Section 4 GENERAL 4.0 Introduction: The executive board, during the normal conduct of business, periodically sets policy and procedures on a variety of subject matter. This section will serve to capture the policy and procedures that don t appropriately fit into another section of this manual. 4.1 Annual Report: All agencies and/or task forces receiving RMHIDTA funds will be required to complete a quarterly enforcement report by the designated due date. The HIDTA Director will be responsible for compiling an annual report. 4.2 Threat Assessment: RMHIDTA is required to complete a threat assessment on an annual basis. All agencies and/or task forces receiving RMHIDTA funding or services shall complete the Threat Assessment Survey by the required due date. 4.3 Case or Subject Deconfliction 4.3.1 Definition: Subject deconfliction is also known as case deconfliction. Subject deconfliction uses a suspect s personal identifying information, such as name, date of birth or telephone number(s), which are specifically linked to an individual and suspected criminal activity. Unlike event deconfliction, subject deconfliction is governed by 28 CFR Part 23 regulations for submission of intelligence information. This is the requirement by law enforcement to link a subject to a criminal activity based upon reasonable suspicion and reliable information. 4.3.2 Required Use: RISSIntel is the mandatory case/subject deconfliction system for all RMHIDTA-funded initiatives. Local or state level systems may be used in conjunction with RISSIntel, Section 4: General Page 1
but not in lieu of RISSIntel. Access to RISSIntel can be gained either by telephoning the Rocky Mountain HIDTA Watch Center or by internet access for direct search and entry into the system. 4.3.3 Scope of Use: RISSIntel will serve as the primary subject deconfliction resource for researching a suspect s identifying information. Whenever searchable information (e.g. name, telephone number, license plate or address) is developed on any suspect in an investigation, the information will be searched against existing RISSIntel records. When no matching record is located, the information will then be entered into RISSIntel in accordance with training. It will be the responsibility of the investigator and parent law enforcement group to have sufficient documentation to ensure compliance under 28 CFR Part 23 entry requirements. 4.3.3.1 Resolving a Conflict: If searched information generates a conflict with an existing record in RISSIntel, the searching investigator will make contact with the designated representative for the affected agency to deconflict the information. This shall take place as soon as possible, but no later than 24 hours and under no circumstances prior to any operational or enforcement action being taken. A conflict is considered resolved only when both agencies agree their respective investigations do not interfere with the other, or they agree to work together. 4.3.3.2 Updating Subject Information: As an investigation proceeds and additional identifying information is developed, the case agent or designee will update RISSIntel and link new information to the existing entry in a timely manner. 4.3.4 Informants: All informants should be searched in RISSIntel as part of the initial approval process and periodically thereafter. If an informant proves to be unreliable for use by law enforcement (e.g., false statements, theft of money or drugs) that subject should be entered into RISSIntel as being unreliable unless to do so is counter to the reporting agency s policy on managing informants. Section 4: General Page 2
4.4 Event or Operational Deconfliction: 4.4.1 Definition: Event deconfliction is also known as operational or tactical deconfliction. It identifies the potential hazard of two or more unrelated law enforcement operations being conducted in close proximity to each other by location, date and time. It alerts the affected groups of the presence of the other operations to increase safety and the mutual sharing of information. Examples of events for deconfliction would include search warrants, surveillance, knock and talk, and controlled purchases. 4.4.2 Required Use: RISS is the mandatory event deconfliction system for all RMHIDTA-funded initiatives. Local or state level systems may be used in conjunction with RISSafe, but not in lieu of RISSafe. Access to RISSafe can be gained either by telephoning the Rocky Mountain HIDTA Watch Center or by internet access for direct entry into the system. 4.4.3 Scope of Use: At least two hours prior to conducting any type of law enforcement operation, the originating agency shall ensure the operational information is entered into RISSafe for deconfliction purposes. 4.4.3.1 Event Information: (1) Event information required will include but is not limited to: a. Date and time of operation b. Location of operation by address i. With an operational area radius of not less than 1/10 th mile (528 feet) c. Nature of the operation d. Type of contraband sought e. Crime category and criminal activity f. Two points of contact for conflict resolution i. Primary and secondary with current cellular telephone number Section 4: General Page 3
Once an operation has been successfully entered into RISSafe, and no conflict exists, an event number will be generated for that operation. That event number should be included in the operational plan for future reference in case the event needs to be modified due to changes. 4.4.3.2 Resolving a Conflict: When a conflict is discovered, the entering law enforcement agency will contact the other affected law enforcement agency immediately and prior to any operational or enforcement action takes place. The agencies will discuss the nature of the conflict, potential mutual interests in the location or subject and actively share information in a cooperative manner. A conflict is considered resolved only when both agencies agree that neither operation will interfere with the other. Where two cases are associated to each other, the affected agencies will resolve the conflict prior to any operational or enforcement action occurs. This includes postponing any planned operations until the conflict is resolved. The conflict resolution will be reported back to the Watch Center and properly documented within RISSafe by the Watch Center staff. 4.4.3.3 Updating an Existing Event: When a location changes from the initial address entered, the revised location information will be updated in RISSafe as soon as practical. It is the responsibility of the operational supervisor, or their designee, to ensure the new location will be deconflicted against existing entries by notifying the Watch Center by telephone. The Watch Center will be responsible for editing the current event in RISSafe. 4.5 Non-Compliance with Subject or Event Deconfliction: All RMHIDTA-funded initiatives are required to follow the policies outlining the use of RISSafe for event deconfliction and RISSIntel for subject deconfliction. Initiatives found not to be in compliance are subject to sanctions to include letters of reprimand, up to and including the Section 4: General Page 4
withholding of funds and/or services as deemed appropriate by the RMHIDTA Executive Board. 4.6 Highway Interdiction Protocol: 4.6.1 Outside RMHIDTA Counties: Due to the mobility and route changes by drug transporters there is a need for flexibility with RMHIDTA s interstate and highway interdiction policy. As a general rule, RMHIDTA funds can only be utilized in those designated counties approved by ONDCP. In the case of interstate and highway interdiction, flexibility allows for enforcement in non-hidta designated counties as long as there can be a showing that these drug load seizures were destined to or came through RMHIDTA counties. Additionally, the interstate and highway interdiction stops must be coordinated for follow-up purposes with the appropriate drug task force. Additionally, highway interdiction stops indicative of drug trafficking must be coordinated for follow-up purposes with the appropriate investigative entity. 4.6.2 Rocky Mountain Highway Patrol Network (RMHPN): Rocky Mountain HIDTA was established a four-state program called the Rocky Mountain Highway Patrol Network (RMHPN) consisting of a partnership between the RMHIDTA Investigative Support Center, Colorado State Patrol, Montana Highway Patrol, Utah Highway Patrol and Wyoming Highway Patrol as part of ONDCP s Domestic Highway Enforcement (DHE) Program. The purpose of the RMHPN is to coordinate and cooperate in efforts for the four-state region to create a proactive and professional criminal interdiction effort through training, information-sharing, establishing best practices and encouraging investigative follow-up. 4.6.3 Regional Coordination Committee (RCC): A Rocky Mountain Highway Patrol Network Committee has been established to facilitate information-sharing and advise the Rocky Mountain HIDTA Director and Executive Board on funding, policy and training needs related to highway criminal interdiction. The RMHPN Committee also represents Rocky Mountain HIDTA as part of the nationwide Domestic Highway Enforcement Program. See Section 3.11. 4.6.4 Criminal Interdiction Reporting Protocol: All criminal interdiction stops involving drug or cash seizures will be reported to the RMHIDTA/DHE Analyst using an incident Section 4: General Page 5
report within five (5) days of the stop and seizure. The DHE Analyst will assure the stop and seizure is reported to the El Paso Intelligence Center (EPIC) National Seizure System (NSS) and the agency with jurisdiction in the city/county of origin and destination. 4.6.5 Criminal Interdiction Follow-up Procedure: Whenever an interdiction stop involving drugs or cash is indicative of drug trafficking as opposed to personal use, the appropriate procedure is set up below. A general guide is 1/4 pound of cocaine, heroin or methamphetamine, 5 pounds of marijuana, 250 dosage units of hallucinogens or club drugs, 100 dosage units of pharmaceuticals and $7,500. However, the total amounts of drugs seized should not be the overriding factor. With less amounts, the trooper and investigator should take into consideration the totality of the circumstances. When these thresholds are met, the following will take place: o The trooper and investigator should attempt to secure as much information as possible concerning origination, destination, hotel receipts, gas receipts, address books and telephone numbers and any other information that could be pertinent to tie this courier into a drug trafficking organization. o The trooper will call for assistance with the appropriate investigative agency/unit and coordinate any follow-up investigation with the assigned officer/agent. o The assigned investigator will follow up on the information and evidence secured from the stop which includes but is not limited to: Possible controlled delivery if appropriate. Enter appropriate information into federal and state systems to potentially connect to other investigations. Contact appropriate agency where load originated and appropriate agency where load was destined to share information. Notify seizing trooper of follow-up result and report same in RMHIDFTA quarterly enforcement report under Section B2 referencing the highway patrol incident number. Section 4: General Page 6
4.7 Non-Compliance with Policies, Procedures and Directives: In order to operate efficiently and to meet the demands of the Office of National Drug Control Policy (ONDCP), it is necessary that certain reports, surveys and other requests be made to those receiving RMHIDTA funding. The requests for information requires that those receiving funding complete surveys, questionnaires, reports, etc. according to instructions, accurately, completely and in a timely manner. Currently the RMHIDTA requests include: quarterly financial reports, list of HIDTA purchased equipment, training survey, threat assessment survey, quarterly operational reports, and budget funding requests. HIDTA funded initiatives that fail to comply will first receive a telephone call from staff. Continued failure to comply or a second offense will result in a letter from the director to the agency administrator. The third failure to comply may result in the executive board reducing that initiative s allocated funds by 10%. Compliance with policy, procedures, and directives from the executive board and/or the director is expected. Should the agency commit a third offense, the matter will be brought to the executive board with the agency present for final resolution/decision as to reduction in funds. Lastly, failure to follow instructions, complete information accurately, provide sufficient justification or meet the deadline on annual budget requests will be reflected in the amount of funds approved by the executive board. 4.8 Probationary Initiative: Whenever a RMHIDTA initiative is placed on probation, the executive board will set a specific time period for the probationary status. The executive board will notify the initiative of the reason(s) for being placed on probation and set a date the initiative will meet with the executive board to report on corrective action. At that meeting, the board may elect to suspend or extend the probation or deny funding. 4.9 Procedure for Adding New Counties to RMHIDTA: 4.9.1 Request for Designation as a HIDTA County: All requests for adding new counties to Rocky Mountain HIDTA will be submitted to the director who will prepare an assessment of the request. The request and assessment will be submitted through the state subcommittee with a recommendation to the executive board. Section 4: General Page 7
4.9.2 Criteria for Designation: The submission must include a strong justification. This is best accomplished with a detailed threat assessment and proposed strategy. The following four statutory criteria for HIDTA designation must be addressed: a) The extent to which the area is a center of illegal drug production, manufacturing, importation or distribution. b) The extent to which the state and local law enforcement agencies have committed resources to respond to the drug trafficking problem in the area, thereby indicating a determination to respond aggressively to the problem. c) The extent to which drug-related activities in the area are having a harmful impact in other areas of the country. d) The extent to which a significant increase in allocation of federal resources is necessary to respond adequately to drugrelated activities in the area. 4.9.3 Final Review and Approval: After executive board review, if approved, the executive board recommendation will be forwarded to ONDCP for final approval. 4.9.4 Decertification of a HIDTA County: The executive board may, with cause, elect to decertify a county from HIDTA designation. The director, on behalf of the executive board, will prepare a letter stating the intention to decertify the specific county and state the reasons. This letter will be forwarded to all the primary effected criminal justice department administrators. The letter will give these departments an opportunity to respond within thirty days as to why they believe they should maintain HIDTA designation. The executive board will make the final decision and notify the affected agencies. If the decision is to decertify, a letter will be sent to ONDCP requesting that the specific county(s) be decertified. 4.10 Major DTO Investigation Fund Proposal: 4.10.1 Introduction: The Rocky Mountain HIDTA Executive Board established a fund to help support major investigation expenses that were not anticipated through the normal HIDTA budget cycle. This would include linguistics for wire intercepts, wire intercept fees and pen register fees deemed necessary in Section 4: General Page 8
disrupting or dismantling a major DTO (drug trafficking organization). 4.10.2 Proposed Funding Items: Pen register fees Language interpreters/monitors Wire intercept fees 4.10.3 Criteria for Funding: Investigation must be in pursuit of a major drug trafficking organization, money laundering organization or gang. The investigation must have an investigative number and backup documentation/reports. The suspects and associates of this group must have been submitted into the appropriate law enforcement information network. The investigation must have an analyst assigned. The investigation must have ties in areas outside of the jurisdiction of origination. Other attempts to secure funding were attempted such as SOD, OCDETF (Organized Crime Drug Enforcement Task Force), DEA or asset forfeiture funds. The line item for which funding is requested must be critical in pursuing this investigation. Section 4: General Page 9