Undercover Operations Handbook - Unicorn Riot ... Foreword The Undercover Operations Handbook provides

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  • Department of Homeland Security

    Office of Investigations

    Undercover Operations Handbook

    OI HB 08-04

    April 14, 2008

    OFFICIAL USE ONLY

  • Foreword

    The Undercover Operations Handbook provides a single source of national policies, procedures, responsibilities, guidelines, and controls for U.S. Immigration and Customs Enforcement (ICE), Office of Investigations (01) personnel when conducting undercover activities, investigations, and operations. This Handbook contains instructions and guidance that will help to ensure uniformity and operational consistency for personnel at 01 field ofices and 01 Headquarters. Policy and administrative oversight of 0 1 undercover activities, investigations, and operations is the purview of the Unit Chief, Undercover Operations Unit, Investigative Services Division, 01. This Handbook is available in the Handbook section of the 01 Proprietary Web site.

    Undercover operation resources designated for a specific certified undercover operation may be used only when the desired expenditure is "reasonable and necessary for the conduct of the certified undercover operation." Any deviation from the 01 statutory authority (1 9 U.S.C. § 2081 and 8 U.S.C. 5 1363a) will not be tolerated by 01 management. Failure to comply with the provisions of the 01 Undercover Operations Handbook or subsequent policies may result in disciplinary action, including written reprimand up to removal. (See the ICE Table of Offenses and Penalties, Section 1-2, entitled "Neglect of Duty.")

    The ICE 01 Interim Undercover Operations Handbook dated September 2003, and all previous policies, directives, handbooks, and other issuances regarding undercover operations are hereby superseded. (See Appendix I for a more detailed list.)

    The policies contained in this Handbook do not supersede any requirements of 01 directives or policies related to general investigative activities unless specifically stated.

    The mere existence of an undercover operation is considered law enforcement sensitive; sharing of any information relating to an operation or this Handbook is restricted to a need-to-know basis. Individuals who are not engaged in the conduct of operational investigations (or the direct support thereof) shall not be permitted to have access to undercover assets, accounts, identifications, methods, techniques, facilities, personas, or vehicles (leased via the undercover operation or Government-owned).

    The Undercover Operations Handbook is an internal policy of 01 and is not intended to confer any right or benefit on any private person or party. If disclosure of this Handbook or any portion of it is demanded in any judicial or administrative proceeding, the 01 Information Disclosure Unit, Mission Support Division (MSD), as well as the appropriate ICE Counsel and/or U.S. Attorney shall be consulted so that appropriate measures can be taken to invoke privileges against disclosure. This Handbook contains information which may be exempt from disclosure to the public. Any further request for disclosure of this Handbook or information contained herein should be referred to the 01 Information Disclosure Unit.

    The 01 Policy Unit, MSD, is responsible for coordinating the development and issuance of 01 policy. All suggested changes or updates to this Handbook should be submitted to the 01 Policy Unit which will coordinate all needed revisions with the 01 Undercover Operations Unit.

    Approved Date

    -- Undercover Operarions Handbook OFFICIAL USE 0 i V f . l

  • UNDERCOVER OPERATIONS HANDBOOK

    Table of Contents Chapter 1 PURPOSE AND SCOPE.........................................................................................1 Chapter 2 BACKGROUND AND AUTHORITY...................................................................1

    • 2.1 Objectives of Undercover Activities.........................................................2 • 2.2 Statutory Authority ...................................................................................2 • 2.2.1 Certification and Exemptions ...................................................................3 • 2.2.2 Misuse of Certification and Exemptions...................................................3 • 2.3 Department of Homeland Security Policy ................................................3 • 2.4 Sensitive Circumstances ...........................................................................4 • 2.4.1 DHS Sensitive Circumstances ..................................................................4 • 2.4.2 ICE Sensitive Circumstances....................................................................4 • 2.4.3 Use of Approved Electronic Documentation............................................4

    Chapter 3 LEGAL/LIABILITY ISSUES ................................................................................4

    • 3.1 Procedures for Obtaining Legal Guidance................................................4 • 3.2 Participation in Otherwise Illegal Activities.............................................5 • 3.2.1 Justification...............................................................................................5 • 3.2.2 Minimization.............................................................................................5 • 3.2.3 Prohibitions ...............................................................................................6 • 3.2.4 Self-Defense..............................................................................................6 • 3.2.5 General Authorization to Engage in Otherwise Illegal Activity...............6 • 3.2.5(1) Specific Authorization to Engage in Otherwise Illegal Activity ..............7 • 3.2.6 Authorization of Unforeseen Otherwise Illegal Activity..........................7 • 3.3 Criminal Activities that Result in Violence ..............................................8 • 3.4 Entrapment Issues .....................................................................................8 • 3.4.1 Inducements to Engage in Criminal Activity (Authorization

    Requirements) ...........................................................................................8 • 3.4.2 Exception to Inducement Policy (Waiver)................................................9 • 3.5 Search Authority of Undercover Operatives.............................................9 • 3.5.1 Suspect’s Premises..................................................................................10 • 3.5.2 Oral Communications .............................................................................10 • 3.5.3 Removal/Copying of Documents or Property.........................................10 • 3.6 Alterations to Conveyances ....................................................................11 • 3.6.1 Documentation Required ........................................................................11 • 3.6.2 Transfer or Destruction ...........................................................................12 • 3.6.3 Non-Recovery .........................................................................................12 • 3.7 Third-Party Assistance............................................................................12

    __________________________________________________________________________________________________________________ Undercover Operations Handbook i OFFICIAL USE ONLY April 14, 2008

  • • 3.7.1 Offers of Third-Party Gifts or Bequests..................................................12 • 3.7.2 Indemnification and Hold Harmless Agreements...................................13 • 3.8 Personal Assistance Agreement..............................................................13 • 3.8.1 PAA (When One is Required for an Undercover Operation) .................14 • 3.8.2 PAA (When One is Not Required for an Undercover Operation) ..........14 • 3.9 The Use of Private Insurance Within Certified Undercover Operations 14 • 3.9.1 Automobile Insurance.............................................................................14 • 3.9.2 Other Insurance.......................................................................................15 • 3.9.3 Insurance Claims to Maintain Covertness ..............................................15 • 3.10 Confidentiality ........................................................................................15

    Chapter 4 ROLES AND RESPONSIBILITIES ...................................................................16

    • 4.1 Assistant Secretary of ICE......................................................................17 • 4.2 Director of OI..........................................................................................18 • 4.3 Undercover Review Committee (DHS and ICE)....................................19 • 4.3.1 DHS URC ...............................................................................................19 • 4.3.2 ICE URC.................................................................................................19 • 4.4 Deputy Assistant Director, Investigative Services Division...................20 • 4.5 Assistant Directors, Operations, and Deputy Assistant Directors,

    Investigative Programs............................................................................21 • 4.6 Unit Chief, Undercover Operations Unit ................................................22 • 4.7 Undercover Liaison Coordinators...........................................................23 • 4.8 Unit Chiefs in ISD, Investigative Programs, and Operations ...........