in, but1llot"l1nrited to, the following:cases:

6

I A Ju~ :9.:1M 30-218

or DA AGO Form 6431:\ ilJersonal HistoryStatement), the contro~ office should requestQI) WD AGO Form 340 (Report of AgencyCh8Fk}, a check of only those files liste~in para~grnph 25(1 ,vhich 11lay reasonably be "expectedto :~ohtain information. Form 340 should be\transnritted In duplicate, wit,h a copy of theco~pleied Form 643A attached, to the Director~f Intelligence, General Staff, U~ited StatesA\,my, Attention: ehief, Training and Se-curity Group, who will cause th~ desired checkto be made.

a. As investigation for assignment to, sensi;-tive duties wheli the reliability 'of the individll~L.under consideration cannot other,,'ise be rea-sonably determined. ',' :".,

b. Asa componel;,t of,a genera~ agency check,parti&l backl?;rot~nd investigat~on,; or c~p'le.t~background investigation. " ~'\ ,~;,' ::,

c. \Vhen Sl>ecifically required by hig;,berauthority. ...'

~4. Evalu~ting Local Agency Checks

1£ a local agency check provides mel'ely a nega.tive report, it establish~s only that t.11ere existsno d~rogatory. information concerning theCharacter ~nd background of the iudividual inthe files checked. ,This check therefore is oflimited value, since it fails to disclose anything.concerning subject individual not hitherto a-matter ~f record within those files. '

Section IV. GENERAL AGENCY CHECKS

(GAO

27; Scope

A general agency check consists of both a localagency check and a national agency ch~k.

"'"Section III. NATIONAL AGENCY CHECKS

(NAC)

"'28. When Conducted

A genera1 agency check ordinari1y ,..ill be con-ducted, but is not 1imite<1 to, the follo,ving' cases:

a. As a component part of aU partiatfandcomplete background investigations.

b. When specifically requested by higher

authority.

29. Evaluating General Agency Checks

A general agency checl< diff~rs frOln local andnational agency checks only in degre~, since itcovel'S a check of more files. It must be re-membered, however, that its value as a basisfor f!ranting clearance is limited by tIle factthat it can reveal no information which is notalready a matter of record.

Section V. PARTIAL BACKGROUNDINVESTIGATION (PBI)

25. Scope

a. A natio7lo1 (fge7lcy check (N.&..C) consistsof an examination of the files and records ofs\lch of the follo,ving national agencies as maybe pertinent: Intelligence Division, GeneralStaff, United States Army; Office of Naval In-telligence; .\ir Force; House Committee onUn-Anlerican At,tivities; Department of Jus-tice (Federal Bureau Qf Investigation and Bu-reau of Immigration and Naturalization);.social Security Board; Civil Service Commis-sion; Veterans' Admi;listration; Treasury De-partment; The .l\djutant (}en{'ral; and theDepal'tments of Commerce, Labor, Agriculture,Interior, and State.

b. A national agency check is~ in some cases,deemed an adequate basis in itself on ,vhich topredicate cleal:ance for certain duties. It is,-ho,vever, more often a component part of ageneral agency check.

30.

Scope

A partial background investigation. (pm} isa ]imited inquiry into an individual~s ]ifehistory, including as a minimUlIl-

a. A local agency check in each area wheresubject has resided for more than 1 year duringthe 10 years prior to initiation of the investi-gation or the inception of subject~s military

26. 'Obtaining Check of National Files and

Records

Control offices only are authorized to requestnational agency checks.. After it careful study

7~861a-49--2

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1M 30-218

responsible f01' requesting the information.This signatUl'e should be placed abo,'e his name,grade, and position, and it should be shownthat the information is I:equested by the di1'eC-tion of the appr~priate commander. Bureausof vital statistics and investig8;tive agencieswith whom liaison has been established may 00contacted as a matter of routine practice byform lette1"S or telephone.

.

Section VI. Complf!;te BackgroundInvestigation (CBI)

service if he is on active duty. The investiga-tion ordinarily win not go back beyond sub-

ject's eighteenth birthday.o. A check of records and files of such na-

tional agencies as may be pertinent.c. Personal interviews. with a minimum of)

two competen~ informants, ,vhose names werenot furnished by subject, in each area wheresubject resided for 1 year or more dUl'ing the10 yeal'8 prior to tile initiation of the lllvestiga-tion: Ilyformants will be inter,'ie,ved ,vhosecombined kno,vledge embraces substantial1y thelO-year period or the period back to subject'seighteenth "birthday nnless it is d~med neces- 33. Scopeiary to go back beyond that da!e... A complete backgroulld i1l1,elftigati(nt is an in-, d. ~haracter references ordmarlly will b~ vestigatio,n in which all il11PQrtant facts of the~nt~r'~le,ved ol~ly to secUl'e the n~mes of other subject's life history are inquired into. A com-mdlvlduals ~vlth whom the subJect has been plered DA AGO l~"orm 64;~A (Pel'Sonal Historyclo~el~ assocl.ated ~nd ~uch other leads as may Statement) ,viII ser"e as a guide in the conductasslst m the mvestlgatlon. of this investigation, and all pertillent claims

made on this statement s.110uld be verified. A"comple!e. backgroUlld invest,igatioll ,viII i!1clud,e.as a mlUlmum- .

o. Pllrtial lmckground investigation (in ac-cordance ,vith par. :~O).

b. Verification of all r{'{:ords concel:ningbirth, education, elllployment, naturalization,Governnlent service, {:redit rating, etc.

c. Contact ,vith alll-eferences l1lld all formel~32. Methods employers. "

..." d. Contact with as many indi,'idnals as prac-Contact 'Vlth present ~nd p~st employers; em- ticable ,vhose n~lmes ~\re not. provided by tlleployees, or other qnallfied rnformants ,vill be... b' tdirect bypel'Sonal interviews. Similarly" it is su Jec .

preferable to make contact ,vith references bypel'Sorull intervie\\", bllt ,\"hen distance and ex-pense make it impr~\cticable, contact may bemade by mail. This method (If soliciting infor-n1ation mllst lJe lleld to a millimlllll. I.Jettersaddressed t,O spe('ific indi,'iduals shonld be iu-dividnally t~rped ,vhenever possible; however,when ",ork load precludes this, one of the better-type reproduction methods, such as printing,n1Ultigraph, or ditto in black ink, on bond paper,may be used. Mimeogrllphed letters to organi-zations and institutions a.'e permissible; ho",-ever; a better type of reproduction should beused if availabl~. Ail letters will be authenti-cated by the signature in ink of the senior officer

3l. When Conducted

Partial backgroUlld investigations are con-ducted when the individual lias access to sensi-tive nlatter, and information concerning hisbackgro\md or ch~lracter is not consid~red suffi-cient for security or it appears desirable toverify information concerning the individual.

34.

When Conducted

a. ('olll})lete bl\ckl!rotmd illvestigations arecollducted in the follo,ving general types ofcases:

(1) When del!O~atory ill formation is dis-closed in ane of the other types ofback~ro~Kt investigatiolls bearing onan illdividllftf.'s clulracter or inte~rity.

(2) "fie II an illdividual is selected forCounter IJltelligence Corps assigil-ment. -

(3) 'Vlien directed by higher authority.b. Distinction bet,veen complete backgroUlld

inv~tigation anQ oo~p~l;Ici.!lt- ~s~ lpvestigatiol)

1

'C"'"

1M 30-218'"

m\Ul1. Letters addressed to specific individualsshould be ty~)ed individually ",henever P()S-sible; ho,,'e,'er, ,,'he~1 ,,'ork load pre(~ludes this,one of the better-type reproduction methods,snch as prii1ting, mtIltigraph, or ditto, in blacki11k'~\l" bond paper, may be used. Mimet)-grapned letters to organizations and institu-tions are l)ermissible'; ho",ever, a better type ()freproduction should be used if avaihtble, Allletters will be authenticated-by the signature inink of the senior officer responsible for request-'ing the inforl1lation. This signature should beplaced above his name, grade, and position, andit should be sho\\"n that the information is re-quested by tI\e direction of the appropriatecon)mander. Bureaus of vital statistics and in-,'estigative agencies with ",hom liaison has beenestablished may be contacted ~lS a m~ltter ofroutine practice by form letter or telephone,

35. Methods

Contacts with educational institutions, formeremployel'S, fello,v employees; or ot.ller" qualifiediluormants ",ill be by personal interview. Sim-ilarly, it is preferable to make contact wit.llreferences by personal intervie,v; but ,vheu dis-tance and expense make it impracticable, c~n-tact may be made by mail. This meth(>d ofsolic'iting information must be held to a mini~

..

,~

9

should be noted. Whet} evidence of sabotage,espionage, treason, sedition, subvereive activity,or disaffection has been detected' and the casec]aSsifi~ation is changea 'from "backgroUtld" toone of tIle "complltillt~'{ype ca~es, the resultingin",estiga.tiol~ ,viII ,ilic.lude, all ,th?:'e. niatteiS,,'hich bear directly on the issue or are relevantto it. .

/'

I~TM 30-218 /\ Jun 49'\ C2~

j

CHAPTER 4

COMPLAINT INVESTIGA TrONS

.Section I. NATURE AND CONTENT 39. Developing Admissible Evidence

Inve.~t.igation of cases so classified as to makethem, if pl."9,'ed, an offense. under the UnitedState." Code or ..:\rti('les ()f "Tar, ",ill be COI\"-ducted ",ith a vie,v to developin,!! ilrlorrnationadmissible as evidence in Federal or militarycourts and ,vhich ,viII sustain the complaint orcharge under the statute or article ,vhich is thebasis for the pi'oceeding. ~~lt pel'SOnnel ,vhoconduct or supervise investi,!!ations should befamiliar ,vith the elements of proof necessaryfor taking action nnder each of the offensesfalling in the "complaint~. cate,!!ory in order'that the investigation may be conducted ,,'ith avie,," to obtaining .-u{.h pJ'(Jof.

36. Definition

Oo1!'l.plaint in1'c.~tirlatio1\8 are defined as those inwhich either sabotage, espionage, treason, sedi-tion, subversive activity, or d!saffec.tion is sus-pected. Tbey may COncel"ll individuals or anincident affecting the Army Establish~ent.TIle latter is defined as an act committed. by anUllkno,vn pel'Son or group of uukno,vn persons.

Not('. Investij:-llti,'e .jurisdi('tiun iu complaint typeinvestigations i" co,'ered in sepllrate Departinent of theArmy instructions.

37. Development of Information UponWhich Appropriate Action Can BeBased

The pmvose of each complaillt ill,esti~~tion isto produ('e illforillatioll of such natul'e'f f~l'n,and reliabilit~y that the requesting !\genc.V" maydetermille the extel\t and Ilahire of" a~tioll, "if~ny, which may be lle('.eHsary ill PIlch case prOI)-erly to protect these('urity of the Ullited States.To accomplisl) this 1>llrpose, all respollsible offi-('erg ",ill exer('ise stri(,t alld detailed supprvisiono,er the I:Olluliet of illvestigatiolls.

40. Investigation Not limited toProduction of Evidenc\ .;

Investigatioll ,villl10t be lil1\ited U) the pl'odue-tion of e,'idenee. The basic alld prilllllry pllr-pose is to pr<xtuce relillule imOI'11latic)11 onwhich the l-equestil1g' agency elm base action inrega~d to subject. .

41. Investigation Directed Specifically toPoint at Issue

The illvesti1!,ati(111 will ot' directed spe('ifi('a1Iyto the poi lit. at i!';.-;'le, ultho,,!!h Illuttel'S relevulltto other ucts of coul'te~'telli!!ell('e illterest 1I1tl~'be develo[>ed ~01latera1ly, SlIch additiollal ill-formatiOll as colltriolltes to\vard a better evalu-atioll (If the evidet1('e, e"ell tholl1!,h IIOt rli l'e('t Iypertillellt to the [)()illt at is."ue, u1so may be de-veloped i ho,vever, this imormatioll (gellel'lulydealing ,vith char~cter, pel'SOlIal COli duct, anddisciplinary or admillist~.tLti'Te mattel'S) shouldbe evaluuted judiciously allil, if p().-;sible, ex-cluded .from the l'epm't of investigation. .

38. Full Development of Pertinent Mate-rial Bearing on Guilt or InnoceLlce

-#

Any pertillent 1IIat£'rialllearin'i! on the 'i!uilt orEinnocellce of a sllbje(ot, or on the probab1e 10y-a1ty of a sllbject to the Ullited State-", ,vil1 befully developed. In the deve10pment of evi-dence of violatiOll of the United State-" Code,advice wil1 be sought, as l'e<}uiloed, from Federalenforcement authorities for guidance concern-ing the requirements of admissible evidence.

10

,\01

~~~ :9 1M 30-218

t~a highly classified station or project of theDepartment of the Army, consent to continuethe investigation must be obtained from thecommanding officer of this installation. Sincethe strict observance of this policy can resulti~ serious embarrassment -to an investigation,through delays or refusals by commanding of--flcers, army and otllet' commanders should es-tablish working agt'eements'in 'th~ field whichwill a void such an occurrence. Tllese agree-ments should be sufficiently fle~ible to insurethat the investigative work in the field is not

(hampered by lines of jurisdiction which arebinding upon Army personnel but invisible tothe enemy agent and they should be called totile attention of and clearly UIlderstood by sub-ordinate commanders ,vho may be faced withtIle practical problem on the ground.

to jusure that the subject of an interview doesnot gain i'luormation ,vhich will l'eveal tileidentity of in'orma,nts or sources of informa-tion. Under n~ circumstances will he be allo,ved

-, .access to any pol-tionof his intelligence fi~ orbe furl~ished inforlnation tllerefrom.

47.

Interviews with Subjects of Counterl

intelligence Investigations

Direct iRter,'ie",:'s of the subjects of counteIiin-telligence investigations generally are to'"be'avoided. "Vhen necessary to establish factsQther,,'ise unobtainable or ,vhen prescribed forcertain categories.of personnel by current direc-tives, such interviews ,viII be undertaken byselected, mature personnel and ,vill be limitedto a predetermined fi('ld. Questions should bepr~pared, insofar as possible, in advance of in-terviews and should b~ carefully revie,ved todelete references to topics ,vhich are outside thescope.of Army interest. Controversial matters,such as politics and labor union 'affiliation, areto- be avoid~d unles.c; ess~ntial to determiningfacts which have dir~ct b~arinf! on the caseunder investigation. Before conducting an in-t~rrogation, it must be det~rmin~d that the per-son in ql1~stion is ,vithin the inv~stif!ative j\1ris-diction of the Army. Special care ,viII be taken

:ff

48. Disseminating Information Regarding

Subject of Complaint Investigation

a. Every effort will be made not to dissemi-nate information concerning a person who isthe subject of a complaint until the report ofinvestigation has been reyiewed by the controloffice. ,

b. Exceptions to the requil'ement stipulatedabove are made in the fo110wing instances:

(1) '"\Then the control office considel'S theinl.ormation to be of in1mediate sig~nificance to another command orag~1cy entitled to ,z'eceive it.

(2) When request for information is madeby Headquartel'S, Department of theArmy.

c. The dissemination. of information. aftercompletion of ililvestigation as outlined abovewi11 be 1imited to inte1ligence agencies and tothe command 1evels necessary for taking appro-pl'iate action.

49. Disseminating Information Obtained

on Collateral Matters

Information obtaiued during the course of acomplaint investigation concerning a collateralmattei' of interest to, another command oragency should be for,varded promptly in smn-mary form by lettl~r orsummal')' of informa-tion. The preparati(1Il of letter repol'ts is dis-cussed in paragraphs 84 and 8;); the prepartltionof sllmmaries of illfolwation in paragraphs 86through 92,

}31\

1M 30-218

~:/. 1..

~

.~J~,,( IP//''"

'/

CHAPTER 5

INVESTIGATIVE REPORTS

Section I. GENERAL .however, the nRme should be spelled out whenfirst used and the "abbreviation placed in pa-rentheses directly after it; thereafter, through-'"out the report such abbreviation may be used..

b, The surname of the -subject of investiga-tion will be ,vritten in upper-case letters ,vher-ever it is used iu report writing. "\Vhen, in th~body of the report, the subject of invest.i~ationis referred to as "S{TBJECT ,'~ the ",ord SUB~JECT ",ill be ",ritteu in upper-case lettel"S.

..50. Types

There are four forms of counter illtelli'f?;euceinvestigative report,~ (including summary of"information) for both background and com-plaint investigations:

~ Agent report. (Pal.s.859-74. and fig. 2.)b.' Report of investigation. (See pars. 75

through 83, and fig. :~.)c. Letter report. (Pars. 84, 85 and fig. [).)d. Summary of i11formation. (See pars. 86

through 92, and fig. 6.)

52. Eval",ating Information and Sources.Used in Reports

There is a tendency to place greater credence inthe writtell word than often is justified. F.orthis reason, the principles "Thich govern e'Talua~tion should be clearly undel-stood and strictlyadhered to in !t'll circumstances. A thorouA'hlyreliable source may transmit information ofdoubtful truth or of truth that cannot bejudged, ,vhile a source whose reliability is un-known may transmit illformation that is pr(Iu-ably true. For the benefit of those ",h() nlllHtform a judA'ment on the information contailledin reports and sllmlll~lrieH. 1!reat c~lre lllllst uetaken to careftilly weigh and appraise both theSOUl'Ce and the information itself. I~'or thispurpose, tl..e foll0,ving schedule ,vill be used:

51, Composition and,Content

~. Counter intelligence reports and sum-n1aries must contain only elearly phrased, ac-curate, illlpal,tial, pel,til1ellt, cOillplete, anct con-cise information. Errol'S may be the cause offailure to take necessary and appropriate action,vhen reqllired. Conclllsions, heal'Say, and opin-ions or<linaril~',vill be rejected. Hearsay state-ments and opinions, however, sho~l1d be used asthe b'asis for further investigation; Rlld, if rele:.,'ant and materia] to the issue, must be confirmed'or disproved; or, if standing alone, must, dueto evaluation of the source, meet reasonabletests of credibilit~,. Except as stated in para-graph G!), no report ,viII contain an.)' expressionof the im'esti1:!atin~ agent's opinion. Factsmust not be distorted by manner of exrression.Simple, direct, standa~d EngliRh leads to easycomprehension and reduces the risk of misin-terpretation. Slang phl'ases, colloquialisms,and technical or trade terms should be avoided.Only those abbre,'iations ,vhich are officiallyauthorized by the -,\rmy or those currently ingeneral and familiar usage, such as CIO,.FBI,'etc., will be used. 'Vhelrbl'evity is appropriate,

Er//luatiol1 of-

Hn""", -Tn/""""f;I",Colllpl'~tt'ly relillllle-__A Collfirllll'll lIy otherl'HIUllly rpli:lb1e__-,___B ~'mr(~{'s 1Fair!). relialllt' C' I'roballl,," trUl' 2~ot l1Hllally reUablp-_D I'OSHibly trl1e 3Unreliallle ':1-) Thmbtful!)' trl1e 4Reliallility 11I1kllown__F IlIIpruballl(' ;;,

Truth (lIlIlIOt bejUltjt(',I (i

~\.gent reports nnd summaries of informati9nmay .contain infol1Uation nOl}) a variety of

1,\

TM 30-218/ /\ Jun 49'\ C.2

sources in ,...hich event an e...aluation should ~esho,vn after each item where a different sourceis quoted. Thus, one paragraph m"y be evalu-ated A-2, while the next may be F-3.

thro,v iight on the qu('stion at i8.o;u.e or aid innlrthel' jnvestjgation. Ho,vever, if there is !lIlYdoubt as to l'elev:lncy of background iltforma-tion, it should be included.

.0. .When a complete background investiga-tion is conduct~d, fuWbiographic~l data must

be Included.

53. Arrangement '-..

~e content of reports and sUIUmar!ts of infor-mation must be arranged in logical ~rder. Thisinsures that important facts ,viII not be buriedin a mass of extraneous detail and that theywill be presented in the order of their rela-tion to other facts, which may not necessarilybe in the chronology of their investigational

de~elopment.

57. Security of Information

Intelligence reports are to remain in intelli-gence channels until a specific command is re-quired to take action as the "action agency," at,vhich time the command concerned ,vill be fur-nished an investigative report. Diselosures ofthe nature, sources, or even -the existence of suchcounter intelligence information to pel'SOnsmentioned in such a report or to other personsnot normally entitled to such infonnation maybe made only ,vhen clearly authorized by the.I .Dil'ector of Intelli~ence~ Gene11tl Staff, UnitedStates Army, or higher authority. Unauthor-ized disclosure of such info~.matiOll will be con-sidel'ed to be a violatio11 of All 380-5. Eve~'ytransmittal of an investigative report ,vill ill-vile the attentiOl\ of the recipient of the reportto this para~raph of thi!; malmal in order to,varn him of its provisiOlls and 11,'oid embarrass-ment to him and to the reporting organization.This action is necessary since there is frequently11 tendency on the part of pel'Sons taking actiopon the basis' ~f such reports to seek to shift re-sponsibility frfjlll themselves by dis<-.losing thattheir action is dictated by an intelligence report.

54. CompletenessOmissions of pertinent .information or a gap ina chain of facts may mislead. Every fact andcircumstance necessary to a complete under-standing of the case should be stated. Factswhich thereportil~ agent, because of his prox-imity to the source of the infol,nation, takesfor granted, should not be omitted Ul a reportif they are material. All pertiuent favorableand negative information must be iucluded.'Vllen a course of inquiry is fruitless, this factshould be repol'ted ,vith a bri~f statement. ofthe reason for the inquiry and the reason noinformation ,vas obtained. Similarly, the agentshould rel)Qrt his reason for failing to followobvious leads.

55. Information Obtained From Agencies

(}harges or al1e1,!ations ,vhich have been received:It.onl variOlls governmenta 1 :\1,!encies on person-nel subject to Deparhnent of tIle ..\..l'IlIY juris-diction, shollld be repi,rted ,vith evaluation andinvestigated if ,v:\rl'auted and practicable.

58. Classification of Reports

,,\.11 files, reports, or other COllllllllllieatiollS eoll-eerlling illvestiJ!;ations conulleteu in accordanee,vit!1 this l1Iun\lI\l ,vi11 0(' e1assifi('d at leAst ('OX-FIDEX1'I,,\.~, ('xe('!)t t11ut ,v11('n oac1{J!;r()llnd

investigations r('sll1t ill neJ!;utive or fuvorablereports, an unclussified statement u) this. effect

nlay be isslled. I..ike,viHe all lJerSllllu1 historyU(X'llnlelits, S\1C!1 us 1t,ttt'r reqllests for illvestiJ!;a-tion, WI> AGO Forn1/ 64:{, D,,\ A\GO I~(lrnl643A, and NME I~'orl1ls 4:3 1111d 49, are to be so

classified ,vhen comn\ents or renlarks concenlingthe individual or concerning the investigutionof him are made thereon by the investibrative

agency.

56. Biographical Data

a. When n complaint investigation is C(IIl-ducted to prove the commission of specific acts,biogl1lphical dltta othe!' than that necessal'Y foridentificlttion ordinnrily need not be repoI'ted.There aloe many cases, however, where somecomprehension of the background of a subjectof a complaint investigation is i11}portant. In,snch eases, the biog,raphical data shoulcJ be re-ported but should be limited to facts which

~ f

~-

.s1A

AJun 49'\ C 21M 30-218

Section II. AGENT REPORT 62. Preparing Agent Reports

Agent reports are prepared on WD AGO FOl'tn341. (See fig. 2.) Subsequent slieets, ",hen re-quired, ",ill be made up on the same form. Par-agraphs and pages of agent reports will remainunnumbered at the time of preparation of agent.reports. These numbel'S will be filled in whenthe agent repol'ts are-incorporated into the re-port of investigation. (See par. 79.)

59. Definiti~1:' and Purpose

An aflent report, fOl'1lle~1y ref-erred to as a"memorandum,"'is a concise recording of infor-mation obtained by a single investigator. It isused to report tile results of any type or typesof investigative activity-interviews, observa-tions, surveillances, examinatwn of records, etc.The agent report or group of agent reports, asthe case may be, becori1es a component of tile re-port of' investigation. (Se:e par. 75.) Agentreports should state ,vhat tile agent found out---who, what, ",here, ,vhen, and ",hy, and how-:-net ,vhat he did.

63. Including Sufficient Information

Since agent reports underlie the report of in-vestigation which in turn is the basis uponwhich the action agency will rely in making-disposition of the case, sufficient informationmust be included in them, not only to justifythe report of in,'estigation, bt1t also to satisfyany questions with respect to that report ,vhichmay be raised by the action agency. It must berecognized that facts which are favorable or un-favorable to the subject are of equal conse-quence and that material ",hich conflicts withthe recommendation for action made by thecontrol office is as important as informatiol~,vhich sustains the l'ecoll1mendation.

60. The Paragraph

Each individual interview, examination of rec-ord, or similar investigative component will berecorded in a single paragraph with necessarysubparagraphs. These may be prepared eitheras individual agent reports on separate sheetsof paper or may be typed in logical sequence asparts of a specific phase (par. 61) on the samesheet or sheets of paper. The inclusion of morethan one source in a paragraph ,vhich dealswith a single fact or issue, and expresses or re-yea.1s identical facts, is not prohibited providedthe sources have the same evaluation.

64, Preparing Paragraphs ConcerningInterviews with Individuals

A paragraph containing an interview will con-tain, except for confidential informants, thename, address, and occupation of the individualintervie,ved, plus his grade, Arn~y seria 1 mlm~b(~r, alIa (Irgfillizfition if he is in tht' militfiryservice, the date of the intervie'v, and, if perti-ne,nt, the circtlmstances tinder ,vhich the inf(lr-mati on sectlred Wfi~ given. Informati(m as tothe duration and exte11t of the informfillt'skno,vledge of, and a('quaillt:lnce with, the in-cident or person tinder itlvestigation will alsobe reported; and, it such information is notobtained dtlring the intervie,v, it ,vill, ,vhereimportant, be othen\"ise ascertained, Kamesand addresses must be given acctlrately and infull, Statements made by informants or sub-ject of investigation will be reported in sub~stance excep~ when it is recorded as a direct'

61. Phase of Investigation

A phase of fin investigatiQn is defined as inves-tig1ttive coverage of :t single aspect or pttrtitiollof a case. It may be a single paragr:lph (asdefined in par. 60) or it may combine se,'erfi,1related paragrH phs, for ex:lmple: a single ph:lsemay include interviews with several teacherstogether with a check of the records of theschool. Anotlter phase might include an inter-vie,v of business associates together wit.ll acheck of the indi,'idual's employment recordslor a pa,'ticular position. Separate phases m.aybe inc1uded in a single agent report, but only ifthey follow in logical order and represent thework of a'single agent.

~~~~:~,

'."

':~c-;'.(,~,~-~-.,

1M 30-218.

/I Jun 49I \ C 2

quotation. 'V11en n direct quotati2n is used in.the paragraph, it is essential that i~uestionbe reported exactly as it ,vas stated~y tIle" per-son intervie\ved. It is desirable, where possible,to' make a .'1)erbatim record of any interviewwith the subject of a complaint investigation.The transcription will be marked as an exhibitand attached to the l-eport. A notation will bemade of all signed statements obtained frompersons Intervie,ved in order that the act.i~nagency ,vill be apprised of the existence a:ndavailability of such documents. Any fact.'!which have a bearing, particularly adverRe, onthe credibility of the pel'Son intervie,ved shouldbe clearly stated, but without comment (forexample, a description of the witness' manner).All information concerning which the il\divi<l-ual inter,'ie,v normally ,vould be expected totestif)', if called as a ,vitness, ",ill be" included.

67. Preparing Paragraphs ConcerningDocuments, Photographs, PhysicalEvidence, and Records

Paragraphs concet'ning documents, phQto- .grapllS, physical evidence, or the examinationof records may contain general descriptions ofsuch evidence. 'Vhere copies of the evidence

"will aiu the action agency in reachillg a correctdecision, they shOllld be attached, if possible, tothe agent rel)Orts as exhibits, together ",ith astatement of the ('xact location of the origilllilevidence, its Cllstodian's name, and the namesof pers()ns ",ho can testi'fy to its allthenticity.".hen the source of infornmtioll is a ",rittellrecord, it should be identifi('d by office, location,title, volume, pa,ge number, and uate. .\ cop~'of a po1tion of a record may be includeu as apart of a paragraph and ,viII be deHignated asan "extract." Care ",ill be exercised in lIlakingextracts to insu1'e that divorcing the passagefrom its context does not affect its meaning. Acomplete copy of a record ",hich is incorporated.in an agent report ",ill be d('si~nated as II "copy."Copies or extracts of records ",ill be desigllatedas exliibits rather thun incorporatl.'d as pa1tof a paragraph. If the source of informatioi1obtained fl'Om ",ritten retords is classified, orif the revelation of such ~;Ollrce ,vould compro--lIlise counteWlit('lligence ol~rlltiOils or elllbllr-rags the a~~I\cy fllrnishillf Sll(~ll rl'cor(ls, thematerial in the reports m1\y l)(' paraphrased,and the source referred toby symbol. 'fhe eXllct"reference to the source ",ill be maintaine(1 insu(.h lIlallllel'. collsistellt ",ith the l~q'lir('d se-cllrity in each instance, as may be determilleuby tl;e respollsible illtelligellce ()fficer ill chargeof tIle illv('sti/!uti\"(' a/!ell('y or ill tile cOlltr,.1 file,\\"hic!l('y,'r slll'h intelli/!ell('e officer IllUY ucernappropriate. This inforlllation should be ~lC-c('ssible, llffi,,('v('r, if reqllired by further de-velopments "1 the case.

65. Preparing Paragraphs ConcerningInterviews with Subject of

-In,:,estigation

Paragraphs concerning intervie,vs ,vith the sub--ject of an investif!ation ~hou1d contain a 11 in-formation pertinent to the issues of the investi-gation, including a statement of a11 admissionsor denia1s made by the subject and as.c;ertionsmade by him ,vhich tend either to corr01JOrateor to negate information obtained ft'om othersources. Any actions indicating the attitude ofthe Hubject, as noted by the interviewing agent,may be described. Extl"llctS of direct quotationsfrom a verbatim record may b{' inc1uded ,vhendesirable. Ol'igina1s of transcriptions of inter-vie'vs ,vi11 not be made fi part of the body of theagent report. but ,viII be attacheo as an exhibit.

.i:i::

66. Preparing Paragraphs ConcerningFacts Obtained by Surveillance

ParaA'raphs containing information procuredby surveillall('l' or sinli]ar methods will not A'°into detail on tile way in ,vhtch the surveillancewas made, a]tholtA'h a genera] description is not"i)'I.ohibited in those cases 'v here th(' method ofsurveillallce eithel' had a beal1nA' (In the com-petency of the evidence, 01' affects it!t ,vei'i!lIt.Except as stated in paragl'aphs 67 and 71, th6observer 'v ill be identified.

68. Indication of Leads .

'\Vhenever a -lead (incll\dillg routine leauH of,vhich further illvestigation may not be neces-sary) sus('eptible of development by anotheroffice is mentioned in the agent report, a noteconsisting of the 'Yord,"lead~' in parel\theses ,viIIbe made in the right-hand mal'gin.

,;~,~ji~r

~:~~:;~:\~i;

~:it(f4~~If:fl~2.j...

..,~!:

,

/~1M 30-218J.. Jun 491\

C 2~

0,

substantia11~ the san1e, should b(' stated. Ho,v-ever, a separate paragraph ,viII be made for-each rep-ort of an iuterview containing deroga~tory or incriminating information, significantnew information, or information ,vhich con~flicts ,vith information previously received.

\

71. Identification of Confidential Sourcesof Information .

a. Since im'estigative reports are often dis~seminated outside intelligence channels, confi-dential informants and confide'1t..ial processeswill be referred to in the body of reports bycode symbols. The symbol "Y" may be used todesignate the source of information, and differ-entiatioJ1 may be established among the varioussources in anyone report by addition ofa num~ber immediately after the symbol. For ex~ample, information obtained fl'Om an inform-ant ,vhose identity should not be disseminated\vith the report might be introduced by a state~ment such as~'Illformant Y -1 states that. ..;"or for It1forn1ittion obtained tlirough a confiden-tial pr()('ess': "Information obtllined from Y-2indicates that. .." Any system of symbols~may be used, but it should b,e explained on aseparate key sheet, cla.o;sified confidential Of,higher, to be included in tile control and centralfiles only.

b. Identity of such routine informm1ts asthose disco,'ered in neighborhood checks, em-ployers, co-,vorkel'S, should nol'lnally be indi. .cnted in reports. Their 1)ameS, nddresses, occu-pntions, and other pertinent data in each caseshould accompanJ' the first reference to theinfol:mant.

69. Agent's Notes

a.. At the conclusion of the agent report,or appropriate paragraph under the heading"Agent's Notes," the agent n1ay ll»lke commentsfor the pprpose of aiding in the evaluation of.the facts l'elated in the report. The agentshould give his reasons forquestioliing the re-]iabil~ty o~ tre informant or of the .informationcontamed m the report, or he may draw atten-tion to conflicts or discrepancies in differentaccounts of the same incident and state his"opinion, supported by reasons, as to which istIle more reliable versiQn. }Ie should also indi-cate under. the topic "~c\get1t's Notes" his opiu-10n as to which of the leads contained in thememorandum should be developed; and, if notobvious, the reason for his opiuion. Specimensof' "Agent's Notes" are not illustrated in thismanual. ..

b. TTllen one or several agents, working as ateam, have been ,vorking over an extended pe-riod of time on one case, the reviewing author-.ityshould

l'equire that, in addition to the agentreports, there be submitted a statement reflect-ing conclusions to be drawn from the ilivesti-gation made and recommendatiOlls for disposalof the case by the action agency. This state-ment will not be included as pm't of anyone oftIle agent reports but ,vill be a separate docu-ment to form a part of the files on the case andto serve as an aid to the revie,ving authority.TIle pro'Tisions of this paragraph do not applyto a situatioil ",here a number of agents havebeen engaged OIl separate phases of a sipgle in-vestigation WitI1Out kno,vledge of tIle over-allpicture.

70. Cumulative and CorroborativeInformation

72. Evidence in Support of Courts" Martial

In any in,'estigation npon ",llicl~ action of acourt martial, military bollrd, or:ci4li1 court isexpected to be base(1, signed statements shou1dbe taken ",hen feasible. The originals of thesedocuments should be included as exhibits.

GY!lell illtel',ie\,"s of se,el'a] persons concern-ing one inclivicWll] or Olle incident producesubstantially identical information with respectto a single phase ",hich is not deroj!,atory orincriminating, one paraj!,raph may cover all oftIle intel'Views. The names and addresses «;>fall individuals interviewed, the duration al}dextent of each individual's knowledge of, or ac-quaintance ",ith, the subject or incident, and thefact that the infol"Ination given by them is

73. Exhibits

Documents, photographs, transcripts of inter-views, and other items of evidence which con,.firm and amplif'Y iilformation in agent rep~rts

:}

A Jun 491\ C 2{,1M 30-218

...and whicli cannot be- incorporated in the para-graphs, are ltnown as "exhibits.", Exbibi.t,s a~"available for use in any proceedings arising.Qlc1t .of the investigation and should be classified as:.'required by the provisions of AR 38~5.

Note. Agents will number copies of exhibits in asingle series of Roman nuUlbers and forward the un-marked originals to the Control Oftl~e. c ,

other emergency action be taken immediately.b. l~ cases involving espionage, sabotage,

treason, and sedition, a report of investigation..is,.~o. b4..p~'el)ared ",ithin 30 days of the date ofdisco"ei;y:~iiQtwithstmlding the incompleten~of the investigation. Additionall'eports of iQ-vestigation will be submitted if a~dc'YQeu.new -",and important mater.ialon the case is developedbefore the investigation is completed.

c. 1Vhel\ directed by higher authority. .

.

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74. Evaluating Sources and Information

Each p~ragraph of the agent report will beevaluated, as provided for in paragraph 52.

Section III. REPORT OF INVESTIGA nON

75. Definition

A report <If investigation (formerly summary

r~po11, CIRl) is the complete repol't ,vhichpresents the accumulation of all agent reportsprepared for a given case.

78. Status of Investigation When Prepc:ingReport of Investigation

The statlls of an in,'estigatioi1 at the time ofpreparation of a report of investigation is de-fined as one of the follo,ving:

a. CLOS};O. An in,'estigation is closed whenno further in"estig~ltioI1 is necessary to deter-nline administrative or legal a'ction.

b. ,!'};RMIN,\".EO. An in,estigation is termi~nated "llell il"'esti1!~lti,e jurisdiction passeselsewhere or where the reqllest for the infor-nlation is negated or "ithdr~l ',n.

c. SUSl'};ND~O. An investig~ltion is suspended",hen all ,tangible leads result in illconclusi,'e

findings and, conseqtJ('ntl)'. positive action can-llot be recolllwended and subject is to be keptunder stJr"t'iJlance.

d. PENDING. An in,'estigation is pen<lin~when any furth('r investigative action remainsto be taken. This ",ill be applicable in onlythose cases referred to in paragraph 77.

79. Preparing Report of Investigation ofIndividuals

Reports of investi;!:ution of individuals are pre-pared by the control office or in its name by aslll>control offic('. Fi:;rllre:\ ililistratcs a com-pl(,te(lr<'port of inveRtigati()11 for a backgrollIldcase-, and figllr<, 4 illllstrates a completed re-port of investi:;ration for a complaint case. 1:hefirst (covering) paj!;e is prepared on WD AGOForm 342, follo,ved by any continllatioll sheetsrequired to complete the information called foron'the face of the form. Following this, theagent rel)Orts prepared for the case are ar-ranged, as closely as is consistent ,vith a logicalexposition of the facts, in the order set forthbelo,v. Inasmuch as complaint cases should in-

.~

76. When Prepared

RelJOrts of investigation l;U"e prepared aftercompletion "of an entire investigation, except asset forth in paragraph 77, ill the followingcases:

a. All complaint investigations.b. All background investigations where suf-

ficient evidence has be()n de,Teloped to ",arranta recommen4ation adverse to the interests ofthe subject.

c. All background imTestigatiofls where, be-cause of the impoliance or complexity of theinvestigation, a letter report (pars. 84 and 85)"'ould not furnish the reque~ting agency ",ithall aue<luate picture of th.e results of the investi-gation.

a. All instances ",hen direct{'d by higher

authority.

77. Reports of Investigation Prepared Prior

to Completion of Investigation

Exceptions to the requirelllellt that reports ofillvestigation are to be prepared onJy af~er com-pletion of an entire investigation (par. 76) areas follows:

o. III urgellt caRes \vherethe situation requiresthat precautionary or preventive measures or

18r ~.

1M ;JO-218 .II Jun 49, \ C 2"

80. Preparing Report of Investigation intncident Cases

'Vhere possible, the instructionsgivel1t.in para-graph 79 ,viII be followed, 'Ho,vever, incidentcases aloe so vpriant that,they are not susceptibleto'staildard treatment, The follo,ving qnes-tions are suggested as guides to the facts ,vhichshould be set forth:

o. What is the nature of the iltAident (fire,explosion, distribution of seditioJs\pamp!llets,intl:oouction of acid into de-icing system of anairplane, secret maps missinl!" etc.) ~

b. 'Vhat facility or equipment is jnvolved(~pecific designation and serial number) ~

c. 'Vhere did the incident occur?d. 'Vhen did the incident occlir?e. What damage did it do to the military

effort?f. 'Vhat ,vas the value of the property de-

stroyed?'g. What repairs ~re necessary; ho,v much

time is :J'equired to accomplish these repairs~h. Was anyone kilIed or injured?i. "'10 discovered the incident-,vhen, ho,v?

.j. "~ ere there any ,vitness{~s?1;,. "~llat "'fiS tIle (':\ Ilse: if kno,vl!, 'VIIS it.

ncciclentnl. (lelihernt('~ Illnli('i(ll~s Jlli~('lIief,sabotage?

7. 'Vllo nrp tllp lof!.ic'nl SUSPP('ts (tllose to,vhom p,;i(lpncp points); \"IUlt ,vere their,n10ti,,(\s?

81. Synopsis of Agent Reports

The sYllopsis of a:rent repol'ts is elltel'('(l Oil ther<:port of illvesti:ration. It is \vritten in narra-tive style and contains tile essence of "the l}erti;-nent verified information contained in the agentr('I)()I'ts. TIlt, s,VIIOI)sis tt'lls \vllo, \vll:lt, \vhell,,vht're, \vhy, and ho\~.. It. contains, parenthet-icalreferences to the nllmbere<l paragl"aphs inattached agent reports to facilitate ready ref~r-ence to then~. " .

clude only information peliinent to the com-plaint, the order suggested applies more Sl)e-cifically to background investigations. How-e"er, this arrangement ,viII also be oollered toas .closely as possible in complaint cases. 'Vhentile agent reports ht:tve been arranged in pl~opersequence, tile paragraphs, whic~l have been leftunnumbered (par. 62), will be numbered con-secutively tllroughout the report o~ investiga-tion.'0.. Birth check.

b: Family inter,'iew.c. Education (chronological).

.d. Intervie,vs with teachel'S, principals, andfellow students. (Agent rel)Orts cove~.ing inter-vie'vs ,vith teachers, etc.. at high school attendedwill follo,v directly after the check of recordsof the liigh school. This should be follo,ved bya checl{ of records of the next school attended;for instance, State college. Interview of Statecollege teachel'S would follo,v, etc.

e. Employment (chronological).f. Office check; that is, interviews with

former business associates, partnel'S, fOremeil,supervisol'S, s\lbordinates, etc. (Such inter-vie,vs ,vill follo\v directly tI\e records checl{ oftile employment concerned in the same manneras e~plain~d in d above.)

fl. Residence checl{s (chrouological).h. Acquaintances.i. Character references.j. Organizations checks (social and poli-

tical).k. Credit refel'ences or records.l. Court records.m. l>olice J'ecords (in the following order:

local police., State police).1/.. Records of l()('al Federal Bureau of Inves-

tigation, Office of Xa,'al Intelligen{'e, Air ForceA-2, lIltelligence Di\'ision G-2 in army areaand national agency checks.

o. Military records.p. Barracks and unit check.

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AJun 49(\ C 2

1M 30-218

82. Exhibits .

No original exhibits win be forwarded ,vith thereport of in ve~tigat.ion, but they ,viIi be retainedin the control file until l'equired by the actionagency or higher auttiority. \

(7) One.copy to the district office of theOffice of Naval Intelligence or to theappropriate district office, Office. ofSl}ecial Investigntions, Inspector Gen-eral, Air Fol'Ce, ,vhen pertinent.

b. Distribution of reports of investigationwill be made through intelligence channels. Incomplaint cases, distribution of rel)Qrts of in-vestigation to the Federal Bureau of Investi-gation field offices, district offices of the AirFor~ Office of Special Investigations, and dis-trIct Office of Naval Intelligence offices ,vill bemade through the appropriate Army command.

N()te. 'Vh~n two copi~s (If a relJ1)rt (If inv~Htil:ati(iII ofCI(~ perH()nn~lare s~nt to the CIC Cellter, Calllp H(lla-bird, no additional copies of such rel)()rts of Inv~stiga-tion need be sent to the Intellil:ence DivisiOll, GeneralStaff, United States Army, since the CIC (~enter is apart of the Intelligence Division and shares the !;alllecentral files.

c. In order to comply with the apprOl)riateprovisions of TM 12-230A, and 12-425A andCivilian Personnel Regulations, the-control of-fice, upon completion of a favorable backgroundinYe~tigation only, is responsible for notifyillgthe office maintaining the sllbject.s pel"SonneIrecords of the type of in,'estigation, date (If com-pletion, and the army area or oversea commandin which the report is filed.

83. Di~tributing Reports of Investigation

a. )Vhen a report of investigation is pr~-pared, copies ,viII be distributed by the controloffice as follo",s :

(1) One copy to action agency.(~) One copy to field office of the Federal

Bureau of Investigation (for com-plaint cases and civilian baclrgroundcases when' terminated or referred tothe Federal Bureau of Investigation).

(3) One copy to Inteiligence Division,General Staff, United States Arn1Y.This copy should be stamped in the

, space under item 24 (of Form 342)\ in the lower right-hand corner "ill

Oentral File Copy."(4) One-copy to the control file.

, (5) One copy to the appropriate Army

command.(6) One copy to individual's intelligence

field file (complaint cases only).

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/tJun 49-1'\ C2

1M 30-218

Section IV. LETTER REPORT

report. The letter report. may be elther anoriginal letter or simply an indol'Sement to aletter of request. Letter reports follow th~forms prescribed for military correspondenc~in TM 12-253. An example of a letter reportis shown in figure 5. Letter reports must con-tain sufficient detail t9 positively identify theindividual on ,vhom- the report is beil1g sub-mitted. The minimum requirement is fullname, place and date of biith, present or lastknown address, military grade and serial num-.ber (if applicable). Q

85. Distributing Letter Reports

"Then a letter report is prepared, copies will bedistributed through intelligence challllels:

a. One copy to the action agency.b. One copy to the appl;op11ate army.c. One copy of the Intelligence Division,

General Staff, United States Army.

84. Purposea. In cases concerning individuals, with the

exceptiou of tIlose instances described in para-graph 76, military cbrresl)Ondence may be usedby a control office to transmit the results of in-vestigation to tIle action agency-

(1) 'Vllen insufficient evidence has beendeveloped in tI~e COUl'8e of a back-ground investjgation to warrant a rec-ommendatjon adver~ to the intel'est ofthe subject.

Note. In such in~tances it ,viII be made clear that,except for the matter so developed,' nothing deroga-tory to the suhject was uncovered by the investigation.The letter report ,viII enumerate the full extent of tileinvestigation.

(2) To render a favorable report.b. Military correspondence, when used for

these purposes, will be referred to as a letter

Section V. SUMMARY OF INFORMATION

~.,A.,~

87. Preparation

Summaries of information will be prepared on'VD AGO Form 568. An example is sho,vn infig~. They ,vill not be signed.

88. Requests for Summaries of Information

Requests for summaries of information shouldbe specific as to ,vhat files or records are' to berevie,ved.

86. Purpose

A 8um1~la1'Y of i'llfo~'l~lation is used to transmitthe follo\ving ~ypes of information:

a. A summa!')' of files or records.b. Information obtained \vhich it is desired

to for\vard to any agen('y \...ithin tile ArmyEstablishment \...hich has a proper interest inthe facts.

c. Information obtained from any agency,vithin the Arm:," I~stablishme.Jlt \vhich it is de-sired to for\vard to any agency of Government\vhich has a proper interest in the facts.

d. Information on collateral matters discov-ered during the conduct of an investigation byan agency of the .:\rmy Establishment \vhich itis desired to for\vardto any agency of Govern-ment which has a proper interest in the facts.

Note, Sllllillinri('s of informntlon will not be used ns,or III plu('(' uf, lett\'r rep'll"ts or It\'IJill"ts of Illv('stiga-tion.

89. Content

The sllmmary of illfol'mation ,viII contain acomplete bnt concise statement of all the Dlctsdeveloped after the exploitation of av~ilableor specifically appropriate files and records. Itshonld be snffioiently detailed and clear enoughfor a reader.totally lillfamiliar ,vith the facts ofth,e case and ,vith the individuals or organiza-tions mentioned in such summary to under-stand -""hat is contained therein without refer-

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1M 30-218

I\

Jun 49C 2 .

ence to other documents or records. The smn-inary of information is not intended to prove apoint, but is to record information of the files'and records exploited. If only derogatory in-formatic;>n is brought out, perspective will bedistorted. A summa~y of information shouldbe written in such a fashion that, if read yearslater, the reader may be suretha~, as of the dateit was prepared, the summary contained all.theinformation then available in the files reviewed,both good and bad.

.

b. Information secnred from other Go"ern-ment agencies will not be included in summariesc;>f information when the requesting or receivinga,gency is another Government bureau or de-partmelit. OnJyinfol'mation from Departmentof the Army sources ,vill be included in suchsuJtImaries of information. The summary ,viIIInclude the following statement: "Only infor-matIon aerived from Al-my sources is includedin the above summary."

f

91. I~entifying Sources

~ Since the office preparin't:!; the summary of in-formatiollmay latel' nee« to refel' to it to ascer-tain the specific files and records t'xploited in itspreparation, there should be-added to the copyof the summal'y of information retained., andto only this copy, a memorandum for the re~ordwhich identifies sources used. Extl-eme care,vill be exercised in the preparation of sum~maries to insure that sources of informationare not compromised or embarrassed.

oj;

90. Including Information. From OtherGovernment Agencies

a. Information secured from othe~vern-mental agencies ,viII be included only ill sum-maries of informationprepal-ed for a requestingor receiving agency ,vithill tile Army ~~stablish-ment or for the Federal Bureau of Investiga-tion. ~Vhen so prepared, tile name of SUdlsource will not be given, but ",ill be referredto only as a "reliable source." These summariesof information will contain the following state-ment : "Inforniation derived from sources otherthan the Depal:tment oj. tile Army is illcludedin this summary. This inf()rm~ltiO1l ",ill not bepassed to any agency ontsi{le the Department.of the Army."

92. Evaluating Sources and Information

Each paragr~h of ~l summary of illfol'lllation,viII be evaluated as provided for in para-graph 52.

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1M 30-218I\ Jun 49C 2

, CHAPTER 6

INVESTIGATIVE FILES

:::1"1~

Section I. GENERAL

93. Files Maintained -

a. Thl'ee separate record files are maintained \

regarding connter intelligence in'Testigations:Till control files. See pars. 96 through 101.)

(2) Central files. (See palos. 102 and 103.)___(3) Intelligence field files. (See pars. 104'

through 110.)b. Control files and central files will be main-

tained for all background and complaint inves-tigations of individuals. Intelligence field files.will be maintained only for all complaint nl-vestigations of indivi'duals and those back-ground investiftations ,vhich coiltain deroga-tory infQrmation.

94. Security of Information

No information from classified coUllter intel-ligence files will be given to private individualsor commercial companies except those clearedand approved to l~ave access to classified infor-mation.

95. Duplicate Investigation "

All offices con<llll'ting inv{'stif!ations ",illn1ain-tain adequate illdexes of all investigations nladeby th('n1 to inS111'(' that no duplicate illvestiga-tions are conducted.

98. Location of Control Files ConcerningIndividuals When Investigation Is

Incomplete

Thlring the COllrse of an investi'i!;ation of an in-dividual, the colltrol file \vill be kept by the con-trol or subcolltrol office. Upon transfer of auyindividual il)to the juris<)iction of anotherAI'IIIY COllllllall(! or I)ort (If t'llluarkatioll. tIleformer control office- \vill for\vard to fhe ne\vcontrol office that portion of the conu.ol file al-ready compiled, together with a record of alloutstallding leads. 'Vhen the control file is

Section II. CONTROL FILE

96. Definition

The cont,'ol fill' is 11 file pl'epllred on ellcl1 subjectof an investigation by the col)trol office or oneof its subordinate echelons in connection withan investigation. In the past, this file has beenreferred to as the "case report." However, this

23

.,is a file or repository of the material which hasbeen accul~1ulated in the course of an investiga-tion or series of investigations. For the sake ofclarity, therefore, the-term "case report" ,villcease to be used; and hereafter the term "con~rolfile" will be employed.

97. Purpose

The purpose of the control file is to pro"ide a,repository into ,vhieh is placed an data pertain-ing to the particular investigation. It formsthe basis ft'-om ",hich is derived the informationthat is used in the preparation of a repol:t of'investigation or a summary of information.' Itshould contain all infofmation developed dur-ing the initial and an subseque~1t investigationsof a subject, together \vith col~ies of all reportsand summaries made up from the materialwhich it contains., It should further containcopies of an reports received £l'om SOllrces otherthan the investigative agency makinp; the initialor subsequent im'estigation. 1'his ,viII includereports from the Federal Bureau of Investiga-tion, other (to"t'l'lllllent uurt':lIIS aliO tlt'l)art-ments, an(l ~l ('()r~' (If D.\. ..\(.0 I~"orl.ll (;4:\.\,,vhen such is available.

",:;:", ~$J';'~~~jl$~~~L'I.~!£:

IraJ. Jun 49-'\ C 21M 30-218

thus transferred, the agency transferring willnotify all a1,!:encies to whom requests for devel-opment of leads have been made, so. they maytransmit the results of their developments di-,rectly to the hew control office; The agencytransferring the control file WiU;alSQ, notify theoffice that originally made the reqQest for...'mvestlgatlon.

(2) Other special circumstances requil'e itstransfer. -

D. In the case indicated in a(l) above, thecontrol file 'vill be transferred to and filed inthe headquarters of the }rmy command inwhich the ne,vinvestigation is closed. Tllis mayor may not be the frmy command from whichthe control file ,vas ,vithdra,vn. A new repol'tof investigation will be prepared to co"er ilieentil'e case and to include both old and ne'vmaterial developed after a ne'y investigation iscompleted. In tIle case described in a(2) abo,'e,the control fill' \\snally ,vill bl' retnrned to thefrmy collllnand from ,vhicll it ,vas ,vi,th(lra,vn.

;ec ,..ec-

Je

99. Location of Control Files ConcerningIndividuals When Investigation Is

CompleteThe .t~'my command within the fIeofIraphicallimits of ",hich the subject is stationed at thetime the investigation is closed ",ill keep thecmnpleted control file, except that, in the caseof a background in,'estigation of individualsassigned to or under consideration for assign-ment to the Counter Intelligence Corps, the con-tI'ol file will be kept by the Dir~ctor of Intelli-gence, General Staff, United States Army. Aport of embarkation, ,vh,ich is the control office,,yill for",ard the completed control file to theappropriate ;rnl~' {'omman<l ,,'hen the in\esti-gation is closed and action has been talcen ordetermined to be nnnecessary. Ho",ever, thiswill not be done in cases ,vhich '\~re begun asincident cases in,'ol,'ing sabotage or suspectedsabotage. (See par. 100~ ."TIlen the subject isstationed overseas at th/time tilat tile iuvestiga-tion in the zone of interior is {'losed, the controlfile ",ill be kept by tile army command ",here

the in,'estigation is completed.

Section III. CENTRAL FilE

102. Location of Central File

The Intelligence Di,'ision, General Staff, United.States .I\.rmy,. ,viII maini'ail} a c~ntral permanentfile concerl~ing all investJg'ations;

Q

103. Content of Central Fire

In order that this ccnN'al file may b{' created:and maintained, commai1(I\ng gelwrals of allfrIllY areas, the ('hief of '!'11illsportatioll. midall o,'el'sea COll1manUers (in cases lnvol,'illf!,United States l)el'Sonnel). will forward to theIntelligence Division, General. Staff, UnitedStates Al'l11Y, the foIl6,ving, ",hen prepared:

(t. A copy of tl1e report o~ investi,gation (or" \

letter report). (See pal'S. 75 and 84:.)b. ~-\. {'opy of the recommendation for :i\ttion.

(See par. 119.)c. .t\ copy of the rel>ort of action taken. (See

par. 124.)d. .:\. {'(IPY of D.\ AGO Form 643A (to be

fllrnished, ",hen pl'ocllrllble, at the same tjme asth()se listed in a, b, and C Ilbove, bnt not requireduntil usen\ll\ess to ,inve~ative and f\ctiOll

agellcy is exlulusted). '1\

100. Location of Control Files ConcerningIncidents

Contr01 files on incidentR, where sabotnge orsuspected sabotage is inv01ved, ,vhether indi-vidua1s are coucerned or not, will be maintainedby the control office ",hich conducted the inves-tigation. They may be ,vithdrawn as providedin paragraph 101.

,..

Section IV. INTELLIGENCE FIELD FILE

104. Definition

An i1uelli¥ellfJe fi~id;:~!e is- o~e ,vhichAopenednponl"Ccelpt of deragawI-Y mformatioft con~

cerning an individual.a.nd is maintained as long

101. Withdrawal of Completed ControlFiles

a. Completed control file may be withdrawnonly when-

.(1) A ne,," investigation of the .subject is,initiated. ..

1M 30-21811 Jun 49

'\ C 2

mands, takin.a-into consideration the imperianceof sec\\rity ",ith respect to the information con-tained in these files- 4-\t levels lo",er than thosepre.c;cribed, only s\lch minimum r~rds ,,"i11 be-maintained as are es..c;;ential; and the officerl-esponsible for the It)aintenance of such records",i1.11}()ld t~1em in his personal custody- Accessto these files may be had only witll tile permis-sion of the officer charged ,vith their custody orhis commanding officer.

as there is any dero~atory information concern-ing that individual ,vhich is not disproved.

105: Purpose

The intelligence.field file provides for the bene-fit of cpmmanders ,vhatever information isavailable concerning individuals in their com-mands on ""horn derogatory information hasbeen developed.

109. Transfer

11pon the trat1sfer of the ind.ivid\lal, the intel-ligence field file "ill be transferred thronghnormal intelligence channels to the appropriatecommand 1e,'el of his ne" assignment.. Thisprocednre also applies to transfers to, from, andbet',een o,el'Sea departments and commands.

106. Preparation

The control office responsible for conductingthe investigation iH responsible for assemblinftthe intelligence field file. / \

~' 1 07. Content

a. 'Vh'el1 an intelligence field file has beenprepared on an individual, it. wil-l-include-

(1) A copy of the report of iuvestigatiou.(See pal'S. 75 and 84.)

(2) A copy of the recommendation for ac-tion. (See par. 119.) -

(3) A copy of the report of action t!\ken.

(See pal'. 124.)(4) Copies of othel' pertin('nt information,

nonJdero~atol'Y as well as dero~atory,regardin~ the individual.,

(5) ..\ copy of D,,\ AGO FOl"ln G43A, when

pl'Ocurable.-b. Dtll'ing the ('OllrSe (If' any ne,v investiga-ti(II', HII illtelli';!eI1l'e field filt, ,,-ill l'O1ltl1in astatement that such investigation is in progress;a stateulent of the facts ,vhich pl'()vide the rea-son f(lr the investi:,!atiO1\: and, in cl\ses ,vh('rereport~ of investigation prior to completion 11r('prepared (par. 78), a copy of such report.

,

110. Location of Intelligence Field FileUpon Discharge of Individual

o. 1\n intellif!ence fielcl file of a disc~harf!eclmilitary individual ,viII be for,varded througllintelligence eh~\nllels to the army headqllartel'Sin ,vhose area the indi,'idnal has his pel1nanentresidence. If permanent residence is nnkno,vn,the intelligence field file ,viII be sent to Intel-lif!en('e Division, General Staff, United StatesArmy. for appropriate disl)ositicw. I II all easesof dis('harf!e, the army area ",'hieh is the ulti-mate custodian of the intelligence field file, willprepare a sllmmary of illfl)rlilaticw to hc for-,,'arllecl to the lc){'al fielll offiee of thl~ Fl'Ilcl1l1I~nl'ea\l of Investif!aticw and the IntelligenceI>ivision, General Staff. {'Ilitell States 1\rnIY.III no l11se ,viII the illtelligenl'e fil~ld file beturned o~er to the 1,'ellcI111 I~llrea\l of lilvesti-gation or sent to The .\djutnnt General.

b. Illtelligence fielcl files of tlischargetl mili-tary and Sel)}lrated ('ivili}ln pel'Sollnel ,viII befor,varded tllrllll/:!h illtelli/:!ence eh}lllnels tC) theG-2 of the }lrmV area in ,vhich the illdividuallu\s liis perman;llt residellce,

108. Location

Intelligence field files will l>e maintained atcommand levels prescribed by the commandinggenerals of the army Rl'eRS and oversea com-

./

CHAPTER 7

INVESTIGATIVE LEADS

114. Transmission of Requests for Devel-opment of Leads

~ '.The lead sheet (fig. 7) ,viII be gi,'en prefe~-encein the transmission of requests for the develop-ment of leads or requests for investigation madeby .one in,'estigative agency to another. Ho,v-e"er, requests may be transmitted by telephone,radio, or teletype ,vhere the ui.gency of the situ-ation demands. The use of radiogt.ams or tele-types in requesting the development of leadsin sabotage cases is encouraged.

\11. AuthoritY for Requesting Develop-ment of Leads Outside ControlOffice Jurisdiction.

An army command or port of embarkation isauthorized to direct a request to any Qther armycommand or port of embarkation to develop~uch specifie leads as may be r.equil-ed in con-nection with any of.its O\VI\ il\vestigatiol\s. illcases ,vhere the col\tr(jl office delegates theduties of controlling al\d coordil\atil\g an il\ves-tigatiol\ to a subcontrol office, this delegationmay include the authority to make direct re-quest for development. of leads outside thejurisdictiol\ of the col\trol office. The use ofintelngence chal\nels for correspOl\de~lCe in thedevelopment of leads is authorized.

115. Preparation and Format of LeadSheet

The body of DA AGO Form 339 (Lead Sheet)is divided into three parts. Detailed instruc.-'tions for making the proper e11tries appear onthe l'everse of the form (see fig. 7).

116. Inclosures Accompanying Lead Sheet

Pel'Sonal history statements, photographs, sum..maries of information, extracts frqm pel'SOnnelrecords, or other documents ,vhich ,viII aid inthe development of leads, may be transmitted bythe l-equesting age'lcy 'Vitll the lead sheet as in-closur.es. Inclosm-es will accompany the leadsheet only if it js more exp~ditious to transmitleads in this nlanner tllan 011 the DIce (If DA~-\GO Fol'm 3;~9.. If a pel'Soilal history state"ment is sent ,vith the lead sh('et, the requestingaj{~.ncy sllollld Ilnderline tIll! it~IIIH it \vailts th~r('portill~ H~l'Il(J. to oevelol> oi' verify.

112. Development of Subsidiary LeadsWithin Army Command or Portof Embarkation Jurisdiction

An army command or port of embarkation,wlien requested to develop a lead by a controloffice, under provisiol\ of pll11\graph 111, will,as a mattei' of "standltl'd procedltl'e, also developany additional ~i!!nificant. and pertinent leadswithin its o',"n jurisdiction ",hich arise duringthe COUl'Se of the reqltested investigation..

113. Development of Subsidiary LeadsOutside Army Command or Port ofEmbarkation Jurisdiction

An army comma lId 01; port of embarkation',vhi<.oh is requested.by a control office to develop

leads and ,vhi(~h uncovers subsidiary leads out-side its jurisdictiou ,viiI not make direct requestfor the development of such outside leads, but.,vill hlrnish the colltr(l\ office the necessary in-forma~ion relating thereto.

117. Agent Reports Covering Materia1Gathered in Development of Leads

'Vheil matel'inl is gnthered ill the (ll'volpmelitof leads, it ,vill be,C'ompile;d as Itnagelltrep~rt(See pal'S. 59 thi"ough 74;)

26

~

1~.~~i~~~'~c,,::-'

" Jun 49.f \ C 2

TM 30-218

attached to the lead sheet. Item 9 of the leadsheet. ,viII then be signed by the officer in chargeof the reporting agency, and the lead sheet withinclosures, forwal-ded -to the requesting agency.

b,. LE'ITF.R OF TRANSMITrA~ When requestsfor the development of leads are made by meansother tha!! the lead sheet, the repol-ting agencymay transmit the,agent reports prepllred in thedevelopment of such leads by a letter of u'ans-mittal.

118. Transmittal of Agent Reports to Re-

questing Agency

There are two ways in ,vhich an office Inay makea rel>ort on a request to develop leads:

a. LEAD SHEET. ,When the reporting agencyuses the lead sheet to transmit the report of thedevelopment of leads, the inclo~nre:s,y snch asagent reports, exhibits, ete., ,viII be listed in item10 of the lead sheet (DA AGO Form 339) and

27

.)

.CHAP~

RECOMMENDA TIO

119. When Recommendations Are PreparedUpon the completion of all investigations, in-,cluding the preparation of the report o.f investi-~gation or letter report; recommendations willbe prepared (or included in case of letter re-port). When th~ urgency of the situation re-

.quires that precautionary~p..re.ventive, 'or otheremergency action be taken, anda pendin!!; reportof investigation is prepared prior to completionof investigation, this repoli will be accempaniedby recommendations. .120. Recommendations for Action

a. Recom.m{?lIdatiollR for action (fig. 8) areprepared by or on behalf of the commandingofficer of the control office and are signed by orfor him. A recommendation contains-

(1) A terse statement of the conclusiol)Sdrawn from facts produced by the in-

vestigation.(2) The recommendation 9f the command-

ing offic~r of t~ie contr& office as to theaction to be taken by the action agency.Only recommend11tions for positiveaction, that is, removal, transfer t<>nonsensitive dnties. or ti.ansfer to an-other nnit or organization, should bemade. Recommendations that no ac-tion be taken ,viII not be made. Whenreports of investigatiotl are negativeor nnsl1bstantial, they will be for-warded for information~or for suchacti()n as may be deemed appropriate.

(3) A request for noti_fication as to actiontllken. (See par. 12-1.)

(-1) Invitation of utu'ntio11 to paragraph57 (TM ~O-218) regardin!!; disclosureof information contained in th(' re-port. ""hi Ie this item is 110t illl1s-trllted in figllre 8, it never should beomitted.

b. In those cases where the comma11ding.offi-cer of the c011trol office is also the officer respon-sible for tilking actiol1, a memoralldwn for rec-ord ,viII be prepllroo to contain that ,vhiohnormally would be i11cluded in a recomme!lda-tion for action.

28

rER

8

NS AND ACTION

121. Recommendations in Cases Concern-ing Individuals

Recomnlendations wi]] be nlade in accordancewith current Department of the Army policy ~

governing the disl)Qsition of snbjects of iilVes-tigations, or in the event that the situation is.not covered by existing policy, in accordancewith the exigencies of the sit,uatiOJ1.

~

122. Recommendations in Incident Cases

a. When investigation in an incident case in-dicates subversive activity but does not produceevidence which definitely" identifies the individ-ual or individua]s respollsible for the incident,tile commal~ding officer of the control office willmake recommendations for the purpose of in-dicating j>Ossib]e pre,'entive action, other ad-nlinistrative action, or that no tlction is deemed

necessary.b. "Then, as the result of an investigation,of

an incident case, the contro] office has reachedconc]usions indictlting specific individuals re-SPOllsib]e for th~ incident, the comluanding of-ficer of thtlt offjc.e ,viII luake recomlllellnati(lusfor the action to be takfn ,vith respect to theindividuals invo]ved.

123. Distributing Recommendationsfor Action .

"Then reconlmendations for action are prl'pared,the contro] office ,vit] mtlke the Stlme distribution

.as given for reports of illvl'stigation. (See par.83.) Memortmda for re('ord, 'v hen preparedin accordance ,vith paragraph 120a (:{), like-,vise ,vit] bl' ~iven the same ni~tribution as givento reports of investigtltiun.

124. Requesting and Distributing Reportsof Action

'Vhen for\vardillg recoIllmennations to the ac-tion agel\cy, r~que!,:t ,vi]) be IIIt\de tilat a reportof action taken or rellson~ for tal{inlf. no actionon recoIIIlu~ndation be retllrned to the controloffice by the tlction agel ICY. 'The control officeis responsible for 11.laking the same distributi~of such rel)Qrts of acti(1l1 as given for rel)Qli~of investigation, (See ~)ar. 8.'3.) .

/

SPD!OS/a"22 Jul'1 1947nLB NO. lA-o04518.

SUBJECT I ANDERSON, Robert John

1'0.

C~aJ1ding GeneralFort .Komouth, New JerseyAttention: .AC OF S, G-2

1. Reference is made to letter- Y°W" offioe dated 25 ~y 1947.~ whioh .P~1a1' Baokground Investigation was requested to deter--mine the suitability or the to11owins named aUDJa tor a '--'--of trust.

ANDERSON. Robert John ~~.".Y --"~ Last name First mddle :1k -p

12 J~e 1918 e-~ ~Ol ",.1 e. Rw JerseBirth date ~ -W Birth place

.~~Q~'l\¥~~~~s~~e~~! .Il~. Ephr~~, New Jersel-ft~-~)S:- Present or last known address

2. Investigation has been conducted and the ro11ow1~ source$have been interviewed or examin~d t

,

e. G-2 First Army, Governors'Island, New York 4, 'N. Y.b. Federal Bureau or Investigation, New Jerlsyo. Orfioe of Naval Int~lligenc~, Third Distric~, New Jerleyd. Police Department, Mt..Ephriam, New Jerseye. Police DepartDlent, New Jersey State Policet. U.S. Civil Service Commillion, New York, N.Y'.g. Dr. Thcmlas R. Olsen, 27 Gilmore St., Paterson, N.J.h. Mr. Oscar ft. Ridgeway, 199 MCArthur Ave., Clifton, W.J.1. Xr. Ssm Sheplow, 2130 Park Rd., ).(t. Epnriam. N.J.j. Bell Telephone Co., 3345 Main St., Newurk, N.J.k. Mr. Dennis Dwyer, 3345 Main St., NeWDrk, N.J.1. Wright Aero Co'rp., Paterson, ~.J.m. Mr. Donald Sanders. Wright A!&ro Corp., Paterson, N.J.n. Yr. Fred Connors, 118 J4aple A~, Mt. Ephriam, N.J.

3. No inroJ'lllatlon rerl~~ adverlely'upon the' loyalty, lntegr\tyor discretion or SUBJECT was ~~~1~4 1n the course of th15 invest1gation.

FOR THE AC OF S, G-2 r

.

.c7f'W. B~L. vrl. BURNSColonel, GSCChief. Area Intelll,enoe DiTi81on

65

tmA~UAR1'ERS FIRST AmaGovernors Island. How York 4. I."f.

66

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LEAD SH~~T

MARrIN. Robert MurrayCapt.. FA. 0-1164665 "i:"*i ,..=;41-lAPril1947a. COIITROL SYMBOL OR fII.E 1«1.

C-78966Co TYPE OF AND REASON FOR INVESnGATlQ; (&c '--Iou ..,-.. ./do lor COtaIJ/dfD8 .ill;. ~~; ~ I) ~

CBI tor position of unusual trust. militaryJ friority 11-2.

5. lEADS TO BE VERIFIED,

a. Educational record at Accounting School-ot the University of Chicago whereiSUBJECTwas in attendance 1938-39. .

, b. Neighborhood check in the vicinity of" 44 S. loth St., Evanston.. Ill.,where SUBJECT resided from JUne 1938 to January 1941; interview two ne~ghbors andapartment superintendent.

Evanston t.

, ., .c. Banking e.ctivities e.nd credit rating at the Ker~t., ~anston. Illinois.

,-d. Employment reco~ at 'Sears Roebu* &

SUBJECT was eJ]\ployed from August ..- Chicago, where

.P'"Chicago.

,~'-

a.

b.

e. Check local]BAC:::~~

Born 8 May 1~~ .,t Miedlet~~~. Ohio.

c.

Pre,~eIlt home addl:'&$. 16 Carlisle St., Middletown, Oht-O..

\7" REQUESTING AGENCYREPORTING AGENCY

0f1ICE

l_~C of S. G-2~lIq. Sec~rmyOfFICE

~Cof' S. G-2., gq. Fifth "Army~D~

i Fort George G. h':eade. Md. Chicago, Il~~c,

~,~~~T,:~AC ~F S. CF-2. SA"nt1" .ARMY,flGIIATURE ~; ~, .',c ~- n , n ~."~.'.J~TYPED NAME;GftAD~ AND TlTU PAUL i.- A VAI\'T. Capt..

.~:"~n~C,hl~-~.~-'J~~~.~ti~ation Section, " I~RES (hr '..,...iriI )

Fifth ARMY

,. ~MAHON, Capt.,Inf. Investig~n Sect~

l~one

10. IftI;WOUR£5 (-: ~~rjjllf ->

Atf,ent Report

D A: AGO FORM339 c

:1"\.", SEP 48 ~ 1&-"'--'CONFIDENTIALREPLACES WD AGO FORM 339. 1 JUH 47. WHICH MAY BE USED.

<D Front

Figure 7. Lead sheet.

67~

B,!?;~;.:tt*'.I;

;l3~218

'"

~:~~

A Jun ~9~'

,\C2

;:,;ij:ij~:

1NSTRUCTIONSItems 0 and 6 have not been printed on the face of '

this form " to permit flexible spacing of ,these items.

~ 'ITEM I.-In background and individual complaint,4ses, enter subject's name and such additional ideJ1~tifying data as grade and serial number, in the case'9f military personnel, or duty or job assignment irl'the case of civilian personnel. fu incident casesenter title (fi1'e, explosion, etc.), and time and loca-tion of incident.

~TEM 2.-Enter date of co}npletion of lead sheet.

ITEM S.-Enter control symbol or file number as-signed to case.

ITEM 4.-In complaint cases, state the nature ofthe complaint. In background cases, specify type ofinvestigation desired, together with ~ason for theinvestigation (e. g., "Regular Army Integration",."Cryptographic, Military"; "Position of Trust,Civilian") .

ITEM 5.-Skip two spaces after item 4 and type in"5. Leads to be verified." Specify leads for whichverification is desired, such as birth, school, and em-ployment checks. Specify interviews desired andany other information which the control office maywish. Do not use such general language as "Follo\vup all leads in your area" or "See attached PersonalHistory Statement."

~.'.C~!!'-@ Back

Figu"e 7-COtb

\ \\/

'<.

~

:" J.f oC;o /v--fJ--,t!-

~-t

~

---

68

,ITEM G.-Skip two spaces after item 5 and type in

"6. Background information.'! Under this neading,when no Personal History Statement (Form 64SA)i~ attached, enter co~pletc information concerningthe individual or case (8ttch as: (a) Race and Sex;(b) A nny serial number, grade and arm or service;4'c) date and place of birth; (d) permanent and tem-porarJj addresses; (e) 'recent previous addresses;"(f) occl£pation and place of employment) whichmight be helpful in identifying the individual and indeveloping the leads listed under item 5. Includealso specific instructions regarding the proper man-ner of carrying out the investigation, such as precau-tions and pretexts to be used. State the number ofcopies of report desired.

ITEM 7.-When an authorized requesting agency~ignature is entered in this item, this form may besent without a letter of transmittal.

ITEM S.-List requesting agency inclosures, suchas photographs and per~onal history statement.

-ITEM 9.-When an authorized f'eporling agencysiiJlature is entered in this item, no other indorse-

."0.'ment IS necessary. .'"" , "

ITEM lO.-List reporti~g agency iIicl~sures, suchas agent reports, exhibits, summaries, of, iDfonna-tion. etc.

--18 iI~

'1I4Icd.