r

U.S. Department of Justice

Immigration and Naturalization Service o/o
NSU-02-001

Office of Field Operations Room 5122

National Security Unit 4251 Street NW
Washington, DC 20536

November 25, 2001

MEMORANDUM FOR ALL HQNSU AND JTTF PERSONNEL

FROM: Walter D. Cadman

Director, National Security Unit

SUBJECT.: National Security Unit Standard Operating Procedures

A. This is the first of a series of National Security Unit Standard Operating

Procedure memoranda (NSU.SOPs). These SOPs will serve to provide
procedural and operational guidance, or important technical or explanatory
information, to members of the NSU, to INS JTTF agents, or to other field
personnel engaged in national security work under the auspices of the NSU.

B. NSU SOPs are intended to supplement - but not replace, supersede or modify -
policy memoranda and other guidance issued by the Executive Associate
Commissioner or other senior executives of the Service.

C. Each NSU SOPs will be identified by the unit designator, the fiscal year of
issuance, 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 of reference (e.g., "A. La." "A.l.b,
"B.2").

D. All NSU SOPs up to the Limited Official Use / Law Enforcement Sensitive level
will be distributed to affected parties: in paper format, including facsimile
transmission as appropriate; by electronic attachment to e-mails; and by inclusion
in the National Security Unit bulletin board maintained within the INS e-mail
system. They will also be placed onto the NSU shared drive in a clearly marked
NSU SOP folder, for ready retrieval. If and when NSU initiates a Web site on the
INS Intranet, the SOPs will be maintained on that
 U.S. Department of J ustice
Immigration and Naturalization Service

NSU-02-003
Office of Field Operations Room 5122
National Security Unit 4251 Street NW
Washington, DC 20536

August 23, 2002

MEMORANDUM FOR ALL HQNSU AND JTTF PERSONNEL

FROM: Walter D. Cadman

Director, National Security Unit

SUBJECT: NSU Case Creation and Approval Instructions

A. Definition: A case is a tasking that involves one or more targets with a finite and
clearly defined enforcement goal or outcome. A case may be the outgrowth of an
assigned NSU project, or may develop independent of such a project. Multiple-
target cases will be defined as "operations."

B. Approval: A case must be assigned or approved by the Director, the Deputy

Director, or a Supervisory Team Leader of NSU, or an official acting in one of
those capacities.

C. Procedures: Targeting folders will be developed and promulgated for each

individual who is to be investigated as a part of the case. Multiple-target cases
also require documentation in a separate NSU operational folder.

D. Names: Multiple-target cases will be assigned an operational name and

description. These will be documented in the NSU operational folder (see
procedures above). Unless classified or otherwise deemed to be too sensitive or
inappropriate, operational names and descriptions will also be maintained in an
electronic folder on the NSU Intranet Site for easy reference by field agents and
managers requiring additional information on the operation(s). Single cases will
be maintained in their target folders under the individual's name and known
aliases.

E. Recordation: All individuals for whom target folders have been created will be
entered in the NSU database by name(s) and alias(es). If they are a part of a larger
operation, the operational name will also be recorded in the appropriate field.

F. Field Taskings: Assignments of work to field offices relating to the case will be
accomplished by means of the Action / Lead Referral (ALR) worksheet. The ALR

22 'd tn>0G fIS 202 dosmay 0S:0I £002-1I-NHf

 MEMORANDUM FOR ALL HQNSU AND JTTF PERSONNEL PAGE 2
SUBJECT: NSU Case Creation and Approval Instructions (NSU-02-003)

will clearly reflect the particular tasking, as well as its association to the larger
operation. The ALR will be accompanied by an NSU-prepared target folder for
each individual when appropriate.

G. Field Responses: Field responses to ALR taskings may be, singly or in

combination (depending on what is required), by -

1. SIRs
2. G-166s
3. 1-213 s with associated charging documents
4. Other related information (such as indictments, complaints, warrants, etc.)

Field offices will also be responsible for ensuring compliance with outstanding
Field Operations guidance controlling the use of CIRS and ENFORCE as data
entry and work processing systems for special agents

H. Closure: Completed cases, whether individual or multiple-target, will be clearly

endorsed as closed, and archived as appropriate -

1. On the outer covers of the NSU operational and / or targeting folder(s)

2. In the NSU database, and
3. At the NSU Intranet website

V-,.
 LIMITED OFFICIAL USE / LAW ENFORCEMENT SENSITIVE
U.S. Department of Homeland Security
Bureau of Immigration & Customs Enforcement (ICE)

Office of Immigration Investigations 4251 Street NW

Headquarters National Security Unit Washington. DC 20536
March 5,2003

MEMORANDUM FOR ALL HQNSU PERSONNEL

FROM:
Director, National Security Unit

SUBJECT: Revision to SOP NSU-02-003. NSU Case Creation

and Approval Instructions

A. Definition: A case is a tasking that involves one or more targets with a finite and clearly defined
enforcement goal or outcome. A case may be the outgrowth of an assigned NSU lead, or may
develop independent of such a project, such as a Special Interest Alien(s) (SLAs) reported to
HQNSU via a Significant Incident Report (SIRs), an SIA TTPOFF Hit worked by the NSU duty
officer, or an individual target reported on a JTTF Senior Special Agent's Monthly Report
Multiple-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 be
electronically initiated, recorded and maintained in the NSU Special Interest Tracking System
(SITS) database.

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

C. Target Folder Procedures: Classified Target folders will be developed for each individual who is
to be investigated as a part of an initiated and assigned open case. Likewise, multiple-target
cases also require documentation in a separate operational case folder, which will house

LIMITED OFFICIAL USE / LAW ENFORCEMENT SENSITIVE

TS:0T
MEMORANDUM FOR ALL HQNSU PERSONNEL PAGE 2
SUBJECT: Revision to SOj> NSH-02-003. NSU Case Creation and Approval
Instructions INSU-03-0021

individual target folders of significant national security interest linked to the operation. These
significant linked multiple targets of a particular operation will be housed alphabetically by last
name within the umbrella operational case folder. For example, all significant individuals of
national security interest targeted, arrested and reported to NSU as a result of "Operation Eagle
Strike" would be secured and housed together in an umbrella operational case folder titled, "OP
EAGLE STRIKE." If there are too many individual target folders to adequately be housed in
one Operational Case Folder, then multiple Operational Case Folders should be created and
marked appropriately as Volume II, HI or as many volumes as needed. The first operational case
folder (Volume I) should house the case materials in the manner defined below.

The standard six-sided classified colored folders will be utilized for both individual and
operational case folders. The target folder's materials should be located in the following
standardized manner within the six-sided classified folder:

> Outside Cover: Will be marked with the standard NSU 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 and
below the Operation name, the individual's Last Name, First name
should be annotated.

> Inside Cover: All SIRs and /or SERs (Case Predication materials), cc-mail and e-mail
messages relative to an individual/operation and the most updated SITS
report. If the SITS report contains all relevant cc-mail/e-mail traffic
that alone will be sufficient. Also, any/all Action Lead Requests (ALRs)
sent to field should be maintained 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 Undercover Plan/Consensual Monitoring Forms
G-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 pocket
trash or an Operation's predication & progress reported on an ROI;

> Inside Tab # 4: Any Open Source Analytical research documentation on individual
or 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 ENFORCEMENT SENSITIVE

-lun'm -|i-i_i T - i k i T \
MEMORANDUM FOR ALL HQNSU PERSONNEL PAGE 3
SUBJECT: Revision to SOP NSU-02-003. NSU Case Creation and Approval
Instructions (NSU-03-0021

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

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

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

LIMITED OFFICIAL USE / LAW ENFORCEMENT SENSITIVE

t7t-piR t?i<; PRP HnsiAOH ~]HQ3~i nudiDNiad TS = 0T £002-TT-Nr

IblOl

MEMORANDUM FOR ALL HQNSU PERSONNEL PAGE 4

SUBJECT: Revision to SOP NSU-02-003. NSU Case Creation and Approval
Instructions fNSU-03-002)

G. Field Responses: Field responses to ALR taskings may be, singly or in combination
(depending on what is required), by -

1) SIRs
2) G-166Cs, Memorandum of Investigation
3) G-166A, Report of Investigation
4) CIRS, Report of Investigation (ROIs)
5) 1-213s with associated charging documents
6) Other related information (such as indictments, complaints, warrants, etc.)

Field offices will also be responsible for ensuring compliance with outstanding Field
Operations guidance controlling the use of CIRS and ENFORCE as data entry and work
processing systems for special agents. All field responses will be timely updated in the SITS
database by the assigned NSU case officer. Field responses should be scanned, saved on the
S: drive in the tasked District's National Security Summaries folder and linked to the
appropriate 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 to

an NSU manager or Supervisory Special Agent (SSA) for SITS closure. The Case Officer
and 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 recommendation
will be placed on inside cover. [Case Officer]

2) A final SITS report clearly marked as closed will be generated by the SSA for
inclusion in the targeting folder and placed on inside cover, replacing all previous
SITS reports. [SSA or manager]

3) Once closed by an NSU manager or Supervisor, closed cases will be archived

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

LIMITED OFFICIAL USE / LAW ENFORCEMENT SENSITIVE

rpf aosinan -THFTTI -IUC-HSNTH-I TS:BT