T5 B64 GAO Visa Docs 1 of 6 Fdr- 11-25-01 and 3-5-03 DOJ Memos Re NSU SOP

8/14/2019 T5 B64 GAO Visa Docs 1 of 6 Fdr- 11-25-01 and 3-5-03 DOJ Memos Re NSU SOP

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Off i ce of Field OperationsNational Security Unit

U.S. Department of JusticeImmigration and Naturalization Service

NSU-02-001

o / o

Room 512242 51 Street NWWashington, DC 20536November 25, 2001

MEMORANDUM FOR ALL HQNSU AND JTTF PERSONNELFROM: Walter D. CadmanDirector, National Security UnitSUBJECT.: National Security Unit Standard Operating ProceduresA. This is the first of a series of National Security Unit Standard Operating

Procedure memoranda (NSU.SOPs). These SOPs will serve to provideprocedural and operational guidance, or important technical or explanatoryinformation, to members of the NSU, to INS JTTF agents, or to other fieldpersonnel engaged in national security work under the auspices of the NSU.

B. NSUSOPs are intended to supplement - butnot replace, supersede or modify -policy memoranda and other guidance issued by the Executive AssociateCommissioner or other senior executives of the Service.

C. Each NSU SOPs will be identified by the unit designator, the fiscal year ofissuance, and a three-digit identifier sequentially issued (e.g., NSU-02-001 , NSU-02-002, etc.).1 . Each paragraph, subparagraph, and clause of an NSU SOP will use serial

alphanumeric outlining style for clarity ofreference (e.g., "A.La." "A.l.b,"B.2").

D. All NSU SOPs up to the Limited Offic ial Use / Law Enforcement Sensitive levelwill be distributed to affected parties: in paper format, including facsimiletransmission as appropriate; by electronic attachment to e-mails; and by inclusionin the National Security Unit bulletin board maintained within the INS e-mailsystem. They will also be placed onto the NSU shared drive in a clearly markedNSU SOP folder, for ready retrieval. If and when N SU initiates a Web site on theINS Intranet, the SOPs will be maintained on that


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U.S. Department of J usticeImm igration and Natural izat ion Service

NSU-02-003Off ice of Field OperationsNational Security Unit Room 51224251Street NW

Washington, DC 20536August 23, 2002

MEMORANDUM FOR ALL HQNSU AND JTTF PERSO NN EL

FROM: Walter D. C a d ma nDirector, National Security UnitSUBJECT: NS U Case Creation and Approval Instruc tions

A. Definit ion: A case is a tasking that involves one or more targets with a finite andc learly d efined enforcem ent goal or outcom e. A case may be the outgrowth of anassigned NSU project, or may deve lop independent of such a project. Multiple-target cases will be defined as "operations."B. Approval : A case mu st be assigned or approved by the D irec tor, the DeputyDirec tor, or a Supervisory Team Leader of NSU, or an off ic ial ac t ing in one of

those capacities.C. Procedu res: Targe ting folders will be developed and promulgated for eachindividual who is to be investigated as a part of the case. Multiple-target casesalso require docum entation in a separate N SU operational folder.D. N am es: Mu ltiple-targe t cases will be assigned an operational name andde scription. These will be documented in the NSU operational folder (seeprocedures above). Unless c lassif ied or otherwise deemed to be too sensitive orinappropriate, operational nam es and descriptions wil l a lso be m aintaine d in anelectronic folder on the NSU Intranet Site for easy reference by field agen ts and

managers requiring additional information on the operation(s). Single cases willbe ma in ta in e d in the ir targe t folde rs und er th e ind iv idu a l 's name and knownaliases.E. Recordation: All ind iv idua l s fo r whom ta rge t fo lders have been c rea ted wi ll beentered in the NS U database by name(s) and alias(es). If they are a part of a largeroperation, the operational nam e wil l a lso be recorded in the appropriate f ie ld.F. Field Taskings: Assignments of work to field offices relating to the case will beaccomplished by me a n s of the Act ion / Lead Refer ra l (ALR) worksheet. The ALR

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MEMORANDUM FOR ALL HQNSU AND JTTF PERSONNELSUBJECT: NSU Case Creation an d Approval Instructions (NSU-02-003) PAGE 2

will clearly reflect the particular tasking, as well as its association to the largeroperation. The ALR will be accompanied by an NSU-prepared target folder fo reach individual when appropriate.

G. Field Responses: Field responses to ALR taskings may be, singly or incombination (depending onwhat is required), by -1. SIRs2. G-166s3. 1-213s with associated charging documents4. Other related information (such as indictments, complaints, warrants, etc.)

Field offices will also be responsible fo r ensuring compliance with outstandingField Operations guidance controlling the use of CIRS and ENFORCE as dataentry andwork processing systems for special agentsH. Closure: Completed cases, whether individual or multiple-target, will be clearlyendorsed asclosed, andarchived asappropriate -

1. On the outer covers of the NSU operational and / or targeting folder(s)2. In the N SU database, an d3. At the NSU Intranet website

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LIMITED OFFICIAL USE / LAW ENFORCEMENT SENSITIVEU.S. Department of Homeland Security

Bureau of Immigration & Customs Enforcement (ICE)Office of Immigration Investigations 4251Street NWHeadquarters National Security Unit Washington. DC 20536

March 5,2003

MEMORANDUM FOR ALL HQNSU PERSONNEL

FROM: Director, National Security UnitSUBJECT: Revision to SOPNSU-02-003. NSU Case Creation

and Approval Instructions

A. Definition: A case is a tasking that involves one or more targets with a finite andclearly definedenforcement goal or outcome. A case may be the outgrowth of an assigned NSU lead, or maydevelop independent of such a project, such as a Special Interest Alien(s) (SLAs) reported toHQNSU via a Significant Incident Report (SIRs), an SIA TTPOFF Hit worked by the NSU dutyofficer, or an individual target reported on a JTTF Senior Special Agent's Monthly ReportMultiple-target cases will be defined as an Operational Case and likewise can be NSU generated(i.e. AAI/Lax Lounge) or the result of a national security operation developed by the field.Unless classified or otherwise deemed to be too sensitive or inappropriate, all casts will beelectronically initiated, recorded andmaintainedin the NSU Special Interest Tracking System(SITS) database.

B. Approval: Once initiated, a pending case must be approved and assigned by the Director, theDeputy Director, or a Supervisory Special Agent (SSA), or an official acting in one of thosecapacities. A case can be assigned to any Supervisory Special Agent (SSA), Senior SpecialAgent (SRSA), Senior ImmigrationOfficer (SRIO), or Intelligence Research Specialist (IRS)assigned to or detailed to NSU. All cases initiated in SITS, which are in a "pending status," mustbe followed up on a timely basis by the assigned officer. There should be no long-term (definedover one month) pending cases in SITS; generally a case should either be open and assigned orclosed by submitting to the above supervisory/managerial personnel for approval & assignmentor closure. A target work folder need not be created while a case is pending resolution ofnational security nexus/interest. It will be the responsibility of every officer hi NSU to follow-upon their "pending cases."

C. Target Folder Procedures: Classified Target folders will be developed for each individualwho isto be investigated as a part of an initiated andassigned open case. Likewise, multiple-targetcases also require documentation in a separate operational case folder, which will house

LIMITED OFFICIAL USE / LAW ENFORCEMENT SENSITIVE

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MEMORANDUM FOR ALL HQNSU PERSONNELSUBJECT: Revision to SOj> NSH-02-003. NSU Case Creation and ApprovalInstructions INSU-03-0021

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individual target folders of significant national security interest linked to the operation. Thesesignificant linked multiple targets of a particular operation will be housed alphabeticallyby lastname within the umbrella operational case folder. For example, all significant individuals ofnational security interest targeted, arrested and reported to NSU as a result of "Operation EagleStrike" would be secured and housed together in an umbrella operational case folder titled, "OPEAGLE STRIKE." If there are too many individual target folders to adequately be housed inone Operational Case Folder, then multiple Operational Case Folders should be created andmarked appropriately as Volume II, HI or as many volumes as needed. The first operational casefolder (Volume I) should house the case materials in the manner defined below.The standard six-sided classified colored folders will be utilized for both individualandoperational case folders. The target folder's materials should be located in the followingstandardized manner within the six-sided classified folder:> Outside Cover: Will be marked with the standardNSU coversheet

[See attached NSU Case Coversheet].> Main Folder Tab: Will be marked with Target's Last name, First Name. If SUBJECT is

part of an Operation, then the Operation Name should be listed andbelow the Operation name, the individual's Last Name, First nameshould be annotated.

> Inside Cover: All SIRs and /or SERs (Case Predication materials), cc-mail and e-mailmessages relative to an individual/operation and the most updated SITSreport. If the SITS report contains all relevant cc-mail/e-mail trafficthat alone will be sufficient. Also, any/all Action Lead Requests (ALRs)sent to field should bemaintained here.

> Inside Tab # 1: All Classified materials including 3rd Agency Materials;> Inside Tab # 2: Individual's administrative and/or criminal charging documents. Case

Operation Plan or UndercoverPlan/Consensual Monitoring FormsG-819 &1-609;

> Inside Tab # 3: Individual's biographical information (i.e. 1-213), CM66C,Memorandum of Investigation, G-l66A,Report of Investigation(ROI), NAILS record, copies of Applications/Petitions and/or pockettrash or an Operation's predication & progress reported on an ROI;

> Inside Tab # 4: Any Open Source Analytical research documentation on individualor target group linked to operation.> Inside Tab# 5: Any other miscellaneous material relative to the individual case

or operation that does not fit within the other tabs' definitions.

LIMITED OFFICIAL USE / LAW ENFORCEM ENT SENSITIVE-lun'm -|i-i_i T - i k i T \


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MEMORANDUM FOR ALL HQNSU PERSONNEL PAGE 3SUBJECT: Revision to SOP NSU-02-003. NSU Case Creation and ApprovalInstructions (NSU-03-0021

D. SITS Recordation and Maintenance: All individuals for whom target folders have beencreated will be entered in the NSU SITS database by name(s) and alias (es). When an initialoperation with multiple targets is received by NSU personnel, a supervisor should be notifiedimmediately and a new Case Grouping category will be created in SITS. Those knownindividual targets should be listed in the narrative of the initial operational case SITS record.Because many individuals arrested inthese broad operations are not of significant nationalsecurity interest, as individual SIRs are received upon arrest of Operation targets, only thoseindividuals who are of significant national security interest will require a separate SITSrecord and target folder. These significant national security interest individuals* SITSrecords should refer to the larger operational case by selecting the correct Case Groupingname on the SITS initiation screen. This cross-referencing of operational names & targetedindividuals will allow the SITS' Global Search engine to find all individual cases linked tothe broader operational case. Those other arrested or interviewed individuals who do not riseto the level of significant national security interest should be annotated with a new entry inthe initial operation case SITS record. Subsequently, if information is received that indicatesa renewed national security interest in an individual, an individual SITS record and targetfolder should be created.

E. Filing: All individual and operational cases will be filed in alphabetical order in the securedsafes in the NSU common area. No individual target folders or operational folders should bemaintained long-term in individual employees' cubicle cabinets or overhead storage areas. Ifan NSUemployee removes a target folder from a safe, it will be the responsibility ofthatemployee to complete&place a "Charge Out Folder Card" in the removed folder's placebefore taking said folder to his/her desk. Personnel compliance with this procedure will bestrictly enforced. When the file is returned to its correct location, the "Charge Out FolderCard" should be duly notated that the file has been returned. Each safe will contain an amplesupply of these cards and it will be theresponsibility of the clerical support staff toensureeach safe's Removed Folder Placement Cards supply is maintained . See attached "ChargeOut Folder Card" form.

F. Field Taskings: Assignments ofwork to field offices relative to a case will be accomplishedby means of the Action / Lead Referral (ALR) worksheet. The ALR will clearly reflect theparticular tasking, as well as its association to any larger operation if applicable. TheALRwill be accompanied by an NSU-prepared target folder for each individual when appropriate.The SITS target record will beappropriately updated when an ALR is sent to the field. Thesigned ALR document should be scanned and stored on the NSU S: drive in the taskedDistrict's National Security Summaries Folder and linked to the SITS record.

LIMITED OFFICIAL USE / LAWENFORCEMENT SENSITIVE

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MEMORANDUM FOR ALL HQNSU PERSONNEL PAGE 4SUBJECT: Revision to SOP NSU-02-003. NSU Case Creation and ApprovalInstructions fNSU-03-002)

G. Field Responses: Field responses to ALR taskings may be, singly or in combination(depending onwhat is required), by -1) SIRs2) G-166Cs, Memorandum of Investigation3) G-166A, Report of Investigation4) CIRS, Report of Investigation (ROIs)5) 1-213s with associated charging documents6) Other related information (such as indictments, complaints, warrants, etc.)

Field offices will also be responsible for ensuring compliance with outstanding FieldOperations guidance controlling the use of CIRS and ENFORCE as data entry andworkprocessing systems for special agents. All field responses will be timely updated in the SITSdatabase by the assigned NSU case officer. Field responses should be scanned, saved on theS: drive in the tasked District's National Security Summaries folder and linked to theappropriate SITS record, as well as hard copies filed in the target folder.

H. Case Closure: Completed cases, whether individual or multiple-target, will be forwarded toan NSU manager or Supervisory Special Agent (SSA) for SITS closure. The Case Officerand SSA will be responsible, respectively, for the following:1) The NSU SITS database record will reflect an officer's recommendation for

closure with justification. A final SITS report with the closure recommendationwill be placed on inside cover. [Case Officer]2) A final SITS report clearlymarked as closed will be generated by the SSA forinclusion in the targeting folder andplaced on inside cover, replacing all previous

SITS reports. [SSA ormanager]3) Once closed by an NSU manager or Supervisor, closed cases will be archived

electronically on the ZYINDEX servers (unclassified & classified) and the foldercontents should be shredded. If feasible the target folder should be re-used/recycled. [ZYINDEX personnel]

LIMITED OFFICIAL USE / LAWENFORCEMENT SENSITIVE

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T5 B64 GAO Visa Docs 1 of 6 Fdr- 11-25-01 and 3-5-03 DOJ Memos Re NSU SOP

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