ORDER                                      
                                                                               
                      U.S. Department of Transportation                        
                       Federal Aviation Administration         1600.38B        
                                                                               
                                                               10/27/87        
                                                                               
                                                                               
      Initiated                                                                
           by:  ACS-300                                                        
                                                                               
      SUBJECT:  FAA INVESTIGATIONS PROGRAM                                     
                                                                               
      1.  PURPOSE.  This order prescribes the general policy,                  
      standards, and guidelines for the FAA Investigations Program and         
      the implementation of this program by the Office of Civil                
      Aviation Security and the regional center security elements.             
      Further, it implements and transmits as appendix 1, Order DOT            
      8000.5, Office of the Inspector General Investigative Procedures;        
      implements and transmits as appendix 2, Chapter II,                      
      Investigations, Order DOT 8000.4, Office of the Inspector General        
      Audit and Investigation Responsibilities; and implements and             
      transmits as appendix 3, Chapter II, Investigations, Order DOT           
      8000.1B, Office of Inspector General Audit and Investigation             
      Report Findings, Recommendations, and Followup Action.  The              
      portions of Order DOT 8000.1B and Order DOT 8000.4 not addressed         
      by this order are being implemented by separate FAA orders.              
                                                                               
      2.  DISTRIBUTION.  This order is distributed to the division             
      level in Washington, regions, and centers and a limited                  
      distribution to all field offices and facilities.                        
      3.  CANCELLATION.  Order 1600.38A, FAA Investigations Program,           
      dated June 21, 1977, is cancelled.                                       
                                                                               
      4.  EXPLANATION OF CHANGES.                                              
                                                                               
           a. Implementation of several Department of                          
      Transportation/Office of Inspector General orders have been              
      added.                                                                   
                                                                               
           b.  Distribution of this order changed to include division          
      level managers in Washington headquarters, and sets limited              
      distribution to field offices and facilities.                            
                                                                               
           c.  A statement of policy has been added.                           
                                                                               
           d.  Clarification of responsibility for all security                
      elements and OIG have been added, also OIG liaison positions have        
      been identified.                                                         
                                                                               
           e.  New terms have been added to the definition section as          
      well as a clarification of the Report of Investigation.                  
                                                                               
           f.  New information regarding the function and relationship         
      with the Office of Inspector General.                                    
                                                                               
           g.  Clarification of the basis for investigation.                   
                                                                               
           h.  Added, authority to initiate investigation given to the         
      Director of Civil Aviation Security.                                     
                                                                               
           i.  New material indicating inappropriate subject matters           
      for investigation.                                                       
                                                                               
           j.  New information on defined objectives and scope between         
      a requester, of an investigation, and the security element               
      handling the case.                                                       
                                                                               
           k.  Clarification of interagency coordination and liaison           
      with Department of Justice and U.S. Attorneys.                           
                                                                               
           l.  Distribution of Report of Investigations more explicit.         
                                                                               
           m.  Clarification on Report of Investigation regarding its          
      use in adverse actions.                                                  
                                                                               
           n.  Clarifies the need for correspondence, to be included in        
      file, from requestor of investigation indicating any action taken        
      as a result of investigation.                                            
                                                                               
           o.  Inclusion of DOT orders involving the Office of                 
      Inspector General investigative responsibilities and procedures.         
                                                                               
      5.  DEFINITIONS.                                                         
                                                                               
           a.  Investigation.  An investigation is a planned,                  
      systematic search for facts and evidence through interviews,             
      record examinations, and the application of other approved               
      investigative techniques.  The purpose is to collect all                 
      necessary evidence to substantiate or refute allegations/issues          
      that could result in administrative, civil, or criminal action.          
      The investigations referred to in this order are those conducted         
      by investigators of the DOT/OIG or by FAA special agents.                
                                                                               
           b.  Special Agent.  Special agents are those selected FAA           
      personnel to whom credentials have been issued which designate           
      the holder as a duly accredited special agent.  Each credential          
      is authenticated and signed by the Associate Administrator for           
      Aviation Standards based on qualifications, standards, and               
      training requirements determined by ACS for all special agents.          
      No agency employee, except those issued credentials by ACS, shall        
      use the title "special agent."  A special agent is authorized by         
      the Administrator to perform investigations, receive evidence,           
      examine witnesses, and administer, but not compel, oaths or              
      affirmations at any place within the jurisdiction of the United          
      States and to perform other duties imposed by law and                    
      regulations.  This authority is derived from the Federal Aviation        
      Act of 1958, sections 301, 313(a) through 313(c), and 1002(b).           
      During the course of an official investigation, special agents           
      shall be granted access to agency records, information, and              
      witnesses as required.  Request for access to classified                 
      information shall be governed by existing directives.                    
                                                                               
           c.  DOT/OIG Liaison Official.  Pursuant to Order DOT 8000.5,        
      DOT/OIG liaison officials are those individuals who are                  
      appointed to act as interface between FAA and the DOT/OIG on             
      matters involving the FAA investigations program.  As noted in           
      paragraphs 7a and 7b above, these individuals are, for the agency        
      as a whole, ACS-1, and for the individual regions and centers,           
      the manager of each security element.                                    
                                                                               
           d.  Management Official.  A management official is the              
      operating official to whom the Report of Investigation is                
      addressed.  Generally, the management official is the one who            
      requested the investigation or who is required to take                   
      appropriate action as a result of the investigation.                     
           e.  Report of Investigation.  The term Report of                    
      Investigation (ROI) refers to the official signed document which         
      contains the results of an investigation.  ROI's are prepared by         
      both DOT/OIG and FAA investigators and are provided to management        
      officials for review and appropriate action.                             
                                                                               
      6.  POLICY.  Through the direction of the Office of Civil                
      Aviation Security, FAA will operate an investigations program in         
      support of the FAAct, DOT regulations, and other applicable              
      Federal laws and regulations.  This program with its resources           
      will provide optimum support to FAA management and the Department        
      of Transportation/Office of Inspector General in execution of            
      their responsibilities.                                                  
                                                                               
      7.  RESPONSIBILITIES.  Each agency employee, manager, or                 
      supervisor has a duty and a responsibility to safeguard national         
      security, agency property and personnel, and the integrity of FAA        
      operations.  By statute and departmental and agency directives,          
      each official and employee of the agency is responsible for              
      promptly reporting to appropriate authority, as explained in this        
      order, any actual or suspected offenses, wrongdoings, violations,        
      or irregularities in connection with any FAA or Department of            
      Transportation contract, program, operation or activity, or any          
      known or suspected violation of criminal law or regulation               
      governing employee conduct or any matters affecting the national         
      security.                                                                
                                                                               
           a.  The Office of Civil Aviation Security (ACS).  ACS plans,        
      develops, oversees, and conducts investigations integral to the          
      agency's programs.  This responsibility includes providing an            
      interface with the Department of Transportation/Office of                
      Inspector General on investigative matters and for assisting             
      agency employees and officials in properly reporting those               
      matters described above.  With respect to Order DOT 8000.5,              
      paragraph 2b, Agency Officials, and paragraph 2e, Requests for           
      Investigation, the Director of Civil Aviation Security shall             
      serve as the agency's liaison official for investigations, and           
      the OIG has been so notified.                                            
                                                                               
           b.  Regions and Centers.  The security element of each              
      region and center is responsible for implementing the                    
      Investigations Program and for providing investigative services          
      to FAA facilities in its respective areas of responsibility and          
      for conducting these and other assigned programs in accordance           
      with nationally established policies, standards, systems, and            
      procedures promulgated by ACS.  With respect to Order DOT 8000.5,        
      paragraph 2b, Agency Officials, and paragraph 2e, Requests for           
      Investigations, the security element manager of each region and          
      center should be appointed the liaison official.  The respective         
      DOT/OIG officials should be notified of these appointments.              
                                                                               
           c.  DOT/OIG.  The DOT/OIG derives its criminal jurisdiction         
      from the Inspector General Act of 1978 (5 USC app.) which                
      provides the Inspector General broad authority to conduct and            
      supervise investigations relating to the programs and operations         
      of the Department and to prevent and detect fraud and abuse in           
      such programs and operations.  The Act further requires the              
      Inspector General to report expeditiously to the Attorney General        
      (United States) whenever the Inspector General has reasonable            
      grounds to believe there has been a violation of Federal criminal        
      law.  The DOT/OIG can and may defer responsibility to investigate        
      a specific matter to the FAA.  Appendix 2, Chapter II,                   
      Investigations, Order DOT 8000.4, contains summary of the                
      DOT/OIG's investigative responsibilities.                                
                                                                               
      8.  OIG INVESTIGATIONS.                                                  
                                                                               
           a.  Types of Complaints.  As noted above, the DOT/OIG has a         
      responsibility for investigating a variety of FAA activities.            
      Examples include fraudulent claims by employees, vendors, and/or         
      contractors; misappropriation or embezzlement of Government funds        
      or conversion of Government property; and conflicts of interest,         
      including violations of DOT Regulations 49 CFR 99.  These are            
      only illustrative of the DOT/OIG's areas of prime responsibility.        
      A more detailed summary is set out in appendix 2.                        
                                                                               
           b.  Reporting/Referring Matters to the DOT/OIG.  As stated          
      in paragraph 8a, all agency employees and officials have a               
      responsibility to report/refer to appropriate authority any              
      actual or suspected offenses, violations, or irregularities.             
      Special procedures for reporting/referring to the OIG where the          
      matter (i.e., suspected offense, etc.) falls within the office's         
      area of responsibility are set out in Order DOT 8000.5.  This            
      order is printed in full in appendix 1.  FAA employees are               
      encouraged to report matters directly and openly to the nearest          
      DOT/OIG office, openly and/or anonymously to the DOT/OIG Hotline         
      (800-424-9071 National, 366-1461 Metropolitan DC) or by mail to          
      the OIG, P.O. Box 23178, Washington, DC 20026-0178.  Should an           
      employee report such a matter to a supervisor or to an FAA               
      security element, supervisors and security personnel will assure         
      that it is referred to the servicing DOT/OIG office without undue        
      delay.  Early telephone contacts with OIG investigative                  
      representatives are encouraged to resolve any jurisdictional             
      questions or to determine Inspector General audit or                     
      investigative interest in any matter.  When the DOT/OIG defers an        
      investigation to the FAA, the FAA Report of Investigation will           
      record the date of declination and identify the OIG                      
      representative who made that decision.                                   
                                                                               
                (1)  The DOT/OIG should acknowledge receipt of the             
      referral through the designated liaison official; keep that              
      official informed as to the progress of the investigation; and,          
      upon completion, furnish the results of investigation to the FAA         
      regional director, center director, or Director of Civil Aviation        
      Security, as appropriate.  When an FAA regional or center                
      director is the primary addressee, the DOT/OIG will provide the          
      Director of Civil Aviation Security an informational copy of the         
      transmittal memorandum and a copy of the DOT/OIG report minus any        
      attachments to the report.                                               
                                                                               
                (2)  Agency employees and officials must not take any          
      action prejudicial to a DOT/OIG investigation and must cooperate         
      with the DOT/OIG in the conduct of that investigation to include         
      testifying and providing information relating to the issue(s)            
      under investigation.                                                     
                                                                               
                (3)  Certain complaints or suspected offenses, although        
      falling within the DOT/OIG's authority, may be more suitable for         
      investigation by another Government agency or by FAA.  The               
      DOT/OIG, when making that determination, will forward the matter         
      to that Government agency or return it to the FAA for appropriate        
      action.                                                                  
                                                                               
           c.  Followup Action.  Appendix 3, Chapter II, Investigations        
      Order DOT 8000.1B, contains DOT policy and procedures for the            
      review by modal agencies, such as the FAA, of DOT/OIG Reports of         
      Investigation and the reporting to the DOT/OIG of corrective             
      actions taken as a result of the investigation.  The following is        
      a brief summary of the requirements as they apply to FAA.                
                                                                               
                (1)  The DOT/OIG is committed to initiating and                
      conducting investigations and reporting to the appropriate               
      Department official the results of the investigation as                  
      expeditiously as possible.  The reports will be furnished for            
      information purposes and/or for corrective action.  Occasionally,        
      they will be accompanied by recommendations.                             
                                                                               
                (2)  In those cases where corrective action is                 
      necessary, the action taken must be timely, constructive, based          
      on cause, and be consistent with laws and regulations governing          
      such actions.  The DOT/OIG must be advised of the results within         
      30 days.                                                                 
                                                                               
      9.  FAA INVESTIGATIONS.  Investigations conducted by the FAA,            
      within the scope of this program, fall into four categories: (a)         
      criminal violations of provisions of the Federal Aviation Act of         
      1958 or the Hazardous Materials Act; (b) request by a responsible        
      FAA office or service indicating violations of Codes of Federal          
      Regulations not under the jurisdiction of the DOT/OIG; (c)               
      matters of concern to management, such as employee conduct, tort         
      claims, etc., and in support of the agency's Personnel Security          
      Program; and (d) matters otherwise the responsibility of the             
      DOT/OIG, or another agency, which have been deferred to the FAA          
      by the DOT/OIG or the other agency.                                      
                                                                               
           a.  Criminal Violations.  There are two statutes that               
      establish programs within the FAA which entail enforcement of            
      criminal provisions.  The Federal Aviation Act of 1958 (FAAct),          
      as amended, and the Hazardous Materials Transportation Act               
      (HazMat Act) (Title I of the Transportation Safety Act of 1974),         
      as amended.                                                              
                                                                               
                (1)  The Federal Aviation Act of 1958                          
                                                                               
                     (a)  TITLE IX of the FAAct provides in section 902        
      criminal sanctions for a series of acts or activities inimical to        
      aviation safety.  Section 902(o), provides that violations of            
      sections 902(i) through (n) inclusive shall be investigated by           
      the FBI.  The remaining violations are the responsibility of the         
      FAA.  Following is a brief description of these subsections:             
                                                                               
                          1  Section 902(a).  Any person who knowingly         
      and willfully violates any provisions of the FAAct (except Titles        
      III, V, VI, VII, and XII) not otherwise provided for shall be            
      deemed guilty of a misdemeanor.                                          
                                                                               
                          2  Section 902(b).  Forgery of certificates          
      and false marking of aircraft.                                           
                                                                               
                          3  Section 902(c).  Interference with air            
      navigation.                                                              
                                                                               
                          4  Section 902(d).  Granting or receiving            
      rebates.                                                                 
                                                                               
                          5  Section 902(e).  Failure to file reports;         
      falsification of records.                                                
                                                                               
                          6  Section 902(f).  Divulging information.           
                                                                               
                          7  Section 902(g).  Refusal to testify.              
                          8  Section 902(h).  Hazardous materials.             
                                                                               
                          9  Section 902(p).  Interference with                
      aircraft accident investigation.                                         
                                                                               
                         10  Section 902(q).  Transporting controlled          
      substances while holding a valid airman's certificate.                   
                                                                               
                (b)  Criminal Fraud/Regulatory Violations.  Several of         
      these criminal violations may, under certain conditions, involve         
      violations of regulatory provisions of the FAAct; for example,           
      section 902(b) and/or section 902(e).  These regulatory                  
      violations are the responsibility of the FAA because of the              
      critically to air safety.  The DOT/OIG has the responsibility for        
      investigating Title 18, US Code violations.  Some of the                 
      above-listed violations may also be prosecutable under Title 18.         
      In these cases, the DOT/OIG should be advised and the issues             
      discussed with the U.S. Attorney to determine if criminal                
      prosecution of the fraud under Title 18 (as opposed to Title 49)         
      is appropriate.  If prosecution under Title 18 is the conclusion,        
      then consideration should be given to the conduct of a joint             
      DOT/OIG-FAA investigation.  When the joint investigation                 
      substantiates both prosecutable criminal violations and                  
      actionable Federal aviation regulatory violations, a request             
      shall be made to the Office of the U.S. Attorney of jurisdiction         
      for permission to conduct parallel criminal and regulatory               
      proceedings in order to expedite resolution of the air safety            
      issue while the criminal prosecution is also proceeding or               
      pending.  Whenever possible, in joint DOT/OIG-FAA investigations         
      involving air safety, the Office of the U.S. Attorney should be          
      advised at the outset of the issues and the possibility of the           
      need to take expeditious regulatory action on the alleged                
      violation(s) in addition to the criminal prosecution.                    
                                                                               
           (c)  Title XII of the FAAct.  Section 1202 of the FAAct             
      directs that the Administrator shall establish such zones or             
      areas of airspace as he may find necessary in the interests of           
      national defense, and by order or regulation restrict or prohibit        
      flight within the zones.  Section 1203 continues that in addition        
      to the penalties otherwise provided for by the FAAct (i.e.,              
      certificate actions or civil penalties), "... any person who             
      knowingly or willfully violates any provision of this title, or          
      any rule, regulation or order issued thereunder shall be deemed          
      guilty of a misdemeanor, and upon conviction thereof, shall be           
      subject to a fine of not exceeding $10,000 or to imprisonment not        
      exceeding one year, or to both such fine and imprisonment."              
                                                                               
                (2)  The Hazardous Materials Transportation Act (HazMat        
      Act).  Section 110 of the HazMat Act provides for both civil and         
      criminal sanctions.  Section 113(c) amends the FAAct to enable           
      the enforcement of these criminal sanction provisions of the             
      HazMat Act under the authority of the FAAct.  Matters which could        
      be expected to lead to a civil penalty may be investigated as are        
      other regulatory enforcement actions (see paragraph 9b).  Matters        
      which could be expected to lead to criminal sanctions will be            
      investigated under the provisions of this order.                         
                                                                               
           b.  Regulatory Violations.  Several different offices and           
      services within the FAA have responsibility for developing,              
      issuing, and then enforcing provisions of the Federal Aviation           
      Regulations.  These offices and services carry out these                 
      enforcement actions to include the investigation of suspected            
      violations, under the guidance and policy set out in Order               
      2150.3, Compliance and Enforcement Program.  However, under the          
      provisions of this order, ACS may be requested by the responsible        
      office or service to provide investigative assistance to them.           
      Although any regulation may be the basis for this request for            
      service, the most common has been in connection with the                 
      violation by airmen of the several regulations concerning the            
      transportation of drugs.                                                 
                                                                               
           c.  Matters of Concern to Management to Include Personnel           
      Security.  There are situations where an investigation is needed         
      to assist FAA management to take appropriate actions.  The               
      following are examples:                                                  
                                                                               
                (1)  The Office of Personnel Management (OPM) conducts         
      all needed preemployment, loyalty, or suitability investigations.        
      However, the results of OPM investigations may require                   
      supplemental inquiry.  A particular requirement is the interview         
      of employees, or applicants for employment, to clarify                   
      unfavorable information that may have been developed by OPM and          
      to offer the interviewee the opportunity to explain or refute            
      that information.                                                        
                                                                               
                (2)  The compromise of certain classified, Privacy Act,        
      proprietary, or other sensitive information not constituting             
      Title 18 US Code violations.                                             
                                                                               
                (3)  Inquiries to obtain information that will aid in          
      locating airmen, in making medical determinations for airmen or          
      employees (to include allegations of the misuse of drugs by              
      employees), to aid in resolving tort or personnel claims, and            
      locating former employees indebted to the Federal Government.            
                                                                               
           d.  Matters Under the Jurisdiction of Other Agencies.  By           
      law, other agencies may have investigative jurisdiction over             
      criminal acts in which the FAA has an interest; e.g., theft of           
      FAA property and embezzlement of imprest funds.  Following FAA           
      referral to the agency having primary jurisdiction, the                  
      investigating agency may request investigative assistance from           
      FAA, authorize a joint investigation, or choose to defer entire          
      investigative responsibility to the FAA.                                 
                                                                               
      10.  REPORTING VIOLATIONS.                                               
                                                                               
           a.  Procedures.  All violations described in paragraphs 8           
      and 9 must be reported.  Violations of matters under OIG                 
      jurisdiction should be reported as noted in paragraph 8.  FAA            
      matters, described in paragraph 9, may be reported through               
      supervisory channels to the servicing security elements.                 
      Supervisors shall not delay an employee's report of complaint to         
      the servicing security element.  In cases of extreme urgency or          
      where there is a concern of supervisor reprisal or inaction,             
      employees may directly report the matter to the security element         
      or the OIG.  The employee also has the option of referring the           
      matter to the Administrator's Hotline, the Safety Hotline, the           
      security element, or the OIG.  The FAA or OIG element that               
      receives the complaint will evaluate the information, determine          
      jurisdiction, and investigate, refer, or close the matter as the         
      facts warrant.                                                           
                                                                               
           b.  Special Reporting Requirements.  Malicious damage to            
      Government property shall be reported to the servicing FAA               
      security element and the local law enforcement authorities by the        
      facility manager.  Theft of Government property shall be reported        
      by the facility manager to the servicing FAA security element and        
      the local law enforcement authority.  In addition, the incident          
      shall be reported by the facility manager to the servicing office        
      of the DOT/OIG.  The servicing FAA security element shall                
      maintain liaison with the investigating agency/office to obtain          
      and report the results of their investigation and prosecutive            
      action, if any.                                                          
                                                                               
           c.  Confidentiality of Information.  Individuals should be          
      able to provide information with confidence that it will not be          
      made public unnecessarily, whether or not he or she requests             
      anonymity.  To avoid compromising a pending investigation and to         
      protect the reputations of the FAA and all individuals who may be        
      involved, employees and officials shall exercise special care not        
      to disclose to unauthorized persons information concerning a             
      suspected offense or investigative matter.                               
                                                                               
           d.  Preservation of Evidence.  Individuals who become aware         
      of any apparent violations should preserve any evidence they             
      possess which bears on the alleged violation.  Further, such             
      individuals shall not take any investigative actions on their own        
      initiative.  As earlier specified in OIG Investigations,                 
      paragraph 8b(3), all supervisors and employees shall comply with         
      requests from the investigating agency to preserve evidence.             
                                                                               
      11.  INITIATING THE FAA INVESTIGATION.                                   
                                                                               
           a.  Transmittal of Requests.  Investigations may be                 
      requested by division level or higher authority only and shall be        
      communicated to the servicing security element at the regional or        
      center level in writing.  Facility or field office managers shall        
      route requests through their division office to the servicing            
      security element.  If time is critical, the request may be made          
      orally but should be confirmed in writing without delay.  The            
      letter should serve to document the matter and contain all               
      information which prompted the request.                                  
                                                                               
           b.  Authority to Initiate Investigations.  The Director of          
      Civil Aviation Security (ACS-1), the Manager, Investigations and         
      Security Division (ACS-300), and managers of security elements in        
      the regions and centers are authorized to initiate investigations        
      or to refer matters to another agency for investigation.  All            
      requests from proper authorities shall be evaluated promptly and         
      the management official involved advised if an investigation will        
      be initiated, either by FAA or by the referred agency.  The              
      authority to initiate investigations described in this paragraph         
      may not be delegated.                                                    
                                                                               
           c.  Coordination.  Generally, no investigation shall be             
      initiated without a request from or coordination with the                
      management official involved; however, notwithstanding the lack          
      of a specific request, or the desired coordination, ACS-1 and the        
      several security division managers may initiate investigations of        
      those matters that fall within the scope of paragraph 9a.                
      Investigations of other matters coming to their attention, other         
      than those covered by paragraph 9a, may also be initiated under          
      this same authority when prior coordination with the management          
      official involved is not practical or there is a time-critical           
      situation.  In such cases, coordination with that management             
      official shall be completed as soon as possible.  Once a matter          
      has been accepted or referred for investigation, no action may be        
      taken on the matter by the requester without prior coordination          
      with the manager of the responsible security division.  This             
      manager is responsible for promptly advising other concerned FAA         
      elements of facts relating to the investigation to ensure air            
      safety and efficiency of agency operations.                              
                                                                               
      12.  INVESTIGATIVE CRITERIA.  Officials responsible for                  
      initiating an investigation shall consider the following in              
      making a decision.                                                       
                                                                               
           a.  Inappropriate Subject Matters.  Investigations shall not        
      be initiated under the scope of this program, nor will special           
      agents be used:                                                          
                                                                               
                (1)  As a substitute for employee counseling or other          
      appropriate personnel management actions.                                
                                                                               
                (2)  For matters where sufficient facts are already            
      known, and adequately documented, to take needed actions.                
                                                                               
                (3)  For matters susceptible to and/or more                    
      appropriately dealt with by the administrative solutions; i.e.,          
      formal inquiry, survey, or audit.  Minor incidents, such as on-          
      the-job accidents, negligence, incompetency, most small personnel        
      claims, improper supervision, failure to comply with work                
      regulations, intoxication, insubordination, etc., are examples           
      which fall within the category of matters that should normally be        
      handled by the supervisor and frequently can be resolved onsite          
      with minimal inquiry.                                                    
                                                                               
           b.  Defined Objective and Scope.  Prior to initiating any           
      investigation, there should be an understanding and agreement            
      between the requester and the initiating official as to an               
      anticipated objective.  In other words, if certain facts are             
      proved, what actions would be taken?  In this connection, there          
      should be consultation and coordination with technical                   
      authorities and other elements that may have an interest or              
      responsibility; e.g., Regional Counsel, Labor Relations, etc., to        
      assure that those facts, and supportive evidence, needed to take         
      the appropriate action(s) are obtained during the course of the          
      investigation.  Reviewing these considerations at the time the           
      case is initiated will aid in determining that an investigation          
      is needed.  Continuing to review them during the investigation           
      will help assure that investigators focus their efforts to obtain        
      the information needed to support the indicated action.                  
                                                                               
      13.  INTERAGENCY COORDINATION AND LIAISON.  The FAA                      
      Investigations Program shall be enhanced by an effective liaison         
      with other Federal, state, or local agencies.  Such liaison              
      ensures the free exchange of information between the concerned           
      agencies and serves to assist the FAA, its employees, and the            
      interests of both national security and the aviation community.          
                                                                               
           a.  Local Liaison.  Special agents of the concerned security        
      element shall, on behalf of the FAA, establish and maintain              
      effective liaison and close working relationships with                   
      responsible Federal, state, local law enforcement, investigative,        
      or intelligence agencies on those matters falling within the             
      purview of this order.  This assignment of responsibility does           
      not preclude local FAA facility managers from establishing               
      supplemental contact with the police or investigative agencies           
      serving their facility.  Contact with these agencies on matters          
      covered by this order must be coordinated with the servicing             
      security element.                                                        
                                                                               
           b.  National Liaison.  ACS-1 is responsible for liaison at          
      the national level with Federal departments and agencies and with        
      international law enforcement organizations on all matters               
      covered by this order.  ACS-300 will coordinate FAA's                    
      participation in the national efforts to combat organized crime,         
      drug trafficking, and criminal violations involving U.S.-                
      registered aircraft and airmen.                                          
                                                                               
           c.  Liaison with the U.S. Attorney's Office.  The OIG will          
      coordinate with the U.S. Attorney's Office in joint FAA/OIG              
      investigations.  In those criminal investigations within the             
      purview of the FAA, the investigating special agent will                 
      establish early contact with the U.S. Attorney's Office and shall        
      coordinate all investigative activities pertaining to the instant        
      case.  Upon conclusion of the investigation, the case will, in           
      coordination with the appropriate agency counsel, promptly be            
      presented to the U.S. Attorney's Office through the participating        
      assistant.                                                               
                                                                               
      14.  PREPARATION, DISTRIBUTION, AND USE OF THE REPORT OF                 
      INVESTIGATION (ROI).                                                     
                                                                               
           a.  Preparation.  An ROI will be prepared to reflect results        
      of any investigation initiated pursuant to this order.                   
                                                                               
           b.  Distribution.  The original ROI will be retained by the         
      office of origin.  A copy of the ROI will be provided to the             
      requesting office and/or office of jurisdiction, other concerned         
      offices, and to ACS-300.  Additional copies will not be made             
      without the knowledge and consent of the office of origin.               
                                                                               
           c.  Adverse Actions.  Every attempt shall be made to collect        
      evidence which can be used without restriction in an adverse             
      action.  Whenever possible, the ROI will be prepared so that it          
      can be used as a whole document in support of the adverse action.        
      If substantive information is obtained through the investigation,        
      but is restricted relative to use in an adverse action, that             
      information must be included in the ROI to make that document a          
      complete and accurate account of the investigation findings.             
      When the ROI is provided to management to support an adverse             
      action, the restricted information shall be deleted to ensure the        
      prevention of its use.  When an ROI has been furnished to a              
      requestor, whether intended for use in an adverse action or not,         
      there must be close coordination between the requester, other            
      involved officials, and the security element to avoid any                
      compromise of confidential or sensitive investigative material or        
      sources.                                                                 
                                                                               
           d.  Press Releases.  Press releases or responses to                 
      inquiries from the press concerning investigations covered by            
      this order shall be accomplished by the FAA Public Affairs Office        
      only.  Releases shall be coordinated with the investigating              
      security element and the management official(s) involved.                
      Inquiries concerning an OIG audit or investigation shall be              
      referred to DOT, Office of Public Information (ATTN:  A-30).             
                                                                               
           e.  Privacy Act.  The ROI is maintained in the files of FAA         
      as a part of the FAA Investigative Record System (DOT/FAA 815).          
      Investigative data compiled for law enforcement purposes may be          
      exempt from the access provisions of the Privacy Act pursuant to         
      5 USC 552a(k)(2) and (k)(5).  Classified ROI's may be exempt             
      under section 552(k)(1).                                                 
                                                                               
           f.  Freedom of Information Act (FOIA).  Certain                     
      investigatory records which are compiled for civil or criminal           
      law enforcement purposes, or which contain personal and privacy          
      information about individuals, may be withheld from disclosure           
      under 5 USC 552(b)(6) and (b)(7).  These statutory provisions            
      have been implemented for the Department of Transportation by 49         
      CFR 7.73 and 7.75.  Other FOIA exemptions may also apply to              
      particular investigatory materials.                                      
                                                                               
      15.  POST INVESTIGATIVE ACTIONS.  To be effective, timely                
      administrative, disciplinary, or other appropriate action must be        
      taken by management officials on completion of an FAA or, when           
      appropriate, DOT/OIG investigation.  A copy of the correspondence        
      indicating the action taken will be furnished to the servicing           
      Civil Aviation Security (CAS) element and made a part of the             
      complete investigative file.  A copy of the corresponding                
      indicating the action taken will also be provided to ACS-300 by          
      the servicing CAS element.                                               
                                                                               
      16.  AUTHORITY TO CHANGE THIS ORDER.  The Director of Civil              
      Aviation Security is authorized to issue changes to this order           
      except changes in policy or in assignment/responsibility.                
                                                                               
                                                                               
      \s\ T. Allan McArtor                                                     
          Administrator