Guidelines For INS Undercover OperationsPart 8.
Monitoring and Control of Undercover Operations
8. MONITORING AND CONTROL OF UNDERCOVER OPERATIONS
- Continuing Consultation with United States Attorney or
Strike Force Chief
- Throughout the course of any undercover operation, the District
or Chief Patrol Agent or his or her designee shall consult periodically with
United States Attorney or Strike Force Chief or his or her designee
the plans, tactics, and anticipated problems of the operation.
- Serious Legal, Ethical, Prosecutive, or Departmental Policy
Previously Unseen Sensitive Circumstances
- In any undercover operation, the District Director or Chief Patrol
Agent shall, after consultation with the United States Attorney or Strike
Chief, consult with the Central Office whenever a serious legal, ethical,
prosecutive, or Departmental policy question is presented by the operation.
Central Office shall promptly inform the Department of Justice members of
Undercover Operations Review Committee of any such question and its proposed
- This procedure shall be followed if an undercover operation is likely
involve one of the circumstances listed in paragraph IV(A) and either (a)
District Director's or Chief Patrol Agent's application for undercover
approval did not contemplate the occurrence of that circumstance or lb) the
undercover operation was approved by the District Director or Chief Patrol
under his own authority. In such cases the District Director or Chief
Agent shall also submit a written application for continued authorization of
operation or an amendment of the existing application pursuant to paragraph
- Whenever such a new authorization or amended authorization is
INS shall consult with the United States Attorney or Strike Force Chief and
the Department of Justice members of the Undercover Operations Review
on whether to modify, suspend, or terminate the undercover operation pending
processing of the application or amendment.
- After the institution of formal legal charges against a subject,
concurrence by the United States Attorney or Strike Force Chief must be
before an undercover employee or a cooperating private individual can be
to attend a meeting between the subject and his or her lawyer.
- Annual Report Of Undercover Operations Review Committee
- The Undercover Operations Review Committee shall retain a file
all applications for approval of undercover operations submitted to it,
with a written record of the committee's action on the applications and any
ultimate disposition by the Commissioner or Associate Commissioner for
Enforcement. The INS shall also prepare a short summary of each undercover
operation approved by the Committee. These records and summaries shall be
available for inspection by a designee of the Deputy Attorney General or of
Assistant Attorney General in charge of the Criminal Division.
- On an annual basis, the Committee shall submit to the Commissioner,
Attorney General, Deputy Attorney General, and Assistant Attorney General in
charge of the Criminal Division, a written report summarizing: (a) the types
undercover operations approved and (b) the major issues addressed by the
Committee in reviewing applications and how they were resolved.
- Preparation of Undercover Employees
- The District Director, Chief Patrol Agent, or a designated
officer shall review with each undercover employee prior to the employee's
participation in an investigation, the conduct that the undercover employee
expected to undertake and other conduct which is expected during the
investigation. The District Director, Chief Patrol Agent, or designated
supervisory officer shall expressly discuss with each undercover employee
the circumstances specified in paragraph IV(A) which are reasonably expected
occur. Each undercover employee shall be instructed generally and in
to the proposed undercover operation that he or she shall not participate in
act of violence, initiate or instigate any plan to commit criminal acts, use
unlawful investigative techniques to obtain information or evidence, or
in any conduct that would violate restrictions on investigative techniques
conduct contained in Department policy, and that, except in an emergency
situation, he or she shall not participate in any otherwise illegal activity
which authorization has not been obtained under these guidelines. When the
learns that persons under investigation intend to commit a violent crime,
undercover employee used in connection with the investigation shall be
to try to discourage the violence.
- To the extent feasible, a similar review shall be conducted by a case
office with each cooperating private individual.
- Review Of Undercover Employee Conduct
- From time to time during the course of the investigation, as
practicable, the District Director, Chief Patrol Agent, or designated
officer shall review the actual conduct of the undercover employee, as well
the employee's proposed or reasonably foreseeable conduct for the remainder
the investigation, and shall make a determination whether the conduct of the
employee has been permissible. This determination shall be communicated to
undercover employee as soon as practicable. Any findings of impermissible
conduct shall be promptly reported to the Commissioner, and consultation
Commissioner shall be undertaken before the employee continues his or her
participation in the investigation. To the extent feasible, a similar
shall be made of the conduct of each cooperating private individual.
- A summary memorandum report shall be submitted at the conclusion of an
undercover operation and shall include information concerning use of false
representations to third parties in concealment of personal identity or the
ownership of a proprietary for establishing, funding, and maintaining secure
cover for an undercover operation. The report shall also contain
concerning any otherwise illegal activity engaged in by an undercover
or cooperating private individual. It shall be submitted to the District
Director, Chief Patrol Agent, or designated supervisory officer, and copies
be submitted to the Regional and Central Offices.
- Additionally, a written report on participation in any otherwise
activity which would be proscribed by federal, state, or local law and which
not routine to the investigation, shall be made by an undercover employee to
District Director, Chief Patrol Agent, or designated supervisory officer,
copies to the Regional and Central Offices, as soon as possible after the
participation in the otherwise illegal activity. To the extent feasible, a
similar report should be made on the conduct of each cooperating private
- Deposit Of Proceeds; Liquidation Of Properties
- Whenever a proprietary with a net value over $50,000 is to be
liquidated, sold, or otherwise disposed of, the INS, as much in advance as
Commissioner or his or her designee shall determine is practicable, shall
the circumstances to the Attorney General and the Comptroller General. The
proceeds of the liquidation, sale, or other disposition shall be deposited
Treasury of the United States as receipts.
These guidelines on the use of undercover operations are set
forth solely for the purpose of internal Department of Justice guidance.
They are not intended to, do not, and may not be relied upon to create
any rights, substantive or procedural, enforceable at law by any party
in any matter, civil or criminal, and they do not place any limitations
on otherwise lawful investigative or litigative prerogatives of the
Department of Justice.
WILLIAM FRENCH SMITH
Date: Effective March 9, 1984