The Foreign Intelligence Surveillance Act: An Overview of the Statutory Framework and U.Sl Foreign Intelligence Surveillance Court and U.S. Foreign Intelligence Surveillance Court of Review Decisions










Prepared for Members and Committees of Congress



The Foreign Intelligence Surveillance Act (FISA), 50 U.S.C. § 1801 et seq., as passed in 1978,
provided a statutory framework for the use of electronic surveillance in the context of foreign
intelligence gathering. In so doing, Congress sought to strike a delicate balance between national
security interests and personal privacy rights. Subsequent legislation expanded federal laws
dealing with foreign intelligence gathering to address physical searches, pen registers and trap
and trace devices, and access to certain business records. The USA PATRIOT Act of 2001, P.L.
107-56, made significant changes to some of these provisions. Further amendments were included
in the Intelligence Authorization Act for Fiscal Year 2002, P.L. 107-108, and the Homeland
Security Act of 2002, P.L. 107-296, the Intelligence Reform and Terrorism Prevention Act, P.L.
108-458, the USA PATRIOT Improvement and Reauthorization Act of 2005, P.L. 109-177, and
the USA PATRIOT Act Additional Reauthorizing Amendments Act of 2006, P.L. 109-178. In
addressing international terrorism or espionage, the same factual situation may be the focus of
both criminal investigations and foreign intelligence collection efforts. Some of the changes in
FISA under these public laws are intended, in part, to facilitate information sharing between law
enforcement and intelligence elements. In its Final Report, the 9/11 Commission noted that the
removal of the pre-9/11 “wall” between intelligence and law enforcement “has opened up new
opportunities for cooperative action within the FBI.”
On May 17, 2002, the U.S. Foreign Intelligence Surveillance Court (FISC) issued a memorandum
opinion and order written by the then Presiding Judge of the court, and concurred in by all of the
other judges then on the court. The unclassified opinion and order were provided to the Senate
Judiciary Committee in response to a letter from Senator Leahy, Senator Grassley, and Senator
Specter, who released them to the public on August 22, 2002. In its decision, the FISC considered
a motion by the U.S. Department of Justice “to vacate the minimization and ‘wall’ procedures in
all cases now or ever before the Court, including this Court’s adoption of the Attorney General’s
July 1995 intelligence sharing procedures, which are not consistent with new intelligence sharing
procedures submitted for approval with this motion.” The FISC granted the Department’s motion,
but modified part of what it saw as proposed minimization procedures. This decision was not
appealed directly, but the Department of Justice did seek review of an FISC order granting as
modified an application for electronic surveillance of an agent of a foreign power and for an FISC
order renewing that surveillance, both subject to restrictions based on the May 17 memorandum
opinion and order by the FISC. The U.S. Foreign Intelligence Surveillance Court of Review
reversed and remanded the FISC orders on November 18, 2002. This report will examine the
detailed statutory structure provided by FISA and related provisions of E.O. 12333, and will
discuss the decisions of the U.S. Foreign Intelligence Surveillance Court and the U.S. Foreign
Intelligence Surveillance Court of Review. It will be updated as subsequent changes require.






Introduc tion ..................................................................................................................................... 1
Backgr ound ............................................................................................................................... 3
Executive Order 12333....................................................................................................................5
The Foreign Intelligence Surveillance Act......................................................................................7
The Statutory Framework..........................................................................................................7
Creation of the U.S. Foreign Intelligence Surveillance Court and the U.S. Foreign
Intelligence Court of Review...........................................................................................9
Electronic surveillance under FISA...................................................................................11
Physical searches for foreign intelligence gathering purposes.........................................32
Pen registers or trap and trace devices used for foreign intelligence gathering
purposes ......................................................................................................................... 44
Access to certain business records or other tangible things for foreign intelligence
purposes ......................................................................................................................... 51
Private Right of Action in U.S. District Court for Those Aggrieved by Willful
Violations of 50 U.S.C. §§ 1806(a), 1825(a), or 1845(a) of FISA.......................................58
Sunset Provisions....................................................................................................................59
Published Decisions of the FISC and the U.S. Foreign Intelligence Surveillance Court of
Revi ew ........................................................................................................................................ 59
The FISC Decision..................................................................................................................59
Summary ........................................................................................................................ ... 59
Discussion of the Memorandum Opinion and Order........................................................60
The Decision of the U.S. Foreign Intelligence Surveillance Court of Review.......................66
Summary ........................................................................................................................ ... 66
Discussion of the Opinion.................................................................................................67
Conclusion ..................................................................................................................................... 80
Author Contact Information..........................................................................................................88






On October 26, 2001, President George W. Bush signed P.L. 107-56, the Uniting and
Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct
Terrorism Act or the USA PATRIOT Act. Among its provisions are a number which impacted or
amended the Foreign Intelligence Surveillance Act (FISA), 50 U.S.C. § 1801 et seq., an act which
provides a statutory structure for the use of electronic surveillance, physical searches, pen
registers, trap and trace devices, and orders requiring production of tangible things within the
United States to gather foreign intelligence information or to assist in specified types of
investigations.
The changes made to FISA by P.L. 107-56 were far reaching. For example, the law expanded the
number of United States district court judges on the Foreign Intelligence Surveillance Court and
provided for roving or multipoint electronic surveillance authority under FISA. It amended FISA
provisions with respect to pen registers and trap and trace devices, and substantially expanded the
reach of the business records provisions to provide a mechanism for production of any tangible
thing pursuant to a FISA court order. The amended language changed the certification demanded
of a federal officer applying for a FISA order for electronic surveillance or a physical search from
requiring a certification that the purpose of the surveillance or physical search is to obtain foreign
intelligence information to requiring certification that a significant purpose of the surveillance or
search is to obtain foreign intelligence information. As implemented, this has made it possible for
FISA to be used where the primary purpose of the investigation is criminal investigation, so long
as a significant foreign intelligence purpose is also present. FISA, as amended, also affords a
private right of action to persons aggrieved by inappropriate use or disclosure of information
gathered in or derived from a FISA surveillance or physical search or through the use of a pen
register or trap and trace device. Of the amendments made by the USA PATRIOT Act, all but the
section which increased the number of judges on the Foreign Intelligence Surveillance Court
were set by that Act to sunset on December 31, 2005. P.L. 109-160 and P.L. 109-170 extended the
sunset of certain FISA provisions, among others, to February 3, 2006, and March 10, 2006,
respectively. The USA PATRIOT Improvement and Reauthorization Act of 2005, P.L. 109-177,
replaced the sunset provisions of P.L. 107-56, as amended, with new provisions extending the
application of the affected amendments to December 31, 2009. Amendments to FISA were also
made by the Intelligence Authorization Act for Fiscal Year 2003, P.L. 107-108; the Homeland
Security Act of 2002, P.L. 107-296; and the Intelligence Reform and Terrorism Protection Act of

2004, P.L. 108-458.


In the 109th Congress, two measures, the USA PATRIOT Improvement and Reauthorization Act
of 2005, P.L. 109-177, and the USA PATRIOT Act Additional Reauthorizing Amendments Act of
2006, P.L. 109-178, made significant changes to FISA. P.L. 109-177 extended the duration of
FISA electronic surveillance, physical searches, and pen register and trap and trace devices. It
also added requirements to applications for production of certain sensitive types of records, and
expanded the requirements for applications for FISA orders for production of tangible things and
for orders authorizing such production. This Act created a new petition review pool within the
U.S. Foreign Intelligence Surveillance Court (FISC) to address challenges to such production
orders or to related nondisclosure orders, and established a detailed procedure for review of such
orders. Further, it directed the Inspector General of the U.S. Department of Justice to perform a
comprehensive audit of the effectiveness and use, including improper or illegal use, of the
investigative authority under title V of FISA, 50 U.S.C. § 1861 et seq., for fiscal years 2002-2006.
The measure modified the requirements for multipoint electronic surveillance under FISA. It also





expanded congressional oversight of FISA electronic surveillance, physical searches, and use of
pen registers and trap and trace devices. P.L. 109-178 amends the procedures for judicial review
of production and nondisclosure orders under 50 U.S.C. § 1861.
On May 17, 2002, the U.S. Foreign Intelligence Surveillance Court issued an opinion and order1
written by the then Presiding Judge of the court, U.S. District Judge Royce C. Lamberth. All of
the other judges then on the FISC concurred in the order. The opinion was provided by the current
Presiding Judge of the FISC, U.S. District Judge Colleen Kollar-Kotelly, to the Senate Judiciary
Committee in response to a July 31 letter from Senator Leahy, Senator Grassley and Senator 2
Specter. On August 22, 2002, the unclassified opinion was released to the public by Senator
Leahy, Senator Grassley and Senator Specter.
In the memorandum opinion and order, the FISC considered a motion by the U.S. Department of
Justice “to vacate the minimization and ‘wall’ procedures in all cases now or ever before the
Court, including this Court’s adoption of the Attorney General’s July 1995 intelligence sharing
procedures, which are not consistent with new intelligence sharing procedures submitted for 3
approval with this motion.” In its memorandum and accompanying order, the FISC granted the
Department of Justice’s motion, but modified the second and third paragraphs of section II.B of 4
the proposed minimization procedures.
The FISC’s May 17th memorandum opinion and order were not appealed directly. However, the
Justice Department sought review in the U.S. Foreign Intelligence Court of Review (Court of
Review) of an FISC order authorizing electronic surveillance of an agent of a foreign power, th
subject to restrictions flowing from the May 17 decision, and of an FISC order renewing that
surveillance subject to the same restrictions. The Court of Review reversed and remanded the 5
FISC orders. This opinion, the first issued by the U.S. Foreign Intelligence SurveillanceCourt of
Review since its creation in 1978, was also released to the public. This report will provide
background on the Foreign Intelligence Surveillance Act, discuss its statutory framework, and
review these two decisions.

1 In re All Matters Submitted to the Foreign Intelligence Surveillance Court, 218 F. Supp. 2d 611(U.S. Foreign Intell.
Surveil. Ct. 2002) (hereinafter FISC op.).
2 See, Statement of Sen. Patrick Leahy, Chairman, Committee on the Judiciary, “The USA PATRIOT Act in Practice:
Shedding Light on the FISA Process” (Sept. 10, 2002), http://leahy.senate.gov/press/200209/091002.html; “Courts,”
National Journal’s Technology Daily (August 22, 2002, PM Edition);Secret Court Rebuffs Ashcroft; Justice Dept.
Chided on Misinformation,” by Dan Eggen and Susan Schmidt, Washington Post, p. A1 (August 23, 2002).
3 FISC op., 218 F. Supp. 2d at 613.
4 Id. at 624-27.
5 In re Sealed Case, 310 F.3d 717 (U.S. Foreign Intell. Surveil. Ct. Rev. 2002) (hereinafter Court of Review op.). The
Foreign Intelligence Surveillance Act, P.L. 95-511, as amended (hereinafter FISA), Title I, § 103, 50 U.S.C. § 1803,
created both the U.S. Foreign Intelligence Surveillance Court and the U.S. Foreign Intelligence Surveillance Court of
Review. As originally constituted the FISC was made up of 7 U.S. district court judges publicly designated by the
Chief Justice of the United States. As amended by the USA PATRIOT Act, P.L. 107-56, § 208, the membership in the
FISC was expanded to 11 members, at least 3 of whom must live within a 20 mile radius of the District of Columbia.
The U.S. Foreign Intelligence Surveillance Court of Review is made up of 3 U.S. district court or U.S. court of appeals
judges publicly designated by the Chief Justice. Subsection 1803(e)(1), as added by Sec. 106(f)(1) of the USA
PATRIOT Improvement and Reauthorization Act of 2005, P.L. 109-177, creates a petition review pool of FISC judges
to address petitions filed under § 501(f) of FISA, 50 U.S.C. § 1861(f), to challenge production orders or related
nondisclosure orders.





Investigations for the purpose of gathering foreign intelligence give rise to a tension between the 6
Government’s legitimate national security interests and the protection of privacy interests. The
stage was set for legislation to address these competing concerns in part by Supreme Court
decisions on related issues. In Katz v. United States, 389 U.S. 347 (1967), the Court held that the
protections of the Fourth Amendment extended to circumstances involving electronic surveillance 7
of oral communications without physical intrusion. The Katz Court stated, however, that its 8
holding did not extend to cases involving national security. In United States v. United States
District Court, 407 U.S. 297 (1972) (the Keith case), the Court regarded Katz as “implicitly
recogniz[ing] that the broad and unsuspected governmental incursions into conversational privacy
which electronic surveillance entails necessitate the application of Fourth Amendment 9
safeguards.” Mr. Justice Powell, writing for the Keith Court, framed the matter before the Court
as follows:
The issue before us is an important one for the people of our country and their Government.
It involves the delicate question of the Presidents power, acting through the Attorney
General, to authorize electronic surveillance in internal security matters without prior judicial
approval. Successive Presidents for more than one-quarter of a century have authorized such
surveillance in varying degrees, without guidance from the Congress or a definitive decision
of this Court. This case brings the issue here for the first time. Its resolution is a matter of
national concern, requiring sensitivity both to the Governments right to protect itself from
unlawful subversion and attack and to the citizen’s right to be secure in his privacy against 10
unreasonable Government intrusion.
The Court held that, in the case of intelligence gathering involving domestic security surveillance, 11
prior judicial approval was required to satisfy the Fourth Amendment. Justice Powell
emphasized that the case before it “require[d] no judgment on the scope of the President’s
surveillance power with respect to the activities of foreign powers, within or without the 12
country.” The Court expressed no opinion as to “the issues which may be involved with respect

6 The Fourth Amendment to the United States Constitution states:
The right of the people to be secure in their persons, houses, papers, and effects, against
unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon
probable cause, supported by Oath or affirmation, and particularly describing the place to be
searched, and the persons or things to be seized.
7 Katz v. United States, 389 U.S. 347, 353 (1967).
8 Id., at 359, n. 23.
9 United States v. United States District Court, 407 U.S. 297, 313-14 (1972).
10 407 U.S. at 299.
11 Id., at 391-321. Justice Powell also observed that,
National security cases ... often reflect a convergence of First and Fourth Amendment values not
present in cases ofordinary crime. Though the investigative duty of the executive may be
stronger in such cases, so also is there greater jeopardy to constitutionally protected speech.
“Historically the struggle for freedom of speech and press in England was bound up with the issue
of the scope of the search and seizure power, Marcus v. Search Warrant, 367 U.S. 717, 724
(1961).... Fourth Amendment protections become the more necessary when the targets of official
surveillance may be those suspected of unorthodoxy in their political beliefs. The danger to
political dissent is acute where the Government attempts to act under so vague a concept as the
power to protectdomestic security.” ....
12 Id., at 308.





to activities of foreign powers or their agents.”13 However, the guidance which the Court provided
in Keith with respect to national security surveillance in a domestic context to some degree
presaged the approach Congress was to take in foreign intelligence surveillance. The Keith Court
observed in part:
...We recognize that domestic surveillance may involve different policy and practical
considerations from the surveillance of ordinary crime.” The gathering of security
intelligence is often long range and involves the interrelation of various sources and types of
information. The exact targets of such surveillance may be more difficult to identify than in
surveillance operations against many types of crime specified in Title III [of the Omnibus
Crime Control and Safe Streets Act, 18 U.S.C. § 2510 et seq.]. Often, too, the emphasis of
domestic intelligence gathering is on the prevention of unlawful activity or the enhancement
of the Governments preparedness for some possible future crisis or emergency. Thus, the
focus of domestic surveillance may be less precise than that directed against more
conventional types of crimes. Given these potential distinctions between Title III criminal
surveillances and those involving domestic security, Congress may wish to consider
protective standards for the latter which differ from those already prescribed for specified
crimes in Title III. Different standards may be compatible with the Fourth Amendment if
they are reasonable both in relation to the legitimate need of Government for intelligence
information and the protected rights of our citizens. For the warrant application may vary
according to the governmental interest to be enforced and the nature of citizen rights
deserving protection.... It may be that Congress, for example, would judge that the
application and affidavit showing probable cause need not follow the exact requirements of §
2518 but should allege other circumstances more appropriate to domestic security cases; that
the request for prior court authorization could, in sensitive cases, be made to any member of
a specially designated court...; and that the time and reporting requirements need not be so
strict as those in § 2518. The above paragraph does not, of course, attempt to guide the
congressional judgment but rather to delineate the present scope of our own opinion. We do
not attempt to detail the precise standards for domestic security warrants any more than our
decision in Katz sought to set the refined requirements for the specified criminal
surveillances which now constitute Title III. We do hold, however, that prior judicial
approval is required for the type of domestic surveillance involved in this case and that such
approval may be made in accordance with such reasonable standards as the Congress may 14
prescribe.
Court of appeals decisions following Keith met more squarely the issue of warrantless electronic
surveillance in the context of foreign intelligence gathering. In United States v. Brown, 484 F.2d th
418 (5 Cir. 1973), cert. denied, 415 U.S. 960 (1974), the Fifth Circuit upheld the legality of a
warrantless wiretap authorized by the Attorney General for foreign intelligence purposes where
the conversation of Brown, an American citizen, was incidentally overheard. The Third Circuit in rd
United States v. Butenko, 494 F.2d 593 (3 Cir. 1974), cert. denied sub nom, Ivanov v. United
States, 419 U.S. 881 (1974), concluded that warrantless electronic surveillance was lawful,
violating neither Section 605 of the Communications Act nor the Fourth Amendment, if its
primary purpose was to gather foreign intelligence information. In its plurality decision in
Zweibon v. Mitchell, 516 F.2d 594, 613-14 (D.C. Cir. 1975), cert. denied, 425 U.S. 944 (1976),
the District of Columbia Circuit took a somewhat different view in a case involving a warrantless
wiretap of a domestic organization that was not an agent of a foreign power or working in
collaboration with a foreign power. Finding that a warrant was required in such circumstances,
the plurality also noted that “an analysis of the policies implicated by foreign security

13 Id., at 321-22.
14 407 U.S. at 323-24.





surveillance indicates that, absent exigent circumstances, all warrantless electronic surveillance is
unreasonable and therefore unconstitutional.”
With the passage of the Foreign Intelligence Surveillance Act (FISA), P.L. 95-511, Title I,
October 25, 1978, 92 Stat. 1796, codified as amended at 50 U.S.C. § 1801 et seq., Congress
sought to strike a delicate balance between these interests when the gathering of foreign 15
intelligence involved the use of electronic surveillance. Collection of foreign intelligence 16
information through electronic surveillance is now governed by FISA and E.O. 12333. This
report will examine the provisions of FISA which deal with electronic surveillance in the foreign
intelligence context, as well as those applicable to physical searches, the use of pen registers and
trap and trace devices under FISA, and access to business records and other tangible things for
foreign intelligence purposes. As the provisions of E.O. 12333 to some extent set the broader
context within which FISA operates, we will briefly examine its pertinent provisions first.

Executive Order 12333, 46 Fed. Reg. 59,941 (December 4, 1981), as amended,17 50 U.S.C. § 401
note, deals with “United States Intelligence Activities.” Under Section 2.3 of E.O. 12333, the
agencies within the Intelligence Community are to “collect, retain or disseminate information
concerning United States persons only in accordance with procedures established by the head of
the agency concerned and approved by the Attorney General, consistent with the authorities
provided by Part 1 of this Order....” Among the types of information that can be collected,
retained or disseminated under this section are:
(a) Information that is publicly available or collected with the consent of the person
concerned;
(b) Information constituting foreign intelligence or counterintelligence, including such
information concerning corporations or other commercial organizations. Collection within
the United States of foreign intelligence not otherwise obtainable shall be undertaken by the
FBI or, when significant foreign intelligence is sought, by other authorized agencies of the
Intelligence Community, provided that no foreign intelligence collection by such agencies
may be undertaken for the purpose of acquiring information concerning the domestic
activities of United States persons;
(c) Information obtained in the course of a lawful foreign intelligence,
counterintelligence, international narcotics or international terrorism investigation;

15 For an examination of the legislative history of P.L. 95-511, see S.Rept. 95-604, Senate Committee on the Judiciary,
Parts I and II (Nov. 15, 22, 1977); S.Rept. 95-701, Senate Select Committee on Intelligence (March 14, 1978); H.Rept.
95-1283, House Permanent Select Committee on Intelligence (June 8, 1978); H. Conf. Rept. 95-1720 (Oct. 5, 1978);
Senate Reports and House Conference Report are reprinted in 1978 U.S. Code Cong. & Admin. News 3904.
16 Physical searches for foreign intelligence information are governed by 50 U.S.C. § 1821 et seq., while the use of pen
registers and trap and trace devices in connection with foreign intelligence investigations is addressed in 50 U.S.C. §
1841 et seq. Access to certain business records and other tangible things for foreign intelligence or international
terrorism investigative purposes is covered by 50 U.S.C. § 1861 et seq.
17 E.O. 12333 was amended by E.O. 13284, 68 Fed. Reg. 4,075 (Jan. 23, 2003), entitled “Amendment of Executive
Orders, and Other Actions, in Connection with the Establishment of the Department of Homeland Security ; and E.O.
13355, 69 Fed. Reg. 53,593 (Aug. 27, 2004), entitled “Strengthened Management of the Intelligence Community.





(d) Information needed to protect the safety of any persons or organizations, including
those who are targets, victims or hostages of international terrorist organizations;
(e) Information needed to protect foreign intelligence or counterintelligence sources or
methods from unauthorized disclosure. Collection within the United States shall be
undertaken by the FBI except that other agencies of the Intelligence Community may also
collect such information concerning present or former employees, present or former
intelligence agency contractors or their present or former employees, or applicants for any
such employment or contracting;
(f) Information concerning persons who are reasonably believed to be potential sources
or contacts for the purpose of determining their suitability or credibility;
(g) Information arising out of a lawful personnel, physical or communications security
investigation;
...
(i) Incidentally obtained information that may indicate involvement in activities that
may violate federal, state, local or foreign laws; and
(j) Information necessary for administrative purposes.
In addition, agencies within the Intelligence Community may disseminate information,
other than information derived from signals intelligence, to each appropriate agency within
the Intelligence Community for purposes of allowing the recipient agency to determine
whether the information is relevant to its responsibilities and can be retained by it.
In discussing collections techniques, Section 2.4 of E.O. 12333 indicates that agencies within the
Intelligence Community are to use
the least intrusive collection techniques feasible within the United States or directed against
United States persons abroad. Agencies are not authorized to use such techniques as
electronic surveillance, unconsented physical search, mail surveillance, physical
surveillance, or monitoring devices unless they are in accordance with procedures
established by the head of the agency concerned and approved by the Attorney General. Such
procedures shall protect constitutional and other legal rights and limit use of such
information to lawful governmental purposes....
Section 2.5 of the Executive Order 12333 states that:
The Attorney General hereby is delegated the power to approve the use for intelligence
purposes, within the United States or against a United States person abroad, of any technique
for which a warrant would be required if undertaken for law enforcement purposes, provided
that such techniques shall not be undertaken unless the Attorney General has determined in
each case that there is probable cause to believe that the technique is directed against a
foreign power or an agent of a foreign power. Electronic surveillance, as defined in the
Foreign Intelligence Surveillance Act of 1978 [section 1801 et seq. of this title], shall be
conducted in accordance with that Act, as well as this Order.






The Foreign Intelligence Surveillance Act (FISA), P.L. 95-511, Title I, October 25, 1978, 92 Stat.

1796, codified at 50 U.S.C. § 1801 et seq., as amended, provides a framework for the use of 181920


electronic surveillance and physical searches to obtain foreign intelligence information. It

18 50 U.S.C. § 1801(f)(2) defines “electronic surveillance” to mean:
(1) the acquisition by an electronic, mechanical, or other surveillance device of the contents of any
wire or radio communication sent by or intended to be received by a particular, known United
States person who is in the United States, if the contents are acquired by intentionally targeting that
United States person, under circumstances in which a person has a reasonable expectation of
privacy and a warrant would be required for law enforcement purposes;
(2) the acquisition by an electronic, mechanical, or other surveillance device of the contents of any
wire communication to or from a person in the United States, without the consent of any person
thereto, if such acquisition occurs in the United States, but does not include the acquisition of those
communications of computer trespassers that would be permissible under section 2511(2)(i) of
Title 18;
(3) the intentional acquisition by an electronic, mechanical, or other surveillance device of the
contents of any radio communication, under circumstances in which a person has a reasonable
expectation of privacy and a warrant would be required for law enforcement purposes, and if both
the sender and all intended recipients are located within the United States; or
(4) the installation or use of an electronic, mechanical, or other surveillance device in the United
States for monitoring to acquire information, other than from a wire or radio communication, under
circumstances in which a person has a reasonable expectation of privacy and a warrant would be
required for law enforcement purposes.
The italicized portion of Subsection 1801(f)(2) was added by Sec. 1003 of P.L. 107-56.
19 Aphysical search is defined under section 301(5) of FISA, 50 U.S.C. § 1821(5), to mean:
any physical intrusion within the United States into premises or property (including examination of
the interior of property by technical means) that is intended to result in seizure, reproduction,
inspection, or alteration of information, material, or property, under circumstances in which a
person has a reasonable expectation of privacy and a warrant would be required for law
enforcement purposes, but does not include (A) “electronic surveillance”, as defined in section
1801(f) of this title [50 U.S.C.], or (B) the acquisition by the United States Government of foreign
intelligence information from international or foreign communications, or foreign intelligence
activities conducted in accordance with otherwise applicable Federal law involving a foreign
electronic communications system, utilizing a means other than electronic surveillance as defined
in [50 U.S.C. § 1801(f)].
20Foreign intelligence information” is defined in 50 U.S.C. § 1801(e) to mean:
(1) information that relates to, and if concerning a United States person is necessary to, the ability
of the United States to protect against
(A) actual or potential attack or other grave hostile acts of a foreign power or an agent of a
foreign power;
(B) sabotage or international terrorism by a foreign power or an agent of a foreign power;
(C) clandestine intelligence activities by an intelligence service or network of a foreign power
or by an agent of a foreign power; or
(2) information with respect to a foreign power or foreign territory that relates to, and if concerning
a United States person is necessary to
(A) the national defense or the security of the United States; or
(B) the conduct of the foreign affairs of the United States.
International terrorism is defined in 50 U.S.C. § 1801(c) to mean activities that:
(continued...)





also provides a statutory structure for the installation and use of pen registers and trap and trace 21
devices and for orders requiring production of tangible things for use in federal investigations to
obtain foreign intelligence information not concerning a United States person or to protect against 22
international terrorism or clandestine intelligence activities. Such an investigation of a United

(...continued)
(1) involve violent acts or acts dangerous to human life that are a violation of the criminal laws of
the United States or of any State, or that would be a criminal violation if committed within the
jurisdiction of the United States or any State;
(2) appear to be intended—
(A) to intimidate or coerce a civilian population;
(B) to influence the policy of a government by intimidation or coercion; or
(C) to affect the conduct of a government by assassination or kidnapping; and
(3) occur totally outside the United States, or transcend national boundaries in terms of the means
by which they are accomplished, the persons they appear intended to coerce or intimidate, or the
locale in which their perpetrators operate or seek asylum.
Sabotage is defined in 50 U.S.C. § 1801(d) to meanactivities that involve a violation of chapter 105 of Title 18, or
that would involve such a violation if committed against the United States.”
21 Pen registers and trap and trace devices are addressed in title IV of FISA, 50 U.S.C. § 1841 et seq. Subsection 401(2)
of FISA, 50 U.S.C. § 1841(2) defines “pen register” and “trap and trace device” by cross-reference to 18 U.S.C. §
3127. Under 18 U.S.C. § 3127(3),pen register is defined to mean:
a device or process which records or decodes dialing, routing, addressing, or signaling information
transmitted by an instrument or facility from which a wire or electronic communication is
transmitted, provided, however, that such information shall not include the contents of any
communication, but such term does not include any device or process used by a provider or
customer of a wire or electronic communication service for billing, or recording as an incident to
billing, for communications services provided by such provider or any device or process used by a
provider or customer of a wire communication service for cost accounting or other like purposes in
the ordinary course of its business.
The term “trap and trace device” is defined under 18 U.S.C. § 3127(4) to mean:
a device or process which captures the incoming electronic or other impulses which identify the
originating number or other dialing, routing, addressing, and signaling information reasonably
likely to identify the source of a wire or electronic communication, provided, however, that such
information shall not include the contents of any communication.
22 50 U.S.C. § 1861. In addition to the provisions dealing with electronic surveillance, physical searches and pen
registers and trap and trace devices, FISA includes a section which, subject to subsection 1861(a)(3), permits the
Director of the FBI or his designee (whose rank may be no lower than an Assistant Special Agent in Charge) to apply
for an order requiringproduction of any tangible things (including books, records, papers, documents, and other items)
for an investigation to obtain foreign intelligence information not concerning a United States person or to protect
against international terrorism or clandestine intelligence activities....” 50 U.S.C. § 1861(a)(1). Where such an
investigation is of a United States person, it may not be conducted solely upon the basis of activities protected by the
first amendment to the Constitution.” Id. Subsection 1861(a)(3) was added by P.L. 109-177. It provides that, in the case
of an application for an order requiring the production of library circulation records, library patron lists, book sales
records, book customer lists, firearms sales records, tax return records, educational records, or medical records
containing information that would identify a person, the Director of the Federal Bureau of Investigation may delegate
the authority to make such application to either the Deputy Director of the Federal Bureau of Investigation or the
Executive Assistant Director for National Security (or any successor position). The Deputy Director or the Executive
Assistant Director are prohibited from further delegation of such authority. Although this section is entitled “access to
certain business records for foreign intelligence and international terrorism investigations,” it encompasses
substantially more than just business records. The current language of 50 U.S.C. §§ 1861 and 1862 (which deals with
congressional oversight of all such requests for production of tangible things under § 1861) was added by the USA
PATRIOT Act, and amended by P.L. 107-108. It replaced former 50 U.S.C. §§ 1861-1863, added by P.L. 105-272, title
VI, § 602, 112 Stat. 2411 (Oct. 20, 1998), which defined various terms, provided for applications for orders for access
to certain limited types of business records (relating to records in the possession of common carriers, physical storage
facilities, public accommodation facilities, and vehicle rental facilities) for foreign intelligence and international
(continued...)





States person may not be conducted solely on the basis of activities protected by the First 23
Amendment to the Constitution. This measure seeks to strike a balance between national
security needs in the context of foreign intelligence gathering and privacy rights.
FISA establishes two special courts, the U.S. Foreign Intelligence Surveillance Court (FISC) and
the U.S. Foreign Intelligence Surveillance Court of Review (Court of Review), comprised of
federal judges to address applications for court orders authorizing such electronic surveillance,
physical searches, installation and use of pen registers and trap and trace devices, and production 24
of tangible things.
Under 50 U.S.C. § 1803(a),25 the Chief Justice of the United States must publicly designate
eleven U.S. district court judges from seven of the United States judicial circuits, of whom no
fewer than three must reside within 20 miles of the District of Columbia. These eleven judges
constitute the U.S. Foreign Intelligence Surveillance Court (FISC), which has jurisdiction over 2627
applications for and orders approving electronic surveillance, physical searches, pen registers 2829
or trap and trace devices or orders for production of tangible things anywhere within the 3031
United States under FISA. If an application for electronic surveillance or a physical search
under this Act is denied by one judge of this court, it may not then be considered by another judge
on the court. If a judge denies such an application, he or she must immediately provide a written 32
statement for the record of the reason(s) for this decision.
The Chief Justice also publicly designates the three U.S. district court or U.S. court of appeals
judges who together make up the U.S. Foreign Intelligence Surveillance Court of Review (Court 3334
of Review). This court has jurisdiction to review any denial of an order under FISA. If the

(...continued)
terrorism investigations, and provided for congressional oversight of such records requests. For more information on
title V of FISA, 50 U.S.C. §§ 1861-1862, see the section of this report entitled “Access to certain business records and
other tangible things for foreign intelligence purposes,” infra.
23 Section 402(a)(1) of FISA, 50 U.S.C. § 1842(a)(1); Section 501(a)(1) and (a)(2)(B) of FISA, 50 U.S.C. § 1861(a)(1)
and (a)(2)(B).
24 For a more detailed discussion of the FISC and the Court of Review, see CRS Report RL33833, The U.S. Foreign
Intelligence Surveillance Court and the U.S. Foreign Intelligence Surveillance Court of Review: An Overview, by
Elizabeth B. Bazan.
25 When FISA was enacted in 1978, the FISC was made up of seven judges; Section 208 of P.L. 107-56 increased that
number to eleven.
26 Cf., 50 U.S.C. § 1802(b).
27 50 U.S.C. § 1822(c).
28 50 U.S.C. § 1842(b) and (d).
29 50 U.S.C. § 1861(b) and (c).
30 50 U.S.C. § 1803(a).
31 50 U.S.C. § 1822(c).
32 50 U.S.C. §§ 1803(a), 1822(c).
33 50 U.S.C. § 1803(b).
34 50 U.S.C. §§ 1803(b); see also, 50 U.S.C. §§ 1822(d), 1861(f)(3).





United States appeals an FISC denial of an application, the record from the FISC must be
transmitted under seal to the Court of Review established.
If the Court of Review determines that an application was properly denied, again a written
statement of the reason(s) for the court’s decision must be provided for the record. The United
States may petition for a writ of certiorari to the United States Supreme Court for review of that 35
decision. All proceedings under FISA must be conducted expeditiously, and the record of all
proceedings including applications and orders granted, must be maintained under security
measures established by the Chief Justice in consultation with the Attorney General and the 36
Director of National Intelligence.
Three FISC judges who reside within 20 miles of the District of Columbia, or, if all of such
judges are unavailable, other judges of the FISC designated by the presiding judge of such court,
comprise a petition review pool which has jurisdiction to review petitions filed pursuant to 50 37
U.S.C. § 1861(f)(1) challenging production orders and non-disclosure orders.
The judges of the FISC and the Court of Review serve for seven year terms and may not be 38
redesignated. The FISC and the Court of Review may establish rules and procedures, and may 39
take such actions, as are reasonably necessary to administer their responsibilities under FISA.
The FISC has established the FOREIGN INTELLIGENCE SURVEILLANCE COURT RULES OF
PROCEDURE, and PROCEDURES FOR REVIEW OF PETITIONS FILED PURSUANT TO SECTION 501(F)
OF THE FOREIGN INTELLIGENCE SURVEILLANCE ACT OF 1978, AS AMENDED have also been 40
adopted. Rules of procedure for the Court of Review have not been identified. Any such rules
and procedures, and any modifications thereto, must be recorded and transmitted in an
unclassified form (although they may include a classified annex) to all of the judges on the FISC;
all of the judges on the Court of Review; the Chief Justice of the United States; the Committee on
the Judiciary of the Senate and of the House of Representatives; and the House Permanent Select 41
Committee on Intelligence and the Senate Select Committee on Intelligence.

35 50 U.S.C. § 1803(b); see also, 50 U.S.C. §§ 1822(d), 1861(f)(3).
36 50 U.S.C. § 1803(c).
37 50 U.S.C. § 1803(e), added by Subsection 106(f)(1) of P.L. 109-177. Under 50 U.S.C. § 1803(e)(2), the FISC was
required to adopt and, consistent with the protection of national security, to publish procedures for the review of
petitions filed pursuant to 50 U.S.C. § 1861(f)(1) by the panel established under Subsection 1803(e)(1). Subsection
1803(e)(2) further directed that such procedures provide that review of a petition shall be conducted in camera and also
provide for the designation of an acting presiding judge. Under Rule 8(a) of the PROCEDURES FOR REVIEW OF PETITIONS
FILED PURSUANT TO SECTION 501(F) OF THE FOREIGN INTELLIGENCE SURVEILLANCE ACT OF 1978, AS AMENDED, Clerk of
the Court notifies the Presiding Judge of the FISC when a petition is received. If the Presiding Judge is unavailable, the
local FISC judge, other than the Presiding Judge, who has the greatest seniority on the FISC is notified by the Clerk of
the Court. If no local judge is available, the Clerk of the Court notifies the most senior FISC judge reasonably
available. The judge notified is the Acting Presiding Judge for that case.
38 50 U.S.C. § 1803(d).
39 50 U.S.C. § 1803(f)(1), added by P.L. 109-177, Subsection 109(d).
40 Both are available at http://www.uscourts.gov/rules/fisa.html.
41 50 U.S.C. § 1803(f)(2), as added by P.L. 109-177, Subsection 109(d).





Electronic surveillance under title I of FISA, 50 U.S.C. § 1801 et seq., is generally conducted 42
under an FISC order, unless the surveillance fits within one of three statutory exceptions.
The first of these exceptions is electronic surveillance of certain foreign powers without a court
order upon Attorney General certification that specific criteria have been met. Under section
101(g) of FISA, 50 U.S.C. § 1801(g), as amended by Subsection 506(a)(5) of P.L. 109-177, the
term “Attorney General” is defined to mean “the Attorney General of the United States (or Acting
Attorney General), the Deputy Attorney General, or, upon the designation of the Attorney
General, the Assistant Attorney General designated as the Assistant Attorney General for National 43
Security under section 507A of title 28, United States Code.”
Under 50 U.S.C. § 1802, the President, through the Attorney General, may authorize electronic
surveillance to acquire foreign intelligence information for up to one year without a court order if
two criteria are satisfied. First, to utilize this authority, the Attorney General must certify in
writing under oath that:
(A) the electronic surveillance is solely directed at—
(i) the acquisition of the contents of communications transmitted by means of
communications used exclusively between or among foreign powers, as defined in [50
U.S.C. § 1801(a)(1), (2), or (3)]; or
(ii) the acquisition of technical intelligence, other than the spoken communications
of individuals, from property or premises under the open and exclusive control of a
foreign power, as defined in [50 U.S.C. § 1801(a)(1), (2) or (3)];

42 These three exceptions are: 50 U.S.C. § 1802 (electronic surveillance of three categories of foreign powers for up to
one year without a court order upon Attorney General certification; the three categories, as defined in 50 U.S.C. §§
1801(a)(1), (2), or (3), cover (1) a foreign government or any component thereof, whether or not recognized by the
United States; (2) a faction of a foreign nation or nations, not substantially composed of United States persons; or (3)
an entity that is openly acknowledged by a foreign government or governments to be directed and controlled by such
foreign government or governments); 50 U.S.C. § 1805(f) (emergency electronic surveillance upon Attorney General
certification for up to 72 hours while an FISC order is being sought); and 50 U.S.C. § 1811 (electronic surveillance for
15 calendar days after a congressional declaration of war).
43 Section 507A was added to title 28, U.S.C., by P.L. 109-177, Section 506(a)(1). It provides:
§ 507A. Assistant Attorney General for National Security
(a) Of the Assistant Attorneys General appointed under section 506, one shall serve, upon the
designation of the President, as the Assistant Attorney General for National Security.
(b) The Assistant Attorney General for National Security shall—
(1) serve as the head of the National Security Division of the Department of Justice under
section 509A of this title;
(2) serve as primary liaison to the Director of National Intelligence for the Department of
Justice; and
(3) perform such other duties as the Attorney General may prescribe.





(B) there is no substantial likelihood that the surveillance will acquire the contents of
any communication to which a United States person is a party; and
(C) the proposed minimization procedures with respect to such surveillance meet the 44
definition of minimization procedures under [50 U.S.C. § 1801(h)];

44 Minimization procedures with respect to electronic surveillance are defined in 50 U.S.C. § 1801(h) to mean:
(1) specific procedures, which shall be adopted by the Attorney General, that are reasonably
designed in light of the purpose and technique of the particular surveillance, to minimize the
acquisition and retention, and prohibit the dissemination, of nonpublicly available information
concerning unconsenting United States persons consistent with the need of the United States to
obtain, produce, and disseminate foreign intelligence information;
(2) procedures that require that nonpublicly available information, which is not foreign intelligence
information, as defined in subsection (e)(1) of this section, shall not be disseminated in a manner
that identifies any United States person, without such persons consent, unless such person’s
identity is necessary to understand foreign intelligence information or assess its importance;
(3) notwithstanding paragraphs (1) and (2), procedures that allow for the retention and
dissemination of information that is evidence of a crime which has been, is being, or is about to be
committed and that is to be retained or disseminated for law enforcement purposes; and
(4) notwithstanding paragraphs (1), (2), and (3), with respect to any electronic surveillance
approved pursuant to section 1802(a) of this title, procedures that require that no contents of any
communication to which a United States person is a party shall be disclosed, disseminated, or used
for any purpose or retained for longer than 72 hours unless a court order under section 1805 of this
title is obtained or unless the Attorney General determines that the information indicates a threat of
death or serious bodily harm to any person.
Sec. 314(a)(1) of H.Rept. 107-328, the conference report on the Intelligence Authorization Act for Fiscal Year 2002 to
accompany H.R. 2883, amended 50 U.S.C. § 1801(h)(4) to change to 72 hours what was previously a 24 hour period
beyond which the contents of any communication to which a U.S. person is a party may not be retained absent a court
order under 50 U.S.C. § 1805 or a finding by the Attorney General that the information indicates a threat of death or
serious bodily injury. The conference version of H.R. 2883 received the approbation of both houses of Congress, and
was forwarded to the President on December 18, 2001, for his signature. Signed by the President ten days later, it
became P.L. 107-108.
United States person is defined in 50 U.S.C. § 1801(i) to mean
a citizen of the United States, an alien lawfully admitted for permanent residence (as defined in
section 1101(a)(20) of Title 8), an unincorporated association a substantial number of members of
which are citizens of the United States or aliens lawfully admitted for permanent residence, or a
corporation which is incorporated in the United States, but does not include a corporation or an
association which is a foreign power, as defined in subsection (a)(1), (2), or (3) of this section.
Foreign power is defined in 50 U.S.C. § 1801(a) to mean:
(1) a foreign government or any component thereof, whether or not recognized by the United
States;
(2) a faction of a foreign nation or nations, not substantially composed of United States persons;
(3) an entity that is openly acknowledged by a foreign government or governments to be directed
and controlled by such foreign government or governments;
(4) a group engaged in international terrorism or activities in preparation therefor;
(5) a foreign-based political organization, not substantially composed of United States persons; or
(6) an entity that is directed and controlled by a foreign government or governments.
Agent of a foreign power is defined in 50 U.S.C. § 1801(b) to mean:
(1) any person other than a United States person, who—
(A) acts in the United States as an officer or employee of a foreign power, or as a member of a
foreign power as defined in subsection (a)(4) of this section;
(B) acts for or on behalf of a foreign power which engages in clandestine intelligence activities in
the United States contrary to the interests of the United States, when the circumstances of such
(continued...)





....
Second, in order for the President, through the Attorney General, to use this authority
... the Attorney General [must report] such minimization procedures and any changes thereto
to the House Permanent Select Committee on Intelligence and the Senate Select Committee
on Intelligence at least thirty days prior to their effective date, unless the Attorney General

(...continued)
person’s presence in the United States indicate that such person may engage in such activities in the
United States, or when such person knowingly aids or abets any person in the conduct of such
activities or knowingly conspires with any person to engage in such activities; or
(C) engages in international terrorism or activities in preparation therefore [sic]; or
(2) any person who—
(A) knowingly engages in clandestine intelligence gathering activities for or on behalf of a foreign
power, which activities involve or may involve a violation of the criminal statutes of the United
States;
(B) pursuant to the direction of an intelligence service or network of a foreign power, knowingly
engages in any other clandestine intelligence activities for or on behalf of such foreign power,
which activities involve or are about to involve a violation of the criminal statutes of the United
States;
(C) knowingly engages in sabotage or international terrorism, or activities that are in preparation
therefor, or on behalf of a foreign power; or
(D) knowingly enters the United States under a false or fraudulent identity for or on behalf of a
foreign power or, while in the United States, knowingly assumes a false or fraudulent identity for or
on behalf of a foreign power; or
(E) knowingly aids or abets any person in the conduct of activities described in subparagraph (A),
(B), or (C) or knowingly conspires with any person to engage in activities described in
subparagraph (A), (B), or (C).
The italicized language in 50 U.S.C. § 1801(b)(1)(C) was added to the definition ofagent of a foreign power” in
Section 6001 of the Intelligence Reform and Terrorism Prevention Act of 2004, P.L. 108-458. This provision would be
subject to the sunset provision in section 224 of the USA PATRIOT Act of 2001 (Public Law 107-56, 115 Stat. 295),
including the exception provided in subsection (b) of such section 224.” As amended by P.L. 109-177, Section 103, the
sunset provision in Section 224 of P.L. 107-56, would take effect on December 31, 2009, except for any foreign
intelligence investigation begun before that date or any criminal offense or potential offense that began or occurred
before that date. For a more in depth discussion of this so-called “lone wolf provision, see CRS Report RS22011,
Intelligence Reform and Terrorism Prevention Act of 2004: “Lone Wolf” Amendment to the Foreign Intelligence
Surveillance Act, by Elizabeth B. Bazan and Brian T. Yeh.
Several other provisions of Intelligence Reform and Terrorism Prevention Act also impacted FISA. Section 1011 of the
measure amended Title I of the National Security Act of 1947, 50 U.S.C. § 402 et seq., to strike the previous Sections
102 through 104 of the Act 50 U.S.C. §§ 403, 403-1, 403-3, and 403-4, and insert new Sections 102 through 104A. The
new Section 102 created the position of Director of National Intelligence (DNI). Section 102A outlined authorities and
responsibilities of the position. Under the new Section 102A(f)(6) of the National Security Act, the DNI was given
responsibilityto establish requirements and priorities for foreign intelligence information to be collected under
[FISA], and provide assistance to the Attorney General to ensure that information derived from electronic surveillance
or physical searches under that act is disseminated so that it may be used efficiently and effectively for foreign
intelligence purposes, except that the Director shall have no authority to direct, manage, or undertake electronic
surveillance or physical search operations pursuant to that act unless otherwise authorized by statute or Executive
order. New Section 102A(f)(8) of the National Security Act, as enacted by P.L. 108-458, Section 1011, provided that,
Nothing in this act shall be construed as affecting the role of the Department of Justice or the Attorney General with
respect to applications under the Foreign Intelligence Surveillance Act.”
Section 1071(e) of P.L. 108-458, amended FISA to insert “Director of National Intelligence” in lieu of “Director of
Central Intelligence” in each place in which it appeared.
Section 6002 created additional semiannual reporting requirements under FISA, which are codified at 50 U.S.C. §
1871. For a more detailed discussion of these reporting requirements, see footnote 165, infra, and accompanying text.





determines immediate action is required and notifies the committees immediately of such
minimization and the reason for their becoming effective immediately.
Such electronic surveillance must be conducted only in accordance with the Attorney General’s
certification and minimization procedures adopted by him. A copy of his certification must be
transmitted by the Attorney General to the FISC. This certification remains under seal unless an
application for a court order for surveillance authority is made under 50 U.S.C. §§ 1801(h)(4) and 45

1804, or the certification is necessary to determine the legality of the surveillance under 50 46


U.S.C. § 1806(f).
In connection with electronic surveillance so authorized, the Attorney General may direct a
specified communications common carrier to furnish all information, facilities, or technical
assistance needed for the electronic surveillance to be accomplished in a way that would protect
its secrecy and minimize interference with the services provided by the carrier to its customers.
50 U.S.C. § 1802(a)(4)(A). In addition, the Attorney General may direct the specified
communications common carrier to maintain any records, under security procedures approved by
the Attorney General and the Director of National Intelligence, concerning the surveillance or the
assistance provided which the carrier wishes to retain. 50 U.S.C. § 1802(a)(4)(B). Compensation
at the prevailing rate must be made to the carrier by the Government for providing such aid.
If the President, by written authorization, empowers the Attorney General to approve applications
to the FISC, an application for a court order may be made pursuant to 50 U.S.C. § 1802(b). A
judge receiving such an application may grant an order under 50 U.S.C. § 1805 approving
electronic surveillance of a foreign power or an agent of a foreign power to obtain foreign
intelligence information. There is an exception to this, however. Under 50 U.S.C. § 1802(b), a
court does not have jurisdiction to grant an order approving electronic surveillance directed solely
as described in 50 U.S.C. § 1802(a)(1)(A) (that is, at acquisition of the contents of
communications transmitted by means of communications used exclusively between or among
foreign powers, or acquisition of technical intelligence, other than the spoken communications of
individuals, from property or premises under the open and exclusive control of a foreign power),
unless the surveillance may involve the acquisition of communications of a United States person.

50 U.S.C. § 1802(b).


An application for a court order authorizing electronic surveillance for foreign intelligence
purposes may be sought under 50 U.S.C. § 1804. An application for such a court order must be
made by a federal officer in writing on oath or affirmation to an FISC judge. The application must
be approved by the Attorney General based upon his finding that the criteria and requirements set
forth in 50 U.S.C. § 1801 et seq. have been met. Section 1804(a) sets out what must be included
in the application:
(1) the identity of the Federal officer making the application;

45 50 U.S.C. § 1804 is discussed at pages 17-22 of this report, infra.
46 50 U.S.C. § 1802(a)(2) and (a)(3). 50 U.S.C. § 1806 is discussed at footnote 68 and accompanying text, infra.





(2) the authority conferred on the Attorney General by the President of the United States
and the approval of the Attorney General to make the application;
(3) the identity, if known, or a description of the specific target of the electronic 47
surveillance;
(4) a statement of the facts and circumstances relied upon by the applicant to justify his
belief that
(A) the target of the electronic surveillance is a foreign power or an agent of a
foreign power; and
(B) each of the facilities or places at which the electronic surveillance is
directed is being used, or is about to be used, by a foreign power or an agent of a
foreign power;
(5) a statement of the proposed minimization procedures;
(6) a detailed description of the nature of the information sought and the type of
communications or activities to be subjected to the surveillance;
(7) a certification or certifications by the Assistant to the President for National Security
Affairs or an executive branch official or officials designated by the President from among
those executive officers employed in the area of national security or defense and appointed 48
by the President with the advice and consent of the Senate
(A) that the certifying official deems the information sought to be foreign
intelligence information;
(B) that a significant49 purpose of the surveillance is to obtain foreign intelligence
information;

47 Section 108(a)(1) of P.L. 109-177, added the wordspecific to this subsection.
48 Under Section 1-103 of Executive Order 12139, 55 Fed. Reg. 30,311 (May 23, 1979), as amended by Section 1 of
E.O. 13383, 70 Fed. Reg. 41,933 (July 15, 2005), the Secretary of State, the Secretary of Defense, the Director of
National Intelligence, the Director of the FBI, the Deputy Secretary of State, the Deputy Secretary of Defense, the
Director of the Central Intelligence Agency, and the Principal Deputy Director of National Intelligence were designated
to make such certifications in support of applications to engage in electronic surveillance for foreign intelligence
purposes. Neither these officials nor anyone acting in those capacities may make such certifications unless they are
appointed by the President with the advice and consent of the Senate.
49 Section 218 of P.L. 107-56 amended the requisite certifications to be made by the Assistant to the President for
National Security Affairs, or other designated official (see footnote 25). Heretofore, the certifying official had to
certify, among other things, that the purpose of the electronic surveillance under FISA was to obtain foreign
intelligence information. Under the new language, the certifying official must certify that a significant purpose of such
electronic surveillance is to obtain foreign intelligence information. As interpreted by the Court of Review in In re
Sealed Case, 310 F.3d 717, 728-38 (U.S. Foreign Intell. Surveil. Ct. Rev. 2002), this language appears to exclude FISA
as a vehicle for authorizing electronic surveillance where the sole purpose of an investigation is criminal prosecution.
The government must have a measurable foreign intelligence purpose other than criminal prosecution, even of foreign
intelligence crimes, in order to satisfy thesignificant purpose standard. The Court’s analysis appears to suggest that
the primary purpose of the investigation under FISA may be criminal prosecution, so long as collection of foreign
intelligence information is also a significant purpose of the electronic surveillance. This issue was not addressed
directly in the opinion of the U.S. Foreign Intelligence Surveillance Court in In re All Matters Submitted to the Foreign
Intelligence Surveillance Court, 218 F. Supp. 2d 611( U.S. Foreign Intell. Surveil. Ct. 2002). Id., at 615 n.2. Both
opinions are addressed later in this report in the section entitled “Published Decisions of the FISC and the U.S. Foreign
Intelligence Surveillance Court of Review.”
(continued...)






(...continued)
Past cases considering the constitutional sufficiency of FISA in the context of electronic surveillance have rejected
Fourth Amendment challenges and due process challenges under the Fifth Amendment to the use of information
gleaned from a FISA electronic surveillance in a subsequent criminal prosecution, because the purpose of the FISA
electronic surveillance, both initially and throughout the surveillance, was to secure foreign intelligence information
and not primarily oriented towards criminal investigation or prosecution, United States v. Megahey, 553 F. Supp. 1180, th
1185-1193 (D.N.Y.), aff’d 729 F.2d 1444 (2d Cir. 1982); United States v. Ott, 827 F.2d 473, 475 (9 Cir. 1987); United thst
States. v Badia, 827 F. 2d 1458, 1464 (11 Cir. 1987). See also, United States v. Johnson, 952 F.2d 565, 572 (1 Cir.
1991), rehearing and cert. denied, 506 U.S. 816 (1991) (holding that, although evidence obtained in FISA electronic
surveillance may later be used in a criminal prosecution, criminal investigation may not be the primary purpose of the th
surveillance, and FISA may not be used as an end-run around the 4 Amendment); United States v. Pelton, 835 F.2d th
1067, 1074-76 (4 Cir. 1987), cert. denied, 486 U.S.1010 (1987) (holding that electronic surveillance under FISA
passed constitutional muster where primary purpose of surveillance, initially and throughout surveillance, was
gathering of foreign intelligence information; also held that an otherwise valid FISA surveillance was not invalidated
because later use of the fruits of the surveillance in criminal prosecution could be anticipated. In addition, the court
rejected Pelton’s challenge to FISA on the ground that allowing any electronic surveillance on less than the traditional
probable cause standard—i.e. probable cause to believe the suspect has committed, is committing, or is about to
commit a crime for which electronic surveillance is permitted, and that the interception will obtain communications th
concerning that offense—for issuance of a search warrant was violative of the 4 Amendment, finding FISAs
provisions to be reasonable both in relation to the legitimate need of Government for foreign intelligence information
and the protected rights of U.S. citizens ); United States v. Rahman, 861 F. Supp. 247, 251 (S.D. N.Y. 1994). Cf.,
United States v. Bin Laden, 2001 U.S. Dist. LEXIS 15484 (S.D. N.Y., October 2, 2001); United States v. Bin Laden,
126 F. Supp. 264, 277-78 (S.D. N.Y. 2000) (adopting foreign intelligence exception to the warrant requirement for
searches targeting foreign powers or agents of foreign powers abroad; noting that this “exception to the warrant
requirement applies until and unless the primary purpose of the searches stops being foreign intelligence collection.... If
foreign intelligence collection is merely a purpose and not the primary purpose of a search, the exception does not th
apply.) Cf., United States v. Sarkissian, 841 F.2d 959, 964-65 (9 Cir. 1988) (FISA court order authorizing electronic
surveillance, which resulted in the discovery of plan to bomb the Honorary Turkish Consulate in Philadelphia, and of
the fact that bomb components were being transported by plane from Los Angeles. The FBI identified the likely
airlines, flight plans, anticipated time of arrival, and suspected courier. Shortly before the arrival of one of those flights,
the investigation focused upon an individual anticipated to be a passenger on a particular flight meeting all of the
previously identified criteria. An undercover police officer spotted a man matching the suspected couriers description
on that flight. The luggage from that flight was sniffed by a trained dog and x-rayed. A warrantless search was
conducted of a suitcase that had been shown by x-ray to contain an unassembled bomb. Defendants unsuccessfully
moved to suppress the evidence from the FISA wiretap and the warrantless search. On appeal the court upheld the
warrantless suitcase search as supported by exigent circumstances. Defendants contended that the FBI’s primary
purpose for the surveillance had shifted at the time of the wiretap from an intelligence investigation to a criminal
investigation and that court approval for the wiretap therefore should have been sought under Title III of the Omnibus
Crime Control and Safe Streets Act, 18 U.S.C. § 2510 et seq., rather than FISA. The court, while noting that in other
cases it had stated that “the purpose of [electronic] surveillance” under FISA “must be to secure foreign intelligence
information, “not to ferret out criminal activity,” declined to decide the issue of whether the standard under FISA
required “the purpose or “the primary purpose of the surveillance to be gathering of foreign intelligence information.
The court stated, “Regardless of whether the test is one of purpose or primary purpose, our review of the government’s
FISA materials convinces us that it is met in this case.... We refuse to draw too fine a distinction between criminal and
intelligence investigations. “International terrorism ,” by definition, requires the investigation of activities that
constitute crimes. 50 U.S.C. § 1806(f). That the government may later choose to prosecute is irrelevant. FISA
contemplates prosecution based on evidence gathered through surveillance. ... “Surveillances ... need not stop once
conclusive evidence of a crime is obtained, but instead may be extended longer where protective measures other than thst
arrest and prosecution are more appropriate.” S. Rep. No. 701, 95 Cong., 1 Sess. 11 ....[(1978)]....FISA is meant to
take into account “the differences between ordinary criminal investigations to gather evidence of specific crimes and
foreign counterintelligence investigations to uncover and monitor clandestine activities ...” Id. .... At no point was this
case an ordinary criminal investigation.”). Cf., United States v. Falvey, 540 F. Supp. 1306 (E.D.N.Y. 1982) th
(distinguishing United States v. Truong Dinh Hung, 629 F.2d 908, 912-13 (4 Cir. 1980); and United States v.
Butenko, 494 F.2d 593, 606 (3d Cir.) (en banc), cert. denied sub nom, Ivanov v. United States, 419 U.S. 881 (1974),
which held that, while warrantless electronic surveillance for foreign intelligence purposes was permissible, when the
purpose or primary purpose of the surveillance is to obtain evidence of criminal activity, evidence obtained by
warrantless electronic surveillance is inadmissible at trial, 540 F. Supp. at 1313; on the theory that the evidence in the
case before it was obtained pursuant to a warrant—a lawfully obtained court order under FISA, id. at 1314. The court
(continued...)





(C) that such information cannot reasonably be obtained by normal investigative
techniques;
(D) that designates the type of foreign intelligence information being sought
according to the categories described in 1801(e) of this title; and
(E) including a statement of the basis for the certification that
(i) the information sought is the type of foreign intelligence information
designated; and
(ii) such information cannot reasonably be obtained by normal investigative
techniques;
(8) a statement of the means by which the surveillance will be effected and a statement
whether physical entry is required to effect the surveillance;
(9) a statement of the facts concerning all previous applications that have been made to
any judge under this subchapter involving any of the persons, facilities, or places specified in
the application, and the action taken on each previous application;
(10) a statement of the period of time for which the electronic surveillance is required to
be maintained, and if the nature of the intelligence gathering is such that the approval of the
use of electronic surveillance under this subchapter should not automatically terminate when
the described type of information has first been obtained, a description of facts supporting
the belief that additional information of the same type will be obtained thereafter; and

(...continued)
noted that the “bottom line of Truong is that evidence derived from warrantless foreign intelligence searches will be
admissible in a criminal proceeding only so long as the primary purpose of the surveillance is to obtain foreign
intelligence information.” Id. at 1313-14. After noting that Congress, in enacting FISA, “expected that evidence derived
from FISA surveillances could then be used in a criminal proceeding,” the court concluded that “it was proper for the
FISA judge to issue the order in this case because of the on-going nature of the foreign intelligence investigation.... The
fact that evidence of criminal activity was thereafter uncovered during the investigation does not render the evidence
inadmissible. There is no question in [the court’s] mind that the purpose of the surveillance, pursuant to the order, was
the acquisition of foreign intelligence information. Accordingly, [the court found] that the FISA procedures on their
face satisfy the Fourth Amendment warrant requirement, and that FISA was properly implemented in this case. Id. at
1314.).
It is worthy of note that none of these decisions were handed down by the U.S. Foreign Intelligence Surveillance Court
or the U.S. Foreign Intelligence Surveillance Court of Review. For a discussion of the recent decisions of those two
courts regarding the Attorney General’s 2002 minimization procedures, please see the discussion in the portion of this
report regarding “Recent Decisions of the FISC and the U.S. Foreign Intelligence Surveillance Court of Review,” infra.
Nor do these decisions of the U.S. district courts and U.S. courts of appeal reflect recent legislative amendments to the
FISA statute. However, the FISC, in its decision, did not address potential Fourth Amendment implications, and the
U.S. Foreign Intelligence Court of Review, in its decision, appears to imply that some Fourth Amendment issues in the
FISA context may be non-justiciable. Alternatively, the language in the Court of Review opinion might mean that the
issue has not yet been considered by the courts. Using a balancing test it derived from Keith between foreign
intelligence crimes and ordinary crimes, the Court of Review found surveillances under FISA, as amended by the USA
PATRIOT Act, to be reasonable and therefore constitutional, while at the same time acknowledging that the
constitutional question presented by the case before it—“whether Congress’ disapproval of the primary purpose test is
consistent with the Fourth Amendment—has no definitive jurisprudential answer.” Court of Review op., 301 F.3d at
746.





(11) whenever more that one electronic, mechanical or other surveillance device is to be
used with respect to a particular proposed electronic surveillance, the coverage of the devices
involved and what minimization procedures apply to information acquired by each device.
The application for a court order need not contain the information required in Subsections
1804(6), (7)(E), (8), and (11) above if the target of the electronic surveillance is a foreign power
and each of the facilities or places at which surveillance is directed is owned, leased, or
exclusively used by that foreign power. However, in those circumstances, the application must
indicate whether physical entry is needed to effect the surveillance, and must also contain such
information about the surveillance techniques and communications or other information regarding
United States persons likely to be obtained as may be necessary to assess the proposed
minimization procedures. 50 U.S.C. § 1804(b).
Where an application for electronic surveillance under 50 U.S.C. § 1804(a) involves a target 50
described in 50 U.S.C. § 1801(b)(2), the Attorney General must personally review the
application if requested to do so, in writing, by the Director of the Federal Bureau of
Investigation, the Secretary of Defense, the Secretary of State, or the Director of National 51
Intelligence. The authority to make such a request may not be delegated unless the official 52
involved is disabled or otherwise unavailable. Each such official must make appropriate
arrangements, in advance, to ensure that such a delegation of authority is clearly established in 53
case of disability or other unavailability. If the Attorney General determines that an application
should not be approved, he must give the official requesting the Attorney General’s personal
review of the application written notice of the determination. Except in cases where the Attorney
General is disabled or otherwise unavailable, the responsibility for such a determination may not
be delegated. The Attorney General must make advance plans to ensure that the delegation of
such responsibility where the Attorney General is disabled or otherwise unavailable is clearly 54
established. Notice of the Attorney General’s determination that an application should not be
approved must indicate what modifications, if any, should be made in the application needed to 55
make it meet with the Attorney General’s approval. The official receiving the Attorney
General’s notice of modifications which would make the application acceptable must modify the
application if the official deems such modifications warranted. Except in cases of disability or
other unavailability, the responsibility to supervise any such modifications is also a non-delegable 56
responsibility.
If a judge makes the findings required under 50 U.S.C. § 1805(a), then he or she must enter an ex
parte order as requested or as modified approving the electronic surveillance. The necessary
findings must include that:

50 For a list of those covered in 50 U.S.C. § 1801(b)(2), see footnote 44, supra.
51 50 U.S.C. § 1804(e)(1)(A).
52 50 U.S.C. § 1804(e)(1)(B).
53 50 U.S.C. § 1804(e)(1)(C).
54 50 U.S.C. § 1804(e)(2)(A).
55 50 U.S.C. § 1804(e)(2)(B).
56 50 U.S.C. § 1804(e)(2)(C).





(1) the President has authorized the Attorney General to approve applications for
electronic surveillance for foreign intelligence information;
(2) the application has been made by a Federal officer and approved by the Attorney
General;
(3) on the basis of the facts submitted by the applicant there is probable cause to believe
that—
(A) the target of the electronic surveillance is a foreign power or an agent of a
foreign power: Provided, That no United States person may be considered a foreign
power or an agent of a foreign power solely upon the basis of activities protected by the
first amendment to the Constitution of the United States; and
(B) each of the facilities or places at which the electronic surveillance is directed is
being used, or is about to be used, by a foreign power or an agent of a foreign power;
(4) the proposed minimization procedures meet the definition of minimization
procedures under section 1801(h) of this title; and
(5) the application which has been filed contains all statements and certifications
required by section 1804 of this title and, if the target is a United States person, the
certification or certifications are not clearly erroneous on the basis of the statement made
under section 1804(a)(7)(E) of this title and any other information furnished under section
1804(d) of this title.
In making a probable cause determination under 50 U.S.C. § 1805(a)(3), the judge may consider
past activities of the target as well as facts and circumstances relating to the target’s current or 57
future activities.
Section 1805(c) sets out particular specifications and directions which must be included in an
order approving a FISA electronic surveillance:
(1) Specifications.—An order approving an electronic surveillance under this section shall
specify
(A) the identity, if known, or a description of the specific target of the electronic
surveillance identified or described in the application pursuant to [50 U.S.C. § 1804(a)(3)];
(B) the nature and location of each of the facilities or places at which the electronic 58
surveillance will be directed, if known;
(C) the type of information sought to be acquired and the type of communications or
activities to be subjected to the surveillance;
(D) the means by which the electronic surveillance will be effected and whether physical
entry will be used to effect the surveillance;

57 50 U.S.C. § 1805(b).
58 Section 314(a)(2)(A) of H.Rept. 107-328, the conference report on the Intelligence Authorization Act for Fiscal Year
2002, to accompany H.R. 2883, added “if known to the end of Section 1805(c)(1)(B) before the semi-colon. The
conference version of the bill passed both the House and the Senate, and was signed by the President on December 28,
2001, as P.L. 107-108.





(E) the period of time during which the electronic surveillance is approved; and
(F) whenever more than one electronic, mechanical, or other surveillance device is to be
used under the order, the authorized coverage of the device involved and what minimization
procedures shall apply to information subject to acquisition by each device.
(2) Directions.An order approving an electronic surveillance under this section shall direct
(A) that the minimization procedures be followed;
(B) that, upon the request of the applicant a specified communication or other common
carrier, landlord, custodian, or other specified person, or in circumstances where the Court
finds, based upon specific facts provided in the application, that the actions of the target of
the application may have the effect of thwarting the identification of a specified person, such
other persons, furnish the applicant forthwith all information, facilities, or technical
assistance necessary to accomplish the electronic surveillance in such a manner as will
protect its secrecy and produce a minimum of interference with the services that such carrier,
landlord, custodian, or other person is providing that target of electronic surveillance;
(C) that such carrier, landlord, custodian, or other person maintain under security
procedures approved by the Attorney General and the Director of National Intelligence any
records concerning the surveillance or the aid furnished that such person wishes to retain;
and
(D) that the applicant compensate, at the prevailing rate, such carrier, landlord, 59
custodian, or other person for furnishing such aid.
(3) Special directions for certain orders
An order approving an electronic surveillance under this section in circumstances where the
nature and location of each of the facilities or places at which the surveillance will be
directed is unknown shall direct the applicant to provide notice to the court within ten days
after the date on which surveillance begins to be directed at any new facility or place, unless
the court finds good cause to justify a longer period of up to 60 days, of
(A) the nature and location of each new facility or place at which the electronic
surveillance is directed;
(B) the facts and circumstances relied upon by the applicant to justify the applicants
belief that each new facility or place at which the electronic surveillance is directed is or
was being used, or is about to be used, by the target of the surveillance;
(C) a statement of any proposed minimization procedures that differ from those
contained in the original application or order, that may be necessitated by a change in
the facility or place at which the electronic surveillance is directed; and

59 50 U.S.C. § 1805(c). The italics in 50 U.S.C. § 1805(c)(2)(B), above, indicate new language added by Section 206 of
P.L. 107-56. Where circumstances suggest that a target’s actions may prevent identification of a specified person, this
new language appears to permit the Foreign Intelligence Surveillance Court to require a service provider, other
common carrier, landlord, custodian or other persons to provide necessary assistance to the applicant for a FISA order
for electronic surveillance. The heading to Section 6 of P.L. 107-56 refers to this asroving surveillance authority. thst
H.Rept. 107-328 calls this amultipoint” wiretap. Intelligence Authorization Act for Fiscal Year 2002, 107 Cong., 1
Sess., H.Rept. 107-328, Conference Report, at 24 (Dec. 6, 2001).





(D) the total number of electronic surveillances that have been or are being conducted
under the authority of the order.
The italicized portions of Section 1805(c)(1)(B) and Section 1805(c)(2)(B) reflect changes, added
by P.L. 107-108 and P.L. 107-56 respectively, intended to provide authority for “multipoint” or
“roving” electronic surveillance where the actions of the target of the surveillance, such as
switching phones and locations repeatedly, may thwart that surveillance. The Conference Report
on H.R. 2338, the Intelligence Authorization Act for Fiscal Year 2002 (which became P.L. 107-

108), H.Rept. 107-328, at page 24, provided the following explanation of these changes:


The multipoint wiretap amendment to FISA in the USA PATRIOT Act (section 206) allows
the FISA court to issue generic orders of assistance to any communications provider or
similar person, instead of to a particular communications provider. This change permits the
Government to implement new surveillance immediately if the FISA target changes
providers in an effort to thwart surveillance. The amendment was directed at persons who,
for example, attempt to defeat surveillance by changing wireless telephone providers or
using pay phones.
Currently, FISA requires the court to “specify” the “nature and location of each of the
facilities or places at which the electronic surveillance will be directed.” 50 U.S.C. §
105(c)(1)(B). Obviously, in certain situations under current law, such a specification is
limited. For example, a wireless phone has no fixed location and electronic mail may be
accessed from any number of locations.
To avoid any ambiguity and clarify Congress intent, the conferees agreed to a provision
which adds the phrase, “if known,” to the end of 50 U.S.C. § 1805(c)(1)(B). The “if known
language, which follows the model of 50 U.S.C. § 1805(c)(1)(A), is designed to avoid any
uncertainty about the kind of specification required in a multipoint wiretap case, where the
facility to be monitored is typically not known in advance.
The underlined portions of subsection 1805(c) reflect changes made by P.L. 109-177, Section

108.


If the target of the electronic surveillance is a foreign power and each of the facilities or places at
which the surveillance is directed is owned, leased, or exclusively used by that foreign power, the
order does not need to include the information covered by Section 1805(c)(1)(C), (D), and (F),
but must generally describe the information sought, the communications or activities subject to
surveillance, the type of electronic surveillance used, and whether physical entry is needed. 50
U.S.C. § 1805(d).
Such an order may approve an electronic surveillance for the period of time necessary to achieve
its purpose or for ninety days, whichever is less, unless the order is targeted against a foreign 60
power as defined in 50 U.S.C. § 1801(a)(1), (2), or (3), or against an agent of a foreign power
who is not a United States person. In the case of an order targeted against a such a foreign power,
the order shall approve an electronic surveillance for the period specified in the order or for one
year, whichever is less. An order under FISA for surveillance targeted against an agent of a

60 A “foreign power as defined in 50 U.S.C. § 1801(a)(1), (2), or (3) includesa foreign government or any
component thereof, whether or not recognized by the United States;a faction of a foreign nation or nations, not
substantially composed of United States persons;” or “an entity that is openly acknowledged by a foreign government
or governments to be directed and controlled by such foreign government or governments.





foreign power who is not a U.S. person may be for the period specified in the order or 120 days, 61
whichever is less.
Generally, upon application for an extension, a court may grant an extension of an order on the
same basis as an original order. An extension must include new findings made in the same
manner as that required for the original order. However, an extension of an order for a
surveillance targeted against a foreign power as defined in 50 U.S.C. § 1801(a)(5) (a foreign-
based political organization, not substantially composed of United States persons) or (6) (an
entity that is directed and controlled by a foreign government or governments), or against a
foreign power as defined in 50 U.S.C. § 1801(a)(4) (a group engaged in international terrorism or
activities in preparation therefor) that is not a United States person, may be for a period of up to
one year if the judge finds probable cause to believe that no communication of any individual
United States person will be acquired during the period involved. In addition, an extension of an
order for surveillance targeted at an agent of a foreign power who is not a U.S. person may be 62
extended to a period not exceeding one year.
Certifications made by the Attorney General pursuant to 50 U.S.C. § 1802(a) and applications
made and orders granted for electronic surveillance under title I of FISA, must be retained for a 63
period of at least ten years from the date of the certification or application.
Emergency Authorization of Electronic Surveillance upon Attorney General Certification while
an FISC Order Is Pursued. Emergency situations are addressed in 50 U.S.C. § 1805(f).
Notwithstanding other provisions of this subchapter, if the Attorney General reasonably
determines that an emergency situation exists with respect to the employment of electronic
surveillance to obtain foreign intelligence information before an order authorizing such
surveillance can with due diligence be obtained and that the factual basis for issuance of an order
under this subchapter to approve such surveillance exists, he may authorize electronic
surveillance if specified steps are taken. At the time of the Attorney General’s emergency
authorization, he or his designee must inform an FISC judge that the decision to employ
emergency electronic surveillance has been made. An application for a court order under Section
1804 must be made to that judge as soon as practicable, but not more than 72 hours after the
Attorney General authorizes such surveillance. If the Attorney General authorizes emergency
electronic surveillance, he must require compliance with the minimization procedures required
for the issuance of a judicial order under this subchapter. Absent a judicial order approving the
emergency electronic surveillance, the surveillance must terminate when the information sought
is obtained, when the application for the order is denied, or after 72 hours from the time of the 64
Attorney General’s authorization, whichever is earliest. If no judicial order approving the
surveillance is issued, the information garnered may not be received in evidence or otherwise
disclosed in any court proceeding, or proceeding in or before any grand jury, department, office,
agency, regulatory body, legislative committee, or other authority of the United States, a State, or
political subdivision thereof. No information concerning any United States person acquired

61 50 U.S.C. § 1805(e)(1)(B), as added by Section 207 of P.L. 107-56, and amended by Section 105 of P.L. 109-177.
62 50 U.S.C. § 1805(e)(2)(A) and (B). Section 207 of P.L. 107-56 appears to have included a mistaken citation here,
referring to 50 U.S.C. § 1805(d)(2) instead of 50 U.S.C. § 1805(e)(2) (emphasis added). Section 314(c)(1) of P.L. 107-
108 corrected the apparent error from P.L. 107-56, Section 207, so that the reference is now to 50 U.S.C. § 1805(e)(2).
Subsection 105(e)(2)(B) of FISA, 50 U.S.C. § 1805(e)(2)(B), was amended by Section 105 of P.L. 109-177.
63 50 U.S.C. § 1805(h).
64 Section 314(a)(2)(B) of P.L. 107-108, the Intelligence Authorization Act for Fiscal Year 2002, H.Rept. 107-328,
replaced 24 hours with 72 hours in each place that it appears in 50 U.S.C. § 1805(f).





through such surveillance may be disclosed by any Federal officer or employee without the
consent of that person, unless the Attorney General approves of such disclosure or use where the 65
information indicates a threat of death or serious bodily harm to any person.

65 Some of the provisions dealing with interception of wire, oral, or electronic communications in the context of
criminal law investigations, 18 U.S.C. §§ 2510 et seq., may also be worthy of note. With certain exceptions, these
provisions, among other things, prohibit any person from engaging in intentional interception; attempted interception;
or procuring others to intercept or endeavor to intercept wire, oral, or electronic communication; or intentional
disclosure; attempting to disclose; using or endeavoring to use the contents of a wire, oral or electronic communication,
knowing or having reason to know that the information was obtained by such an unlawful interception. 18 U.S.C. §
2511. “Person” is defined in 18 U.S.C. § 2510(6) to includeany employee, or agent of the United States or any State
or political subdivision thereof, and any individual, partnership, association, joint stock company, trust, or corporation.”
Among the exceptions to Section 2511 are two of particular note:
(2)(e) Notwithstanding any other provision of this title or section 705 or 706 of the
Communications Act of 1934, it shall not be unlawful for an officer, employee, or agent of the
United States in the normal course of his official duty to conduct electronic surveillance, as defined
in section 101 of the Foreign Intelligence Surveillance Act of 1978, as authorized by that Act.
(2)(f) Nothing contained in this chapter or chapter 121, or section 705 of the Communications
Act of 1934, shall be deemed to affect the acquisition by the United States Government of foreign
intelligence information from international or foreign communications, or foreign intelligence
activities conducted in accordance with otherwise applicable Federal law involving a foreign
electronic communications system, utilizing a means other than electronic surveillance as defined
in section 101 of the Foreign Intelligence Surveillance Act of 1978, and procedures in this chapter
and the Foreign Intelligence Surveillance Act of 1978 shall be the exclusive means by which
electronic surveillance, as defined in section 101 of such Act, and the interception of domestic wire
and oral communications may be conducted.
Among other things, Section 2512 prohibits any person from intentionally manufacturing, assembling, possessing, or
selling any electronic, mechanical, or other device, knowing that its design renders it primarily useful for the purpose of
the surreptitious interception of wire, oral, or electronic communications and that such device or any component thereof
has been or will be sent through the mail or transported in interstate or foreign commerce. It also prohibits any person
from intentionally sending such a device through the mail or sending or carrying such a device in interstate or foreign
commerce, knowing that such surreptitious interception is its primary purpose. Similarly, intentionally advertising such
a device, knowing or having reason to know that the advertisement will be sent through the mail or transported in
interstate or foreign commerce is foreclosed. Again an exception to these general prohibitions in Section 2512 may be
of particular interest:
(2) It shall not be unlawful under this section for—
(a) ...
(b) an officer, agent, or employee of, or a person under contract with, the United States ...
in the normal course of the activities of the United States ...,
to send through the mail, send or carry in interstate or foreign commerce, or manufacture,
assemble, possess, or sell any electronic, mechanical, or other device knowing or having reason to
know that the design of such device renders it primarily useful for the purpose of the surreptitious
interception of wire, oral, or electronic communications.
In addition, Section 107 of the Electronic Communications Privacy Act of 1986, P.L. 99-508, 100 Stat. 1858, October
21, 1986, [which enacted 18 U.S.C. §§ 1367, 2621, 2701 to 2711, 3117, and 3121 to 3126; and amended 18 U.S.C. §§
2232, 2511-2513, and 2516-2520], provided generally that, “[n]othing in this act or the amendments made by this act
constitutes authority for the conduct of any intelligence activity. It also stated:
(b) Certain Activities Under Procedures Approved by the Attorney General.—Nothing in
chapter 119 [interception of wire, oral or electronic communications] or chapter 121 [stored wire
and electronic communications and transactional records access] of title 18, United States Code,
shall affect the conduct, by officers or employees of the United States Government in accordance
with other applicable Federal law, under procedures approved by the Attorney General of activities
intended to
(1) intercept encrypted or other official communications of United States executive
branch entities or United States Government contractors for communications security
purposes;
(continued...)





Notwithstanding any other provision of title I of FISA, under Section 1805(g), federal officers,
employees, or agents are authorized in the normal course of their official duties to conduct
electronic surveillance not targeted against the communications of any particular person or
persons, under procedures approved by the Attorney General, solely to:
(1) test the capability of electronic equipment, if
(A) it is not reasonable to obtain the consent of the persons incidentally subjected to the
surveillance;
(B) the test is limited in extent and duration to that necessary to determine the capability
of the equipment;
(C) the contents of any communication acquired are retained and used only for the
purpose of determining the capability of the equipment, are disclosed only to test
personnel, and are destroyed before or immediately upon completion of the test; and:
(D) Provided, That the test may exceed ninety days only with the prior approval of the
Attorney General;
(2) determine the existence and capability of electronic surveillance equipment being used by
persons not authorized to conduct electronic surveillance, if
(A) it is not reasonable to obtain the consent of persons incidentally subjected to the
surveillance;
(B) such electronic surveillance is limited in extent and duration to that necessary to
determine the existence and capability of such equipment; and

(...continued)
(2) intercept radio communications transmitted between or among foreign powers or
agents of a foreign power as defined by the Foreign Intelligence Surveillance Act of 1978 [50
U.S.C. § 1801 et seq.]; or
(3) access an electronic communication system used exclusively by a foreign power or
agent of a foreign power as defined by the Foreign Intelligence Surveillance Act of 1978 [50
U.S.C. § 1801 et seq.].
In addition, Chapter 121 of title 18 of the United States Code deals with stored wire and electronic communications and
transactional records. Under 18 U.S.C. § 2701, intentionally accessing without authorization a facility through which an
electronic communication service is provided, or intentionally exceeding an authorization to access such a facility and
thereby obtaining, altering, or preventing authorized access to a wire or electronic communication while it is in
electronic storage in such system is prohibited. Upon compliance with statutory requirements in 18 U.S.C. § 2709, the
Director of the FBI or his designee in a position not lower than Deputy Assistant Director may seek access to telephone
toll and transactional records for foreign counterintelligence purposes. The FBI may disseminate information and
records obtained under this section only as provided in guidelines approved by the Attorney General for foreign
intelligence collection and foreign counterintelligence investigations conducted by the FBI, and, “with respect to
dissemination to an agency of the United States, only if such information is clearly relevant to the authorized
responsibilities of such agency.” 18 U.S.C. § 2709(d).





(C) any information acquired by such surveillance is used only to enforce chapter 119 of
Title 18, or section 605 of Title 47, or to protect information from unauthorized
surveillance; or
(3) train intelligence personnel in the use of electronic surveillance equipment, if
(A) it is not reasonable to
(i) obtain the consent of the persons incidentally subjected to the surveillance;
(ii) train persons in the course of surveillances otherwise authorized by this
subchapter; or
(iii) train persons in the use of such equipment without engaging in electronic
surveillance;
(B) such electronic surveillance is limited in extent and duration to that necessary to
train the personnel in the use of the equipment; and
(C) no contents of any communication acquired are retained or disseminated for any
purpose, but are destroyed as soon as reasonably possible.
Section 1805(i) bars any cause of action in any court against any provider of a wire or electronic
communication service, landlord, custodian, or other person (including any officer, employee,
agent, or other specified person thereof) that furnishes any information, facilities, or technical
assistance in accordance with a court order or request for emergency assistance under FISA for 66
electronic surveillance or a physical search.

66 Section 225 of P.L. 107-56 appeared to create a second subsection 1805(h), which precluded any cause of action in
any court “against any provider of a wire or electronic communication service, landlord, custodian, or other person
(including any officer, employee, agent, or other specified person thereof) that furnishes any information, facilities, or
technical assistance in accordance with a court order or request for emergency assistance” under FISA. This immunity
provision was included in 50 U.S.C. § 1805, and was denominatedImmunity for Compliance with FISA Wiretap” in
Section 225 of the USA PATRIOT Act, both facts which might lead one to conclude that it applied only to electronic
surveillance under FISA, but this does not appear to be the view of expressed in H.Rept. 107-328, the conference report
accompanying H.R. 2883, which became P.L. 107-108. P.L. 107-108 redesignated 50 U.S.C. § 1805(h) as 50 U.S.C. §
1805(i). In H.Rept. 107-328, the conferees expressed the view thatthe text of section 225 refers to court orders and
requests for emergency assistance ‘under this act, which makes clear that it applies to physical searches (and pen-trap
requestsfor which there already exists an immunity provision, 50 U.S.C. § 1842(f)and subpoenas) as well as
electronic surveillance. Id. at 25.
Section 314(a)(2)(C) of P.L. 107-108 changed subsection (h), which was added to 50 U.S.C. § 1805 by Section 225 of
P.L. 107-56, to subsection (i). In addition, Section 314(a)(2)(D) of P.L. 107-108 addedfor electronic surveillance or
physical search to the end of the newly designated 50 U.S.C. § 1805(i) before the final period.





The uses to which information gathered pursuant to electronic surveillance under FISA may be 67
put are addressed under 50 U.S.C. § 1806.

67 The provisions of Section 1806 are as follows:
(a) Compliance with minimization procedures; privileged communications; lawful purposes
Information acquired from an electronic surveillance conducted pursuant to this subchapter
concerning any United States person may be used and disclosed by Federal officers and employees
without the consent of the United States person only in accordance with the minimization
procedures required by this subchapter. No otherwise privileged communication obtained in
accordance with or in violation of this subchapter shall lose its privileged character. No information
acquired from an electronic surveillance pursuant to this subchapter may be used or disclosed by
Federal officers or employees except for lawful purposes.
(b) Statement for disclosure
No information acquired pursuant to this subchapter shall be disclosed for law enforcement
purposes unless such disclosure is accompanied by a statement that such information, or any
information derived therefrom, may only be used in a criminal proceeding with the advance
authorization of the Attorney General.
(c) Notification by United States
Whenever the Government intends to enter into evidence or otherwise use or disclose in any
trial, hearing, or other proceeding in or before any court, department, officer, agency, regulatory
body, or other authority of the United States, against an aggrieved person, any information obtained
or derived from an electronic surveillance of that aggrieved person pursuant to the authority of this
subchapter, the Government shall, prior to the trial, hearing, or other proceeding or at a reasonable
time prior to an effort to so disclose or so use that information or submit it in evidence, notify the
aggrieved person and the court or other authority in which the information is to be disclosed or
used that the Government intends to so disclose or so use such information.
(d) Notification by States or political subdivisions
Whenever any State or political subdivision thereof intends to enter into evidence or otherwise
use or disclose in any trial, hearing, or other proceeding in or before any court, department, officer,
agency, regulatory body, or other authority of a State or a political subdivision thereof, against an
aggrieved person any information obtained or derived from an electronic surveillance of that
aggrieved person pursuant to the authority of this subchapter, the State or political subdivision
thereof shall notify the aggrieved person, the court or other authority in which the information is to
be disclosed or used, and the Attorney General that the State or political subdivision thereof intends
to so disclose or so use such information.
(e) Motion to suppress
Any person against whom evidence obtained or derived from an electronic surveillance to
which he is an aggrieved person is to be, or has been, introduced or otherwise used or disclosed in
any trial, hearing, or other proceeding in or before any court, department, officer, agency,
regulatory body, or other authority of the United States, a State, or a political subdivision thereof,
may move to suppress the evidence obtained or derived from such electronic surveillance on the
grounds that
(1) the information was unlawfully acquired; or
(2) the surveillance was not made in conformity with an order of authorization or
approval.
Such a motion shall be made before the trial, hearing, or other proceeding unless there was no
opportunity to make such a motion or the person was not aware of the grounds of the motion.
(f) In camera and ex parte review by district court
Whenever a court or other authority is notified pursuant to subsection (c) or (d) of this section,
or whenever a motion is made pursuant to subsection (e) of this section, or whenever any motion or
(continued...)






(...continued)
request is made by an aggrieved person pursuant to any other statute or rule of the United States or
any State before any court or other authority of the United States or any State to discover or obtain
applications or orders or other materials relating to electronic surveillance or to discover, obtain, or
suppress evidence or information obtained or derived from electronic surveillance under this
chapter, the United States district court or, where the motion is made before another authority, the
United States district court in the same district as the authority, shall, notwithstanding any other
law, if the Attorney General files an affidavit under oath that disclosure or an adversary hearing
would harm the national security of the United States, review in camera and ex parte the
application, order, and such other materials relating to the surveillance as may be necessary to
determine whether the surveillance of the aggrieved person was lawfully authorized and conducted.
In making this determination, the court may disclose to the aggrieved person, under appropriate
security procedures and protective orders, portions of the application, order, or other materials
relating to the surveillance only where such disclosure is necessary to make an accurate
determination of the legality of the surveillance.
(g) Suppression of evidence; denial of motion
If the United States district court pursuant to subsection (f) of this section determines that the
surveillance was not lawfully authorized or conducted, it shall, in accordance with the requirements
of law, suppress the evidence which was unlawfully obtained or derived from electronic
surveillance of the aggrieved person or otherwise grant the motion of the aggrieved person. If the
court determines that the surveillance was lawfully authorized and conducted, it shall deny the
motion of the aggrieved person except to the extent that due process requires discovery or
disclosure.
(h) Finality of orders
Orders granting motions or requests under subsection (g) of this section, decisions under this
section that electronic surveillance was not lawfully authorized or conducted, and orders of the
United States district court requiring review or granting disclosure of applications, orders, or other
materials relating to a surveillance shall be final orders and binding upon all courts of the United
States and the several States except a United States court of appeals and the Supreme Court.
(i) Destruction of unintentionally acquired information
In circumstances involving the unintentional acquisition by an electronic, mechanical, or other
surveillance device of the contents of any radio communication, under circumstances in which a
person has a reasonable expectation of privacy and a warrant would be required for law
enforcement purposes, and if both the sender and all intended recipients are located within the
United States, unless the Attorney General determines that the contents indicate a threat of death or
serious bodily harm to any person.
(j) Notification of emergency employment of electronic surveillance; contents; postponement,
suspension or elimination
If an emergency employment of electronic surveillance is authorized under section 1805(e) of
this title and a subsequent order approving the surveillance is not obtained, the judge shall cause to
be served on any United States person named in the application or on such other United States
persons subject to electronic surveillance as the judge may determine in his discretion it is in the
interest of justice to serve, notice of
(1) the fact of the application;
(2) the period of the surveillance; and
(3) the fact that during the period information was or was not obtained.
On an ex parte showing of good cause to the judge the serving of the notice required by this
subsection may be postponed or suspended for a period not to exceed ninety days. Thereafter, on a
further ex parte showing of good cause, the court shall forgo ordering the serving of the notice
required under this subsection.
(k) Consultation with Federal law enforcement officer
(1) Federal officers who conduct electronic surveillance to acquire foreign intelligence
information under this title may consult with Federal law enforcement officers or law enforcement
personnel of a State or political subdivision of a State (including the chief executive officer of that
(continued...)





Under this section, disclosure, without the consent of the person involved, of information lawfully
acquired under FISA electronic surveillance which concerns a United States person must be in
compliance with the statutorily mandated minimization procedures. Communications which were
privileged when intercepted remain privileged. Where information acquired under FISA
electronic surveillance is disclosed for law enforcement purposes, neither that information nor
any information derived therefrom may be used in a criminal proceeding without prior
authorization of the Attorney General. If the United States Government intends to disclose
information acquired under FISA electronic surveillance or derived therefrom in any proceeding
before a court, department, officer regulatory body or other authority of the United States against 68
an aggrieved person, then the Government must give prior notice of its intent to disclose to the
aggrieved person and to the court or other authority involved. Similarly, a State or political
subdivision of a State that intends to disclose such information against an aggrieved person in a
proceeding before a State or local authority must give prior notice of its intent to the aggrieved 69
person, the court or other authority, and the Attorney General.

(...continued)
State or political subdivision who has the authority to appoint or direct the chief law enforcement
officer of that State or political subdivision) to coordinate efforts to investigate or protect against
(A) actual or potential attack or other grave hostile acts of a foreign power or an agent of a
foreign power;
(B) sabotage or international terrorism by a foreign power or an agent of a foreign power; or
(C) clandestine intelligence activities by an intelligence service or network of a foreign power
or by an agent of a foreign power.
(2) Coordination authorized under paragraph (1) shall not preclude the certification required by
section 104(a)(7)(B) [50 U.S.C. § 1804(a)(7)(B) (referring to a certification by the Assistant to the
President for National Security Affairs or other designated certifying authoritythat a significant
purpose of the surveillance is to obtain foreign intelligence information”)] or the entry of an order
under section 105 [50 U.S.C. § 1805].
(Emphasis added.) Subsection 1806(k) was added by Section 504 of P.L. 107-56. The italicized portion of subsection
1806(k)(1), above, was added by Section 898 of the Homeland Security Act of 2002, P.L. 107-296. The term
aggrieved person,” as used in connection with electronic surveillance under FISA, is defined under 50 U.S.C. §
1801(k) to meana person who is the target of an electronic surveillance or any other person whose communications or
activities were subject to electronic surveillance.
68 For the definition ofaggrieved person” as that term is used with respect to targets of electronic surveillance under
FISA, see footnote 42, supra.
69 It is worthy of note that Section 892 of the Homeland Security Act of 2002, P.L. 107-296, while not expressly
amending FISA, addressed procedures for the sharing of homeland security information. It required the President to
prescribe and implement procedures under which relevant federal agencies, including those in the intelligence
community, would share relevant and appropriate homeland security information with other federal agencies and,
where appropriate, with State and local personnel. Section 892 provided, in part:
Sec. 892. Facilitating Homeland Security Information Sharing Procedures.
(a) Procedures for Determining Extent of Sharing of Homeland Security Information.—
(1) The President shall prescribe and implement procedures under which relevant Federal
agencies—
(A) share relevant and appropriate homeland security information with other Federal
agencies, including the Department, and appropriate State and local personnel;
(B) identify and safeguard homeland security information that is sensitive but
unclassified; and
(C) to the extent that such information is in classified form, determine whether, how,
and to what extent to remove classified information, as appropriate, and with which such
personnel it may be shared after such information is removed.
(continued...)






(...continued)
(2) The President shall ensure that such procedures apply to all agencies of the Federal
Government.
(3) Such procedures shall not change the substantive requirements for the classification
and safeguarding of classified information.
(4) Such procedures shall not change the requirements and authorities to protect sources
and methods.
(b) Procedures for Sharing of Homeland Security Information.—
(1) Under procedures prescribed by the President, all appropriate agencies, including the
intelligence community, shall, through information sharing systems, share homeland security
information with Federal agencies and appropriate State and local personnel to the extent such
information may be shared, as determined in accordance with subsection (a), together with assessments
of the credibility of such information.
(2) Each information sharing system through which information is shared under
paragraph (1) shall—
(A) have the capability to transmit unclassified or classified information, though the
procedures and recipients for each capability may differ;
(B) have the capability to restrict delivery of information to specified subgroups by
geographic location, type of organization, position of a recipient within an organization,
or a recipients need to know such information;
(C) be configured to allow the efficient and effective sharing of information; and
(D) be accessible to appropriate State and local personnel.
(3) The procedures prescribed in paragraph (1) shall establish conditions on the use of
information shared under paragraph (1)
(A) to limit the redissemination of such information to ensure that such information
is not used for an unauthorized purpose;
(B) to ensure the security and confidentiality of such information;
(C) to protect the constitutional and statutory rights of any individuals who are
subjects of such information; and
(D) to provide data integrity through the timely removal and destruction of obsolete
or erroneous names and information.
(4) ....
(5) Each appropriate Federal agency, as determined by the President, shall have access to
each information sharing system through which information is shared under paragraph (1), and
shall therefore have access to all information, as appropriate, shared under such paragraph.
(6) The procedures prescribed under paragraph (1) shall ensure that appropriate State and
local personnel are authorized to use such information systems—
(A) to access information shared with such personnel; and
(B) to share, with others who have access to such information sharing systems, the
homeland security information of their own jurisdictions, which shall be marked
appropriately as pertaining to potential terrorist activity.
(7) Under procedures prescribed jointly by the Director of National Intelligence and the
Attorney General, each appropriate Federal agency, as determined by the President, shall
review and assess the information shared under paragraph (6) and integrate such information
with existing intelligence.
....
Subsection (f)(1) of Section 892 of P.L. 107-296, defined “homeland security information” to meaninformation
possessed by a Federal, State, or local agency thatrelates to the threat of terrorist activity;”relates to the ability to
prevent, interdict, or disrupt terrorist activity;would improve the identification or investigation of a suspected
terrorist or terrorist organization;”or would improve the response to a terrorist act.”State and local personnel” is
defined to mean persons involved in prevention, preparation, or response for terrorist attack who fall within the
following categories: “State Governors, mayors, and other locally elected officials;” “State and local law enforcement
(continued...)





50 U.S.C. § 1806(c)-(f)—U.S. District Court Consideration of Notices, Motions to Suppress or
Discovery Motions. Section 1806 also sets out in camera and ex parte U.S. district court review
procedures to be followed where such notification is received, or where the aggrieved person
seeks to discover or obtain orders or applications relating to FISA electronic surveillance, or to
discover, obtain, or suppress evidence or information obtained or derived from the electronic
surveillance, and the Attorney General files an affidavit under oath that such disclosure would
harm U.S. national security. The focus of this review would be to determine whether the
surveillance was lawfully conducted and authorized. Only where it is needed to make an accurate
determination of these issues does the section permit the court to disclose to the aggrieved person,
under appropriate security measures and protective orders, parts of the application, order, or other
materials related to the surveillance. If, as a result of its review, the district court determines that 70
the surveillance was unlawful, the resulting evidence must be suppressed. If the surveillance
was lawfully authorized and conducted, the motion of the aggrieved person must be denied
except to the extent that due process requires discovery or disclosure. Resultant court orders
granting motions or requests of the aggrieved person for a determination that the surveillance was
not lawfully conducted or authorized and court orders requiring review or granting disclosure are
final orders binding on all Federal and State courts except a U.S. Court of Appeals and the U.S.
Supreme Court.
If the contents of any radio communication are unintentionally acquired by an electronic,
mechanical, or other surveillance device in circumstances where there is a reasonable expectation
of privacy and where a warrant would be required if the surveillance were to be pursued for law

(...continued)
personnel and firefighters;”public health and medical professionals;”regional, State, and local emergency
management agency personnel, including State adjutant generals;”other appropriate emergency response agency
personnel;” and “employees of private-sector entities that affect critical infrastructure, cyber, economic, or public
health security, as designated by the Federal Government in procedures developed pursuant to this section.”
70 But see, United States v. Thomson, 752 F. Supp. 75, 77 (W.D. N.Y. 1990), stating that,
If the Court determines that the surveillance was unlawfully authorized or conducted, it must order
disclosure of the FISA material. 50 U.S.C. § 1806(g) .... In United States v. Belfield, 692 F.2d 141
(D.C. Cir. 1982), the court stated thateven when the government has purported not to be offering
any evidence obtained or derived from the electronic surveillance, a criminal defendant may claim
that he has been the victim of an illegal surveillance and seek discovery of the FISA surveillance
material to ensure that no fruits thereof are being used against him.” Id. at 146.
It may be noted that the Section 1806(g) does not state that a court must order disclosure of the FISA material if
the court finds that the FISA electronic surveillance was unlawfully authorized or conducted. Rather, the provision in
question states in pertinent part that, “If the United States district court pursuant to subsection (f) of this section
determines that the surveillance was not lawfully authorized or conducted, it shall, in accordance with the requirements
of law, suppress the evidence which was unlawfully obtained or derived from electronic surveillance of the aggrieved
person or otherwise grant the motion of the aggrieved person....” While a district court will normally consider in
camera and ex parte a motion to suppress under Subsection 1806(e) or other statute or rule to discover, disclose, or
suppress information relating to a FISA electronic surveillance, Subsection 1806(f) does permit a district court, in
determining the legality of a FISA electronic surveillance, to disclose to the aggrieved person, under appropriate
security procedures and protective orders, portions of the application, order or other materials relating to the
surveillance only to the extent necessary to make an accurate determination of the legality of the surveillance. Belfield
indicated that a criminal defendant may seek to discover FISA surveillance material to ensure that no fruits of an illegal
surveillance are being used against him, but it appears to stop short of saying that in every instance where the court
finds an illegal surveillance disclosure must be forthcoming. The language of section 1806(f) clearly anticipates that
an ex parte, in camera determination is to be the rule. Disclosure and an adversary hearing are the exception, occurring
only when necessary. Belfield, supra, 692 F.2d at 147. See also, United States v. Squillacote, 221 F.3d 542, 552-554 th
(4 Cir. 2000), cert. denied, 532 U.S. 971 (2001).





enforcement purposes, then the contents must be destroyed when recognized, unless the Attorney
General finds that the contents indicate a threat of death or serious bodily harm to any person.
As noted above, Section 1805 provides for emergency electronic surveillance in limited
circumstances, and requires the subsequent prompt filing of an application for court authorization
to the FISC in such a situation. Under Section 1806, if the application is unsuccessful in obtaining
court approval for the surveillance, notice must be served upon any United States person named
in the application and such other U.S. persons subject to electronic surveillance as the judge
determines, in the exercise of his discretion, is in the interests of justice. This notice includes the
fact of the application, the period of surveillance, and the fact that information was or was not
obtained during this period. Section 1806 permits postponement or suspension of service of
notice for up to ninety days upon ex parte good cause shown. Upon a further ex parte showing of
good cause thereafter, the court will forego ordering such service of notice.
50 U.S.C. § 1806(k)—Consultation by Federal Officers Conducting FISA Electronic Surveillance
with Federal Law Enforcement Officers. P.L. 107-56, Section 504, added a new subsection
1806(k)(1). Under this subsection, federal officers who conduct electronic surveillance to acquire
foreign intelligence under FISA are permitted to consult with Federal law enforcement officers to
coordinate investigative efforts or to protect against—
(A) actual or potential attack or other grave hostile acts of a foreign power or an agent of
a foreign power;
(B) sabotage or international terrorism by a foreign power or an agent of a foreign
power; or
(C) clandestine intelligence activities by an intelligence service or network of a foreign
power or by an agent of a foreign power.
This subsection indicates further that such coordination would not preclude certification as
required by 50 U.S.C. § 1804(a)(7)(B) or entry of a court order under 50 U.S.C. § 1805.
Reporting requirements are included in Sections 1807 and 1808. Under Section 1807, each year
in April, the Attorney General is directed to transmit to the Administrative Office of the United
States Courts and to the Congress a report covering the total number of applications made for
orders and extensions of orders approving electronic surveillance under FISA during the previous
year, and the total number of orders and extensions granted, modified, or denied during that time
period.
Section 1808(a) requires the Attorney General to fully inform the House Permanent Select
Committee on Intelligence, the Senate Select Committee on Intelligence, and the Senate Judiciary 71
Committee semiannually about all electronic surveillance under FISA. Each such report must

71 50 U.S.C. § 1808(a)(1), as amended by P.L. 109-177, Section 108(c)(1). Subsection 1808(b) directed the House
Permanent Select Committee on Intelligence and the Senate Select Committee on Intelligence to report annually for
five years after the date of enactment to the House and the Senate respectively concerning implementation of FISA,
including any recommendations for amendment, repeal, or continuation without amendment. P.L. 106-567, Title VI,
Sec. 604(b) (Dec. 27, 2000), 114 Stat. 2853, required the Attorney General to submit to the Senate Select Committee
(continued...)





contain a description of the total number of applications made for orders and extensions of orders
approving electronic surveillance under this subchapter where the nature and location of each
facility or place at which the electronic surveillance will be directed is unknown; each criminal
case in which information acquired by electronic surveillance under FISA has been authorized for
use at trial during the period covered by the report; and the total number of emergency
employments of electronic surveillance under section 1805(f) of this title and the total number of 72
subsequent orders approving or denying such electronic surveillance.
Section 1809 provides criminal sanctions for intentionally engaging in electronic surveillance
under color of law except as authorized by statute; or for disclosing or using information obtained
under color of law by electronic surveillance, knowing or having reason to know that surveillance
was not authorized by statute. The provision makes it a defense to prosecution under this
subsection if the defendant is a law enforcement officer or investigative officer in the course of
his official duties and the electronic surveillance was authorized by and conducted under a search
warrant or court order of a court of competent jurisdiction. Section 1809 provides for Federal
jurisdiction over such an offense if the defendant is a Federal officer or employee at the time of
the offense.
Civil liability is also provided for under Section 1810, where an aggrieved person, who is neither
a foreign power nor an agent of a foreign power, has been subjected to electronic surveillance, or
where information gathered by electronic surveillance about an aggrieved person has been
disclosed or used in violation of Section 1809.
Finally, Section 1811 provides that, notwithstanding any other law, the President, through the
Attorney General, may authorize electronic surveillance without a court order to acquire foreign
intelligence information for up to 15 calendar days following a declaration of war by Congress.
Physical searches for foreign intelligence purposes are addressed in 50 U.S.C. § 1821 et seq.73
While tailored for physical searches, the provisions in many respects follow a pattern similar to

(...continued)
on Intelligence, the Senate Judiciary Committee, the House Permanent Select Committee on Intelligence, and the
House Judiciary Committee a report on the authorities and procedures utilized by the Department of Justice to
determine whether or not to disclose information acquired under FISA for law enforcement purposes. 50 U.S.C. § 1806
note.
72 50 U.S.C. § 1808(a)(2), as amended by P.L. 109-177, Section 108(c)(2).
73 The physical search provisions of FISA were added as Title III of that Act by P.L. 103-359, Title VIII, on October
14, 1994, 108 Stat. 3443. Some of these provisions were subsequently amended by P.L. 106-567, Title VI, on
December 27, 2000, 114 Stat. 2852-53; and by P.L. 107-56.





that created for electronic surveillance. The definitions from 50 U.S.C. § 1801 for the terms
“foreign power,” “agent of a foreign power,” “international terrorism,” “sabotage,” “foreign
intelligence information,” “Attorney General,” “United States person,” “United States,” “person,”
and “State” also apply to foreign intelligence physical searches except where specifically
provided otherwise.
Minimization procedures also apply to physical searches for foreign intelligence purposes. Those
defined under 50 U.S.C. § 1821(4) are tailored to such physical searches and, like those
applicable to electronic surveillance under 50 U.S.C. § 1801(h), these procedures are designed to
minimize acquisition and retention, and to prohibit dissemination, of nonpublicly available
information concerning unconsenting U.S. persons, consistent with the needs of the United States 74
to obtain, produce and disseminate foreign intelligence.
Under 50 U.S.C. § 1822, the President, acting through the Attorney General, may authorize
physical searches to acquire foreign intelligence information without a court order for up to one
year if the Attorney General certifies under oath that the search is solely directed at premises,
property, information or materials owned by or under the open and exclusive control of certain 75
foreign power or powers. For these purposes, “foreign power or powers” means a foreign
government or component of a foreign government, whether or not recognized by the United
States, a faction of a foreign nation or nations, not substantially composed of U.S. persons; or an
entity that is openly acknowledged by a foreign government or governments to be directed and 76
controlled by such foreign government or governments. In addition, the Attorney General must

74 Specifically, 50 U.S.C. § 1821(4) defines “minimization procedures” with respect to physical search to mean:
(A) specific procedures, which shall be adopted by the Attorney General, that are reasonably
designed in light of the purposes and technique of the particular physical search, to minimize the
acquisition and retention, and prohibit the dissemination, of nonpublicly available information
concerning unconsenting United States persons consistent with the need of the United States to
obtain, produce, and disseminate foreign intelligence information;
(B) procedures that require that nonpublicly available information, which is not foreign
intelligence information, as defined in section 1801(e)(1) of this title, shall not be disseminated in a
manner that identifies any United States person, without such persons consent, unless such
persons identity is necessary to understand such foreign intelligence information or assess its
importance;
(C) notwithstanding subparagraphs (A) and (B), procedures that allow for the retention and
dissemination of information that is evidence of a crime which has been, is being, or is about to be
committed and that is to be retained or disseminated for law enforcement purposes; and
(D) notwithstanding subparagraphs (A), (B), and (C), with respect to any physical search
approved pursuant to section 1822(a) of this title, procedures that require that no information,
material, or property of a United States person shall be disclosed, disseminated, or used for any
purpose or retained for longer than 72 hours, unless a court order under section 1824 of this title is
obtained or unless the Attorney General determines that the information indicates a threat of death
or serious bodily harm to any person.
Section 314(a)(3) of P.L. 107-108, the Intelligence Authorization Act of 2002, changed the previous 24 hour period in
the minimization procedures under 50 U.S.C. § 1821(4)(D) to a 72 hour period.
75 The President provided such authority to the Attorney General by Executive Order 12949, Section 1, 60 Fed. Reg.
8169 (February 9, 1995), if the Attorney General makes the certifications necessary under 50 U.S.C. § 1822(a)(1).
76 See 50 U.S.C. § 1801(a)(1), (2), or (3).





certify that there is no substantial likelihood that the physical search will involve the premises,
information, material or property of a U.S. person, and that the proposed minimization procedures 77
with respect to the physical search are consistent with 50 U.S.C. § 1821(4)(1)-(4). Under normal
circumstances, these minimization procedures and any changes to them are reported to the House
Permanent Select Committee on Intelligence and the Senate Select Committee on Intelligence by
the Attorney General at least 30 days before their effective date. However, if the Attorney General
determines that immediate action is required, the statute mandates that he advise these
committees immediately of the minimization procedures and the need for them to become
effective immediately. In addition, the Attorney General must assess compliance with these
minimization procedures and report such assessments to these congressional committees.
The certification of the Attorney General for a search under 50 U.S.C. § 1822 is immediately
transmitted under seal to the Foreign Intelligence Surveillance Court, and maintained there under
security measures established by the Chief Justice of the United States with the Attorney
General’s concurrence, in consultation with the Director of National Intelligence. Such a
certification remains under seal unless one of two circumstances arise: (1) either an application
for a court order with respect to the physical search is made to the Foreign Intelligence
Surveillance Court under 50 U.S.C. § 1821(4) (dealing with minimization procedures) and § 1823
(dealing with the process by which a federal officer, with the approval of the Attorney General,
may apply for an order from the FISC approving a physical search for foreign intelligence
gathering purposes); or (2) the certification is needed to determine the legality of a physical
search under 50 U.S.C. § 1825 (dealing with use of the information so gathered).
In connection with physical searches under 50 U.S.C. § 1822, the Attorney General may direct a
landlord, custodian or other specified person to furnish all necessary assistance needed to
accomplish the physical search in a way that would both protect its secrecy and minimize
interference with the services such person provides the target of the search. Such person may also
be directed to maintain any records regarding the search or the aid provided under security
procedures approved by the Attorney General and the Director of National Intelligence. The 78
provision of any such aid must be compensated by the Government.
As in the case of applications for electronic surveillance under FISA, the Foreign Intelligence
Surveillance Court (FISC) has jurisdiction to hear applications and grant applications with respect
to physical searches under 50 U.S.C. § 1821 et seq. No FISC judge may hear an application
already denied by another FISC judge. If an application for an order authorizing a physical search
under FISA is denied, the judge denying the application must immediately provide a written
statement of reasons for the denial. If the United States so moves, the record is then transmitted
under seal to the court of review established under 50 U.S.C. § 1803(b). If the court of review
determines that the application was properly denied, it, in turn, must provide a written statement
of the reasons for its decision, which must be transmitted under seal to the Supreme Court upon 79
petition for certiorari by the United States. Any of the proceedings with respect to an application
for a physical search under FISA must be conducted expeditiously, and the record of such
proceedings must be kept under appropriate security measures.

77 While this is the citation cross-referenced in Section 1822, it appears that the cross-reference should read 50 U.S.C. §
1821(4)(A)-(D).
78 50 U.S.C. § 1822(a)(4).
79 50 U.S.C. § 1822(c), (d).





The requirements for application for an order for a physical search under FISA are included in 50
U.S.C. § 1823. While tailored to a physical search, the requirements strongly parallel those 80
applicable to electronic surveillance under 50 U.S.C. § 1804(a)(1)-(9). Like Section
1804(a)(7)(B) with respect to required certifications for an application for electronic surveillance
under FISA, Section 1823(a)(7)(B) was amended by P.L. 107-56, Section 218, to require that the

80 Each application for an order approving such a physical search, having been approved by the Attorney General based
upon his understanding that the application satisfies the criteria and requirements of 50 U.S.C. § 1821 et seq., must be
made by a Federal officer in writing upon oath or affirmation to an FISC judge. Under subsection (a) of Section 1823,
the application must include:
(1) the identity of the Federal officer making the application;
(2) the authority conferred on the Attorney General by the President and the approval of the
Attorney General to make the application;
(3) the identity, if known, or a description of the search, and a detailed description of the
premises or property to be searched and of the information, material, or property to be seized,
reproduced, or altered;
(4) a statement of the facts and circumstances relied upon by the applicant to justify the
applicant’s belief that
(A) the target of the physical search is a foreign power or an agent of a foreign power;
(B) the premises or property to be searched contains foreign intelligence information; and
(C) the premises or property to be searched is owned, used, possessed by, or is in transit
to or from a foreign power or an agent of a foreign power;
(5) a statement of the proposed minimization procedures;
(6) a statement of the nature of the foreign intelligence sought and the manner in which the
physical search is to be conducted;
(7) a certification or certifications by the Assistant to the President for National Security
Affairs or an executive branch official or officials designated by the President from among those
executive branch officers employed in the area of national security or defense and appointed by the
President, by and with the advice and consent of the Senate
(A) that the certifying official deems the information sought to be foreign intelligence
information;
(B) that a significant purpose of the search is to obtain foreign intelligence information;
(C) that such information cannot reasonably be obtained by normal investigative
techniques;
(D) that designates the type of foreign intelligence information being sought according to
the categories described in section 1801(e) of this title;
and
(E) includes a statement explaining the basis for the certifications required by
subparagraphs (C) and (D);
(8) where the physical search involves a search of the residence of a United States person, the
Attorney General shall state what investigative techniques have previously been utilized to obtain
the foreign intelligence information concerned and the degree to which these techniques resulted in
acquiring such information; and
(9) a statement of the facts concerning all previous applications that have been made to any
judge under this subchapter involving any of the persons, premises, or property specified in the
application, and the action taken on each previous application. (Emphasis added.)
Under Section 1823(b), the Attorney General may require any other affidavit or certification from any other
officer in connection with an application for a physical search that he deems appropriate. Under Section 1823(c), the
FISC judge to whom the application is submitted may also require that the applicant provide other information as
needed to make the determinations necessary under 50 U.S.C. § 1824.





Assistant to the President for National Security Affairs or designated Executive Branch official81
certify, among other things, that a significant purpose (rather than “that the purpose”) of the 82
physical search is to obtain foreign intelligence information. Section 1823(d) also parallels
Section 1804(e) (dealing with requirements for some applications for electronic surveillance
under FISA), in that, if requested in writing by the Director of the FBI, the Secretary of Defense, 83
the Secretary of State, or the Director of National Intelligence, the Attorney General must
personally review an application for a FISA physical search if the target is one described by
Section 1801(b)(2). 50 U.S.C. § 1801(b)(2) deals with targets who knowingly engage in
clandestine intelligence gathering activities involving or possibly involving violations of federal
criminal laws by or on behalf of a foreign power; targets who, at the direction of an intelligence
service or network of a foreign power, engage in other clandestine intelligence activities
involving or potentially involving federal crimes by or on behalf of a foreign power; targets who
knowingly engage in sabotage or international terrorism, activities in preparation for sabotage or
international terrorism, or activities on behalf of a foreign power; targets who knowingly aid,
abet, or conspire with anyone to engage in any of the previously listed categories of activities; or
targets who knowingly enter the United States under false identification by or on behalf or a
foreign power or who assume a false identity on behalf of a foreign power while present in the 84
United States.
Should the Attorney General, after reviewing an application, decide not to approve it, he must
provide written notice of his determination to the official requesting the review of the application,
setting forth any modifications needed for the Attorney General to approve it. The official so
notified must supervise the making of the suggested modifications if the official deems them
warranted. Unless the Attorney General or the official involved is disabled or otherwise unable to
carry out his or her respective responsibilities under Section 1823, those responsibilities are non-
delegable.

81 In Section 2 of E.O. 12949, 60 Fed. Reg. 8169 (February 9, 1995), as amended by Section 2 of E.O. 13383, 70 Fed.
Reg. 41,933 (July 15, 2005), the President authorized the Attorney General to approve applications to the Foreign
Intelligence Surveillance Court under 50 U.S.C. § 1823, to obtain court orders for physical searches for the purpose of
collecting foreign intelligence information. In Section 3 of that executive order, the President designated the Secretary
of State, the Secretary of Defense, the Director of National Intelligence, the Director of the Federal Bureau of
Investigation, the Deputy Secretary of State, the Deputy Secretary of Defense, the Director of the Central Intelligence
Agency, and the Principal Deputy Director of National Intelligence to make the certifications required by 50 U.S.C. §
1823(a)(7), in support of an application for a court order for a physical search for foreign intelligence purposes. None
of these officials may exercise this authority to make the appropriate certifications unless he or she is appointed by the
President, with the advice and consent of the Senate.
82 Section 303(a)(7)(B) of FISA, 50 U.S.C. § 1823(a)(7)(B) (see italicized language in the quote of the statutory section
in footnote 57, supra). Extrapolating from the U.S. Foreign Intelligence Surveillance Court of Review’s interpretation
of thesignificant purpose language as applied to electronic surveillance under FISA in In re Sealed Case, 310 F.3d
717, 728-38 (U.S. Foreign Intell. Surveil. Ct. Rev. 2002), this language appears to exclude FISA as authority for a
physical search where the sole purpose of an investigation is criminal prosecution. The government must have a
measurable foreign intelligence purpose other than criminal prosecution, even of foreign intelligence crimes, in order to
satisfy thesignificant purpose standard. This reasoning suggests that the primary purpose of the investigation may be
criminal prosecution, so long as collection of foreign intelligence information is also a significant purpose of the
search.
83 The authority of these officials to make such a written request is non-delegable except where such official is disabled
or unavailable. Each must make provision in advance for delegation of this authority should he or she become disabled
or unavailable. 50 U.S.C. § 1823(d)(1)(B) and (C).
84 See footnote 44, supra.





As in the case of the issuance of an order approving electronic surveillance under 50 U.S.C. §
1805(a), certain findings by the FISC judge are required before an order may be forthcoming
authorizing a physical search for foreign intelligence information under 50 U.S.C. § 1824(a).
Once an application under Section 1823 has been filed, an FISC judge must enter an ex parte
order, either as requested or as modified, approving the physical search if the requisite findings
are made. These include findings that:
(1) the President has authorized the Attorney General to approve applications for
physical searches for foreign intelligence purposes;
(2) the application has been made by a Federal officer and approved by the Attorney
General;
(3) on the basis of the facts submitted by the applicant there is probable cause to believe
that—
(A) the target of the physical search is a foreign power or an agent of a foreign
power, except that no United States person may be considered an agent of a foreign
power solely on the basis of activities protected by the first amendment to the
Constitution of the United States; and
(B) the premises or property to be searched is owned, used, possessed by, or is in
transit to or from an agent of a foreign power or a foreign power;
(4) the proposed minimization procedures meet the definition of minimization contained
in this subchapter; and
(5) the application which has been filed contains all statements and certifications
required by section 1823 of this title, and, if the target is a United States person, the
certification or certifications are not clearly erroneous on the basis of the statement made
under section 1823(a)(7)(E) of this title and any other information furnished under section
1823(c) of this title.
Like Section 1805(b) regarding electronic surveillance under FISA, an FISC judge making a
probable cause determination under Section 1824 may consider the target’s past activities, plus 85
facts and circumstances pertinent to the target’s present or future activities.
As in the case of an order under 50 U.S.C. § 1805(c) with respect to electronic surveillance, an
order granting an application for a physical search under FISA must meet statutory requirements
in 50 U.S.C. § 1824(c) as to specifications and directions. An order approving a physical search
must specify:
(A) the identity, if known, or a description of the target of the physical search;
(B) the nature and location of each of the premises of property to be searched;
(C) the type of information, material, or property to be seized, altered, or reproduced;

85 50 U.S.C. § 1824(b).





(D) a statement of the manner in which the physical search is to be conducted and,
whenever more than one physical search is authorized under the order, the authorized scope
of each search and what minimization procedures shall apply to the information acquired by
each search; and
(E) the period of time during which the physical searches are approved; ....
In addition, the order must direct:
(A) that the minimization procedures be followed;
(B) that, upon the request of the applicant, a specified landlord, custodian, or other
specified person furnish the applicant forthwith all information, facilities, or assistance
necessary to accomplish the physical search in such a manner as will protect its secrecy and
produce a minimum of interference with the services that such landlord, custodian, or other
person is providing to the target of the physical search;
(C) that such landlord, custodian, or other person maintain under security procedures 86
approved by the Attorney General and the Director of National Intelligence any records
concerning the search or the aid furnished that such person wishes to retain;
(D) that the applicant compensate, at the prevailing rate, such landlord, custodian, or
other person for furnishing such aid; and
(E) that the federal officer conducting the physical search promptly report to the court 87
the circumstances and results of the physical search.
Subsection 1824(d) sets the limits on the duration of orders under this section and makes 88
provision for extensions of such orders if certain criteria are met.

86 Section 1071(e) replaced “Director of Central Intelligence” with “Director of National Intelligence” in each place
where it appeared in FISA. This was one of those locations.
87 50 U.S.C. § 1824(c)(1), (2).
88 P.L. 107-56, Section 207(a)(2), amended 50 U.S.C. § 1824(d)(1) so that it provided:
(1) An order under this section may approve a physical search for the period necessary to
achieve its purpose, or for 90 days, whichever is less, except that (A) an order under this section
shall approve a physical search targeted against a foreign power, as defined in paragraph (1), (2), or
(3) of section 101(a) [50 U.S.C. § 1801(b)(1)(A)], for the period specified in the application or for
one year, whichever is less, and (B) an order under this section for a physical search against an
agent of a foreign power as defined in section 101(b)(1)(A) [50 U.S.C. § 1801(b)(1)(A)] may be for
the period specified in the application or for 120 days, whichever is less.
The language in italics reflects the changes made by P.L. 107-56. The 90 day time period reflected in the first sentence
replaced earlier language which provided for 45 days.
Section 207(b)(2) of P.L. 107-56 amended 50 U.S.C. § 1824(d)(2) to provide:
(2) Extensions of an order issued under this title [50 U.S.C. §§ 1821 et seq.] may be granted
on the same basis as the original order upon an application for an extension and new findings made
in the same manner as required for the original order, except that an extension of an order under
this Act for a physical search targeted against a foreign power, as defined in section 101(a)(5) or (6)
[50 U.S.C. § 1801(a)(5) or (6)], or against a foreign power, as defined in section 101(a)(4) [50
U.S.C. § 1801(a)(4)] , that is not a United States person, or against an agent of a foreign power as
defined in section 101(b)(1)(A) [50 U.S.C. § 1801(b)(1)(A)], may be for a period not to exceed one
year if the judge finds probable cause to believe that no property of any individual United States
person will be acquired during the period.
(continued...)





50 U.S.C. § 1824(e)—Emergency Authorization of a Physical Search upon Attorney General
Certification while FISC Order Is Pursued. Subsection 1824(e) deals with emergency orders for
physical searches. It permits the Attorney General, under certain circumstances, to authorize
execution of a physical search if the Attorney General or his designee informs an FISC judge that
the decision to execute an emergency search has been made, and an application under 50 U.S.C. § 89
1821 et seq. is made to that judge as soon as possible, within 72 hours after the Attorney
General authorizes the search. The Attorney General’s decision to authorize such a search must be
premised upon a determination that “an emergency situation exists with respect to the execution
of a physical search to obtain foreign intelligence information before an order authorizing such
search can with due diligence be obtained,” and “the factual basis for issuance of an order under 90
this title [50 U.S.C. § 1821 et seq.] to approve such a search exists.” If such an emergency
search is authorized by the Attorney General, he must require that the minimization procedures
required for issuance of a judicial order for a physical search under 18 U.S.C. § 1821 et seq. be 91
followed. If there is no judicial order for a such a physical search, then the search must
terminate on the earliest of the date on which the information sought is obtained, the date on
which the application for the order is denied, or the expiration of the 72 hour period from the 92
Attorney General’s authorization of the emergency search. If an application for approval is
denied or if the search is terminated and no order approving the search is issued, then neither
information obtained from the search nor evidence derived from the search may be used in
evidence or disclosed in any
... trial, hearing, or other proceeding in or before any court, grand jury, department, office,
agency, regulatory body, legislative committee, or other authority of the United States, a
State, or political subdivision thereof, and no information concerning any United States
person acquired from such search shall subsequently be used or disclosed in any other
manner by Federal officers or employees without the consent of such person, except with the
approval of the Attorney General, if the information indicates a threat of death or serious
bodily harm to any person. A denial of the application made under this subsection may be 93
reviewed as provided in section 302 [50 U.S.C. § 1822].
Subsection 1824(f) requires retention of applications made and orders granted under 50 U.S.C. §

1821 et seq., for a minimum of ten years from the date of the application.



(...continued)
(Emphasis added.) Section 105(b) of P.L. 109-177, amended subsection 1824(d)(2) to replace “as defined in section
101(b)(1)(A), with “who is not a United States person.” Thus, as amended, provides in pertinent part that an extension
of a FISA order for a physical search targeted against an agent of a foreign power who is not a United States person
may be for a period not to exceed one year if the judge finds probable cause to believe that no property of any
individual United States person will be acquired during the period.
Under subsection 1824(d)(3), the judge, at or before the end of the time approved for a physical search or for an
extension, or at any time after the physical search is carried out, may review circumstances under which information
regarding U.S. persons was acquired, retained, or disseminated to assess compliance with minimization techniques.
89 Section 314(a)(4) of the Intelligence Authorization Act for Fiscal Year 2002, P.L. 107-108, amended 50 U.S.C. §
1824(e) by striking24 hours where it occurred and replacing it with “72 hours.
90 50 U.S.C. § 1824(e)(1)(A)(i) and (ii). See footnote 89, supra, regarding substitution of72 hours” for “24 hours” in
Subsection 50 U.S.C. § 1824(e)(3)(C) by P.L. 107-108, Sec. 314(a)(4).
91 50 U.S.C. § 1824(e)(2).
92 50 U.S.C. § 1824(e)(3).
93 50 U.S.C. § 1824(e)(4).





Like 50 U.S.C. § 1806 with respect to electronic surveillance under FISA, 50 U.S.C. § 1825
restricts and regulates the uses of information secured under a FISA physical search. Such
information may only be used or disclosed by Federal officers or employees for lawful purposes.
Federal officers and employees must comply with minimization procedures if they use or disclose 94
information gathered from a physical search under FISA concerning a United States person. If a
physical search involving the residence of a United States person is authorized and conducted
under 50 U.S.C. § 1824, and at any time thereafter the Attorney General determines that there is
no national security interest in continuing to maintain the search’s secrecy, the Attorney General
must provide notice to the United States person whose residence was searched. This notice must
include both the fact that the search pursuant to FISA was conducted and the identification of any 95
property of that person which was seized, altered, or reproduced during the search. Disclosure
for law enforcement purposes of information acquired under 50 U.S.C. § 1821 et seq., must be
accompanied by a statement that such information and any derivative information may only be 96
used in a criminal proceeding with advance authorization from the Attorney General.
The notice requirements relevant to intended use or disclosure of information gleaned from a
FISA physical search or derivative information, are similar to those applicable where disclosure
or use of information garnered from electronic surveillance is intended. If the United States
intends to use or disclose information gathered during or derived from a FISA physical search in a
trial, hearing, or other proceeding before a court, department, officer, agency, regulatory body or
other authority of the United States against an aggrieved person, the United States must first give 97
notice to the aggrieved person, and the court or other authority. Similarly, if a State or political
subdivision of a state intends to use or disclose any information obtained or derived from a FISA
physical search in any trial, hearing, or other proceeding before a court, department, officer,
agency, regulatory body, or other State or political subdivision against an aggrieved person, the
State or locality must notify the aggrieved person, the pertinent court or other authority where the
information is to be used, and the Attorney General of the United States of its intention to use or 98
disclose the information.
50 U.S.C. §§ 1825(d)-(g)—U.S. District Court Consideration of Notices, Motions to Suppress, or
Discovery Motions. An aggrieved person may move to suppress evidence obtained or derived
from a FISA physical search on one of two grounds: that the information was unlawfully
acquired; or that the physical search was not made in conformity with an order of authorization or
approval. Such a motion to suppress must be made before the trial, hearing or other proceeding
involved unless the aggrieved person had no opportunity to make the motion or was not aware of 99
the grounds of the motion.

94 50 U.S.C. § 1825(a).
95 50 U.S.C. § 1825(b).
96 50 U.S.C. § 1825(c).
97 50 U.S.C. § 1825(d). “Aggrieved person,” as defined in 50 U.S.C. § 1821(2),means a person whose premises,
property, information, or material is the target of a physical search or any other person whose premises, property,
information, or material was subject to physical search.
98 50 U.S.C. § 1825(e).
99 50 U.S.C. § 1825(f).





In camera, ex parte review by a United States district court may be triggered by receipt of notice
under Subsections 1825(d) or (e) by a court or other authority; the making of a motion to suppress
by an aggrieved person under Subsection 1825(f); or the making of a motion or request by an
aggrieved person under any other federal or state law or rule before any federal or state court or
authority to discover or obtain applications, orders, or other materials pertaining to a physical
search authorized under FISA or to discover, obtain, or suppress evidence or information obtained
or derived from a FISA physical search. If the Attorney General files an affidavit under oath that
disclosure of any adversary hearing would harm U.S. national security, the U.S. district court
receiving notice or before whom a motion or request is pending, or, if the motion is made to
another authority, the U.S. district court in the same district as that authority, shall review in
camera and ex parte the application, order, and such other materials relating to the physical search
at issue needed to determine whether the physical search of the aggrieved person was lawfully
authorized and conducted. If the court finds it necessary to make an accurate determination of the
legality of the search, the court may disclose portions of the application, order, or other pertinent
materials to the aggrieved person under appropriate security procedures and protective orders, or
may require the Attorney General to provide a summary of such materials to the aggrieved 100
person.
If the U.S. district court makes a determination that the physical search was not lawfully
authorized or conducted, then it must “suppress the evidence which was unlawfully obtained or
derived from the physical search of the aggrieved person or otherwise grant the motion of the
aggrieved person.” If, on the other hand, the court finds that the physical search was lawfully
authorized or conducted, the motion of the aggrieved person will be denied except to the extent 101
that due process requires discovery or disclosure.
If the U.S. district court grants a motion to suppress under 50 U.S.C. § 1825(h); deems a FISA
physical search unlawfully authorized or conducted; or orders review or grants disclosure of
applications, orders or other materials pertinent to a FISA physical search, that court order is final
and binding on all federal and state courts except a U.S. Court of Appeals or the U.S. Supreme 102
Court.
As a general matter, where an emergency physical search is authorized under 50 U.S.C. §
1824(d), and a subsequent order approving the resulting search is not obtained, any U.S. person
named in the application and any other U.S. persons subject to the search that the FISC judge
deems appropriate in the interests of justice must be served with notice of the fact of the
application and the period of the search, and must be advised as to whether information was or 103
was not obtained during that period. However, such notice may be postponed or suspended for
a period not to exceed 90 days upon an ex parte showing of good cause to the judge, and, upon 104
further good cause shown, the court must forego such notice altogether.
50 U.S.C. § 1825(k)—Consultation by Federal Officers Doing FISA Searches with Federal Law
Enforcement Officers. Section 504(b) of P.L. 107-56, added a new 50 U.S.C. § 1825(k) to the
statute, which deals with consultation by federal officers doing FISA searches with federal law

100 50 U.S.C. § 1825(g).
101 50 U.S.C. § 1825(h).
102 50 U.S.C. § 1825(i).
103 50 U.S.C. § 1825(j)(1).
104 50 U.S.C. § 1825(j)(2).





enforcement officers. Section 899 of the Homeland Security Act of 2002, P.L. 107-296 expanded
this authority to also permit consultation with “law enforcement personnel of a State or political
subdivision of a State (including the chief executive officer of that State or political subdivision
who has the authority to appoint or direct the chief law enforcement officer of that State or
political subdivision).” Under this new language, as amended, federal officers “who conduct
physical searches to acquire foreign intelligence information” under 50 U.S.C. § 1821 et seq.,
may consult with federal law enforcement officers or state or local law enforcement personnel:
... to coordinate efforts to investigate or protect against
(A) actual or potential attack or other grave hostile acts of a foreign power or an agent of
a foreign power;
(B) sabotage or international terrorism by a foreign power or an agent of a foreign
power; or
(C) clandestine intelligence activities by an intelligence service or network of a foreign 105
power or by an agent of a foreign power.
Such coordination does not preclude certification required under 50 U.S.C. § 1823(a)(7) or entry 106
of an order under 50 U.S.C. § 1824.

50 U.S.C. § 1826 provides for semiannual congressional oversight of physical searches under 107


FISA.The Attorney General is directed to “fully inform” the Permanent Select Committee on
Intelligence of the House of Representatives, the Select Committee on Intelligence of the Senate, 108
and the Senate Judiciary Committee with respect to all physical searches conducted under 50
U.S.C. § 1821 et seq. Also on a semiannual basis, the Attorney General is required to provide a 109
report to “those committees” and to the House Judiciary Committeesetting forth: the total

105 50 U.S.C. § 1825(k)(1).
106 50 U.S.C. § 1825(k)(2).
107 See also the discussion of new reporting requirements added by Section 6002 of P.L. 108-458, the Intelligence
Reform and Terrorism Prevention Act of 2004, 50 U.S.C. § 1871, discussed at footnote 165, infra, and accompanying
text.
108 P.L. 109-177, Section 109(a) added the Senate Judiciary Committee to the committees to be fully informed by the
Attorney General as to FISA physical searches.
109 The termthose committees in the second sentence of 50 U.S.C. § 1826 appears to be subject to at three possible
interpretations. Section 109(a)(1) of P.L. 109-177 amends the first sentence of Section 1826in the first sentence, by
inserting “, and the Committee on the Judiciary of the Senate, after “Senate.” The amending language in Subsection
109(a)(2) or P.L. 109-177, amends 50 U.S.C. § 1826 “in the second sentence, by strikingand the Committees on the
Judiciary of the House of Representatives and the Senate” and inserting “and the Committee on the Judiciary of the
House of Representatives.” In light of this sequence of amendments, the phrasethose committees in the second
paragraph might to refer to the Intelligence Committees alone, rather than to the Intelligence Committees and the
Senate Judiciary Committee referred to in the previous sentence. If this is the case, then the semiannual report referred
to in this sentence would be submitted only to the Intelligence Committees and the House Judiciary Committee. Under
this view, the replacement of “and the Committees on the Judiciary of the House of Representatives and the Senate”
with “and the Committee on the Judiciary of the House of Representatives” would reflect an intent to eliminate access
to the report for the Senate Judiciary Committee, while leaving the access of the House Judiciary Committee extant.
Alternatively, ifthose committees refers to all three committees listed in the first sentence, then replacing a reference
to both Senate and House Judiciary Committees with a reference only to the House Judiciary Committee would
(continued...)





number of applications for orders approving FISA physical searches during the preceding six
month period; the total number of those orders granted, modified, or denied; the number of such
physical searches involving the residences, offices, or personal property of United States persons; 110
the number of occasions, if any, the Attorney General gave notice under 50 U.S.C. § 1825(b);
and the total number of emergency physical searches authorized by the Attorney General under
section 1824(e) of this title and the total number of subsequent orders approving or denying such 111
physical searches.
Section 1827 imposes criminal sanctions for intentionally executing a physical search for foreign
intelligence gathering purposes under color of law within the United States except as authorized
by statute. In addition, criminal penalties attach to a conviction for intentionally disclosing or
using information obtained by a physical search under color of law within the United States for
the purpose of gathering intelligence information, where the offender knows or has reason to
know that the information was obtained by a physical search not authorized by statute. In either

(...continued)
eliminate a redundancy in the language, while giving both Intelligence Committees and both Judiciary Committees
access to the report. The Conference Report to P.L. 109-177, H.Rept. 109-333, USA PATRIOT Improvement and thst
Reauthorization Act of 2005, 109 Cong., 1 Sess. 93 (December 8, 2005), appears to give the provision a third reading
which does include both House and Senate Judiciary Committees as recipients of the report on emergency employment
of physical searches under FISA, as well as electronic surveillance and pen registers, but makes no mention of the
Intelligence Committees. It states:
Section 109. Enhanced congressional oversight
Section 109 of the conference report is similar to section 10 of the Senate amendment, bu with
an additional new provision. Section 109 of the conference report is identical to section 10 of the
Senate amendment and requires: (1) the FISA court to publish its rules; and (2) reporting to the
House and Senate Judiciary Committees of the use of the emergency employments of electronic
surveillance, physical searches, and pen register and trap and trace devices. Section 109(c) of the
conference report also requires that the Secretary of the Department of Homeland Security submit a
written report providing a description of internal affairs operations at U.S. Citizenship &
Immigration Services to the Judiciary Committees of the House and the Senate.
The language of 50 U.S.C. § 1826, as so amended, provides:
On a semiannual basis the Attorney General shall fully inform the Permanent Select Committee on
Intelligence of the House of Representatives and the Select Committee on Intelligence of the
Senate, and the Committee on the Judiciary of the Senate, concerning all physical searches
conducted pursuant to this subchapter. On a semiannual basis the Attorney General shall also
provide to those committees and the Committee on the Judiciary of the House of Representatives a
report setting forth with respect to the preceding six-month period—
(1) the total number of applications made for orders approving physical searches under this
subchapter;
(2) the total number of such orders either granted, modified, or denied;
(3) the number of physical searches which involved searches of the residences, offices, or personal
property of United States persons, and the number of occasions, if any, where the Attorney General
provided notice pursuant to section 1825(b) of this title; and
(4) the total number of emergency physical searches authorized by the Attorney General under
section 1824(e) of this title and the total number of subsequent orders approving or denying such
physical searches.
110 See footnote 86, supra, and accompanying text.
111 The reporting requirement regarding the total number of emergency physical searches authorized under 50 U.S.C. §
1824(e) was added by Section 109(a)(5) of P.L. 109-177.





case, this section provides that a person convicted of such an offense faces a fine of not more than 112
$10,000,imprisonment for not more than five years or both. Federal jurisdiction attaches where
the offense is committed by an officer or employee of the United States. It is a defense to such a
prosecution if the defendant was a law enforcement or investigative officer engaged in official
duties and the physical search was authorized and conducted pursuant to a search warrant or court
order by a court of competent jurisdiction.
In addition, an aggrieved person other than a foreign power or an agent of a foreign power as 113
defined under section 1801(a) or 1801(b)(1)(A), whose premises, property, information, or
material within the United States was physically searched under FISA; or about whom
information obtained by such a search was disclosed or used in violation of 50 U.S.C. § 1827,
may bring a civil action for actual damages, punitive damages, and reasonable attorney’s fees and 114
other investigative and litigation costs reasonably incurred.
In times of war, the President, through the Attorney General, may authorize physical searches
under FISA without a court order to obtain foreign intelligence information for up to 15 days 115
following a declaration of war by Congress.

Title IV of FISA, 50 U.S.C. § 1841 et seq., was added in 1998, amended by P.L. 107-56,117 and
amended further by Section 314(5) of P.L. 107-108.

112 This section was added in 1994 as Title III, Section 307 of P.L. 95-511, by P.L. 103-359, Title VIII, § 807(a)(3),
108 Stat. 3452. If a fine were to be imposed under the general fine provisions 18 U.S.C. § 3571, rather than under the
offense provision, the maximum fine would be $250,000 for an individual.
113 For definitions, see footnote 44, supra.
114 50 U.S.C. § 1828. Actual damages are defined to benot less than liquidated damages of $1,000 or $100 per day for
each violation, whichever is greater. 50 U.S.C. § 1828(1).
115 50 U.S.C. § 1829.
116 Under 50 U.S.C. § 1841(2), the terms “pen register” and “trap and trace device” are given the meanings in 18 U.S.C.
§ 3127. Under Section 3127, “pen register
... means a device which records or decodes electronic or other impulses which identify the
numbers dialed or otherwise transmitted on the telephone line to which such device is attached, but
such term does not include any device used by a provider or customer of a wire or electronic
communication service for billing, or recording as an incident to billing, for communications
services provided by such provider or any device used by a provider or customer of a wire
communication service for cost accounting or other like purposes in the ordinary course of its
business; ....
As defined by 18 U.S.C. § 3127(4), “trap and trace device” “means a device which captures the incoming electronic or
other impulses which identify the originating number of an instrument or device from which a wire or electronic
communication was transmitted.” 50 U.S.C. § 1841 is the section that defines terms applicable to the pen register and
trap and trace device portions of FISA.





Under 50 U.S.C. § 1842(a)(1), notwithstanding any other provision of law, the Attorney General
or a designated attorney for the Government may apply for an order or extension of an order
authorizing or approving the installation and use of a pen register or trap and trace device “for
any investigation to protect against international terrorism or clandestine intelligence activities,
provided such investigation of a United States person is not conducted solely upon the basis of
activities protected by the first amendment to the Constitution” conducted by the Federal Bureau
of Investigation (FBI) under guidelines approved by the Attorney General pursuant to E.O. 12333 118
or a successor order. This authority is separate from the authority to conduct electronic 119
surveillance under 50 U.S.C. § 1801 et seq.
Each such application is made in writing upon oath or affirmation to an FISC judge or to a U.S.
magistrate judge publicly designated by the Chief Justice of the United States to hear such
applications and grant orders approving installation of pen registers or trap and trace devices on
behalf of an FISC judge. The application must be approved by the Attorney General or a
designated attorney for the Government. Each application must identify the federal officer
seeking to use the pen register or trap and trace device covered by the application. It must also
include a certification by the applicant “that the information likely to be obtained is relevant to an
ongoing investigation to protect against international terrorism or clandestine intelligence
activities, provided that such investigation of a United States person is not conducted solely upon 120
the basis of activities protected by the first amendment to the Constitution.” Under 50 U.S.C. §
1842, as amended by P.L. 107-56, pen registers and trap and trace devices may now be installed
and used not only to track telephone calls, but also other forms of electronic communication such
as e-mail.

(...continued)
117 Title IV of FISA was added by Title VI, Sec. 601(2) of P.L. 105-272, on October 20, 1998, 112 Stat. 2405-2410,
and amended by P.L. 107-56 and by P.L. 107-108.
118 The italicized language was added by P.L. 107-56, Section 214(a)(1), replacing language which had readfor any
investigation to gather foreign intelligence information or information concerning international terrorism.”
119 50 U.S.C. § 1842(a)(2).
120 This language, added by P.L. 107-56, Section 214(a)(2), replaced stricken language which read:
(2) a certification by the applicant that the information to be obtained is relevant to an ongoing
foreign intelligence or international terrorism investigation being conducted by the Federal Bureau
of Investigation under guidelines approved by the Attorney General; and
(3) information which demonstrates that there is reason to believe that the telephone line to which
the pen register or trap and trace device is to be attached, or the communication instrument or
device to be covered by the pen register or trap and trace device, has been or is about to be used in
communication with—
(A) an individual who is engaging or has engaged in international terrorism or clandestine
intelligence activities that involve or may involve a violation of the criminal laws of the
United States; or
(B) a foreign power or agent of a foreign power under circumstances giving reason to believe
that the communication concerns or concerned international terrorism or clandestine
intelligence activities that involve or may involve a violation of the criminal laws of the
United States.





Once an application is made under Section 1842, the judge121 must enter an ex parte order122 as
requested or as modified approving the installation and use of a pen register or trap and trace
device if the application meets the requirements of that section. Generally, an order issued under
50 U.S.C. § 1842 may authorize the installation and use of a pen register or trap and trace device
for a period not to exceed 90 days. Extensions of such an order may also be granted for up to 90
days. However, in the case of an application under subsection 1842(c) where the applicant has
certified that the information likely to be obtained is foreign intelligence information not
concerning a United States person, an order, or an extension of an order for a FISA pen register or 123
trap and trace device may be up to one year.

121 This section refers simply to “judge.” In light of 50 U.S.C. § 1842(b), it would appear that this may refer to either an
FISC judge or a U.S. magistrate judge designated by the Chief Justice under Section 1842(b)(2) to hear applications for
and grant orders approving installation and use of pen registers or trap and trace devices on behalf of an FISC judge.
The legislative history on this provision does not appear to clarify this point. The language was included in the bill
reported out as an original measure by the Senate Select Committee on Intelligence, S. 2052, as Sec. 601. The
Committees report, S.Rept. 105-185, indicates that magistrate judges were included in the legislation to parallel their
use in connection with receipt of applications and approval of pen registers and trap and trace devices in the context of
criminal investigations, but reflected the Committees understanding that the authority provided in the legislation to
designate magistrate judges to consider applications for pen registers and trap and trace devices in the foreign
intelligence gathering context would be closely monitored by the Department of Justice and this designation authority
would not be exercised until the Committee was briefed on the compelling need for such designations, as reflected, for
example, through statistical information on the frequency of applications to the FISC under the new procedure. S.Rept.
105-185, at 28 (May 7, 1998). The provision authorizing the use of pen registers and trap and trace devices in foreign
intelligence and international terrorism investigations, Sec. 601 of the bill as passed, was among those included in the
conference version of H.R. 3694 which was passed in lieu of S. 2052. H.Rept. 105-80, at 32 (October 5, 1998).
122 Under 50 U.S.C. § 1842(d)(2)(A), such an order
(A) shall specify
(i) the identity, if known, of the person who is the subject of the investigation;
(ii) the identity, if known, of the person to whom is leased or in whose name is listed the
telephone line or other facility to which the pen register or trap and trace device is to be
attached or applied; and
(iii) the attributes of the communications to which the order applies, such as the number or
other identifier, and, if known, the location of the telephone line or other facility to which the
pen register or trap and trace device is to be attached or applied and, in the case of a trap and
trace device, the geographic limits of the trap and trace order;
(B) shall direct that
(i) upon request of the applicant, the provider of a wire or electronic communication service,
landlord, custodian, or other person shall furnish any information, facilities, or technical
assistance necessary to accomplish the installation and operation of the pen register or trap and
trace device in such a manner as will protect its secrecy and produce a minimum amount of
interference with the services that such provider, landlord, custodian, or other person is
providing the person concerned;
(ii) such provider, landlord, custodian, or other person—
(I) shall not disclose the existence of the investigation or of the pen register or trap
and trace device to any person unless or until ordered by the court; and
(II) shall maintain, under security procedures approved by the Attorney General and
the Director of National Intelligence pursuant to section 1805(b)(2)(C) of this title, any
records concerning the pen register or trap and trace device or the aid furnished; and
(iii) the applicant shall compensate such provider, landlord, custodian, or other person for
reasonable expenses incurred by such provider, landlord, custodian, or other person in providing
(continued...)





Section 1842(f) bars any cause of action in any court against any provider of a wire or electronic
communication service, landlord, custodian, or other person (including any officer, employee,

(...continued)
such information, facilities, or technical assistance; and
(C) shall direct that, upon the request of the applicant, the provider of a wire or electronic
communication service shall disclose to the Federal officer using the pen register or trap and trace
device covered by the order
(i) in the case of the customer or subscriber using the service covered by the order (for the
period specified by the order)
(I) the name of the customer or subscriber;
(II) the address of the customer or subscriber;
(III) the telephone or instrument number, or other subscriber number or identifier, of the
customer or subscriber, including any temporarily assigned network address or associated
routing or transmission information;
(IV) the length of the provision of service by such provider to the customer or subscriber
and the types of services utilized by the customer or subscriber;
(V) in the case of a provider of local or long distance telephone service, any local or long
distance telephone records of the customer or subscriber;
(VI) if applicable, any records reflecting period of usage (or sessions) by the customer or
subscriber; and
(VII) any mechanisms and sources of payment for such service, including the number of
any credit card or bank account utilized for payment for such service; and
(ii) if available, with respect to any customer or subscriber of incoming or outgoing
communications to or from the service covered by the order
(I) the name of such customer or subscriber;
(II) the address of such customer or subscriber;
(III) the telephone or instrument number, or other subscriber number or identifier, of such
customer or subscriber, including any temporarily assigned network address or associated
routing or transmission information; and
(IV) the length of the provision of service by such provider to such customer or
subscriber and the types of services utilized by such customer or subscriber.
The italicized portions of this section reflect amended language from P.L. 107-56, Section 214 (a)(4). In 50 U.S.C. §
1842(d)(2)(B)(ii)(II), the reference to the “Director of National Intelligence” replaced a reference to the “Director of
Central Intelligence” pursuant to Section 1071(e) of P.L. 108-458. Subsection 128(a)(3) added 50 U.S.C. §
1842(d)(2)(C).
P.L. 107-108, Section 314(a)(5)(B), replaced “of a court at the end of 50 U.S.C. § 1842(f) with “of an order issued,
so that the language now reads:
(f) No cause of action shall lie in any court against any provider of a wire or electronic
communication service, landlord, custodian, or other person (including any officer, employee,
agent, or other specified person thereof) that furnishes any information, facilities, or technical
assistance under subsection (d) in accordance with the terms of an order issued under this section.
(Emphasis added.) Cf., 50 U.S.C. § 1805(i), which contains an immunity grant which, at first blush would appear to
apply only to electronic surveillance under FISA, but which has been interpreted at page 25 of H.Rept. 107-328, the
conference report accompanying H.R. 2883 (the conference version of which became P.L. 107-108) to apply to
electronic surveillance, physical searches and pen register and trap and trace devices. This subsection was added as 50
U.S.C. § 1805(h) by Section 225 of P.L. 107-56, and redesignated 50 U.S.C. § 1805(i) by Section 314(a)(2)(C) of P.L.
107-108. See discussion at footnote 66, supra.
123 50 U.S.C. § 1842(e), as amended by Section 105(c) of P.L. 109-177. Under 50 U.S.C. § 1842(g), unless otherwise
ordered by the judge, the results of a pen register or trap and trace device are furnished at reasonable intervals during
regular business hours for the duration of the order to the authorized Government official or officials.





agent, or other specified person thereof) that furnishes any information, facilities, or technical
assistance under subsection 1842(d) in accordance with the terms of an order issued under this
section.
Section 1843 of Title 18 of the United States Code focuses upon authorization for installation and
use of a pen register or trap and trace device under FISA during specified types of emergencies.
This provision applies when the Attorney General makes a reasonable determination that:
(1) an emergency requires the installation and use of a pen register or trap and trace
device to obtain foreign intelligence information not concerning a United States person or
information to protect against international terrorism or clandestine intelligence activities,
provided that such investigation of a United States person is not conducted solely upon the
basis of activities protected by the first amendment to the Constitution before an order
authorizing the installation and use of the pen register or trap and trace device, as the case
may be, can with due diligence be obtained under section 1842 of this title; and
(2) the factual basis for issuance of an order under section 1842(c) of this title to approve
the installation and use of the pen register or trap and trace device, as the case may be, 124
exists.
Upon making such a determination, the Attorney General may authorize the installation and use
of a pen register or trap and trace device for this purpose if two criteria are met. First, the 125
Attorney General or his designee must inform a judge referred to in Section 1842(b) at the time
of the emergency authorization that the decision to install and use the pen register or trap and
trace device has been made. Second, an application for a court order authorizing a pen register or
trap and trace device under 50 U.S.C. § 1842(a)(1) must be made to the judge as soon as 126
practicable, but no later that 48 hours after the emergency authorization. If no order approving
the installation and use of a pen register or trap and trace device is forthcoming, then the
installation and use of such pen register or trap and trace device must terminate at the earlier of
the time when the information sought is obtained, the time when the application for the order is
denied under 50 U.S.C. § 1842, or the expiration of 48 hours from the time the Attorney General 127
made his emergency authorization.
If an application for an order sought under Section 1843(a)(2) is denied, or if the installation and
use of the pen register or trap and trace device is terminated, and no order approving it is issued
under 50 U.S.C. § 1842(b)(2), then no information obtained or evidence derived from the use of
the pen register or trap and trace device may be received in evidence or disclosed in any trial,
hearing or other proceeding in any court, grand jury, department, office, agency, regulatory body,
legislative committee or other federal state or local authority. Furthermore, in such circumstances,

124 50 U.S.C. § 1843(b) (italics reflect language added by P.L. 107-56, § 214(b)(2), in place of language which read
foreign intelligence information or information concerning international terrorism.”) Similar language was inserted in
50 U.S.C. § 1843(a) by P.L. 107-56, § 214(b)(1), in place of language that paralleled that stricken from subsection
1843(b).
125 See discussion of the termjudge as used in Section 1842(b) in footnote 121, supra.
126 50 U.S.C. § 1843(a).
127 50 U.S.C. § 1843(c)(1).





no information concerning a United States person acquired from the use of the pen register or trap
and trace device may later be used or disclosed in any other way by federal officers or employees
without consent of the U.S. person involved, with one exception. If the Attorney General
approves the disclosure because the information indicates a threat of death or serious bodily harm 128
to anyone, then disclosure without consent of the U.S. person involved is permitted.
If Congress declares war, then, notwithstanding any other provision of law, the President, through
the Attorney General, may authorize use of a pen register or trap and trace device without a court
order to acquire foreign intelligence information for up to 15 calendar days after the declaration 129
of war.
50 U.S.C. § 1845 sets parameters with respect to the use of information obtained through the use
of a pen register or trap and trace device under 50 U.S.C. § 1841 et seq. Federal officers and
employees may only use or disclose such information with respect to a U.S. person without the 130
consent of that person in accordance with Section 1845. Any disclosure by a Federal officer or
employee of information acquired pursuant to FISA from a pen register or trap and trace device 131
must be for a lawful purpose. Disclosure for law enforcement purposes of information
acquired under 50 U.S.C. § 1841 et seq. is only permitted where the disclosure is accompanied by
a statement that the information and any derivative information may only be used in a criminal 132
proceeding with the advance authorization of the Attorney General.
Under 50 U.S.C. § 1845(c), when the United States intends to enter into evidence, use, or disclose
information obtained by or derived from a FISA pen register or trap and trace device against an 133
aggrieved person in any federal trial, hearing, or proceeding, notice requirements must be
satisfied. The Government, before the trial, hearing, or proceeding or a reasonable time before the
information is to be proffered, used or disclosed, must give notice of its intent both to the 134
aggrieved person involved and to the court or other authority in which the information is to be
disclosed or used.

128 50 U.S.C. § 1843(c)(2).
129 50 U.S.C. § 1844.
130 50 U.S.C. § 1845(a)(1).
131 50 U.S.C. § 1845(a)(2).
132 50 U.S.C. § 1845(b).
133Aggrieved person” is defined in 50 U.S.C. § 1841(3) for purposes of 50 U.S.C. § 1841 et seq. as any person:
(A) whose telephone line was subject to the installation or use of a pen register or trap and
trace device authorized by subchapter IV [50 U.S.C. § 1841 et seq.]; or
(B) whose communication instrument or device was subject to the use of a pen register or trap
and trace device authorized by subchapter IV to capture incoming electronic or other
communications impulses.
134 The statute refers to notice to the “aggrieved person.” Here it is using this term in the context of a pen register or
trap and trace device under FISA (see footnote 90 for the applicable definition ofpen register and trap and trace
(continued...)





If a state or local government intends to enter into evidence, use, or disclose information obtained
or derived from such a trap and trace device against an aggrieved person in a state or local trial,
hearing or proceeding, it must give notice to the aggrieved person and to the Attorney General of 135
the United States of the state or local government’s intent to disclose or use the information.
50 U.S.C. §1845(c)-(f)—U.S. District Court Consideration of Notices, Motions to Suppress, or
Discovery Motions. The aggrieved person in either case may move to suppress the evidence
obtained or derived from a FISA pen register or trap and trace device on one of two grounds: that
the information was unlawfully acquired; or that the use of the pen register or trap and trace
device was not made in conformity with an order of authorization or approval under 50 U.S.C. § 136

1841 et seq.


If notice is given under 50 U.S.C. §§ 1845(c) or (d), or a motion or request is made to suppress or
to discover or obtain any applications, orders, or other materials relating to use of a FISA pen
register or trap and trace device or information obtained by or derived from such use, the
Attorney General may have national security concerns with respect to the effect of such
disclosure or of an adversary hearing. If he files an affidavit under oath that disclosure or any
adversary hearing would harm the national security of the United States, the United States district
court in which the motion or request is made, or where the motion or request is made before
another authority, the U.S. district court in the same district, shall review in camera and ex parte
the application, order, and other relevant materials to determine whether the use of the pen 137
register or trap and trace device was lawfully authorized and conducted. In so doing, the court
may only disclose portions of the application, order or materials to the aggrieved person or order
the Attorney General to provide the aggrieved person with a summary of these materials if that
disclosure is necessary to making an accurate determination of the legality of the use of the pen 138
register or trap and trace device.
Should the court find that the pen register or trap and trace device was not lawfully authorized or
conducted, it may suppress the unlawfully obtained or derived evidence or “otherwise grant the 139
motion of the aggrieved person.” On the other hand, if the court finds the pen register or trap
and trace device lawfully authorized and conducted, it may deny the aggrieved person’s motion 140
except to the extent discovery or disclosure is required by due process. Any U.S. district court
orders granting motions or request under Section 1845(g), finding unlawfully authorized or
conducted the use of a pen register or trap and trace device, or requiring review or granting
disclosure of applications, orders or other materials regarding installation and use of a pen
register or trap and trace device are deemed final orders. They are binding on all federal and state 141
courts except U.S. courts of appeals and the U.S. Supreme Court.

(...continued)
device” in 50 U.S.C. § 1841(2) and footnote 106 for the applicable definition of “aggrieved person in 50 U.S.C.§
1841(3), supra). The termaggrieved person” is also defined in both 50 U.S.C. §§ 1801(k) (in the context of electronic
surveillance, see footnote 67, supra) and 1825(d) (in the context of a physical search, see footnote 97, supra).
135 50 U.S.C. § 1845(d).
136 50 U.S.C. § 1845(e).
137 50 U.S.C. § 1845(f)(1).
138 50 U.S.C. § 1845(f)(2).
139 50 U.S.C. § 1845(g)(1).
140 50 U.S.C. § 1845(g)(2).
141 50 U.S.C. § 1845(h).





Section 1846 deals with congressional oversight of the use of FISA pen registers and trap and 142
trace devices. It requires the Attorney General semiannually to fully inform the House
Permanent Select Committee on Intelligence, the Senate Select Committee on Intelligence, and 143
the House and Senate Judiciary Committees regarding all FISA uses of pen registers and trap
and trace devices. In addition, the Attorney General, on a semi-annual basis, must report to the
House Permanent Select Committee on Intelligence, the Senate Select Committee on Intelligence,
the House Judiciary Committee and the Senate Judiciary Committee on the total number of
applications made for orders approving the use of such pen registers and trap and trace devices;
the total number of such orders granted, modified, or denied during the previous six month
period; the total number of pen registers and trap and trace devices whose installation and use was
authorized by the Attorney General on an emergency basis under section 1843 of this title, and
the total number of subsequent orders approving or denying the installation and use of such pen 144
registers and trap and trace devices.
Added in 1998, Title V of FISA, 50 U.S.C. § 1861 et seq., was substantially changed by P.L. 107-145
56, and modified further by P.L. 107-108, P.L. 109-177, and P.L. 109-178. Although

142 See also Section 6002 of P.L. 108-458, the Intelligence Reform and Terrorism Prevention Act of 2004, which
amended FISA to add additional reporting requirements codified at 50 U.S.C. § 1871. These new reporting
requirements are discussed at footnote 165, infra, and accompanying text.
143 50 U.S.C. § 1846(a). P.L. 109-177, Section 128(b), added the House and Senate Judiciary Committees to the list of
committees to be kept fully informed by the Attorney General regarding all use of FISA pen registers and trap and trace
devices.
144 50 U.S.C. § 1846(b). P.L. 109-177, Section 109(b)(3), added the reporting requirements with respect to the total
number of emergency pen registers and trap and trace devices authorized by the Attorney General under 50 U.S.C. §
1843, and the total number of subsequent orders approving or denying such installation and use.
145 Title V of FISA was added by Title VI, Sec. 602, of P.L. 105-272, on October 20, 1998, 112 Stat. 2411-12, and
significantly amended by P.L. 107-56 and P.L. 107-108. The prior version of 50 U.S.C. § 1861 provided definitions for
foreign power,”agent of a foreign power,”foreign intelligence information,”international terrorism,” and
Attorney General,”common carrier,”physical storage facility,public accommodation facility,and “vehicle
rental facility for purposes of 50 U.S.C. § 1861 et seq. The prior version of Section 1862 was much more narrowly
drawn than the new version added in P.L. 107-56 and amended by P.L. 107-108. The earlier version read:
(a) The Director of the Federal Bureau of Investigation or a designee of the Director (whose
rank shall be no lower than Assistant Special Agent in Charge) may make an application for an
order authorizing a common carrier, public accommodation facility, physical storage facility, or
vehicle rental facility to release records in its possession for an investigation to gather foreign
intelligence information or an investigation concerning international terrorism which investigation
is being conducted by the Federal Bureau of Investigation under such guidelines as the Attorney
General approves pursuant to Executive Order No. 12333, or a successor order.
(b) Each application under this section—
(1) shall be made to—
(A) a judge of the court established by section 1803(a) of this title; or
(B) a United States Magistrate Judge under chapter 43 of Title 28 [28 U.S.C. § 631
et seq.], who is publicly designated by the Chief Justice of the United States to have the
power to hear applications and grant orders for the release of records under this section
on behalf of a judge of that court; and
(2) shall specify that—
(continued...)





denominated “access to certain business records for foreign intelligence and international
terrorism investigations,” the reach of Section 1861, as amended by the USA PATRIOT Act, P.L.
107-108, P.L. 109-177, and P.L. 109-178, is now substantially broader than business records
alone.
Under 50 U.S.C. § 1861(a)(1), subject to Subsection 1861(a)(3), the Director of the FBI, or his
designee (who must be at the Assistant Special Agent in Charge level or higher in rank) may
apply for an order requiring
... the production of any tangible things (including books, records, papers, documents, and
other items) for an investigation to obtain foreign intelligence information not concerning a
United States person or to protect against international terrorism or clandestine intelligence
activities, provided that such investigation of a United States person is not conducted solely 146
upon the basis of activities protected by the first amendment to the Constitution.

(...continued)
(A) the records concerned are sought for an investigation described in subsection
(a); and
(B) there are specific and articulable facts giving reason to believe that the person to
whom the records pertain is a foreign power or an agent of a foreign power.
(c) (1) Upon application made pursuant to this section, the judge shall enter an ex parte order
as requested, or as modified, approving the release of records if the judge finds that the
application satisfied the requirements of this section.
(2) An order under this subsection shall not disclose that it is issued for purposes of an
investigation described in subsection (a).
(d) (1) Any common carrier, public accommodation facility, physical storage facility, or
vehicle rental facility shall comply with an order under subsection (c).
(2) No common carrier, public accommodation facility, physical storage facility, or vehicle
rental facility, or officer, employee, or agent thereof, shall disclose to any person (other than
those officers, agents, or employees of such common carrier, public accommodation facility ,
physical storage facility, or vehicle rental facility necessary to fulfill the requirement to disclose
information to the Federal Bureau of Investigation under this section) that the Federal Bureau of
Investigation has sought or obtained records pursuant to an order under this section.
Congressional oversight was covered under the prior provisions by 50 U.S.C. §1863, which was similar, but not
identical to the new Section 1862. The former Section 1863 stated:
(a) On a semiannual basis, the Attorney General shall fully inform the Permanent Select
Committee on Intelligence of the House of Representatives and the Select Committee on
Intelligence of the Senate concerning all request for records under this subchapter [50 U.S.C. §
1861 et seq.].
(b) On a semiannual basis, the Attorney General shall provide to the Committees on the
Judiciary of the House of Representatives and the Senate a report setting forth with respect to the
preceding 6-month period
(1) the total number of applications made for orders approving requests for records under
this subchapter [50 U.S.C. § 1861 et seq.]; and
(2) the total number of such orders either granted, modified, or denied.
146 The italicized portion of Section 1861(a)(1) was added by Section 314(a)(6) of P.L. 107-108. H.Rept. 107-328, the
conference report to accompany H.R. 2883, the Intelligence Authorization Act for Fiscal Year 2002 (which became
P.L. 107-108), at page 24, describes the purpose of this addition as follows:
(continued...)





Subsection 1861(a)(2) requires that such an investigation must be conducted under guidelines
approved by the Attorney General under E.O. 12333 or a successor order and prohibits such an
investigation of a United States person based solely upon First Amendment protected activities.
Under Subsection 1861(a)(3), which was added by Section 106(a)(2) of P.L. 109-177, if the
application is for an order requiring production of library circulation records, library patron lists,
book sales records, book customer lists, firearms sales records, tax return records, educational
records, or medical records containing information that would identify a person, the Director of
the Federal Bureau of Investigation may delegate the authority to make such application to either
the Deputy Director of the Federal Bureau of Investigation or the Executive Assistant Director for
National Security (or any successor position). The Deputy Director or the Executive Assistant
Director may not further delegate such authority.
An application for an order under Section 1861 must be made to an FISC judge or to a U.S.
magistrate judge publicly designated by the Chief Justice of the United States to hear such
applications and grant such orders for the production of tangible things on behalf of an FISC 147
judge. The application must contain a statement of facts showing that there are reasonable
grounds to believe that the tangible things sought are relevant to an authorized investigation
(other than a threat assessment) conducted in accordance with 50 U.S.C. § 1861(a)(2) to obtain
foreign intelligence information not concerning a United States person or to protect against 148
international terrorism or clandestine intelligence activities.

(...continued)
Section 215 of the USA PATRIOT Act of 2001 amended title V of the FISA, adding a new
section 501 [50 U.S.C. § 1861]. Section 501(a) now authorizes the director of the FBI to apply for a
court order to produce certain records “for an investigation to protect against international terrorism
or clandestine intelligence activities.” Section 501(b)(2) directs that the application for such records
specify that the purpose of the investigation is toobtain foreign intelligence information not
concerning a United States person.” However, section 501(a)(1), which generally authorizes the
applications, does not contain equivalent language. Thus, subsections (a)(1) and (b)(2) now appear
inconsistent.
The conferees agreed to a provision which adds the phrase “to obtain foreign intelligence
information not concerning a United States person or to section 501(a)(1). This would make the
language of section 501(a)(1) consistent with the legislative history of section 215 of the USA
PATRIOT Act (see 147 Cong. Rec. S11006 (daily ed. Oct. 25, 2001) (sectional analysis)) and with
the language of section 214 of the USA PATRIOT Act (authorizing an application for an order to
use pen registers and trap and trace devices to “obtain foreign intelligence information not
concerning a United States person.).
147 50 U.S.C. § 1861(b)(1).
148 50 U.S.C. § 1861(b)(2), as amended by Section 106(b) of P.L. 109-177. As so amended, the tangible things sought
are presumed to be relevant to an authorized investigation if the applicant shows, in the statement of facts, that they
pertain to a foreign power or an agent of a foreign power; the activities of a suspected agent of a foreign power who is
the subject of such authorized investigation; or an individual in contact with, or known to, a suspected agent of a
foreign power who is the subject of such authorized investigation. 50 U.S.C. § 1861(b)(2)(A)(i)-(iii). The application
must also include an enumeration of the minimization procedures adopted by the Attorney General under Subsection
1861(g) that are applicable to the retention and dissemination by the Federal Bureau of Investigation of any tangible
things to be made available to the Federal Bureau of Investigation based on the order requested in such application. 50
U.S.C. § 1861(b)(2)(B).





When such an application is made, if the judge finds that the application meets the requirements
of subsections 1861(a) and (b), he or she must enter an ex parte order as requested, or as
modified, approving the release of tangible things. The order must direct that minimization 149
procedures adopted pursuant to subsection 1861(g) be followed.
An order issued under 50 U.S.C. § 1861(c) must: describe the tangible things that are ordered to
be produced with sufficient particularity to permit them to be fairly identified; include the date on
which the tangible things must be provided, which must allow a reasonable period of time within
which the tangible things can be assembled and made available; and provide recipients with clear
and conspicuous notice of nondisclosure requirements under Subsection 1861(d). The order may
only require the production of a tangible thing which may be subject to a subpoena duces tecum
issued by a court of the United States in aid of a grand jury investigation or to any other order
issued by a court of the United States directing the production of records or tangible things. An
order issued under 50 U.S.C. § 1861(c) shall not disclose that it is issued for purposes of an 150
investigation described in Subsection 1861(a).
Subsection 1861(d) prohibits any person to disclose that the FBI has sought or obtained tangible
things under Section 1861, except where the disclosure is made to persons necessary to the
production of tangible things involved, to an attorney to obtain legal advice or assistance with
respect to the production of things in response to the order, or to other persons as permitted by the 151
Director of the FBI or his designee. A person to whom such disclosure is made is also subject
to these nondisclosure requirements, and must be put on notice of the nondisclosure requirements
by the person making such disclosures to him or her. At the request of the Director of the FBI or
his designee, anyone making or intending to make such a disclosure must identify to the Director 152
or his designee the person to whom the disclosure was or is to be made.
Subsection 1861(e) precludes liability for persons who, in good faith, produce tangible things
under such a Section 1861 order. It further indicates that production does not constitute a waiver
of any privilege in any other proceeding or context.

149 50 U.S.C. § 1861(c)(1), as amended by Subsection 106(c) of P.L. 109-177.
150 50 U.S.C. § 1861(c)(2), as amended by Subsection 106(d) of P.L. 109-177.
151 50 U.S.C. § 1861(d)(1)(A)-(C), as amended by Subsection 106(e) of P.L. 109-177.
152 50 U.S.C. § 1861(d)(2), as amended by Subsection 106(e) of P.L. 109-177, and further amended by Section 4 of
P.L. 109-178. As amended by Subsection 106(e) of P.L. 109-177, subsection 1861(d)(2)(C) included an exception to
the notification requirement in that a person was not required to notify the Director or his designee that he or she
intended to consult an attorney to obtain legal advice or assistance. This exception was deleted by Section 4 of P.L.
109-178.





Subsection 1861(f), which was added by Subsection 106(f) of P.L. 109-177 and amended by 153
Section 3 of P.L. 109-178, gives a person in receipt of a production order under 50 U.S.C. §
1861 a means by which to challenge the legality of such order by filing a petition before the
petition review pool of the FISC established by 50 U.S.C. § 1803(e)(1). The recipient of a
production order must wait at least one year after issuance of that order to challenge the 154
nondisclosure order imposed in connection with the production order by filing a petition to 155
modify or set aside the nondisclosure order before the petition review pool. The presiding
judge must assign a petition filed with the pool under subsection 1861(f)(2)(A)(i) to one of the
FISC judges in the pool immediately, and the judge receiving such petition must conduct an
initial review of it within 72 hours. If the petition is deemed frivolous, the assigned judge must
immediately deny it and affirm the production order or nondisclosure order at issue. If the
assigned judge does not find the petition frivolous, he or she must promptly consider it under the
PROCEDURES FOR REVIEW OF PETITIONS FILED PURSUANT TO SECTION 501(F) OF THE FOREIGN
INTELLIGENCE SURVEILLANCE ACT OF 1978, AS AMENDED, established under 50 U.S.C. §
1803(e)(2), and provide a written statement for the record of the reasons for any determination
made. An order setting aside a nondisclosure order may be stayed, upon request of the 156
Government, pending review by the Court of Review.
A petition to modify or set aside a production order may only be granted if the judge finds the
order does not meet the requirements of 50 U.S.C. § 1861 or is otherwise unlawful. If the judge
does not modify or set aside the production order, he or she must immediately affirm the order 157
and order the recipient to comply with it. A petition to modify or set aside a nondisclosure
order may only be granted if the judge finds that there is no reason to believe that disclosure may
endanger U.S. national security; interfere with a criminal, counterterrorism, or counterintelligence
investigation; interfere with diplomatic relations; or endanger the life or physical safety of any
person. If, upon the filing of a petition to modify or set aside a nondisclosure order, the Attorney
General, Deputy Attorney General, an Assistant Attorney General, or the Director of the FBI
certifies that disclosure may endanger the national security of the United States or interfere with
diplomatic relations, that certification will be treated as conclusive unless the judge finds that the
certification was made in bad faith. If a petition to modify or set aside a nondisclosure order is
denied, the recipient may not file another petition to modify or set aside that nondisclosure order 158
for one year. A production order or nondisclosure order that is not explicitly modified or set 159
aside under Section 1861 remains in full effect.
The Government or any person receiving a production or nondisclosure order may file a petition
before the Court of Review to review a decision by a petition review pool judge to affirm, modify,

153 The termproduction order is defined under 50 U.S.C. § 1861(f)(1)(A) to meanan order to produce any tangible
thing under 50 U.S.C. § 1861.
154 The termnondisclosure order is defined under 50 U.S.C. § 1861(f)(1)(B) to meanan order imposed under
subsection [1861](d).
155 50 U.S.C. § 1861(f)(2)(A)(i).
156 50 U.S.C. §1861(f)(2)(A)(ii) and (iii).
157 50 U.S.C. § 1861(f)(2)(B).
158 50 U.S.C. § 1861(f)(2)(C)(i), (ii), and (iii).
159 50 U.S.C. § 1861(f)(2)(D).





or set aside such order. The Court of Review must provide a written statement of the reasons for
its decision for the record. The record will be transmitted under seal to the U.S. Supreme Court 160
for review on a petition for certiorari by the Government or any person receiving such order.
Judicial proceedings under 50 U.S.C. § 1861(f) are to be concluded as expeditiously as possible,
and the record of such proceedings is to be maintained under security measures established by the
Chief Justice of the United States, in consultation with the Attorney General and the Director of
National Intelligence. Petitions are to be filed under seal. Upon the request of the Government,
the court in proceedings under Subsection 1861(f) shall review ex parte and in camera any 161
Government submissions, or portions thereof, which may contain classified information.
Subsection 1861(g), as added by Subsection 106(g) of P.L. 109-177, requires the Attorney 162
General to adopt specific minimization procedures governing retention and dissemination by
the FBI or any tangible things, or information in those things, received by the FBI in response to
an order under 50 U.S.C. § 1861. Subsection 1861(h), also added by Subsection 106(g) of P.L.
109-177, provides that information acquired from tangible things received by the FBI pursuant to
an order under 50 U.S.C. § 1861 concerning any U.S. person may be used and disclosed by
federal officers and employees without that U.S. person’s consent only in accordance with these
minimization procedures. Otherwise privileged information acquired from tangible things
received by the FBI title V of FISA, 50 U.S.C. §§ 1861-1862, retains its privileged character.
Information acquired by the FBI under Section 1861 orders may only be used or disclosed by
federal officers or employees for lawful purposes.
50 U.S.C. § 1862 deals with congressional oversight.163 Subsection 1862(a), as amended by
Subsection 106(h) of P.L. 109-177, requires the Attorney General annually to fully inform the

160 50 U.S.C. § 1861(f)(3).
161 50 U.S.C. § 1861(f)(4) and (5).
162 Subsection 50 U.S.C. § 1861(g)(2) defines the termminimization procedures to mean:
(A) specific procedures that are reasonably designed in light of the purpose and technique of an
order for the production of tangible things, to minimize the retention, and prohibit the
dissemination, of nonpublicly available information concerning unconsenting United States persons
consistent with the need of the United States to obtain, produce, and disseminate foreign
intelligence information;
(B) procedures that require that nonpublicly available information, which is not foreign intelligence
information as defined in section 101(e)(1) [of FISA, 50 U.S.C. § 1801(e)(1)], shall not be
disseminated in a manner that identifies any United States person, without such persons consent,
unless such person’s identity is necessary to understand foreign intelligence information or assess
its importance; and
(C) notwithstanding subparagraphs (A) and (B), procedures that allow the retention and
dissemination of information that is evidence of a crime which has been, is being, or is about to be
committed and that is to be retained and disseminated for law enforcement purposes.
163 See also Section 6002 of P.L. 108-458, the Intelligence Reform and Terrorism Prevention Act of 2004, which added
new reporting requirements codified at 50 U.S.C. § 1871. For a discussion of these additional reporting requirements,
see footnote 165, infra, and accompanying text.





House Permanent Select Committee on Intelligence, the Senate Select Committee on Intelligence,
and the House and Senate Committees on the Judiciary regarding all request for production of 164
tangible things under Section 1861. Subsection 1862(b) requires the Attorney General, in April
of each year, to report to the House and Senate Judiciary Committees with respect to the previous
calendar year on the total number of applications for Section 1861 orders for production of
tangible things; the total number of such orders granted, modified, or denied; and the number of
such orders either granted, modified, or denied for the production of each of the following: library
circulation records, library patron lists, book sales records, or book customer lists; firearms sales
records; tax return records; educational records; and medical records containing information that
would identify a person. Under Subsection 1862(c), in April of each year, the Attorney General is
required to submit an unclassified report to Congress with respect to the preceding year setting
forth the total number of applications made for orders approving requests for the production of
tangible things under 50 U.S.C. § 1861; and the total number of such orders either granted,
modified, or denied.
Section 106A of P.L. 109-177 directs the Inspector General of the U.S. Department of Justice to
perform a comprehensive audit of the effectiveness and use, including improper or illegal use, of
the investigative authority under title V of FISA, 50 U.S.C. § 1861 et seq., for fiscal years 2002-
2006, and sets out detailed requirements for the audit. The results of the audit are to be submitted
in two unclassified reports (one for 2002-2004 and one for 2005-2006) to the House and Senate
Judiciary Committees, the House Permanent Select Committee on Intelligence, and the Senate
Select Committee on Intelligence.
Section 6002 of P.L. 108-458, the Intelligence Reform and Terrorism Prevention Act of 2004,
created additional semiannual reporting requirements under FISA. Under the new language, the
Attorney General, on a semiannual basis, must submit to the House Permanent Select Committee
on Intelligence, the Senate Select Committee on Intelligence, the House Judiciary Committee and
the Senate Judiciary Committee, in a manner consistent with protection of national security,
reports setting forth with respect to the preceding six month period:
(1) the aggregate number of persons targeted for orders issued under this Act, including a
breakdown of those targeted for—
(A) electronic surveillance under section 105 [50 U.S.C. § 1805];
(B) physical searches under section 304 [50 U.S.C. § 1824];
(C) pen registers under section 402 [50 U.S.C. § 1842]; and
(D) access to records under section 501 [50 U.S.C. § 1861];
(2) the number of individuals covered by an order issued pursuant to section 101(b)(1)(C)
[50 U.S.C. § 1801(b)(1)(C)];

164 Section 314(a)(7) of P.L. 107-108 corrected two references in 50 U.S.C. § 1862 as passed in the USA PATRIOT
Act. P.L. 107-108 replaced “section 1842 of this title” with “section 1861 of this title,” in both places in 50 U.S.C. §
1862 where it appeared.





(3) the number of times that the Attorney General has authorized that information obtained
under this Act may be used in a criminal proceeding or any information derived therefrom
may be used in a criminal proceeding;
(4) a summary of significant legal interpretations of this Act involving matters before the
Foreign Intelligence Surveillance Court or the Foreign Intelligence Surveillance Court of
Review, including interpretations presented in applications or pleadings filed with the
Foreign Intelligence Surveillance Court or the Foreign Intelligence Court of Review by the
Department of Justice; and
(5) copies of all decisions (not including orders) or opinions of the Foreign Intelligence
Surveillance Court or Foreign Intelligence Surveillance Court of Review that include 165
significant construction or interpretation of the provisions of this Act.
In addition to provisions which amended FISA explicitly, other provisions of the USA PATRIOT
Act, P.L. 107-56, touched upon FISA, at least tangentially. For example, Section 223 of P.L. 107-
56, among other things, created a new 18 U.S.C. § 2712. This new section, in part, created an
exclusive private right of action for any person aggrieved by any willful violation of sections
106(a), 305(a), or 405(a) of FISA (50 U.S.C. §§ 1806(a), 1825(a), 1845(a), respectively) to be
brought against the United States in U.S. district court to recover money damages. Such monetary
relief would amount to either actual damages or $10,000, whichever is greater; and reasonably 166
incurred litigation costs. It also set forth applicable procedures.

165 These new reporting requirements were added to the Foreign Intelligence Surveillance Act, as amended, as a new
Title VI of the Act, 50 U.S.C. § 1871.
166 Another provision, Section 901 of the USA PATRIOT Act, amended 50 U.S.C. § 403-3(c) (Section 103(c) of the
National Security Act of 1947) regarding the responsibilities of the Director of Central Intelligence (DCI). The
amendment added to those authorities and responsibilities, placing upon the DCI the responsibility to establish
... requirements and priorities for foreign intelligence information to be collected under the Foreign
Intelligence Surveillance Act of 1978 (50 U.S.C. § 1801 et seq.), and provide assistance to the
Attorney General to ensure that information derived from electronic surveillance or physical
searches under that Act is disseminated so it may be used efficiently and effectively for foreign
intelligence purposes, except that the Director shall have no authority to direct, manage, or
undertake electronic surveillance or physical search operations pursuant to that Act unless
otherwise authorized by statute or Executive order.
Section 1011 of the Intelligence Reform and Terrorism Prevention Act of 2004, P.L. 108-458, amended Title I of the
National Security Act of 1947, 50 U.S.C. § 402 et seq., to strike the previous Sections 102 through 104 of the Act 50
U.S.C. §§ 403, 403-1, 403-3, and 403-4, and insert new Sections 102 through 104A. The new Section 102 created the
position of Director of National Intelligence (DNI). Section 102A outlined authorities and responsibilities of the
position. Under the new Section 102A(f)(6) of the National Security Act, the DNI was given responsibility:
to establish requirements and priorities for foreign intelligence information to be collected under
[FISA], and provide assistance to the Attorney General to ensure that information derived from
electronic surveillance or physical searches under that act is disseminated so that it may be used
efficiently and effectively for foreign intelligence purposes, except that the Director shall have no
authority to direct, manage, or undertake electronic surveillance or physical search operations
pursuant to that act unless otherwise authorized by statute or Executive order.
New Section 102A(f)(8) of the National Security Act, as enacted by P.L. 108-458, Section 1011, provided that,
(continued...)





Section 224 of the USA PATRIOT Act set a sunset for many of the provisions in P.L. 107-56 of
December 31, 2005, including all of the FISA amendments except that in Section 208 of P.L. 107-
56, which increased the number of FISC judges from 7 to 11. Section 224 was repealed by the
USA PATRIOT Improvement and Reauthorization Act of 2005, P.L. 109-177, Subsection 102(a).
Subsection 102(b) of P.L. 109-177 provided that Sections 105(c)(2) of FISA, 50 U.S.C. §

1805(c)(2) (dealing with multipoint or roving wiretaps under FISA), 501 of FISA, 50 U.S.C. §


1861 (dealing with production of any tangible thing under FISA), and 502 of FISA, 50 U.S.C. §


1862 (dealing with congressional oversight of such production under FISA) will sunset on
December 31, 2009. However, Subsection 102(b) of P.L. 109-177 excepts from the application of
the sunset provision any particular foreign intelligence investigations that began before December
31, 2009, or any criminal offenses or potential offenses which began or occurred before
December 31, 2009. As to those particular investigations or offenses, applicable provisions would
continue in effect after December 31, 2009.
Section 6001(a) of the Intelligence Reform and Terrorism Prevention Act of 2004, P.L. 108-458,
expanded the definition of “agent of a foreign power” in 50 U.S.C. § 1801(b)(1)(C) to include
any person other than a U.S. person who engages in international terrorism or activities in 167
preparation for international terrorism. Under Section 103 of P.L. 109-177, this so-called “lone
wolf” terrorist provision will also sunset on December 31, 2009, except with respect to any
particular foreign intelligence investigation that began before that date, or with respect to any
particular offense or potential offense that began or occurred before that date.


In its May 17, 2002, decision, the FISC considered a government motion for the court “to vacate
the minimization and ‘wall’ procedures in all cases now or ever before the Court, including this
Court’s adoption of the Attorney General’s July 1995 intelligence sharing procedures, which are
not consistent with new intelligence sharing procedures submitted for approval with this 168
motion.” The court viewed the new intelligence sharing procedures under review as proposed

(...continued)
Nothing in this act shall be construed as affecting the role of the Department of Justice or the Attorney General with
respect to applications under the Foreign Intelligence Surveillance Act.” Section 1071(e) of P.L. 108-458, amended
FISA to insert “Director of National Intelligence” in lieu of “Director of Central Intelligence” in each place in which it
appeared.
167 Before the repeal of Section 224 of P.L. 107-56, the sunset provision in Section 224 and the exceptions thereto, as
amended, also applied tolone wolf terrorist provision added to the definition ofagent of a foreign power” in 50
U.S.C. § 1801(b)(1)(C) by Section 6001(a) of P.L. 108-458.
168 In re All Matters Submitted to the Foreign Intelligence Surveillance Court, 218 F. Supp. 2d 611, 613 (U.S. Foreign
Intell. Surveil. Ct. 2002). A copy of a March 6, 2002, Memorandum from the Attorney General to the Director, FBI;
(continued...)





new Attorney General minimization procedures. In a memorandum and order written by the then
Presiding Judge, U.S. District Court Judge Royce Lamberth, issued on the last day of his tenure
on the FISC, and concurred in by all of the judges then sitting on the FISC, the FISC granted the
Department of Justice (DOJ) motion with significant modifications to section II.B. of what the
FISC characterized as the proposed minimization procedures. The court required a continuation
of the Attorney General’s 1995 minimization procedures, as subsequently modified by the
Attorney General and the Deputy Attorney General, and preservation of a “wall” procedure to
maintain separation between FBI criminal investigators and DOJ prosecutors and raw FISA
investigation data regarding the same facts or individuals, so as to prevent these law enforcement 169
personnel from becoming “de facto partners in FISA surveillances and searches,” while
permitting extensive sharing of information between such investigations.
The FISC was particularly concerned with those aspects of section II.B. of the proposed
procedures which would permit criminal prosecutors and law enforcement officers to initiate,
direct or control electronic surveillance or physical searches under FISA, with an eye towards law
enforcement objectives, rather than foreign intelligence information gathering. The FISC set the
stage for its analysis by recounting a significant number of past instances where FISA
applications had included false, inaccurate or misleading information regarding information
sharing or compliance with “wall” procedures in FBI affidavits or, in one case, in a statutorily
required certification by the FBI Director; and past occasions where the FISC’s orders had been
violated in regard to information sharing and unauthorized dissemination of FISA information to
criminal investigators and prosecutors. While both the FBI’s and DOJ’s Offices of Professional
Responsibility had been investigating these incidents for over a year at the time of the writing of
the opinion, the court had not been advised of any explanations as to how such misrepresentations
had occurred. The court’s dissatisfaction with these irregularities formed a backdrop for its
analysis of the motion and applications before it.
Its analysis was based upon its reading of the statutory language and premised, in part, on the fact
that the USA PATRIOT Act had not amended the provisions of FISA dealing with minimization
requirements, although other FISA provisions had been modified. The minimization provisions
with respect to both electronic surveillance and physical searches under FISA continue to be
designed to “minimize the acquisition and retention, and prohibit the dissemination, of non-
publicly available information concerning unconsenting United States persons, consistent with
the need of the United States to obtain, produce, and disseminate foreign intelligence

(...continued)
Assistant Attorney General, Criminal Division; Counsel for Intelligence Policy; and United States Attorneys entitled
Intelligence Sharing Procedures for Foreign Intelligence and Foreign Counterintelligence Investigations Conducted by
the FBI may be found at http://fas.org/irp/agency/doj/fisa/ag030602.html.
169 Id. at 620. In Chapter 3 of The 9/11 Commission Report, Final Report of the National Commission on Terrorist
Attacks Upon the United States 78-80 (W.W. Norton & Co. 2004) (Final Report), the Commission perceived the
evolution of thewall” as a result of statutory language, court interpretation, DOJ interpretation of the legislative
language and court decisions, DOJ procedures to manage information sharing between Justice Department prosecutors
and the FBI, misunderstanding and misapplication of those procedures, DOJ’s Office of Intelligence Policy and
Review’s (OIPR) stringent exercise of its gate-keeping role, and inaccurate perceptions of field agents. In Chapter 8 of
the Final Report, at 269-72, the Commission recounted some of the effects of what it saw as the confusion surrounding
the rules governing the use and sharing of information gathered through intelligence channels.





information.”170 The court regarded the standard it applied to the proposed procedures before it as
“mandated in [50 U.S.C.] § 1805(a)(4) and § 1824(a)(4), which state that ‘the proposed
minimization procedures meet the definition of minimization procedures under § 101(h), [§

1801(h) and §1824(4)] of the act.’”


In its memorandum opinion, the FISC first discussed the court’s jurisdiction, noting that the text
of the statute “leaves little doubt that the collection of foreign intelligence information is the 171
raison d’etre for the FISA.” The court found support for this conclusion in a review of
pertinent provisions of the act. It found further support in E.O. 12139 and E.O. 12949, which give
the Attorney General authority to approve the filing of applications for orders for electronic
surveillances and physical searches and authorize the Director of the FBI and other senior
executives to make required certifications under FISA for the “purpose of obtaining foreign
intelligence information.” The FISC therefore concluded that its jurisdiction was limited to
granting FISA orders for electronic surveillance and physical searches for the collection of 172
foreign intelligence information under the standards and procedures prescribed in the act. In
reaching this conclusion, the FISC, in a footnote, characterized the issue before it as “whether the
FISA authorizes electronic surveillance and physical searches primarily for law enforcement
purposes so long as the Government also has ‘a significant’ foreign intelligence purpose.”
Rejecting the approach taken by the Government in its supplemental brief in the case, the Court
stated that “its decision is not based on the issue of its jurisdiction but on the interpretation of 173
minimization procedures.” Maintaining its focus upon the minimization procedures, the FISC
also declined to reach the question raised by the Attorney General “whether FISA may be used 174
primarily for law enforcement purposes.”

170 50 U.S.C. §§ 1802(h), 1821(4)(A) (emphasis added).
171 FISC op., 218 F. Supp. 2d at 613.Foreign intelligence information” is a term of art in FISA, defined in 50 U.S.C. §
1801(e) to mean:
(e) (1) information that relates to, and if concerning a United States person is necessary to, the
ability of the United States to protect against—
(A) actual or potential attack or other grave hostile acts of a foreign power or an agent of
a foreign power;
(B) sabotage or international terrorism by a foreign power or an agent of a foreign power;
or
(C) clandestine intelligence activities by an intelligence service or network of a foreign
power or by an agent of a foreign power; or
(2) information with respect to a foreign power or foreign territory that relates to, and if
concerning a U.S. person is necessary to—
(A) the national defense or the security of the United States; or
(B) the conduct of the foreign affairs of the United States.
In reaching its decision, the FISC indicated that it was not addressing directly the Department of Justice argument that,
so long as a significant purpose of a FISA surveillance or physical search was to gather foreign intelligence
information, the primary purpose of such an investigation could be criminal investigation or prosecution. FISC op., 218
F. Supp. 2d at 615 n.2. The FISC was not receptive to the DOJ theory that a “wall procedure separating a foreign
intelligence investigation under FISA from a criminal investigation involving the same target or factual underpinnings
was an artificial separation which was not compelled by FISA.
172 FISC op., 218 F. Supp. 2d at 614.
173 Id. at 614 n.1(emphasis added).
174 Id. at 615 n.2.





The court also regarded the scope of its findings regarding minimization175 as applicable “only to
communications concerning U.S. persons as defined in § 1801(i) of the act: U.S. citizens and
permanent resident aliens whether or not they are named targets in the electronic surveillance and 176
physical searches.” It emphasized that its opinion was not applicable to communications of 177
foreign powers as defined under 50 U.S.C. § 1801(a), or to non-U.S. persons.
After stating its continued approval of the “Standard Minimization Procedures for a U.S. Person
Agent of a Foreign Power,” the court turned its attention to two sections of supplementary
minimization procedures adopted by the Attorney General on March 6, 2002, regarding “II.
Intelligence sharing procedures concerning the Criminal Division,” and “III. Intelligence sharing
procedures concerning a USAO [U.S. Attorney’s Office].” The FISC regarded these procedures as
minimization procedures as that term is defined under FISA by virtue of the fact that they were
adopted by the Attorney General and were “designed to minimize the acquisition and retention,
and prohibit the dissemination, of nonpublicly available information concerning unconsenting 178
United States persons.” Therefore, these procedures were measured against the standard for
minimization procedures set forth in 50 U.S.C. §§ 1805(a)(4) and 1824(a)(4):
... The operative language of each section to be applied by the Court provides that
minimization procedures must be reasonably designed in light of their purpose and
technique, and mean—

175 FISA defines “minimization procedures with respect to electronic surveillance in 50 U.S.C. § 1801(h). The term is
defined under FISA with respect to physical searches in 50 U.S.C. § 1821(4). As the two definitions are similar, the
definition from Section 1801(h) is included for illustrative purposes.
(h) “Minimization procedures, with respect to electronic surveillance, means—
(1) specific procedures, which shall be adopted by the Attorney General, that are reasonably
designed in light of the purpose and technique of the particular surveillance, to minimize the
acquisition and retention, and prohibit the dissemination, of nonpublicly available information
concerning unconsenting United States persons consistent with the need of the United States to
obtain, produce, and disseminate foreign intelligence information;
(2) procedures that require that nonpublicly available information, which is not foreign
intelligence information, as defined in subsection (e)(1) of this section, shall not be disseminated in
a manner that identifies any United States person, without such persons consent, unless such
persons identity is necessary to understand foreign intelligence information or assess its
importance;
(3) notwithstanding paragraphs (1) and (2), procedures that allow for the retention and
dissemination of information that is evidence of a crime which has been, is being, or is about to be
committed and that is to be retained or disseminated for law enforcement purposes; and
(4) notwithstanding paragraphs (1), (2), and (3), with respect to any electronic surveillance
approved pursuant to section (1802(a) of this title, procedures that require that no contents of any
communication to which a United States person is a party shall be disclosed, disseminated, or used
for any purpose or retained for longer than 72 hours unless a court order under section 1805 of this
title is obtained or unless the Attorney General determines that the information indicates a threat of
death or serious bodily harm to any person.
176 FISC op., 218 F. Supp. 2d at 614. This provision defines aUnited States person” as follows:
... a citizen of the United States, an alien lawfully admitted for permanent residence (as
defined in section 1101(a)(20) of Title 8), an unincorporated association a substantial number of
members of which are citizens of the United States or aliens lawfully admitted for permanent
residence, or a corporation which is incorporated in the United States, but does not include a
corporation or an association which is a foreign power, as defined in subsection (a)(1), (2), or (3) of
this section.
177 Id.
178 Id. at 616.





specific procedures, which shall be adopted by the Attorney General, that are reasonably
designed in light of the purpose and technique of the particular surveillance, [search] to
minimize the acquisition and retention, and prohibit the dissemination, of nonpublicly
available information concerning unconsenting United States persons consistent with the
need of the United States to obtain, produce, and disseminate foreign intelligence 179
information. §1801(h)(1) and §1821(4)(A).
The court then reviewed the minimization procedures upon which it had been relying prior to the
application before it, to wit, the Attorney General’s 1995 “Procedures for Contacts between the
FBI and Criminal Division Concerning FI [Foreign Intelligence] and Foreign Counterintelligence
Investigations,”as augmented by the Attorney General in January 2000 and expanded further by
the Deputy Attorney General in August 2001. The FISC indicated that these procedures permitted
the following “substantial consultation and coordination”:
a. reasonable indications of significant federal crimes in FISA cases are to be reported to the
Criminal Division of the Department of Justice;
b. [t]he Criminal Division may then consult with the FBI and give guidance to the FBI aimed
at preserving the option of criminal prosecution, but may not direct or control the FISA
investigation toward law enforcement objectives;
c. the Criminal Division may consult further with the appropriate U.S. Attorneys Office
about such FISA cases;
d. on a monthly basis senior officials of the FBI provide briefings to senior officials of the
Justice Department, including OIPR [Office of Intelligence Policy and Review] and the
Criminal Division, about intelligence cases, including those in which FISA is or may be
used;
e. all FBI 90-day interim reports and annual reports of counterintelligence investigations,
including FISA cases, are being provided to the Criminal Division, and must now contain a
section explicitly identifying any possible federal criminal violations;
f. all requests for initiation or renewal of FISA authority must now contain a section devoted
explicitly to identifying any possible federal criminal violations;
g. the FBI is to provide monthly briefings directly to the Criminal Division concerning all
counterintelligence investigations in which there is a reasonable indication of a significant
federal crime;
h. prior to each briefing the Criminal Division is to identify (from FBI reports) those
intelligence investigations about which it requires additional information and the FBI is to
provide the information requested; and
i. since September 11, 2001, the requirement that OIPR be present at all meetings and
discussions between the FBI and Criminal Division involving certain FISA cases has been
suspended; instead, OIPR reviews a daily briefing book to inform itself and this Court about 180
those discussions.

179 Id.
180 Id. at 619-20 (emphasis supplied.)





The FISC indicated further that it “routinely approved the use of information screening ‘walls’
proposed by the government in its applications” to maintain both the appearance and the fact that 181
FISA surveillances and searches were not being used “sub rosa for criminal investigations.” In
March 2000, September 2000, and March 2001, the FISC was advised by the Department of
Justice of a significant number of erroneous statements or omissions of material facts in FISA
applications, almost all of which involved misstatements or omissions as to information sharing 182
and unauthorized disseminations to criminal investigators and prosecutors. Although the FBI
and the Department of Justice Office of Professional Responsibility had been investigating the
circumstances involved in these misstatements and omissions for over a year, as of the date of the
opinion, the court had not been advised of the reasons for these erroneous statements. The court
responded to these concerns in 2001 by instituting supervisory measures to assess compliance
with “wall” procedures.
In the case before the FISC, the government moved that all “wall” procedures be eliminated in
international terrorism surveillances and physical searches under FISA. The FISC indicated that
the new 2002 procedures proposed by the Attorney General would apply to two types of cases in
which “FISA is the only effective tool available to both counterintelligence and criminal
investigators” (emphasis supplied)—those involving overlapping investigations (which the court
described as cases, usually international terrorism cases, in which separate intelligence and
criminal investigations of the same FISA target who is a U.S. person are conducted by different
FBI agents, where separation can easily be maintained) and those involving overlapping interests
(i.e., cases in which one investigation of a U.S. person FISA target is conducted by a team of FBI
agents with both intelligence and criminal interests “usually involving espionage and similar 183
cases in which separation is impractical”). In both types of investigations, the FISC indicated
that the 2002 proposed minimization procedures provided authority for “extensive consultations
between the FBI and criminal prosecutors ‘to coordinate efforts to investigate or protect against
actual or potential attack, sabotage, international terrorism and clandestine intelligence activities
by foreign powers and their agents....’” Such consultation is expressly provided for in 50 U.S.C.
§§ 1806(k)(1) and 1825(k)(1).
Under the proposed minimization procedures, those consultations would include providing
prosecutors with access to “all information” developed in FBI counterintelligence investigations,
including through FISA, among other information. Section II.B. of the proposed minimization
techniques would authorize criminal prosecutors to “consult extensively and provide advice and
recommendations to intelligence officials about ‘all issues necessary to the ability of the United
States to investigate or protect against foreign attack, sabotage, terrorism, and clandestine
intelligence activities.’” The FISC was particularly concerned about the authority given criminal
prosecutors under Section II.B. “to advise FBI intelligence officials concerning ‘the initiation, 184
operation, continuation, or expansion of FISA searches or surveillance.’” The court regarded
this provision as “designed to use this Court’s orders to enhance criminal investigation and
prosecution, consistent with the government’s interpretation of the recent amendments that FISA

181 Id. at 620.
182 The September 2000 notification to the FISC from the Department of Justice identified 75 cases of cases involving
misstatements or omissions in FISA applications. The court does not indicate the specific number of FISA applications
involved in the notifications on the other dates mentioned in the opinion. See FISC op., 218 F. Supp. 2d at 620-21.
183 FISC op., 218 F. Supp. 2d at 622.
184 Id. at 623.





may now be ‘used primarily for a law enforcement purpose.’”185 Under section III of the
proposed procedures, U.S. attorneys are given the authority to engage in consultations to the same
extent as the Criminal Division of DOJ under parts II.A. and II.B. in cases involving international
terrorism. The FISC interpreted these procedures as giving criminal prosecutors “a significant
role directing FISA surveillances and searches from start to finish in counterintelligence cases
involving overlapping intelligence and criminal investigations or interests, guiding them to 186
criminal prosecution.”
In light of the court’s past experience with FISA searches and surveillances, the FISC found the
proposed procedures to be “designed to enhance the acquisition, retention and dissemination of
evidence for law enforcement purposes, instead of being consistent with the need of the United
States to ‘obtain, produce, and disseminate foreign intelligence information’ (emphasis added [by 187
the FISC]) as mandated in § 1801(h) and § 1821(4).” The court regarded the procedures as, in
effect, an effort by the government to amend FISA’s definition of minimization procedures in
ways that Congress had not and to substitute FISA for the electronic surveillance requirements of
Title III of the Omnibus Crime Control and Safe Streets Act, 18 U.S.C. § 2510 et seq., and for the
search warrant requirements in Rule 41 of the Federal Rules of Criminal Procedure. The court
found this unacceptable. Nor was the court persuaded by the government’s contention that the
1995 procedures’ prohibition against criminal prosecutors “directing or controlling” FISA cases
should be revoked. “If criminal prosecutors direct both the intelligence and criminal
investigations, or a single investigation having combined interests, coordination becomes 188
subordination of both investigations or interests to law enforcement objectives.”
The FISC stated:
Advising FBI intelligence officials on the initiation, operation, continuation or expansion of
FISA surveillances and searches of U.S. persons means that criminal prosecutors will tell the
FBI when to use FISA (perhaps when they lack probable cause for a Title III electronic
surveillance), what techniques to use, what information to look for, what information to keep
as evidence and when use of FISA can cease because there is enough evidence to arrest and
prosecute. The 2002 minimization procedures give the Department’s criminal prosecutors
every legal advantage conceived by Congress to be used by U.S. intelligence agencies to
collect foreign intelligence information, ... based on a standard that the U.S. person is only
using or about to use the places to be surveilled or searched, without any notice to the target
unless arrested and prosecuted, and, if prosecuted, no adversarial discovery of the FISA
applications and warrants. All of this may be done by use of procedures intended to
minimize collection of U.S. person information, consistent with the need of the United States
to obtain and produce foreign intelligence information. If direction of counterintelligence
cases involving the use of highly intrusive FISA surveillances and searches by criminal
prosecutors is necessary to obtain and produce foreign intelligence information, it is yet to be 189
explained to the Court.
Having found section II.B. of the proposed minimization procedures inconsistent with the
statutory standard for minimization procedures under 50 U.S.C. §§ 1801(h) and 1821(4), the

185 Id. (Emphasis added).
186 Id.
187 Id.
188 Id. at 623-24 (emphasis in original).
189 Id. at 624.





court substituted its own language in place of the second and third paragraphs of II.B. as
submitted by the Attorney General. The substitute language permitted consultation between the
FBI, the Criminal Division of DOJ, and the Office of Intelligence Policy and Review of DOJ
(OIPR) “to coordinate their efforts to investigate or protect against foreign attack or other grave
hostile acts, sabotage, international terrorism, or clandestine intelligence activities by foreign
powers or [agents of foreign powers],” so that the goals and objectives of both the intelligence
and law enforcement investigations or interests may be achieved. However, it prohibited law
enforcement officials from making recommendations to intelligence officials regarding initiation,
operation, continuation, or expansion of FISA surveillances and searches. In addition, the
substitute language foreclosed law enforcement officials from directing or controlling the use of
FISA procedures to enhance criminal prosecution; nor was advice intended to preserve the option
of criminal prosecution to be permitted to inadvertently result in the Criminal Division directing
or controlling an investigation involving FISA surveillance or physical searches to achieve law 190
enforcement objectives. While direct consultation and coordination were permitted, the
substitute language required OIPR to be invited to all such consultations and, where OIPR was
unable to attend, the language required OIPR to be apprized forthwith in writing of the substance 191
of the consultations, so that the FISC could be notified at the earliest opportunity.
In its order accompanying the FISC memorandum opinion, the court held that the proposed
minimization procedures, so modified, would be applicable to all future electronic surveillances 192
and physical searches under FISA, subject to the approval of the court in each instance. In this
order, the court also adopted a new administrative rule to monitor compliance. The new Rule 11
regarding criminal investigations in FISA cases provided:
All FISA applications shall include informative descriptions of any ongoing criminal
investigations of FISA targets, as well as the substance of any consultations between the FBI 193
and criminal prosecutors at the Department of Justice or a United States Attorneys Office.
The FISC memorandum opinion and order discussed above were not appealed directly. Rather,
the Department of Justice sought review in the U.S. Foreign Intelligence Surveillance Court of
Review (Court of Review) of an FISC order which authorized electronic surveillance of an agent th
of a foreign power, but imposed restrictions on the government flowing from the FISC’s May 17
decision, and of an order renewing that surveillance subject to the same restrictions. Because of
the electronic surveillance context of these orders, the Court of Review’s analysis was cast
primarily in terms of such surveillance, although some aspects of its analysis may have broader
application to other aspects of FISA. In its first decision ever, the Court of Review, in a lengthy
per curiam opinion issued on November 18, 2002, reversed and remanded the FISC orders. In so

190 Id. at 625.
191 Id.
192 Id. at 627.
193 Id.





doing the Court of Review emphasized that the May 17th decision, although never appealed, was 194
“the basic decision before us and it [was] its rationale that the government challenge[d].” After
reviewing the briefs of the government and two amici curiae, the American Civil Liberties Union
(joined on the brief by the Center for Democracy and Technology, the Center for National
Security Studies, the Electronic Privacy Information Center, and the Electronic Frontier
Foundation) and the National Association of Criminal Defense Lawyers, the Court of Review
concluded that “FISA, as amended by the Patriot Act, supports the government’s position, and 195
that the restrictions imposed by the FISA court are not required by FISA or the Constitution.”
The Court of Review began its analysis by articulating its view of the May 17th FISC decision.
The Court of Review stated that the FISC appeared to proceed in its opinion from the assumption
that FISA constructed a barrier between counterintelligence/intelligence officials and law
enforcement officers in the Executive Branch, but did not support that assumption with any 196
relevant language from the statute. The Court of Review opined that this “wall” was implicit in
the FISC’s “apparent” belief that “it can approve applications for electronic surveillance only if
the government’s objective is not primarily directed toward criminal prosecution of the foreign
agents for their foreign intelligence activity,” while referencing neither statutory language in
FISA nor USA PATRIOT Act amendments, which the government argued altered FISA to permit 197
an application even if criminal prosecution was the primary goal. Instead, the Court of Review
noted that the FISC relied upon its statutory authority to approve “minimization procedures” in
imposing the restrictions at issue.
The Court of Review stated that the government raised two main arguments: First, DOJ 198
contended that the restriction, recognized by several courts of appeals prior to the enactment of

194 In re Sealed Case, 310 F.3d 717, 721 (U.S. Foreign Intell. Surveil. Ct. Rev. 2002) (hereinafter Court of Review op.).
195 Id. at 719-20.
196 Id. at 721.
197 Id.
198 The cases to which this appears to refer include decisions by both U.S. courts of appeals and U.S. district courts.
Past cases considering the constitutional sufficiency of FISA in the context of electronic surveillance have rejected
Fourth Amendment challenges and due process challenges under the Fifth Amendment to the use of information
gleaned from a FISA electronic surveillance in a subsequent criminal prosecution, because the purpose of the FISA
electronic surveillance, both initially and throughout the surveillance, was to secure foreign intelligence information
and not primarily oriented towards criminal investigation or prosecution, United States v. Megahey, 553 F. Supp. 1180,
1185-1193 (D.N.Y.), aff’d without opinion, 729 F.2d 1444 (2d Cir. 1982), re-aff’d post-trial sub nom United States v. th
Duggan, 743 F.2d 59 (2d Cir. 1984); United States v. Ott, 827 F.2d 473, 475 (9 Cir. 1987); United States. v Badia, thst
827 F. 2d 1458, 1464 (11 Cir. 1987). See also, United States v. Johnson, 952 F.2d 565, 572 (1 Cir. 1991), rehearing
and cert. denied, 506 U.S. 816 (1991) (holding that, although evidence obtained in FISA electronic surveillance may
later be used in a criminal prosecution, criminal investigation may not be the primary purpose of the surveillance, and thth
FISA may not be used as an end-run around the 4 Amendment); United States v. Pelton, 835 F.2d 1067, 1074-76 (4
Cir. 1987), cert. denied, 486 U.S.1010 (1987) (holding that electronic surveillance under FISA passed constitutional
muster where the primary purpose of surveillance, initially and throughout surveillance, was gathering of foreign
intelligence information; also held that an otherwise valid FISA surveillance was not invalidated because later use of
the fruits of the surveillance in criminal prosecution could be anticipated. In addition, the court rejected Pelton’s
challenge to FISA on the ground that allowing any electronic surveillance on less than the traditional probable cause
standard—i.e. probable cause to believe the suspect has committed, is committing, or is about to commit a crime for
which electronic surveillance is permitted, and that the interception will obtain communications concerning that
offensefor issuance of a search warrant was violative of the Fourth Amendment, finding FISAs provisions to be
reasonable both in relation to the legitimate need of Government for foreign intelligence information and the protected
(continued...)






(...continued)
rights of U.S. citizens ); United States v. Cavanaugh, 807 F.2d 787, 790-91 (9th Cir. 1987) (defendant, convicted of
espionage, appealed district courts refusal to suppress fruits of FISA electronic surveillance which intercepted
defendant offering to sell defense secrets to representatives of Soviet Union. In affirming conviction, appellate court
found FISA procedures had been followed, and upheld FISA against constitutional challenges. Court found, in part,
that FISA probable cause requirement was reasonable under Fourth Amendment standard. “The application must state
that the target of the electronic surveillance is a foreign power or an agent of a foreign power, and must certify that the
purpose of the surveillance is to obtain foreign intelligence information and that the information cannot reasonably be
obtained by normal investigative techniques. 50 U.S.C. § 1804(a). It is true, as appellant points out in his brief, that the
application need not state that the surveillance is likely to uncover evidence of a crime; but as the purpose of the
surveillance is not to ferret out criminal activity but rather to gather intelligence, such a requirement would be illogical.
See United States District Court, 407 U.S. at 322 (recognizing distinction between surveillance for national security
purposes and surveillance of ‘ordinary crime’); ... And ... there is no merit to the contention that he is entitled to
suppression simply because evidence of his criminal conduct was discovered incidentally as the result of an intelligence
surveillance not supported by probable cause of criminal activity. See Duggan, 743 F.2d at 73n.5.) United States v.
Rahman, 861 F. Supp. 247, 251 (S.D. N.Y. 1994). Cf., United States v. Bin Laden, 2001 U.S. Dist. LEXIS 15484 (S.D.
N.Y., October 2, 2001); United States v. Bin Laden, 126 F. Supp. 264, 277-78 (S.D. N.Y. 2000) (adopting foreign
intelligence exception to the warrant requirement for searches targeting foreign powers or agents of foreign powers
abroad; noting that thisexception to the warrant requirement applies until and unless the primary purpose of the
searches stops being foreign intelligence collection.... If foreign intelligence collection is merely a purpose and not the
primary purpose of a search, the exception does not apply.”)
Cf., United States v. Sarkissian, 841 F.2d 959, 964-65 (9th Cir. 1988) (FISA court order authorized electronic
surveillance, which resulted in the discovery of plan to bomb the Honorary Turkish Consulate in Philadelphia, and of
the fact that bomb components were being transported by plane from Los Angeles. The FBI identified likely airlines,
flight plans, anticipated time of arrival, and suspected courier. Shortly before the arrival of a flight fitting these
parameters, the investigation focused upon an individual anticipated to be a passenger on that flight. An undercover
police officer spotted a man matching the suspected couriers description on that flight. The luggage from that flight
was sniffed by a trained dog and x-rayed. A warrantless search was conducted of a suitcase that had been shown by x-
ray to contain an unassembled bomb. Defendants unsuccessfully moved to suppress the evidence from the FISA
wiretap and the warrantless search. On appeal the court upheld the warrantless suitcase search as supported by exigent
circumstances. Defendants contended that the FBI’s primary purpose for the surveillance had shifted at the time of the
wiretap from an intelligence investigation to a criminal investigation and that court approval for the wiretap therefore
should have been sought under Title III of the Omnibus Crime Control and Safe Streets Act, 18 U.S.C. § 2510 et seq.,
rather than FISA. The court, while noting that in other cases it had state that “the purpose of [electronic] surveillance”
under FISAmust be to secure foreign intelligence information,”not to ferret out criminal activity; declined to
decide the issue of whether the applicable standard was that “the purpose” or that “the primary purpose” of a FISA
surveillance must be gathering of foreign intelligence information. The court stated, “Regardless of whether the test is
one of purpose or primary purpose, our review of the government’s FISA materials convinces us that it is met in this
case.... We refuse to draw too fine a distinction between criminal and intelligence investigations. “International
terrorism,” by definition, requires the investigation of activities that constitute crimes. 50 U.S.C. § 1806(f). That the
government may later choose to prosecute is irrelevant. FISA contemplates prosecution based on evidence gathered
through surveillance.... “Surveillances ... need not stop once conclusive evidence of a crime is obtained, but instead
may be extended longer where protective measures other than arrest and prosecution are more appropriate.” S. Rep. thst
No. 701, 95 Cong., 1 Sess. 11 ... [(1978)].... FISA is meant to take into accountthe differences between ordinary
criminal investigations to gather evidence of specific crimes and foreign counterintelligence investigations to uncover
and monitor clandestine activities ...” Id. .... At no point was this case an ordinary criminal investigation.”). Cf., United
States v. Falvey, 540 F. Supp. 1306 (E.D.N.Y. 1982) (distinguishing United States v. Truong Dinh Hung, 629 F.2d 908, th
912-13 (4 Cir. 1980); and United States v. Butenko, 494 F.2d 593, 606 (3d Cir.) (en banc), cert. denied sub nom,
Ivanov v. United States, 419 U.S. 881 (1974), which held that, while warrantless electronic surveillance for foreign
intelligence purposes was permissible, when the purpose or primary purpose of the surveillance is to obtain evidence of
criminal activity, evidence obtained by warrantless electronic surveillance is inadmissible at trial, 540 F. Supp. at 1313.
In addressing the theory that the evidence in the case before it was obtained pursuant to a warrant, a lawfully obtained
court order under FISA, id. at 1314, the court observed that the “bottom line of Truong is that evidence derived from
warrantless foreign intelligence searches will be admissible in a criminal proceeding only so long as the primary
purpose of the surveillance is to obtain foreign intelligence information. Id. at 1313-14. After noting that Congress, in
enacting FISA, “expected that evidence derived from FISA surveillances could then be used in a criminal proceeding,
the court concluded that “it was proper for the FISA judge to issue the order in this case because of the on-going nature
of the foreign intelligence investigation.... The fact that evidence of criminal activity was thereafter uncovered during
(continued...)





the USA PATRIOT Act, that FISA could only be used if the government’s primary purpose in
gathering foreign intelligence information was not criminal prosecution, was not supported by the
statutory language or the legislative history of FISA. This argument was not presented to the
FISC, but the Court of Review indicated that it could entertain the argument, because proceedings 199
before the FISC and before the Court of Review were ex parte. Second, the government argued
that, even if the primary purpose test was appropriate prior to the passage of the USA PATRIOT
Act, the amendments made by that act eliminated that concept. The government also argued that
the FISC’s interpretation of the minimization procedures provisions misconstrued those
provisions and amounted to “an end run” around the USA PATRIOT Act amendments. DOJ
argued further that the FISC minimization procedures so intruded into the Department’s
operations as to be beyond the constitutional authority of Article III judges. Finally, DOJ
contended that application of the primary purpose test in a FISA case was not constitutionally
compelled under the Fourth Amendment.
The Court of Review noted that, as enacted in 1978, FISA authorized the grant of an application
for electronic surveillance to obtain foreign intelligence information if there is probable cause to
believe that “the target of the electronic surveillance is a foreign power or an agent of a foreign 200
power,” and that “each of the facilities or places at which the surveillance is directed is being 201
used, or is about to be used by a foreign power or an agent of a foreign power.” The reviewing
court focused upon the close connection between criminal activity and the definitions of “agent of
a foreign power” applicable to United States persons contained in 50 U.S.C. §§ 1801(b)(2)(A)
and (C), to wit: “any person who ‘knowingly engages in clandestine intelligence activities ...
which activities involve or may involve a violation of the criminal statutes of the United States,’
or ‘knowingly engages in sabotage or international terrorism, or activities that are in preparation 202
therefor.’” The court noted further that FISA defined “international terrorism” to mean

(...continued)
the investigation does not render the evidence inadmissible. There is no question in [the court’s] mind that the purpose
of the surveillance, pursuant to the order, was the acquisition of foreign intelligence information. Accordingly, [the
court found] that the FISA procedures on their face satisfy the Fourth Amendment warrant requirement, and that FISA
was properly implemented in this case. Id. at 1314.).
199 Court of Review op., 310 F.3d at 722 n.6.
200 The Court of Review did not include in its quotation of 50 U.S.C. § 1805(a)(3)(A) the proviso that follows the
quoted language: “Provided, That no United States person may be considered a foreign power or an agent of a foreign
power solely upon the basis of activities protected by the first amendment to the Constitution of the United States.”
201 Court of Review op., 310 F.3d at 722, quoting portions of 50 U.S.C. § 1805(a)(3).
202 Id. at 723 (emphasis added by the Court of Review). The definitions ofagent of a foreign power which apply to
any person” (including, by implication, United States persons) are set forth in 50 U.S.C. § 1801(b)(2). This subsection
now contains five subparagraphs:
(b) “Agent of a foreign power” means—
...
(2) any person who—
(A) knowingly engages in clandestine intelligence gathering activities for or on behalf of
a foreign power, which activities involve or may involve a violation of the criminal statutes of
the United States;
(B) pursuant to the direction of an intelligence service or network of a foreign power,
knowingly engages in any other clandestine intelligence activities for or on behalf of such
foreign power, which activities involve or are about to involve a violation of the criminal
statutes of the United States;
(C) knowingly engages in sabotage or international terrorism, or activities that are in
preparation therefor, for or on behalf of a foreign power;
(continued...)





“activities that ‘involve violent acts or acts dangerous to human life that are a violation of the
criminal laws of the United States or of any State, or that would be a criminal violation if 203
committed within the jurisdiction of the United States or any State.’” “Sabotage,” as defined by
FISA, covers activities that “‘involve a violation of chapter 105 of [the criminal code] [18 U.S.C. 204
§§ 2151-2156], or that would involve such a violation if committed against the United States.’”
For purposes of its opinion, the Court of Review described these types of crimes as “foreign 205
intelligence crimes.”

(...continued)
(D) knowingly enters the United States under a false or fraudulent identity for or on
behalf of a foreign power, or, while in the United States, knowingly assumes a false or
fraudulent identity for or on behalf of a foreign power; or
(E) knowingly aids or abets any person in the conduct of activities described in
subparagraph (A), (B), or (C) or knowingly conspires with any person to engage in activities
described in subparagraph (A), (B), or (C).
The current subparagraph (D) was added in 1999, and the former subparagraph (D) was redesignated subparagraph (E).
203 Id. at 723, quoting 50 U.S.C. § 1801(c)(1) (emphasis added by the Court of Review). The remainder of the
definition ofinternational terrorism under 50 U.S.C. § 1801(c)(2) and (3) adds two more criteria for activities to be
considered to be within this definition:
(c) “International terrorism means activities that
...
(2) appear to be intended—
(A) to intimidate or coerce a civilian population;
(B) to influence the policy of a government by intimidation or coercion; or
(C) to affect the conduct of a government by assassination or kidnapping; and
(3) occur totally outside the United States, or transcend national boundaries in terms of the
means by which they are accomplished, the persons they appear to coerce or intimidate, or the
locale in which their perpetrators operate or seek asylum.
204 Court of Review slip op. at 10, quoting 50 U.S.C. § 1801(d).
205 Although later acknowledging the possibility that the Justice Department had accepted the dichotomy between
foreign intelligence gathering and law enforcement purposes “in an effort to conform to district court holdings,” Court
of Review op., 310 F.3d at 727, (most of the published decisions were court of appeals decisions rather than district
court decisions) the Court of Review expressed puzzlement thatthe Justice Department, at some point during the
1980’s, began to read the statute as limiting the Department’s ability to obtain FISA orders if it intended to prosecute
the targeted agents—even for foreign intelligence crimes,” while noting that 50 U.S.C. § 1804 at the time required that
“a national security official in the Executive Branch—typically the Director of the FBI—... certify that ‘the purpose’ of
the surveillance was to obtain foreign intelligence information (amended by the Patriot Act to reada significant
purpose.) Id. at 723. The court did, however, discuss a series of 1982-1991 cases upholding the constitutional
sufficiency of electronic surveillance under FISA as long asthe primary purpose of the surveillance was gathering
foreign intelligence information, rather than criminal prosecution. If foreign intelligence gathering was the primary
purpose of a FISA electronic surveillance, initially and throughout the surveillance, and FISA was not being used as th
an end run around the 4 Amendment,” the courts permitted use of the fruits of the surveillance in subsequent
criminal prosecutions. See the discussion of these cases at footnote 156, supra, of this report. Thisprimary purpose
approach to these FISA cases appears consistent with the “primary purpose” approach taken in a number of pre-FISA
cases involving Fourth Amendment challenges to warrantless foreign intelligence surveillances. See constitutional thth
analyses in United States v. Brown, 484 F.2d 418 (5 Cir. 1973), cert. denied, 415 U.S. 960 (5 Cir. 1974); United rd
States v. Butenko, 494 F.2d 593 (3 Cir. 1974) , cert. denied sub nom, Ivanov v. United States, 419 U.S. 881 (1974),
and Zweibon v. Mitchell, 516 F.2d 594 (D.C. Cir. 1975), cert. denied, 425 U.S. 944 (1976); along with the Supreme
Court’s analysis, in a domestic surveillance context, in the Keith case, United States v. United States District Court, 407
U.S. 297 (1972), discussed in the Background” section of this report, supra. The Court of Review appears to discount
the significance of these decisions because the courts involved upheld lower court decisions permitting admission of
information gathered under FISA in criminal trials. The Court of Review stated, “It may well be that the government
itself, in an effort to conform to district court holdings, accepted the dichotomy it now contends is false. Be that as it
may, since the cases thatadopt” the dichotomy do affirm district court opinions permitting the introduction of
(continued...)





The court observed that, as passed in 1978, 50 U.S.C. §1804 required a national security official 206
of the Executive Branch, usually the FBI Director, to certify that “the purpose” of the electronic
surveillance under FISA was to obtain foreign intelligence information, and opined that “it is
virtually impossible to read the 1978 FISA to exclude from its purpose the prosecution of foreign
intelligence crimes, most importantly because, as we have noted, the definition of an agent of a 207
foreign power—if he or she is a U.S. person—is grounded on criminal conduct.” It found
further support for its view that “foreign intelligence information” included evidence of “foreign
intelligence crimes” from the legislative history as reflected in H.Rept. 95-1283 and S.Rept. 95-208
701, while acknowledging that the House report also stated that FISA surveillances “are not
primarily for the purpose of gathering evidence of a crime. They are to obtain foreign intelligence
information, which when it concerns United States persons must be necessary to important 209
national concerns.” The Court of Review regarded the latter statement as an observation rather 210
than a proscription.
The Court of Review saw the U.S. Court of Appeals for the Fourth Circuit’s decision in United th
States v. Truong Dinh Hung, 629 F.2d 908 (4 Cir. 1980), a decision based upon constitutional
analysis rather than FISA provisions, as the springboard for the “primary purpose” test cases 211
interpreting FISA and upholding FISA surveillances against Fourth Amendment challenges.

(...continued)
evidence gathered under a FISA order, there was not much need for the courts to focus on the opinion with which we
are confronted. Court of Review op., 310 F.3d at 727.
206 The pertinent language of 50 U.S.C. § 1804(a)(7) as passed in 1978 provided that each application for an order
authorizing electronic surveillance under FISA shall include:
(7) a certification or certifications by the Assistant to the President for National Security
Affairs or an executive branch official or officials designated by the President from those executive
officers employed in the area of national security or defense and appointed by the President with
the advice and consent of the Senate
(A) that the certifying official deems the information sought to be foreign intelligence
information;
(B) that the purpose of the surveillance is to obtain foreign intelligence information;
(C) that such information cannot reasonably be obtained by normal investigative
techniques;
(D) that designates the type of foreign intelligence information being sought according to
the categories described in section 1801(e) of this title; and
(E) including a statement of the basis for the certification that
(i) the information sought is the type of foreign intelligence information designated;
and
(ii) such information cannot reasonably be obtained by normal investigative
techniques[.]
Under 50 U.S.C. § 1804(d) as passed in 1978 and under current law,The judge may require the applicant to furnish
such other information as may be necessary to make the determinations required by section 1805 of this title.”
207 Court of Review op., 310 F.3d at 723.
208 Id. at 724-25, citing H.Rept. 95-1283, at 49 (1978) and S.Rept. 95-701, at 10-11 (1978).
209 H.Rept. 95-1283, at 36 (1978).
210 Court of Review op., 310 F.3d at 725.
211 Although Truong Dinh Hung was among the cases cited by some of the subsequent FISA cases, a “primary
purpose test had been previously applied in the 1974 Third Circuit decision in Butenko, supra, upholding a warrantless
electronic surveillance in the face of challenges based upon the Fourth Amendment and Section 605 of the
Communications Act where the primary purpose of the investigation was gathering foreign intelligence information.
See discussion in theBackground” section of this report, supra, as well as the summary of this and other cases at fns.
(continued...)





After reviewing a number of the FISA cases applying the primary purpose test, the Court of
Review concluded that a dichotomy between foreign intelligence gathering and criminal
investigations implicit in the application of the primary purpose test was not statutorily
compelled. The court found that FISA, as originally passed, did not “preclude or limit the
government’s use or proposed use of foreign intelligence information, which included evidence of 212
certain kinds of criminal activity, in a criminal prosecution.” In addition, the Court of Review,
relying on arguments of the Department of Justice and the language of subsection 1805(a)(5),
interpreted 50 U.S.C. §§ 1805 of FISA as originally enacted as not contemplating that the [FISC] 213
would inquire into the government’s purpose in seeking foreign intelligence information.
Further, the court rejected the FISC’s characterization of the Attorney General’s 1995 procedures,
as modified and augmented in January 2000 and August 2001, as minimization procedures. These
procedures were formally adopted by the FISC as minimization procedures defined in 50 U.S.C.
§§ 1801(h) and 1821(4) in November 2001, after passage of the USA PATRIOT Act, and were
incorporated in all applicable orders and warrants granted since their adoption by the FISC. On
March 6, 2002, the Attorney General adopted new “Intelligence Sharing Procedures,” intended to
supercede prior procedures, to “allow complete exchange of information and advice between
intelligence and law enforcement officials,” to “eliminate the ‘direction and control’ test,” and to
permit “exchange of advice between the FBI, OIPR, and the Criminal Division regarding ‘the 214
initiation, operation, continuation, or expansion of FISA searches or surveillance.” The
following day, the government filed a motion with the FISC advising the court of the Attorney
General’s adoption of the 2002 procedures, seeking to have that court adopt the new procedures
in all matters before the FISC and asking the court to vacate its orders adopting the prior
procedures as minimization procedures and imposing “wall” procedures in certain types of cases.
That motion led to the FISC decision to adopt the 2002 procedures with modifications that was,
by reference, before the Court of Review in its November 18, 2002, decision.

(...continued)
156 and 163, supra.
212 Court of Review op., 310 F.3d at 727.
213 Id. at 723-24, 728. Section 1805(a), as enacted in 1978, set forth the necessary findings that a judge of the FISC had
to make in order to enter an ex parte order as requested or as modified approving electronic surveillance under FISA:
(1) the President has authorized the Attorney General to approve applications for electronic
surveillance for foreign intelligence information;
(2) the application has been made by a Federal officer and approved by the Attorney General;
(3) on the basis of the facts submitted by the applicant there is probable cause to believe that
(A) the target of the electronic surveillance is a foreign power or an agent of a foreign
power: Provided, That no United States person may be considered a foreign power or an agent
of a foreign power solely upon the basis of activities protected by the first amendment to the
Constitution of the United States; and
(B) each of the facilities or places at which the electronic surveillance is directed is being
used, or is about to be used, by a foreign power or an agent of a foreign power;
(4) the proposed minimization procedures meet the definition of minimization procedures
under section 1801(h) of this title;
(5) the application which has been filed contains all statements and certifications required by
section 1804 of this title and, if the target is a United States person, the certification or certifications
are not clearly erroneous on the basis of the statement made under section 1804(a)(7)(E) of this title
and any other information furnished under section 1804(d) of this title.
214 Court of Review op., 310 F.3d at 729.





The Court of Review characterized the FISC’s adoption of the Justice Department’s 1995
procedures, as modified and augmented, as minimization procedures as follows:
Essentially, the FISA court took portions of the Attorney Generals augmented 1995
Proceduresadopted to deal with the primary purpose standard—and imposed them
generically as minimization procedures. In doing so, the FISA court erred. It did not provide
any constitutional basis for its actionwe think there is none—and misconstrued the main
statutory provision on which it relied. The court mistakenly categorized the augmented 1995
Procedures as FISA minimization procedures and then compelled the government to utilize a
modified version of those procedures in a way that is clearly inconsistent with the statutory 215
purpose.
The Court of Review interpreted “minimization procedures” under 50 U.S.C. § 1801(h) to be
designed to protect, as far as reasonable, against the acquisition, retention, and dissemination of
nonpublic information which is not foreign intelligence information. In light of the Court of
Review’s interpretation of “minimization procedures” under 50 U.S.C. § 1801(h), the court found
no basis for the FISC’s reliance upon that section “to limit criminal prosecutors’ ability to advise
FBI intelligence officials on the initiation, operation, continuation, or expansion of FISA
surveillances to obtain foreign intelligence information, even if such information includes 216
evidence of a foreign intelligence crime.”
In addition, the Court of Review found that the FISC had misconstrued its authority under 50
U.S.C. § 1805 and misinterpreted the definition of minimization procedures under 50 U.S.C. §
1801(h). The Court of Review expressed approbation for the Government’s argument that the
FISC, in imposing the modified 1995 procedures upon the Department of Justice as minimization
procedures, “may well have exceeded the constitutional bounds that restrict an Article III court.
The FISA court asserted authority to govern the internal organization and investigative
procedures of the Department of Justice which are the province of the Executive Branch (Article 217
II) and the Congress (Article I).”
The Court of Review deemed the FISC’s “refusal ... to consider the legal significance of the 218
Patriot Act’s crucial amendments [to be] error.” The appellate court noted that, as amended by
the USA PATRIOT Act, the requirement in 50 U.S.C. § 1804(a)(7)(B) that the Executive Branch
officer certify that “the purpose” of the FISA surveillance or physical search was to gather foreign 219
intelligence information had been changed to “a significant purpose.” The court noted that floor
statements indicated that this would break down traditional barriers between law enforcement and 220
foreign intelligence gathering, making it easier for law enforcement to obtain FISA court orders
for surveillance or physical searches where the subject of the surveillance “is both a potential 221
source of valuable intelligence and the potential target of a criminal prosecution.” The court

215 Id. at 730.
216 Id. at 731.
217 Id. at 731-32.
218 Id. at 732.
219 Id. at 728-29, 732-33.
220 Id. at 732, quoting Sen. Leahy, 147 Cong. Rec. S10992 (Oct. 25, 2001).
221 Id. at 733, quoting Sen. Feinstein, 147 Cong. Rec. S10591 (Oct. 11, 2001). In Section 13.5 of Chapter 13 of its Final
Report, at 424, the 9/11 Commission, in discussing the future role of the FBI, observes in part:
Counterterrorism investigations in the United States very quickly become matters that involve
violations of criminal law and possible law enforcement action. Because the FBI can have agents
(continued...)





noted that some Members raised concerns about the Fourth Amendment implications of this
language change which permitted the Government to obtain a court order under FISA “even if the 222
primary purpose is a criminal investigation.” Interestingly, although the Court of Review did
not regard a dichotomy between foreign intelligence gathering and law enforcement purposes as
necessarily implied by the 1978 version of 50 U.S.C. § 1804(a)(7)(B), the court viewed the
statutory change from “the purpose” to “a significant purpose” in the USA PATRIOT Act as 223
recognizing such a dichotomy.
The Court of Review disagreed with the FISC interpretation of the consultation authority under 224
50 U.S.C. § 1806(k). The Court of Review saw this provision as one which reflected the
elimination of barriers between law enforcement and intelligence or counterintelligence
gathering, without a limitation on law enforcement officers directing or controlling FISA
surveillances. “[W]hen Congress explicitly authorizes consultation and coordination between
different offices in the government, without even suggesting a limitation on who is to direct and 225
control, it necessarily implies that either could take the lead.”
In analyzing the “significant purpose” amendment to 50 U.S.C. § 1804(a)(7)(B), the Court of
Review deemed this a clear rejection of the primary purpose test. If gathering foreign intelligence
information is a significant purpose, another purpose such as criminal prosecution could be 226
primary.Further, the court found that the term “significant” “imposed a requirement that the
government have a measurable foreign intelligence purpose, other than just criminal prosecution
of even foreign intelligence crimes.... Although section 1805(a)(5) ... may well have been
intended to authorize the FISA court to review only the question whether the information sought
was a type of foreign intelligence information, in light of the significant purpose amendment of
section 1804, it seems section 1805 must be interpreted as giving the FISA court the authority to 227
review the government’s purpose in seeking the information.” The Court of Review saw the
“significant purpose” language as “excluding from the purpose of gaining foreign intelligence 228
information a sole objective of criminal prosecution.” If the government, at the commencement
of a FISA surveillance has not yet determined whether to prosecute the target, “[s]o long as the
government entertains a realistic option of dealing with the agent other than through criminal 229
prosecution, it satisfies the significant purpose test.” Under the Court of Review’s analysis:
If the certification of the applications purpose articulates a broader objective than criminal
prosecutionsuch as stopping an ongoing conspiracyand includes other potential non-
prosecutorial responses, the government meets the statutory test. Of course, if the court

(...continued)
working criminal matters and agents working intelligence investigations concerning the same
international terrorism target, the full range of investigative tools against a suspected terrorist can
be considered within one agency. The removal of the “wall that existed before 9/11 between
intelligence and law enforcement has opened up new opportunities for cooperative action within
the FBI.
222 Court of Review op., 310 F.3d at 733, quoting Sen. Feingold, 147 Cong. Rec. S11021 (Oct. 25, 2001).
223 Id. at 734-35.
224 Id. at 733-34.
225 Id. at 734.
226 Id. at 734.
227 Id. at 735.
228 Id.
229 Id.





concluded that the governments sole objective was merely to gain evidence of past criminal
conduct—even foreign intelligence crimesto punish the agent rather than halt ongoing 230
espionage or terrorist activity, the application should be denied.
The court stated further that, while ordinary crimes may be intertwined with foreign intelligence 231
crimes, the FISA process may not be utilized to investigate wholly unrelated ordinary crimes.
The Court of Review emphasized that the government’s purpose as reflected in the Section
1804(a)(7)(B) certification is to be judged by the FISC on the basis of
...the national security officer’s articulation and not by a FISA court inquiry into the origins
of an investigation nor an examination of the personnel involved. It is up to the Director of
the FBI, who typically certifies, to determine the government’s national security purpose, as
approved by the Attorney General or Deputy Attorney General.... That means, perforce, if
the FISA court has reason to doubt that the government has any real non-prosecutorial
purpose in seeking foreign intelligence information it can demand further inquiry into the
certifying officers purpose—or perhaps even the Attorney Generals or Deputy Attorney
Generals reasons for approval. The important point is that the relevant purpose is that of
those senior officials in the Executive Branch who have the responsibility of appraising the 232
government’s national security needs.
Turning from its statutory analysis to its examination of whether the statute, as amended, satisfied
Fourth Amendment parameters, the Court of Review compared the FISA procedures with those
applicable to criminal investigations of “ordinary crimes” under Supreme Court jurisprudence
and under the wiretap provisions of Title III of the Omnibus Crime Control and Safe Streets Act.
Relying upon Dalia v. United States, 441 U.S. 238, 255 (1979), the court indicated that in
criminal investigations, beyond requiring that searches and seizures be reasonable, the Supreme
Court has interpreted the Fourth Amendment’s warrant requirement to demand satisfaction of
three criteria: a warrant must be issued by a neutral, detached magistrate; those seeking the
warrant must demonstrate to the magistrate that there is probable cause to believe that the
evidence sought will assist in a particular apprehension or conviction for a particular offense; and
the warrant must describe with particularity the things to be seized and the place to be 233
searched.
The Court of Review compared the procedures in Title III with those in FISA, finding in some
respects that Title III had higher standards, while in others FISA included additional safeguards.
In both, there was provision for a detached, neutral magistrate. The probable cause standard in
Title III for criminal investigations was deemed more demanding than that in FISA. Title III
requires a showing of probable cause that a specific individual has committed, is committing, or
is about to commit a particular criminal offense. FISA requires a showing of probable cause that
the target of the FISA investigative technique is a foreign power or an agent of a foreign power. A
foreign power is not defined solely in terms of criminal activity. In the case of a target who is a
U.S. person, the definition of “agent of a foreign power” contemplates, in part, the involvement of
or, in the case of clandestine intelligence activities for a foreign power, the possibility of criminal
conduct. The court regarded the lesser requirement with respect to criminal activity in the context
of clandestine intelligence activities as to some extent balanced by the safeguard provided by

230 Id.
231 Id. at 736.
232 Id.
233 Id. at 738.





FISA’s requirement that there be probable cause to believe that the target is acting “for or on 234
behalf of a foreign power.”
With regard to the particularity requirement, as to the first element, Title III requires a finding of
probable cause to believe that the interception will obtain particular communications regarding a
specified crime. In contrast, FISA requires an official to designate the type of foreign intelligence
information being sought and to certify that the information being sought is foreign intelligence
information. When the target of the FISA investigation is a U.S. person, the standard of review
applied by the FISC is whether there is clear error in the certification, a lower standard that a
judicial finding of probable cause. While the FISC can demand that the government provide
further information needed for the court to make its determination as to whether the certification
is clearly erroneous, the statute relies also upon internal checks on Executive Branch decisions
through the requirement that the certification must be made by a national security officer and
approved by the Attorney General or Deputy Attorney General.
In connection with the second particularity element, Title III
... requires probable cause to believe that the facilities subject to surveillance are being used
or are about to be used in connection with commission of a crime or are leased to, listed in
the name of, or used by the individual committing the crime, 18 U.S.C. § 2518(3)(d), [while]
FISA requires probable cause to believe that each of the facilities or places at which the
surveillance is directed is being used, or is about to be used by a foreign power or agent [of a
foreign power]. 50 U.S.C. § 1805(a)(3)(B). ... Simply put, FISA requires less of a nexus
between the facility and the pertinent communications that Title III, but more of a nexus 235
between the target and the pertinent communications.”
The Court of Review also compared Title III to FISA with respect to necessity (both statutes
require that the information sought is not available through normal investigative procedures, 236
although the standards differ somewhat), duration of surveillance (30 days under Title III, 18
U.S.C. § 2518(3)(c), as opposed to 90 days under FISA for U.S. persons, 50 U.S.C. § 237

1805(e)(1)), minimization and notice.


With respect to minimization, the Court of Review noted that Title III, under 18 U.S.C. § 2518(5),
required minimization of what was acquired, directing that surveillance be carried out “in such a

234 Id. at 738-39.
235 Id. at 740.
236 For electronic surveillance to be approved, Title III requires a judicial finding that normal investigative procedures
have been tried and have failed or reasonably appear to be unlikely to succeed if tried or to be too dangerous. 18 U.S.C.
§ 2518(3)(c). FISA requires certification by the national security officer involved that the foreign intelligence
information sought cannot reasonably be obtained by normal investigative means. 50 U.S.C. § 1804(a)(7)(C). The
certification must include a statement of the basis for the certification that the information sought is the type of foreign
intelligence information designated; and that such information cannot reasonably be obtained by normal investigative
techniques. 50 U.S.C. § 1804(a)(7)(E)(i) and (ii). In issuing an ex parte order granting an application for electronic
surveillance, the FISC judge must find that, in the case of a target who is a U.S. person, the certifications are not clearly
erroneous on the basis of the statement made under 50 U.S.C. § 1804(a)(7)(e) and any other information furnished
under Section 1804(d). Thus, the relevant findings to be made by the courts under the two statutes differ.
237 Court of Review op., 310 F.3d at 740. The difference, in the court’s view, wasbased on the nature of national
security surveillance, which is ‘often long range and involves the interrelation of various sources and types of
information.’ Keith, 407 U.S. at 322; see also S. Rep. at 16, 56.” The court also noted that in FISA the “longer
surveillance period is balanced by continuing FISA court oversight of minimization procedures during that period. 50
U.S.C. § 1805(e)(3); see also S. Rep. at 56.”





way as to minimize the interception of communications not otherwise subject to interception
under this chapter.” FISA, on the other hand, “requires minimization of what is acquired, 238
retained, and disseminated.” Observing that the FISC had found “in practice FISA surveillance
devices are normally left on continuously, and the minimization occurs in the process of indexing
and logging the pertinent communications,” the Court of Review deemed the reasonableness of 239
such an approach to be dependent upon the facts and circumstances of each case:
Less minimization in the acquisition stage may well be justified to the extent the intercepted
communications are “ambiguous in nature or apparently involve[] guarded or coded
language, or “the investigation is focusing on what is thought to be a widespread conspiracy
[where] more extensive surveillance may be justified in an attempt to determine the precise
scope of the enterprise.” ... Given the targets of FISA surveillance, it will often be the case
that intercepted communications will be in code or a foreign language for which there is no
contemporaneously available translator, and the activities of foreign agents will involve 240
multiple actors and complex plots....
With respect to notice, the Court of Review observed that under 18 U.S.C. § 2518(8)(d), Title III
mandated notice to the target of the surveillance and, in the judge’s discretion, to other persons
whose communications were intercepted, after the surveillance has expired. In contrast, under 50
U.S.C. § 1806(c) and (d), FISA does not require notice to a person whose communications were
intercepted unless the government intends to use, disclose, or enter into evidence those
communications or derivative information in a trial, hearing, or other proceeding in or before any
court, department, officer, agency, regulatory body, or other federal, state or local authority
against that person. The Court of Review noted that where such information was to be used
against a criminal defendant, he or she would be given notice, and stated that “where such
evidence is not ultimately going to be used for law enforcement,” Congress had observed that
“[t]he need to preserve secrecy for sensitive counterintelligence sources and methods justifies 241
elimination of the notice requirement.” In a footnote, the court noted that the Amici had drawn
attention to the difference in the nature of the notice given the defendant or aggrieved person
under Title III as opposed to FISA. Under Title III, a defendant is generally entitled under 18
U.S.C. § 2518(9) to obtain the application and order to challenge the legality of the surveillance.
However, under FISA, the government must give the aggrieved person and the court or other
authority (or in the case of a state or local use, the state or political subdivision must give notice
to the aggrieved person, the court or other authority, and the Attorney General) of their intent to
so disclose or use communications obtained from the surveillance or derivative information. In
addition, under 50 U.S.C. §§ 1806(f) and (g), if the Attorney General files an affidavit under oath
that disclosure or an adversary hearing would harm national security, the U.S. district court may
review in camera and ex parte the application, order, and other materials related to the
surveillance, to determine whether the surveillance was lawfully authorized and conducted,
whether disclosure or discovery is necessary, and whether to grant a motion to suppress. The
Court of Review noted that these determinations are to be made by the U.S. district judge on a
case by case basis, and stated that “whether such a decision protects a defendant’s constitutional 242
rights in a given case is not before us.”

238 Id.
239 Id.
240 Id. at 740-41.
241 Id. at 741, quoting S.Rept. 95-701 at 12.
242 Id.





Based on this comparison of Title III and FISA, the Court of Review found that “to the extent that
the two statutes diverge in constitutionally relevant areas—in particular, in their probable cause
and particularity showings—a FISA order may not be a ‘warrant’ contemplated by the Fourth
Amendment.... Ultimately, the question becomes whether FISA, as amended by the Patriot Act, is
a reasonable response based on a balance of the legitimate need of the government for foreign
intelligence information to protect against national security threats with the protected rights of 243
citi ze ns.”
The court framed the question as follows: “does FISA amplify the President’s power by providing
a mechanism that at least approaches a classic warrant and which therefore supports the
government’s contention that FISA searches are constitutionally reasonable.” In its analysis, the
court first considered whether the Truong case articulated the correct standard. Truong held that
the President had inherent authority to conduct warrantless searches to obtain foreign intelligence
information, but did not squarely address FISA. Starting from the perspective that Truong deemed
the primary purpose test to be constitutionally compelled as an application of the Keith case
balancing standard, the Court of Review found that the Truong determination that “once
surveillance becomes primarily a criminal investigation, the courts are entirely competent to
make the usual probable cause determination, and ... individual privacy interests come to the fore
and government foreign policy concerns recede when the government is primarily attempting to 244
form the basis of a criminal investigation.” The Court of Review found that this analysis was
based upon a faulty premise that in the context of criminal prosecution “foreign policy concerns
recede,” and found further that the line the Truong court “sought to draw was inherently unstable, 245
unrealistic, and confusing.” The Court of Review opined that in the context of
counterintelligence, foreign policy concerns did not recede when the government moved to
prosecute. Rather “the government’s primary purpose is to halt the espionage or terrorism efforts,
and criminal prosecutions can be, and usually are, interrelated with other techniques used to 246
frustrate a foreign power’s efforts.”
In addition, the court found that the method of determining when an investigation became
primarily criminal by looking to when the Criminal Division of the Department of Justice
assumed the lead role, had led over time to the “quite intrusive organizational and personnel 247
tasking the FISA court [had] adopted.” The court found the “wall” procedure to generate
dangerous confusion and create perverse organizational incentives that discouraged wholehearted 248
cooperation of “all the government’s personnel who can be brought to the task.” This the court
suggested could be thought to be dangerous to national security and could be thought to
discourage desirable initiatives.
In addition, the court saw the primary purpose test as administered by the FISC, “by focusing on
the subjective motivation of those who initiate investigations ... was at odds with the Supreme

243 Id. at 741-42.
244 Id. at 742-43, citing Truong, supra, 629 F.2d at 914-15.
245 Id. at 743.
246 Id.
247 Id.
248 Id.





Court’s Fourth Amendment cases which regard subjective motivation of an officer conducting a 249
search or seizure as irrelevant.”
Assuming arguendo that FISA orders were not warrants within the scope of the Fourth
Amendment, the Court of Review returned to the question of whether searches under FISA are
constitutionally reasonable. While the Supreme Court has not considered directly the
constitutionality of warrantless government searches for foreign intelligence purposes, the
balance between the government’s interest and personal privacy interests is key to an examination
of this question. The Court of Review viewed Keith as suggesting that a somewhat relaxed 250
standard might be appropriate in foreign intelligence crimes as opposed to ordinary crimes.
The Court of Review then briefly touched upon the Supreme Court’s “special needs” cases, where
the Court upheld searches not based on a warrant or individualized suspicion in extraordinary
circumstances involving “special needs, beyond the normal need for law enforcement.” In City of
Indianapolis v. Edmond, 531 U.S. 32, 42 (2000), the U.S. Supreme Court held that a highway
check point program designed to catch drug dealers was not within the “special needs” exception
to the requirement that a search be based upon individualized suspicion, because “the
government’s ‘primary purpose’ was merely ‘to uncover evidence of ordinary criminal
wrongdoing.’” The Court stated that “the gravity of the threat alone cannot be dispositive of
questions concerning what means law enforcement officers may employ to pursue a given 251
purpose.” The Court relied upon an examination of the primary purpose of the program, but not
the motivations of individual officers, to determine whether the “special needs” standard had been
met. The Supreme Court noted that an appropriately tailored road block could be used “to thwart 252
an imminent terrorist attack.”
After summarizing Edmond, the Court of Review emphasized that it is the nature of the threat or 253
emergency that took the matter beyond the realm of ordinary crime control. It concluded that,
while the gravity of the threat alone cannot be dispositive of the reasonableness of a search under
the Fourth Amendment standard, it is a critical factor in the analysis. In its view, the
“programmatic purpose” of FISA, “to protect the nation against terrorists and espionage threats
directed by foreign powers,” was one which, from FISA’s inception, was distinguishable from 254
“ordinary crime control.” The Court of Review also concluded that, “[e]ven without taking into
account the President’s inherent constitutional authority to conduct warrantless foreign
intelligence surveillance, we think the procedures and government showings required under
FISA, if they do not meet the minimum Fourth Amendment warrant standards, certainly come 255
close.” Applying the balancing test that it had drawn from Keith between foreign intelligence

249 Id., citing Whren v. United States, 517 U.S. 806, 13 (1996). See also, Arkansas v. Sullivan, 532 U.S. 769, 770-72
(2001); Scott v. United States, 438 U.S. 128, 135-138 (1978). In these cases, the Court has held that, in a Fourth
Amendment probable cause analysis of a warrantless search or seizure, the fact that an otherwise lawful search or
seizure may have been made as a pretext for searching for evidence of other criminal behavior does not render that
search or seizure unconstitutional. One might note that the probable cause standard applicable to a search or seizure in a
criminal investigation is different from that under FISA, so that the pretextual search criminal cases may not be directly
analogous to the FISA situation.
250 Id. at 744.
251 531 U.S. at 42, cited in Court of Review op., 310 F.3d at 745.
252 531 U.S. at 44, cited in Court of Review op., 310 F.3d at 746.
253 Court of Review op., 301 F.3d at 746.
254 Id.
255 Id.





crimes and ordinary crimes, the Court of Review held surveillances under FISA, as amended by
the USA PATRIOT Act, were reasonable and therefore constitutional. In so doing, however, the
Court of Review
acknowledged] ... that the constitutional question presented by this casewhether Congress
disapproval of the primary purpose test is consistent with the Fourth Amendmenthas no
definitive jurisprudential answer. The Supreme Court’s special needs cases involve random
stops (seizures) not electronic searches. In one sense, they can be thought of as a greater
encroachment into personal privacy because they are not based on any particular suspicion.
On the other hand, wiretapping is a good deal more intrusive than an automobile stop 256
accompanied by questioning.
The Court of Review reversed the FISC’s orders before it for electronic surveillance “to the
extent they imposed conditions on the grant of the government’s applications, vacate[d] the FISA
court’s Rule 11, and remand[ed] with instructions to grant the applications as submitted and 257
proceed henceforth in accordance with this opinion.”
50 U.S.C. § 1803(b) provides that, where the Court of Review upholds a denial by the FISC of a
FISA application, the United States may file a petition for certiorari to the United States Supreme
Court. Since consideration of applications for FISA orders is ex parte, there is no provision in
FISA for an appeal to the United States Supreme Court from a decision of the Court of Review by
anyone other than the United States. Nevertheless, on February 18, 2003, a petition for leave to
intervene and a petition for writ of certiorari to the U.S. Foreign Intelligence Surveillance Court
of Review was filed in this case in the U.S. Supreme Court by the American Civil Liberties
Union, National Association of Criminal Defense Lawyers, American-Arab Anti-Discrimination
Committee, and the Arab Community Center for Economic and Social Services. On March 14,
2003, the Bar Association of San Francisco filed a motion to file an amicus curiae brief in support
of the motion to intervene and petition for certiorari. On March 24, 2003, the Supreme Court
denied the motion for leave to intervene in order to file a petition for a writ of certiorari and 258
denied the motion for leave to file an amicus curiae brief.

The Foreign Intelligence Surveillance Act, as amended, provides a statutory structure to be
followed where electronic surveillance, 50 U.S.C. § 1801 et seq., physical searches, 50 U.S.C. §
1821 et seq., or pen registers or trap and trace devices, 50 U.S.C. § 1841 et seq., for foreign
intelligence gathering purposes are contemplated. In addition, it provides a statutory mechanism
for the FBI to seek production of “any tangible things” for an investigation seeking foreign
intelligence information not involving a U.S. person or to protect against international terrorism
or clandestine intelligence with respect to any person under 50 U.S.C. § 1861. FISA creates
enhanced procedural protections where a United States person is involved, while setting

256 Id.
257 Id.
258 American Civil Liberties Union v. United States, Docket No. 02M69, 538 U.S. 920 (March 24, 2003). The
disposition of the case appears on the Supreme Court’s Order List for that date. It is interesting to note that both the
Petition for Leave to Intervene and Petition for a Writ of Certiorari filed by the American Civil Liberties Union, et al.,
and the motion to file an amicus curiae brief of the Bar Association of San Francisco were filed under the name In re:
Sealed Case of the Foreign Intelligence Surveillance Court of Review No. 02-001.





somewhat less stringent standards where the surveillance involves foreign powers or agents of
foreign powers. With its detailed statutory structure, it appears intended to protect personal
liberties safeguarded by the First and Fourth Amendments while providing a means to ensure
national security interests.
The USA PATRIOT Act, P.L. 107-56, increased the number of FISC judges from 7 to 11, while
expanding the availability of FISA electronic surveillance, physical searches and pen registers
and trap and trace devices. For example, under P.L. 107-56, an application for a court order
permitting electronic surveillance or a physical search under FISA is now permissible where “a
significant purpose” of the surveillance or physical search, rather than “the purpose” or, as
interpreted by some courts, “the primary purpose” of the surveillance or physical search, is to
gather foreign intelligence information. While the previous language withstood constitutional
challenge, the Supreme Court has not yet determined the constitutional sufficiency of the change
in the FISA procedures under the Fourth Amendment. On the other hand, the U.S. Foreign
Intelligence Court of Review has examined a number of constitutional issues in In re Sealed
Case, finding that FISA orders, if not satisfying the constitutional warrant requirement, are close
to doing so; and finding that, even if a FISA order does not qualify as a warrant for Fourth
Amendment purposes, electronic surveillance under FISA as amended by the USA PATRIOT Act
is reasonable and therefore constitutional. At the same time, however, the Court of Review
acknowledged that the constitutional question of whether Congress’ disapproval of the primary
purpose test is consistent with the Fourth Amendment “has no definitive jurisprudential 259
answer.”
The USA PATRIOT Act also amended FISA to allow court orders permitting so-called multipoint
or “roving” electronic surveillance, where the orders do not require particularity with respect to
the identification of the instrument, place, or facility to be intercepted, upon a finding by the court
that the actions of the target of the surveillance are likely to thwart such identification. P.L. 107-

108 further clarified this authority.


Under P.L. 107-56, pen registers and trap and trace devices may now be authorized for e-mails as
well as telephone conversations. In addition, the act expanded the previous FBI access to business
records, permitting court ordered access in connection with a foreign intelligence or international
terrorism investigation not just to business records held by common carriers, public
accommodation facilities, physical storage facilities, and vehicle rental facilities, but to any
tangible things.
While expanding the authorities available for foreign intelligence investigations, FISA, as
amended by the USA PATRIOT Act and the Intelligence Authorization Act for FY2002, also
contains broader protections for those who may be the target of the various investigative
techniques involved. For example, whether the circumstances involve electronic surveillance,
physical searches, pen registers or trap and trace devices or access to business records and other
tangible items, FISA, as amended by the USA PATRIOT Act, does not permit the court to grant 260
orders based solely upon a United States person’s exercise of First Amendment rights.
In addition, P.L. 107-56 created a new private right of action for persons aggrieved by
inappropriate disclosure or use of information gleaned or derived from electronic surveillance,

259 Court of Review op., 310 F.3d at 746.
260 See, e.g.,50 U.S.C. §§ 1805(a)(3)(A), 1824(a)(3)(A), 1842(a)(1), 1843(b), 1861(a)(1), and 1861(a)(2).





physical searches or the use of pen registers or trap and trace devices. These claims can be
brought against the United States for certain willful violations by government personnel.
Finally, the inclusion of a sunset provision for the FISA changes made in the USA PATRIOT Act,
with the exception of the increase in the number of FISC judges, provides an opportunity for the
new authorities to be utilized and considered, and an opportunity for the Congress to revisit them
in light of that experience.
Sections 898 and 899 of the Homeland Security Act of 2002, P.L. 107-296, amended FISA, 50
U.S.C. §§1806(k)(1) and 1825(k)(1) respectively, to permit federal officers conducting electronic
surveillance or physical searches to acquire foreign intelligence information under FISA to
consult with federal law enforcement officers “or law enforcement personnel of a state or political
subdivision of a State (including the chief executive officer of that State or political subdivision
who has the authority to appoint or direct the chief law enforcement officer of that State or
political subdivision).” Such consultations are to coordinate efforts to investigate or protect
against actual or potential attacks or other grave hostile acts of a foreign power or an agent of a
foreign power; sabotage or international terrorism by a foreign power or an agent of a foreign
power; or clandestine intelligence activities by an intelligence service or network of a foreign
power or an agent of a foreign power. These sections also state that such consultations do not
preclude the Assistant to the President for National Security Affairs or other designated Executive
Branch officials from making the necessary certifications as part of the application process for a
FISA court order under 50 U.S.C. §§ 1804(a)(7) or 1823(a)(7), nor are these consultations to 261
preclude entry of an order under 50 U.S.C. §§ 1805 or 1824.
Section 6001 of Title VI of FISA, as added by the Intelligence Reform and Terrorism Prevention
Act of 2004, P.L. 108-458, expanded the definition of “agent of a foreign power” in the context of
non-U.S. persons to encompass those who engage in international terrorism or in activities in

261 Section 897 of the Homeland Security Act of 2002, which dealt with “Foreign Intelligence Information,” amended
Section 203(d)(1) of the USA PATRIOT Act, 50 U.S.C. § 403-5d(1), to provide authority, consistent with the
responsibility of the DCI to protect intelligence sources and methods and that of the Attorney General to protect
sensitive law enforcement information,
for information revealing a threat of an actual or potential attack or other grave hostile acts of a
foreign power or an agent of a foreign power, domestic or international sabotage, domestic or
international terrorism, or clandestine intelligence gathering activities by an intelligence service or
network of an foreign power or by an agent of a foreign power, within the United States or
elsewhere, obtained as part of a criminal investigation to be disclosed to any appropriate Federal,
State, local, or foreign government official for the purpose of preventing or responding to such a
threat. Any official who receives information pursuant to this provision may use that information
only as necessary in the conduct of that persons official duties subject to any limitations on the
unauthorized disclosure of such information, and any State, local, or foreign official who receives
information pursuant to this provision may use that information only consistent with such
guidelines as the Attorney General and the Director of Central Intelligence shall jointly issue.
In light of the Court of Review’s interpretation offoreign intelligence information” under FISA as including
investigations of what the Court of Review termedforeign intelligence crimes,” it is not clear whether this section
might be interpreted as applicable to sharing of information gleaned from FISA surveillances, searches, pen registers,
trap and trace devices, or business record requests, particularly where criminal prosecution is a goal of the
investigation.
P.L. 108-458, after creating the new position of Director of National Intelligence in Section 1101 of the Act, included
conforming amendments, which replaced references to the “Director of Central Intelligence” with “Director of National
Intelligence” in a broad range of provisions. However, P.L. 108-458 does not appear to have replaced “Director of
Central Intelligence” with “Director of National Intelligence” in 50 U.S.C. § 403-5d.





preparation for international terrorism, regardless of whether they have any connection or
affiliation with a foreign government or other foreign organization or entity. This new definition
is included among those FISA provisions subject to the sunset provisions in Section 224 of the
USA PATRIOT Act, as amended. Section of the new Title VI of FISA also imposed new, detailed
semiannual reporting requirements to facilitate congressional oversight of the implementation of
the Act, which are codified at 50 U.S.C. § 1871.
The USA PATRIOT Improvement and Reauthorization Act of 2005, P.L. 109-177
(Reauthorization Act), Section 102, adopted a sunset of December 31, 2009, for FISC orders for
multipoint or “roving” wiretaps under Section 105(a) of FISA, 50 U.S.C. § 1805(a), for FISC
orders for production of tangible things under Section 501 of FISA, 50 U.S.C. § 1861, and
congressional oversight requirements in Section 502 of FISA, 50 U.S.C. § 1862. Section 103 of
P.L. 109-177 extended the sunset relating to “lone wolf” agents of foreign powers to December

31, 2009.


Section 105 of P.L. 109-177 extended the maximum duration initial orders authorizing of
electronic surveillances and physical searches under Sections 105(e) and 304 of FISA to 120
days, while extensions of such electronic surveillances and physical searches could be for up to
one year. The duration of both initial orders and extensions to orders authorizing installation and
use of FISa pen registers or trap and trace devices is extended from 90 days to one year in cases
where the Government has certified that the information likely to be obtained is foreign
intelligence information not concerning a U.S. person.
Section 106(a) of P.L. 109-177permits the FBI Director to delegate his authority to make an
application for a production order regarding library circulation records, library patron lists, book
sales records, book customer lists, firearms sales records, tax return records, educational records,
or medical records containing information that would identify a person, to either the Deputy
Director of the Federal Bureau of Investigation or the Executive Assistant Director for National
Security (or any successor position). Neither the Deputy Director nor the Executive Assistant
Director may not further delegate such authority.
Section 106(b) of P.L. 109-177 requires an application for a FISA production order to include
statement of the facts supporting a reasonable belief that the tangible things sought are relevant to
an authorized investigation (other than a threat assessment) to obtain foreign intelligence
information not concerning a United States person or to protect against international terrorism or
clandestine intelligence activities. It provides that certain tangible things are “presumptively
relevant” to such an investigation if the statement of facts shows that they pertain to a foreign
power or agent of a foreign power, the activities of a suspected agent of a foreign power who is
the subject of the authorized investigation, or an individual in contact with or known to a
suspected agent of a foreign power who is the subject of the investigation.
Section 106(c) of P.L. 109-177 provides that an FISC judge must approve a FISA production
order if he or she finds that the application meets the statutory requirements. Under Section
106(d) of P.L. 109-177, such an ex parte order must include a particularized description of the
tangible things sought, must allow a reasonable time for such things to be assembled, must notify
the recipients of the production order of applicable nondisclosure requirements, and must be
limited to things which may be subject to a grand jury subpoena or any other federal court order
directing production of records or tangible things. The order must not disclose that such order is
issued for purposes of such an authorized investigation.





Section 106(d) of the Reauthorization Act prohibits the recipient of a production order from
disclosing to anyone except those persons to whom disclosure is necessary to comply with such
order; an attorney to obtain legal advice or assistance with respect to the production of things in
response to the order; or other persons as permitted by the FBI Director or his designee.
Subsection 106(e) of the measure requires the production order recipient, upon the request of the
FBI Director or his designee, to identify to the FBI those to whom such disclosure has been or
will be made, unless the disclosure has been or is to be made to an attorney from whom legal 262
advice or assistance is sought.
Section 106(f) of P.L. 109-177 amends 50 U.S.C. § 1803 to establish a petition review pool of
FISC judges to hear challenges to FISA production or related nondisclosure orders, and sets forth
a detailed judicial review process for consideration of such petitions.
Section 106A of the Reauthorization Act directs the Inspector General of the U.S. Department of
Justice to conduct a comprehensive audit of the effectiveness and use, including any improper or
illegal use, of the investigative authority provided to the FBI under 50 U.S.C. 1861 for calendar
years 2002-2006, and requires the results to be filed in two unclassified reports to the House and
Senate Intelligence and Judiciary Committees.
Section 108(a) and (b) amend the requirements for an application and for an FISC order
authorizing multipoint electronic surveillance under FISA. Subsection 108(c) expands the list of
committees to whom the Attorney General’s semiannual reports on FISA electronic surveillance
to include not only the Intelligence Committees but also the Senate Judiciary Committee; and
requires the report to include an additional category of information, that is, a description of the
total number of applications made for orders approving such multipoint electronic surveillance.
Section 109(a) of P.L. 109-177 modifies the list of congressional committees receiving two
semiannual reports from the Attorney General on physical searches under FISA pursuant to 50
U.S.C. § 1826, and requires the second of these reports to include, among other things, the total
number of emergency physical searches authorized by the Attorney General under 50 U.S.C. §

1824(e) and the total number of subsequent orders approving or denying such physical searches.


Section 109(b) of P.L. 109-177 requires the Attorney General, in his semiannual statistical report
submitted to the House and Senate Judiciary Committees on FISA pen registers and trap and trace
devices, to include, among other things, the total number of pen registers and trap and trace
devices whose installation and use was authorized by the Attorney General on an emergency basis
under 50 U.S.C. §1843, and the total number of subsequent orders approving or denying the
installation and use of such pen registers and trap and trace devices.
Section 109(d) of P.L. 109-177 amends 50 U.S.C. § 1803 to permit the FISC and Court of Review
to establish such rules and procedures, and take such actions, as are reasonably necessary to
administer their responsibilities under this chapter. Any such rules and procedures are to be
recorded and transmitted to all of the judges on the FISC and on the Court of Review, the Chief
Justice of the United States, the House and Senate Judiciary Committees, the House Permanent
Select Committee on Intelligence and the Senate Select Committee on Intelligence.

262 But see the amendment in Section 4 of P.L. 109-178 deleting that exception, discussed infra.





Section 128(a)(3) of P.L. 109-177 added 50 U.S.C. § 1842(d)(2)(C), which permits the FISC, in
an order authorizing use of a pen register or trap and trace device, to direct a wire or
communication service provider to provide the federal officer using the device specific subscriber
or customer information upon request. That information may include, with respect to a customer
or subscriber using the service during the period of the order, the name of the customer or
subscriber; the address of the customer or subscriber; the telephone or instrument number, or
other subscriber number or identifier, of the customer or subscriber, including any temporarily
assigned network address or associated routing or transmission information; the length of the
provision of service by such provider to the customer or subscriber and the types of services
utilized by the customer or subscriber. In the case of a provider of local or long distance telephone
service, the information provided may include any local or long distance telephone records of the
customer or subscriber; if applicable, any records reflecting period of usage (or sessions) by the
customer or subscriber; any mechanisms and sources of payment for such service, including the
number of any credit card or bank account utilized for payment for such service; and, if available,
with respect to any customer or subscriber of incoming or outgoing communications to or from
the service covered by the order, the name of such customer or subscriber; the address of such
customer or subscriber; the telephone or instrument number, or other subscriber number or
identifier, of such customer or subscriber, including any temporarily assigned network address or
associated routing or transmission information; and the length of the provision of service by such
provider to such customer or subscriber and the types of services utilized by such customer or
subscriber.
Section 128(b) of P.L. 109-177 added the House and Senate Judiciary Committees to the list of
committees to be kept fully informed by the Attorney General regarding all use of FISA pen
registers and trap and trace devices.
Section 506 of P.L. 109-177 amends the definition of “Attorney General” under 50 U.S.C. §
1801(g) to include the Assistant Attorney General for National Security, so that the term includes
“the Attorney General of the United States (or Acting Attorney General), the Deputy Attorney
General, or, upon the designation of the Attorney General, the Assistant Attorney General
designated as the Assistant Attorney General for National Security under section 507A of title 28,
United States Code.”
Section 3 of P.L. 109-178 amends the provisions in 50 U.S.C. § 1861(f) regarding judicial review
of production orders and related nondisclosure orders. In addition, Section 4 of the measure
amends 50 U.S.C. § 1861(d)(2) to provide that, at the request of the FBI Director or his designee,
any person disclosing or intending to disclose that the FBI has sought or obtained tangible things
under a FISA production order to someone in one of the three categories of individuals to whom
such disclosure is permitted, shall identify to the Director or his designee the person to whom the
disclosure will be or has been made. In so doing, the measure in effect deletes an exception to this
identification requirement where the person to whom the disclosure is made is an attorney from
whom the person making the disclosure is seeking legal advice or assistance.
In addition to examining the statutory structure in FISA, as amended, this report has explored two
published decisions, one from the FISC in In re All Matters Submitted to the Foreign Intelligence
Surveillance Court and one from the U.S. Foreign Intelligence Court of Review in In re Sealed
Case. Because historically the decisions of the FISC have not been made public, and because the
opinion of the U.S. Foreign Intelligence Surveillance Court of Review discussed in this report
was the first decision ever made by that court, the recent decisions of the FISC and the Court of





Review provided a unique opportunity to observe the decision-making processes and differing
perspectives of the two courts created by FISA.
The FISC’s decision was set against a backdrop of a significant number of instances in which the
Department of Justice had failed to maintain a “wall” between foreign intelligence gathering and
criminal investigations. All seven of the then sitting members of the FISC concurred in the May

17, 2002, order of the court, written by the then presiding judge of the court. The FISC, in its May th


17 opinion and order, treated the Attorney General’s proposed 2002 “Intelligence Sharing
Procedures for Foreign Intelligence and Foreign Counterintelligence Investigations Conducted by
the FBI” as minimization procedures, and approved them as modified. The modifications made
by the Court permitted the FBI, the Criminal Division, and OIPR to consult with one another “to
coordinate their efforts to investigate or protect against foreign attack or other grave hostile acts,
sabotage, international terrorism, or clandestine intelligence activities by foreign powers or their
agents.” In so doing, the FISC permitted such cooperation and coordination to address, among
other things, the exchange of information already acquired, identification of categories of
information needed and being sought, prevention of either foreign intelligence gathering or
criminal law enforcement investigation or interest from obstructing or hindering the other;
compromise of either investigation, and long term objectives and overall strategy of both
investigations to insure that overlapping intelligence and criminal interests of the United States 263
are both achieved. While permitting direct consultation and coordination between components,
the FISC required that OIPR be invited to all consultations and, if OIPR was unable to attend, the
modified procedures required that OIPR be “forthwith” informed in writing of the substance of 264
the meeting so that the FISC could be notified promptly. In addition, under the procedures as
modified by the FISC, law enforcement officials were prohibited from making recommendations
to intelligence officials regarding the initiation, operation, continuation or expansion of FISA
searches or surveillances. Nor could law enforcement officials direct or control the use of FISA
procedures to enhance criminal prosecution. The FBI and the Criminal Division were given the
responsibility to ensure that this did not occur, and were also required to make certain that advice
intended to preserve the criminal prosecution option did not inadvertently result in the Criminal
Division directing or controlling the investigation using FISA tools to further law enforcement 265
objectives. In addition, the FISC adopted a new Rule 11, dealing with criminal investigations in
FISA cases, to facilitate monitoring of compliance with its May 17, 2002 order. This rule required
all FISA applications to include informative descriptions of ongoing criminal investigations of
FISA targets, as well as the substance of consultations between the FBI and criminal prosecutors
at the Department of Justice or a U.S. Attorney’s office.
In its November 18, 2002 opinion, the Court of Review took a starkly different view of the
Attorney General’s proposed procedures and firmly rejected the FISC analysis and conclusions.
The issue came before the Court of Review as an appeal of two FISC orders, one granting an
application to authorize electronic surveillance of an agent of a foreign power subject to th
restrictions stemming from the FISC May 17 opinion and order and the other renewing the
authorization for electronic surveillance subject to the same conditions.
The Court of Review held that the FISC’s interpretation of the augmented 1995 procedures and
the proposed 2002 procedures as minimization procedures under 50 U.S.C. § 1801(h) was in

263 FISC op., 218 F. Supp. 2d at 626.
264 Id.
265 Id.





error. The Court of Review found that the FISC had misconstrued 50 U.S.C. §§ 1801(h) and 1805
and may have overstepped its constitutional authority by asserting authority to govern the internal
organization and investigative procedures of the Justice Department.
It found that FISA, as originally enacted, did not create a dichotomy between foreign intelligence
information gathering and law enforcement investigations, nor did it require maintenance of a
“wall” between such investigations. While FISA as enacted in 1978 required that a national
security official certify that “the purpose” of the investigation was to gather foreign intelligence
information, the court regarded the definition of “foreign intelligence information” as including
evidence of criminal wrongdoing where a U.S. person is the target of the FISA investigation. In
light of the fact that the definition of “agent of a foreign power” applicable to U.S. persons
involved criminal conduct, or, in the context of clandestine intelligence operations, the possibility
of criminal conduct, the court distinguished “foreign intelligence crimes” from “ordinary crimes.”
In foreign intelligence crimes, intelligence gathering and criminal investigations may become
intertwined.
The Court of Review reviewed past court decisions requiring that, in seeking a FISA order
authorizing electronic surveillance, the government must demonstrate that the “primary purpose”
of the surveillance was to gather foreign intelligence information and not to further law
enforcement purposes. Rejecting the “primary purpose test” as applied by the FISC and the courts
of appeals of several circuits, the Court of Review did not find it to be compelled by the statutory
language of FISA as originally enacted or by the Fourth Amendment.
The Court of Review also held the FISC to have been in error in its refusal “to consider the legal
significance of the Patriot Act’s crucial amendments....” In particular, the court focused upon the
change of the required certification by the national security official from a certification that “the
purpose” of the surveillance was to obtain foreign intelligence information to a certification that
“a significant purpose” of the surveillance was to obtain foreign intelligence information in 50
U.S.C. § 1804(a)(7)(B); and the enactment of 50 U.S.C. § 1806(k), authorizing consultation and
coordination by federal officers engaged in electronic surveillance to acquire foreign intelligence
information with federal law enforcement officers.
Finding that the “significant purpose” amendment recognized the existence of a dichotomy
between intelligence gathering and law enforcement purposes, the Court of Review concluded
that this test was satisfied if the government had “a measurable foreign intelligence purpose, other 266
than just criminal prosecution of even foreign intelligence crimes.” While the gathering of
foreign intelligence information for the sole objective of criminal prosecution would be precluded
by the “significant purpose” language, if “the government entertains a realistic option of dealing
with the agent [of a foreign power] other than through criminal prosecution,” the court found the 267
“significant purpose” test satisfied. Although the court was of the view that, prior to passage of
the USA PATRIOT Act, the FISC may well not have had authority under 50 U.S.C. § 1805(a)(5)
to inquire into anything other than the issue of “whether the information sought was a type of
foreign intelligence information, in light of the significant purpose amendment of section 1804”
the Court of Review concluded that “it seems section 1805 must be interpreted as giving the FISA 268
court the authority to review the government’s purpose in seeking the information.” The court

266 Id. at 735.
267 Id.
268 Id.





held that the government’s purpose under 50 U.S.C. § 1804(a)(7)(B) was “to be judged by the
national security official’s articulation and not by a FISA court inquiry into the origins of an
investigation nor an examination of the personnel involved.... [I]f the FISA court has reason to
doubt that the government has any real non-prosecutorial purpose in seeking foreign intelligence
information it can demand further inquiry into the certifying officer’s purpose—or perhaps even 269
the Attorney General’s or Deputy Attorney General’s reasons for approval.”
The Court of Review also considered whether FISA, as amended, passed constitutional muster
under the Fourth Amendment. It deemed the procedures and government showings required under
FISA to come close to the minimum requirements for a warrant under the Fourth Amendment, if
not meeting such requirements. Assuming arguendo that a FISA order was not a warrant for
Fourth Amendment purposes, the Court of Review found FISA constitutional because the
surveillances authorized thereunder were reasonable.
Elizabeth B. Bazan
Legislative Attorney
ebazan@crs.loc.gov, 7-7202


269 Id. at 736.