ICE, Handbook: HSI 15-04 Human Smuggling and Trafficking Investigations

HUMAN SMUGGLING AND TRAFFICKING INVESTIGATIONS HANDBOOK

Table of Contents Chapter 1. PURPOSE AND SCOPE .......................................................................................1 Chapter 2. INTRODUCTION..................................................................................................1 Chapter 3. DEFINITIONS .......................................................................................................1 • 3.1 Admission ......................................................................................................1 • 3.2 Asylum ..........................................................................................................1 • 3.2.1 Affirmative Asylum Process .........................................................................2 • 3.2.2 Defensive Asylum Process ............................................................................2 • 3.3 Continued Presence .......................................................................................2 • 3.4 2 • 3.5 Debt Bondage ................................................................................................3 • 3.6 Deferred Action .............................................................................................3 • 3.7 Destination Country ......................................................................................3 • 3.8 Drop House ....................................................................................................3 • 3.9 Forced Labor .................................................................................................3 • 3.10 Human Smuggling .........................................................................................3 • 3.11 Human Trafficking ........................................................................................3 • 3.12 Minor/Juvenile ...............................................................................................4 • 3.13 Parole .............................................................................................................4 • 3.14 Peonage .........................................................................................................4 • 3.15 .............................................................................4 • 3.16 .............................................................................4 • 3.17 Refugee ..........................................................................................................5 • 3.18 Source Country ..............................................................................................5 • 3.19 Special Interest Alien ....................................................................................5 • 3.20 Special Interest Country ................................................................................5 • 3.21 Transit Country ..............................................................................................5 • 3.22 Unaccompanied Child ...................................................................................5 Chapter 4.

RESPONSIBILITIES ............................................................................................6 • 4.1 • 4.2 • 4.3 • 4.4 • 4.5 Executive Associate Director, Homeland Security Investigations ................6 Assistant Director, Domestic Operations ......................................................6 Deputy Assistant Director, Transnational Crime and Public Safety Division .........................................................................................................6 Unit Chief, Human Smuggling and Trafficking Unit....................................6 Special Agents in Charge and Attachés ........................................................6 _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 i (b) (7)(E)(b) (7)(E) • 4.6 • 4.7 Group Supervisors .........................................................................................6 Special Agents ...............................................................................................7 Chapter 5. HUMAN SMUGGLING STATUTES AND REFERENCES ............................7 • 5.1 Statutes ..........................................................................................................7 • 5.1.1 8 U.S.C. § 1324 – Bringing in and Harboring Certain Aliens ......................7 • 5.1.2 8 U.S.C. § 1327 – Aiding or Assisting Certain Aliens to Enter ....................8 • 5.1.3 8 U.S.C. § 1328 – Importation of Alien for Immoral Purpose ......................8 • 5.2 References. ....................................................................................................8 Chapter 6. HUMAN SMUGGLING INVESTIGATIVE GUIDANCE ..............................10 • 6.1 Accomplishing the Mission .........................................................................10 • 6.2 Identifying Human Smuggling Organizational Structures ..........................11 • 6.3 .........................................13 • 6.3.1 .........................................13 • 6.3.2 Assistance from U.S. Customs and Border Protection ................................14 • 6.3.3 ........................................................14 • 6.4 Investigating Human Smuggling .................................................................14 • 6.5 Responding to Human Smuggling Incidents ...............................................15 • 6.5.1 Encountering Unaccompanied Children in Human Smuggling Investigations ...............................................................................................16 Chapter 8. HUMAN TRAFFICKING STATUTES AND REFERENCES .......................19 • 8.1 Statutes ........................................................................................................19 • 8.1.1 18 U.S.C. § 1581 – Peonage; Obstructing Enforcement .............................19 • 8.1.2 18 U.S.C. § 1584 – Sale into Involuntary Servitude ...................................19 • 8.1.3 18 U.S.C. § 1589 – Forced Labor ................................................................19 • 8.1.4 18 U.S.C. § 1590 – Trafficking with Respect to Peonage, Slavery, Involuntary Servitude, or Forced Labor ......................................................19 • 8.1.5 18 U.S.C. § 1591 – Sex Trafficking of Children or by Force, Fraud, or Coercion ..................................................................................................19 • 8.1.6 18 U.S.C. § 1592 – Unlawful Conduct with Respect to Documents in Furtherance of Trafficking, Peonage, Slavery, Involuntary Servitude, or Forced Labor ..........................................................................20 • 8.1.7 18 U.S.C. § 1593A – Benefiting Financially from Peonage, Slavery, and Trafficking in Persons ..........................................................................20 _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 ii (b) (7)(E)(b) (7)(E)(b) (7)(E) • 8.1.8 18 U.S.C. § 1594 – General Provisions .......................................................20 • 8.1.9 Transportation for Illegal Sexual Activity and Related Crimes ..................20 • 8.2 Human Trafficking Authorities/References ................................................20 Chapter 9.

HUMAN TRAFFICKING INVESTIGATIVE GUIDANCE ..........................21 • 9.1 • 9.2 • 9.3 • 9.4 • 9.5 • 9.6 • 9.7 • 9.8 • 9.9 Indicators of Human Trafficking .................................................................22 ...........................................................23 Sex Trafficking ............................................................................................25 Labor Trafficking ........................................................................................25 Human Smuggling v. Human Trafficking ...................................................25 Understanding Force, Fraud, and Coercion .................................................26 Responding to Trafficking Victims’ Leads .................................................27 Victim-Centered Approach .........................................................................29 Human Trafficking Computer-Based Training for Special Agents ............30 Chapter 11. APPLICABLE MONEY LAUNDERING LAWS IN SUPPORT OF HUMAN SMUGGLING AND HUMAN TRAFFICKING INVESTIGATIONS ...........................................................................................37 • 11.1 Money Laundering Laws .............................................................................38 • 11.2 Specified Unlawful Activities Related to Human Smuggling and Trafficking ...................................................................................................38 • 11.3 Forfeiture Laws ...........................................................................................38 • 11.4 39 Chapter 12. 40 • 12.1 40 • 12.2 Guidelines ....................................................................................................41 Chapter 13. IMMIGRATION RELIEF OPTIONS FOR HUMAN SMUGGLING AND HUMAN TRAFFICKING INVESTIGATIONS ...................................45 • 13.1 • 13.2 ...........................................................45 ...........................................................46 _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 iii (b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E) • 13.3 • 13.4 • 13.5 • 13.6 • 13.7 • 13.8 • 13.9 .....46 .....46 .....46 .....47 .....47 .....48 .....48 Chapter 14.

CASE MANAGEMENT ....................................................................................49 • 14.1 TECS Case Categories ................................................................................49 • 14.2 TECS Program Codes .................................................................................49 Chapter 15. INVESTIGATIVE RESOURCES ....................................................................50 • 15.1 Human Smuggling and Trafficking Unit .....................................................51 • 15.2 Human Smuggling and Trafficking Center .................................................51 • 15.3 National Human Trafficking Resource Center ............................................51 • 15.4 Victim Assistance Program .........................................................................52 • 15.5 Forensic Interview Program ........................................................................52 • 15.6 Office of Refugee Resettlement ..................................................................53 • 15.7 Non-Governmental Organizations ..............................................................53 • 15.8 HSI Office of Intelligence ...........................................................................53 • 15.9 Human Trafficking Prosecution Unit ..........................................................54 • 15.10 Human Rights and Special Prosecution Section .........................................54 • 15.11 International Organized Crime Intelligence and Operations Center ...........54 • 15.12 Special Operations Division ........................................................................55 • 15.13 Undercover Operations ................................................................................55 • 15.14 Counterterrorism and Criminal Exploitation Unit .......................................55 APPENDICES Appendix A Appendix B Appendix C Appendix D Appendix E Appendix F Appendix G Appendix H .......... A .......... B ..........

C .......... D .......... E t .......... F ..........

G Acronyms .................................................................................................... H _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 iv (b) (7)(E)(b) (7)(E) HUMAN SMUGGLING AND TRAFFICKING INVESTIGATIONS HANDBOOK Chapter 1.

PURPOSE AND SCOPE

The Human Smuggling and Trafficking Investigations Handbook establishes policies and procedures to be followed by U.S. Immigration and Customs Enforcement (ICE) Homeland Security Investigations (HSI) Special Agents (SAs) when conducting human smuggling and human trafficking investigations within the scope of their authority. Chapter 2. INTRODUCTION HSI is committed to protecting the United States by combatting the worldwide problem of human smuggling and human trafficking. The mission of HSI’s Human Smuggling and Trafficking Unit (HSTU) is to identify criminal smuggling and trafficking organizations, prioritize investigations according to the degree of risk posed by each to national security and public safety, and coordinate field office investigations around targeted organizations with the goal of eliminating their ability to function.

Chapter 3.

DEFINITIONS

The following definitions are provided for the purposes of this Handbook. 3.1 Admission The lawful entry of an alien into the United States after inspection and authorization by an immigration officer. See Title 8, United States Code (U.S.C.), Section 1101(a)(13)(A), Immigration and Nationality Act (INA), Section 101(a)(13)(A). Aliens lawfully admitted for permanent residence are not generally regarded as seeking an admission upon entry to the United States unless specific criteria enumerated in the INA have been met.

8 U.S.C. § 1101(a)(13)(C); INA § 101(a)(13)(C). Under Board of Immigration Appeals precedent, a procedurally regular, but otherwise unlawful, entry can still constitute an admission. For example, an alien who presents a fraudulent passport when entering the United States would be considered admitted. He or she would be placed in proceedings under chapter 237 of the INA, rather than under chapter 212.

3.2 Asylum A discretionary form of protection available to aliens physically present in the United States who meet the definition of a refugee under 8 U.S.C. § 1101(a)(42), INA § 101(a)(42), and are not otherwise barred from receiving it. See 8 U.S.C. §§ 1158(a), (b), INA §§ 208(a), (b). Once an alien has been granted asylum, he or she may not be removed to his or her country of nationality or, in the case of an alien with no nationality, to his or her country of last habitual residence. See _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 1 8 U.S.C. § 1158(c)(1), INA § 208(c)(1).

Once an alien has been granted asylum, he or she becomes eligible for other immigration benefits. See 8 U.S.C. §§ 1158(c)(1)(B), (C), INA §§ 208(c)(1)(B), (C). 3.2.1 Affirmative Asylum Process The process whereby an alien seeks asylum by submitting an Application for Asylum and Withholding of Removal (U.S. Citizenship and Immigration Services (USCIS) Form I-589) to USCIS. There are seven steps in the affirmative asylum process: (1) the alien arrives in the United States, (2) the alien applies for asylum, (3) USCIS conducts fingerprinting and background/security checks, (4) the alien receives an interview notice, (5) a USCIS Asylum Officer (AO) conducts an interview with the alien, (6) the AO makes a determination on eligibility and the Supervisory Asylum Officer reviews the decision, and (7) the alien receives the decision.

See USCIS Affirmative Asylum Procedures Manual, dated November 2007, revised July 2010, or as updated. If the AO does not approve the application of an alien who is inadmissible or deportable, the AO shall refer the application to an immigration judge for adjudication in removal proceedings. See Title 8, Code of Federal Regulations (C.F.R.), Section 1208.14(c)(1). 3.2.2 Defensive Asylum Process The process whereby an alien who has not affirmatively applied for asylum with USCIS may nevertheless seek asylum before an immigration judge as a defense to, or relief from, removal.

In such cases, the alien submits the application to the immigration judge who will determine whether the alien is eligible for relief during the course of the immigration proceedings. See 8 C.F.R. § 1208.2(b), (c). 3.3 Continued Presence Continued Presence (CP) is a temporary immigration status provided to individuals identified by law enforcement as victims of human trafficking. This status allows eligible aliens to remain in the United States temporarily during the ongoing investigation into the human trafficking-related crimes committed against them.

CP is initially granted for 1 year and may be renewed in 1-year increments. CP is authorized under provisions of section 107(c)(3) of the Trafficking Victims Protection Act (TVPA), which has since been reauthorized, and is codified at 22 U.S.C. § 7105(c)(3). _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 2 (b) (7)(E) 3.5 Debt Bondage The status or condition of a debtor arising from a pledge by the debtor of his or her personal services or of those of a person under his or her control as a security for debt, if the value of those services as reasonably assessed is not applied toward the liquidation of the debt or the length and nature of those services are not respectively limited and defined. An individual will often pledge himself or someone under his or her control into debt bondage in exchange for passage into the United States. See 22 U.S.C. § 7102(4).

3.6 Deferred Action An act of administrative convenience to the government which gives some cases lower priority. See 8 C.F.R. § 274a.12(c)(14). 3.7 Destination Country The termination point or last country of the illegal alien (IA)’s journey and where the IA intends to reside. 3.8 Drop House A residence or building in the United States that is used to harbor a group of smuggled aliens after they entered the United States illegally.

Typically, aliens are held at the “drop house” until their smuggling fee has been paid and/or while they await transport to another location. 3.9 Forced Labor Labor or services of a person that is provided or obtained by threats of serious harm to, or physical restraint against, that person or another person, by means of any scheme, plan, or pattern intended to cause the person to believe that if he or she did not perform such labor or services, he or she or another person would suffer serious harm or physical restraint, or by means of the abuse or threatened abuse of law or the legal process. See 18 U.S.C. § 1589. 3.10 Human Smuggling The facilitation and transportation of people into the United States by deliberately evading U.S. immigration laws.

This offense includes bringing IAs into the United States and unlawfully transporting and/or harboring aliens already present. (Note: The statute governing this range of offenses is 8 U.S.C. § 1324.) 3.11 Human Trafficking There are two kinds of human trafficking: sex trafficking and labor trafficking. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 3 A. Sex trafficking is a commercial sex act that is induced by force, fraud, or coercion, or in which the person who is induced to perform such act has not attained 18 years of age. B. Labor trafficking involves the recruitment, harboring, transportation, provision, or obtaining of a victim by means of threat or use of force or coercion, thus subjecting the victim to involuntary servitude, peonage, debt bondage, or slavery. Involuntary servitude can be induced by means of: 1) any scheme, plan, or pattern intended to cause a person to believe that, if the person did not enter into, or continue in, such condition, that person, or another person, would suffer serious harm or physical restraint; or 2) the abuse or threatened abuse of the legal process.

See generally 18 U.S.C. §§ 1581-1596; 22 U.S.C. §§ 7101-7112; 42 U.S.C. § 14044; INA § 212(a)(2)(H). 3.12 Minor/Juvenile A minor or juvenile is an individual who has not attained 18 years of age. 3.13 Parole A grant of parole permits an otherwise inadmissible alien to be present in the United States temporarily due to urgent humanitarian concerns or to provide a significant benefit to the United States. See 8 U.S.C. § 1182(d)(5)(A); INA § 212(d)(5)(A).

Parole does not confer any immigration status upon the alien. 3.14 Peonage Peonage is the use of laborers bound to servitude due to debt. See generally 18 U.S.C. §§ 1581- 1596; see also Section 3.11(B) above. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 4 (b) (7)(E) 3.17 Refugee A. Any person who is outside of his or her country of nationality or, if he or she has no nationality, country of last residence, and is unable or unwilling to return to that country or avail himself or herself of that country’s protection due to past persecution or a well-founded fear of persecution on account of race, religion, nationality, political opinion, or membership in a particular social group. See 8 U.S.C. §1101(a)(42)(A), INA § 101(a)(42)(A).

B. In such circumstances as the President after appropriate consultation may specify, any person who is within the country of such person’s nationality or, in the case of a person having no nationality, within the country in which such person is habitually residing, and who is persecuted or who has a well-founded fear of persecution on account of race, religion, nationality, membership in a particular social group, or political opinion. See 8 U.S.C. §1101(a)(42)(B), INA § 101(a)(42)(B). 3.18 Source Country A source country is the IA’s country of origin. The term is also used in TECS to define the country/countries where the criminal activity originated.

For example, where a Brazilian citizen or national is smuggled from Brazil, through Mexico, to the United States, the source country would be Brazil. 3.19 Special Interest Alien A citizen or national of a country of current national security concern to the United States. 3.20 Special Interest Country A country from which terrorism or national security threats to the United States originate or have been present. 3.21 Transit Country A country, or countries, through which an IA travels after departing his or her source country and prior to arriving at his or her destination country.

Aliens may travel through multiple transit countries. For example, an alien from South Korea may be smuggled through France and Canada (in this case the transit countries) before arriving at his or her destination country, the United States. 3.22 Unaccompanied Alien Child An unaccompanied alien child is a minor who has no lawful immigration status in the United States, has not attained 18 years of age, has no parent or legal guardian in the United States, or has no parent or legal guardian in the United States who is available to provide care and physical _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 5 custody. See Homeland Security Act of 2002 § 462(g); 6 U.S.C. § 279(g); adopted by Trafficking Victims Protection Reauthorization Act (TVPRA) § 235(g).

(Note: Not all unaccompanied alien children have been smuggled or trafficked.) Chapter 4. RESPONSIBILITIES 4.1 Executive Associate Director, Homeland Security Investigations The Executive Associate Director (EAD) of HSI has the overall responsibility for the oversight of the policies and procedures set forth in this Handbook. 4.2 Assistant Director, Domestic Operations The Assistant Director (AD), Domestic Operations, is responsible for approving undercover investigations involving the domestic transportation and release of IAs that are limited in scoped (see Section 10.1). The AD, Domestic Operations, in consultation with the Deputy Assistant Director (DAD), Transnational Crime and Public Safety Division (TCPSD), is also responsible for resolving any disputes if the receiving Special Agent in Charge (SAC) does not concur with the release of IAs within his or her area of responsibility (AOR) (see Section 10.3 (J .

4.3 Deputy Assistant Director, Transnational Crime and Public Safety Division The DAD, TCPSD, is responsible for ensuring overall compliance with the provisions of this Handbook. In addition, the DAD, TCPSD, will coordinate with the AD, Domestic Operations, to resolve any disputes if the receiving SAC does not concur with the release of IAs within his or her AOR (see Section 10.3 (J . 4.4 Unit Chief, Human Smuggling and Trafficking Unit The Unit Chief, HSTU, has the overall responsibility for the implementation of the provisions of this Handbook. 4.5 Special Agents in Charge and Attachés Special Agents in Charge (SACs) and Attachés are responsible for implementing the provisions of this Handbook within their respective areas of responsibility (AORs).

4.6 Group Supervisors Group Supervisors are responsible for ensuring that the human smuggling and human trafficking related activities of the SAs they supervise, including reporting and case coding requirements, are in compliance with the provisions of this Handbook. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 6 4.7 Special Agents SAs are responsible for complying with the provisions of this Handbook. Chapter 5.

HUMAN SMUGGLING STATUTES AND REFERENCES

The most commonly utilized criminal statutes when investigating human smuggling criminal activity are codified in Chapter 12 of Title 8 of the United States Code, entitled, “Immigration and Nationality.” This Chapter provides a brief summary of what each statute or subsection refers to in terms of the criminal committing the violation. SAs should consult with their local Office of the Chief Counsel (OCC) and U.S. Attorney’s Office (USAO) for a discussion of additional legal aspects of these or other related statutes. 8 U.S.C. § 1324 uses the term “alien smuggling.” Criminal organizations that violate the laws discussed in this Handbook are often called Human Smuggling Organizations (HSOs). (Note: For the purposes of this Handbook, the terms “alien smuggling” and “human smuggling” are used interchangeably.) 5.1 Statutes 5.1.1 8 U.S.C. § 1324 – Bringing in and Harboring Certain Aliens This Section details the criminal penalties and elements of alien smuggling and accounts for the multiple individuals who may be involved in the scheme (e.g., foot guide, transporter, and harborer).

There are five distinct offenses that can be charged under 8 U.S.C. § 1324: A. 8 U.S.C. § 1324(a)(1)(A)(i) – Bringing In This section of the statute refers to the person who, knowing that a person is an IA, brings or attempts to bring the IA across the U.S. border. B. 8 U.S.C. § 1324(a)(1)(A)(ii) – Transporting This section of the statute refers to the person who, knowingly or in reckless disregard, transports or attempts to transport the IA within the United States. The criminal need not know that the individuals are IAs, but the circumstances dictate that the person should have known that the individuals entered the United States illegally and thus aided the violation. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 7 C. 8 U.S.C. § 1324(a)(1)(A)(iii) – Harboring This section of the statute refers to the person who, knowingly or in reckless disregard, provides or attempts to provide a location where an IA can remain to assist him or her from detection. D. 8 U.S.C. § 1324(a)(1)(A)(iv) – Encouraging This section of the statute refers to the person who encourages or induces an IA to come, enter, or reside in the United States knowing or in reckless disregard that such entry will be in violation of law.

E. 8 U.S.C. § 1324(a)(1)(A)(v) – Conspiring or Aiding and Abetting This section refers to the person whose assistance and cooperation was integral to the execution of any criminal activity described in Subsections A, B, C, and D. The maximum penalties for human smuggling are listed in 8 U.S.C. § 1324(a)(1)(B). SAs should consult with their local USAO on a case-by-case basis to determine how the individual’s criminal history or other aggravating factors could impact sentencing. 5.1.2 8 U.S.C. § 1327 – Aiding or Assisting Certain Aliens to Enter This statute refers to any person who facilitates the entry into the United States of an IA, knowing that the IA was previously convicted in the United States of an aggravated felony or a crime involving national security. 5.1.3 8 U.S.C. § 1328 – Importation of Alien for Immoral Purpose This statute refers to any person who smuggles aliens into the United States for the purposes of prostitution.

5.2 References A. Intelligence Reform and Terrorism Prevention Act of 2004. B. Department of Justice (DOJ), “Human Rights and Special Prosecution Section,” dated September 12, 2012, or as updated http://www.justice.gov/criminal/hrsp/. C. “DHS Blue Campaign: Trafficking vs. Smuggling Brochure and Checklist” (undated).

D. U.S.

Customs and Border Protection (CBP) and ICE Policy, “Controlled Deliveries, Cold Convoys, and Pass-Through Operations at Ports of Entry,” dated February 18, 2010, or as updated. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 8 E. ICE Directive 10071.1, “Victim Assistance Program,” dated August 25, 2011, or as updated.

F. ICE

Delegation Number 0001 entitled, “Delegation of Authority to the Directors, Detention and Removal and Investigations, and to Field Office Directors, Special Agents in Charge and Certain Other Officers of the Bureau of Immigration and Customs Enforcement,” dated June 6, 2003, or as updated. G. Detention and Removal Operations (DRO)/Office of Investigations (OI) memorandum, “DRO/OI Protocols and Handling Unaccompanied Alien Children,” dated October 1, 2007, or as updated. H. HSI “Human Smuggling Strategy,” dated January 2015, or as updated. I. HSI memorandum, “Role & Responsibilities of Field Coordinators in Support of the S-Nonimmigrant Visa (S-Visa) Program,” dated July 19, 2010, or as updated.

J. HSI

Memorandum, “Domestic and International Undercover Alien Smuggling Investigations,” dated March 23, 2012, or as updated. K. OI memorandum, “Interim Policy and Guidelines for Immediate Assumption of Significant Public Benefit Parole Responsibilities,” dated August 8, 2006, or as updated. L. OI memorandum, “Accountability of U.S. Immigration and Customs Enforcement (ICE) Significant Public Benefit Paroles,” dated June 27, 2006, or as updated. M. Financial Investigations Handbook (HSI Handbook (HB) 14-03), dated May 13, 2014, or as updated.

N. Cyber Crimes Investigations Handbook (HSI HB 11-03), dated August 9, 2011, or as updated. O. Case Management Handbook (OI HB 08-02), dated February 1, 2008, or as updated. P. “HSTU TECS CODES Spreadsheet,” dated January 28, 2013, or as updated.

Q. “ECT Brochure,” dated November 2012, or as updated.

R. “Illicit Pathways Attack Strategy (IPAS) Brochure,” dated December 2012, or as updated.

S. “Project Stamp Brochure,” dated May 2012, or as updated.

T. “Extraterritorial Criminal Travel Strike Force Expansion and Institutionalization” (undated). _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 9 U. “Proposal to Enhance the ECT Strike Force” (undated). V. Domestic and International Undercover Alien Smuggling Investigations Approval Guidance Chart (see Appendix A). Chapter 6.

HUMAN SMUGGLING INVESTIGATIVE GUIDANCE

Human smuggling is a transnational crime committed by violators whose ultimate goal is to make a financial profit. IAs choose to enter other countries illegally for many reasons, such as religion, politics, employment, and/or education. In some cases, an IA will enter into an agreement with a smuggler to illegally enter the United States. The human smuggler will in turn determine a set fee depending on the method or route used by the HSO or the individual.

HSOs vary by the nationality of aliens smuggled, size of organization, levels of hierarchy, and sophistication of their method of operation. HSOs operate by establishing a network that facilitates the undetected movement of IAs from source countries through transit countries with the ultimate goal of successfully entering the United States in violation of U.S. law. HSOs are ever-changing in their level of sophistication and have become increasingly violent by engaging in kidnapping, extortion, assault, and rape. Some of these activities have even resulted in the death of IAs.

6.1 Accomplishing the Mission HSI’s mission can be accomplished domestically and internationally by pursuing, identifying, investigating, disrupting, and dismantling HSOs in the United States and in transit countries, and by: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 10 (b) (7)(E)(b) (7)(E) (Note: Smugglers may perform one or more of the above roles at any given time. For instance, during the course of an investigation, a drop house may be discovered and the harborer may be arrested. Therefore, the criminal organization may require that a transporter or guide take on the role of the harborer.) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 13 (b) (7)(E) 6.5 Responding to Human Smuggling Incidents When responding to a human smuggling incident, SAs shall: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 15 (b) (7)(E)(b) (7)(E) 6.5.1 Encountering Unaccompanied Alien Children in Human Smuggling Investigations HHS is responsible for the care and custody of unaccompanied alien children, including responsibility for detention where appropriate. SAs shall contact the Enforcement and Removal Operations (ERO) Field Office Juvenile Coordinator (FOJC) in their AOR upon encountering an individual who claims to be an unaccompanied alien child or the SAs suspect is an unaccompanied alien child, or where it cannot be determined within the 72-hour period that the unaccompanied alien child is a victim of human trafficking as outlined in Section 9.7 of this Handbook.

The SA must also contact DUCS by calling the 24-hour DUCS Intake Hotline at and emailing unaccompanied alien child. @acf.hhs.gov with the information about the The ERO FOJC is responsible for coordinating the actual placement of juveniles with ORR. Prior to transferring the juvenile into the custody of DUCS, the juvenile shall be served with an appropriate removal charging document (e.g., Notice to Appear (Department of Homeland Security (DHS) Form I-862) under section 240 of the INA. SAs should continue to investigate whether or not the unaccompanied alien child is a crime victim. If it is determined that the unaccompanied alien child is in fact a crime victim, SAs should follow the procedures stated in Section 9.7 (F) of this Handbook.

(Note: For further policy guidance pertaining to the handling of unaccompanied alien children by ERO and HSI, see the DRO/OI memorandum entitled, “DRO/OI Protocols and Handling Unaccompanied Alien Children,” dated October 1, 2007, or as updated. See also Appendix B, “Alien Tracking Sheet,” and Appendix C, “Interview Questions for Human Smuggling Investigations.” (Note: The above steps are not exhaustive. SAs should use their knowledge and judgment as situations arise.) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 16 (b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 17 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 18 (b) (7)(E) Chapter 8.

HUMAN TRAFFICKING STATUTES AND REFERENCES

The most commonly used human trafficking criminal statutes are codified in Chapter 77 of Title 18 of the United States Code. SAs should consult their local OCC and USAO for a discussion of additional legal aspects relating to these statutes. 8.1 Statutes 8.1.1 18 U.S.C. § 1581 – Peonage; Obstructing Enforcement This statute refers to the criminal who maintains custody of the victim, physically or psychologically, for the purposes of peonage (defined in Section 3.14). See 18 U.S.C. § 1581(a).

This statute also refers to criminals who attempt to obstruct justice related to this crime. See 18 U.S.C. § 1581(b). The statute includes the corresponding penalty. 8.1.2 18 U.S.C. § 1584 – Sale into Involuntary Servitude This statute refers to the criminal who maintains custody of the victim, physically or psychologically, for the purposes of involuntary servitude as defined in Section 3.11.

See 18 U.S.C. § 1584(a). This statute also refers to criminals who attempt to obstruct justice in relation to this crime. See 18 U.S.C. § 1584(b). The statute includes the corresponding penalty.

8.1.3 18 U.S.C. § 1589 – Forced Labor This statute refers to criminals who provide or obtain the labor of a person, or benefit from providing or obtaining such labor by means such as force or threats of force, serious harm or threats of serious harm, or abuse or threats of abuse. See 18 U.S.C. § 1589(a). The employer(s) who engage in the providing or obtaining of the labor can also be charged. See 18 U.S.C. § 1589(b).

The statute includes the corresponding penalty. 8.1.4 18 U.S.C. § 1590 – Trafficking with Respect to Peonage, Slavery, Involuntary Servitude, or Forced Labor This statute refers to criminals who knowingly recruit, harbor, transport, provide, or obtain by any means any person for forced labor. 8.1.5 18 U.S.C. § 1591 – Sex Trafficking of Children or by Force, Fraud, or Coercion This statute refers to trafficking with respect to sex trafficking of a minor or of any person by force, fraud, or coercion. It also refers to anyone who benefits financially or receives anything of value from the sex trafficking of any person.

See 18 U.S.C. § 1591(a). The statute also outlines the corresponding punishment for sex trafficking depending on the age of the victim. See 18 U.S.C. § 1591(b). _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 19 8.1.6 18 U.S.C. § 1592 – Unlawful Conduct with Respect to Documents in Furtherance of Trafficking, Peonage, Slavery, Involuntary Servitude, or Forced Labor This statute refers to criminals who knowingly destroy, conceal, remove, confiscate, or possess any actual or purported passports or other immigration document, or any other actual or purported government identification document of another person to further the trafficking of person(s). The statute includes the corresponding penalty.

8.1.7 18 U.S.C. § 1593A – Benefiting Financially from Peonage, Slavery, and Trafficking in Persons This statute prohibits anyone from knowingly benefiting, financially or by receiving anything of value, from participation in a venture which has engaged in any act in violation of 18 U.S.C. §§ 1581(a), 1592, or 1595(a), knowing or in reckless disregard of the fact that the venture has engaged in these acts by any means. 8.1.8 18 U.S.C. § 1594 – General Provisions This statute refers to the punishment of persons who attempt to violate or conspire with another to violate specific sections of Title 18 of the U.S. Code. Punishment includes civil forfeiture. Subsection (f) of this section relates to witness protection; specifically, any violation of this chapter shall be considered an organized criminal activity or other serious offense for the purposes of application of chapter 224 (relating to witness protection).

See 18 U.S.C. § 1594(f). 8.1.9 Transportation for Illegal Sexual Activity and Related Crimes The following statutes, codified in 18 U.S.C. Chapter 117, Transportation for Illegal Sexual Activity and Related Crimes, are often utilized in human trafficking investigations, because the elements of these statutes frequently align with fact patterns similar to human trafficking investigations. These statutes, commonly known as the “Mann Act,” are detailed under 18 U.S.C. §§ 2421-2423. In general, these statutes prohibit anyone from knowingly transporting or attempting to transport a person in interstate or foreign commerce, or in any territory or possession of the United States, with the intent that the person engage in prostitution or any sexual activity.

8.2 Human Trafficking Authorities/References A. Intelligence Reform and Terrorism Prevention Act of 2004. B. Trafficking Victim Protection Act (TVPA) of 2000 and all subsequent TVPA Re- Authorizations. C. “Interagency Memorandum of Understanding between the Department of Health and Human Services, the Department of Homeland Security, and the Department of Justice,” dated July 12, 2004, or as updated. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 20 D. DOJ, “Human Trafficking Prosecution Unit,” dated September 12, 2012, or as updated http://www.justice.gov/crt/about/crm/htpu.php. E. DOJ, “Human Rights and Special Prosecution Section,” dated September 12, 2012 http://www.justice.gov/criminal/hrsp/.

F. “DHS Blue Campaign: ICE Efforts to Combat Trafficking in Persons-Fact Sheet,” dated November 1, 2011, or as updated. G. “DHS Blue Campaign: Trafficking vs. Smuggling Brochure and Checklist” (undated). H. “DHS/DHS Human Trafficking Initiative from Senior Counselor Hill” (undated).

I. ICE

Directive 10071.1, “Victim Assistance Program,” dated August 25, 2011, or as updated.

J. HSI

Directive 10075.1, “Continued Presence,” dated April 6, 2011, or as updated. K. DRO/OI memorandum, “DRO/OI Protocols and Handling Unaccompanied Alien Children,” dated October 1, 2007, or as updated. L. HSI memorandum, “Role & Responsibilities of Field Coordinators in Support of the S-Nonimmigrant Visa (S-Visa) Program,” dated July 19, 2010, or as updated. M. OI memorandum, “Interim Policy and Guidelines for Immediate Assumption of Significant Public Benefit Parole Responsibilities,” dated August 8, 2006, or as updated.

N. OI memorandum, “Accountability of U.S. Immigration and Customs Enforcement (ICE) Significant Public Benefit Paroles,” dated June 27, 2006, or as updated. Chapter 9. HUMAN TRAFFICKING INVESTIGATIVE GUIDANCE HSI conducts human trafficking investigations to combat the criminal exploitation and victimization of persons regardless of the persons’ manner of entry into the United States, citizenship, or immigration status. Victims of human trafficking may have entered the United States lawfully only to be subjected to exploitation at a later time.

Although HSI primarily focuses on the investigation of human trafficking violations involving foreign nationals (perpetrators or victims), SAs have the jurisdiction to also target trafficking investigations involving domestic victims with no international nexus. Different groups or individuals may be involved in different phases of the process, such as the recruitment of victims in foreign countries, their cross-border transportation, and their exploitation in the United States. The globalization of economic systems and developments in transportation and communication _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 21 technologies has also created enormous opportunities for organized smuggling and human trafficking. Just as human trafficking organizations (HTOs) have gained sophistication by adopting modern transportation infrastructure and global communication technologies, HSI and its law enforcement partners must evolve and collaborate more effectively to combat human trafficking that is affecting countries around the world.

9.1 Indicators of Human Trafficking The following are indicators of potential human trafficking situations: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 22 (b) (7)(E)(b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 23 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 24 (b) (7)(E) 9.3 Sex Trafficking Sex trafficking is a type of human trafficking in which the victim is induced to engage in commercial sex acts, as defined in 18 U.S.C. § 1591(e)(3), or in which the person induced to perform such acts has not attained 18 years of age. The primary purpose behind this form of trafficking is to generate profits through the sexual exploitation of the victims. In some cases, victims may have initially been willing participants but were subsequently coerced, threatened, or forced to remain in the situation. Victims are often forced to perform in various roles which can eventually lead to sexual exploitation.

These roles include, but are not limited to, prostitution and working in adult entertainment establishments such as strip clubs, cantina bars, or private call services known as “deliveries.” However, it is important to keep in mind that, for a violation to be considered sex trafficking, the victims must be engaged in, or have offered to engage in, commercial sex acts. 9.4 Labor Trafficking Labor trafficking centers on the exploitation of a person’s production or ability to provide a service by means of force, fraud, or coercion. Similarly to sex trafficking, regardless of whether or not victims have a debt to be paid, victims are made to do manual labor or services thus generating profits for their exploiters. Slavery, peonage, debt bondage, and involuntary servitude fall under this form of labor trafficking and can involve work in areas such as agriculture, manufacturing, or service industries, such as domestic workers who work in-home, e.g., a maid or a caretaker.

9.5 Human Smuggling vs. Human Trafficking Although trafficking victims are often found in sweatshops, service industries, residential homes (where they perform domestic work), agricultural labor, prostitution, or sex entertainment, they may be found anywhere in the United States doing anything that is profitable to their exploiters. Victims may not recognize that they have been victimized or may be forced into protecting their exploiters. As a result, self-identifying as a victim is not a requirement to be considered a victim of human trafficking. Both domestic and foreign victims are often lured into or within the United States with promises of legitimate employment, tourism, and educational opportunities, only to find themselves exploited in the commercial sex industry or in forced labor situations.

Foreign victims find themselves in a foreign country and often they cannot speak the native language of the foreign country. Traffickers often take away the victims’ travel and identity documents and threaten victims by telling them that, if they attempt to escape, they or their families will be harmed or the victims’ families will assume the victims’ debt. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 25 (b) (7)(E) It may be difficult to distinguish between smuggling and trafficking in the initial phase of the investigation. 9.6 Understanding Force, Fraud, and Coercion The following are some examples of force, fraud, or coercion: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 26 (b) (7)(E)(b) (7)(E)(b) (7)(E) 9.7 Responding to Trafficking Victims’ Leads The critical first steps in pursuing any human trafficking lead are the immediate rescue of any identified or potential victims from dangerous situations and the swift determination of any human trafficking indicators. When HSI receives a lead involving a potential human trafficking case or victim, SAs will proceed as follows: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 27 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 28 (b) (7)(E) (Note: For further guidance and requirements, see the TVPRA and “The Interagency Memorandum of Understanding Between the Department of Health and Human Services, the Department of Homeland Security, and the Department of Justice,” dated July 12, 2004, or as updated.) 9.8 Victim-Centered Approach The enormous profits generated by human trafficking have attracted the interest of organized crime organizations and led to the significant involvement of such organizations into criminal human trafficking ventures.

Traffickers exploit impoverished and vulnerable individuals seeking a better life by offering false hopes of economic enrichment or, at the very least, economic opportunity and steady employment. Once ensnared by traffickers, victims are trapped in a world of fear, cruelty, and misery that is extremely difficult to escape. Traffickers use threats, _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 29 (b) (7)(E) intimidation, and extreme violence to maintain control of their victims and force them to toil in the most inhumane of conditions. The sexual or economic exploitation of children for human trafficking purposes is one of the most reprehensible crimes within the investigative purview of HSI.

Due to the nature of this offense, trafficking situations require specialized procedures and skills to assist the victims, especially child victims. SAs should utilize the VAC or the VAS to ensure that the needs of the victims are met. (Note: Additional information regarding the roles and responsibilities of the VAC and VAS is provided in Section 13.9 of this Handbook and in ICE Directive 10071.1, “Victim Assistance Program,” dated August 25, 2011, or as updated.) Victims of trafficking are statutorily eligible for significant benefits under the law. SAs must provide CP to all victims, regardless of the victims’ cooperation in the investigation.

It should be indicated in the CP application whether or not the victim is cooperating but this should have no bearing on the victim’s eligibility for CP. Human trafficking investigations should reflect a victim-centered approach whereby the identification, rescue, and protection of the victim is a priority and equally important to prosecuting the violator(s). SAs should always seek prosecution of human traffickers and the seizure of all their assets. 9.9 Human Trafficking Computer-Based Training for Special Agents The mandatory Computer-Based Training on Human Trafficking for SAs provides specialized training as part of the DHS Blue Campaign – DHS’ multi-faceted approach to combatting human trafficking which includes public awareness, training, victim assistance, and law enforcement investigations.

The course provides an overview of human trafficking, reality-based case scenarios, and the appropriate response when an HSI employee encounters a human trafficking situation. All SAs are required to take this training one time. New SAs must take the course prior to the completion of their first year of employment. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 30 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 31 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 32 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 33 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 34 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 35 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 36 (b) (7)(E) Chapter 11. APPLICABLE MONEY LAUNDERING LAWS IN SUPPORT OF HUMAN SMUGGLING AND HUMAN TRAFFICKING INVESTIGATIONS Since human smuggling and human trafficking criminal enterprises exist to make illicit profits, federal money laundering laws are appropriate and applicable to the investigation and prosecution of these types of criminal organizations.

In fact, applying money laundering and asset forfeiture laws is a powerful means of attacking the human smuggling and human trafficking threat. Enhanced penalties for violating money laundering statutes are significant and include fines of up to $500,000 and/or imprisonment up to 20 years. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 37 (b) (7)(E)(b) (7)(E) 11.1 Money Laundering Laws Federal money laundering laws require that there be a financial transaction involving proceeds of a specified unlawful activity (SUA) with knowledge by the transactor that the funds are proceeds of some felony, but the transaction must be accomplished or undertaken for a particular purpose, e.g., promote some violation which is in fact an SUA; conceal some aspect (ownership, source, location, etc.) of proceeds derived from an SUA; avoid a reporting requirement; or engage in income tax violations prohibited by 26 U.S.C. §§ 7201, 7206. A. 18 U.S.C. § 1956 (a)(1) – Domestic Transactions B. 18 U.S.C. § 1956 (a)(2) – International Transactions C. 18 U.S.C. § 1956 (a)(3) – Sting operation D. 18 U.S.C. § 1957 – Transactions at Financial Institutions E. 18 U.S.C. § 1956 (h) – Money Laundering Conspiracy 11.2 Specified Unlawful Activities Related to Human Smuggling and Trafficking A. 8 U.S.C. § 1324 – Bringing in and Harboring Certain Aliens B. 8 U.S.C. § 1327 – Aiding or Assisting Certain Aliens to Enter C. 8 U.S.C. § 1328 – Importation of Alien for Immoral Purpose D. 18 U.S.C. § 1581 – Peonage; obstructing enforcement E. 18 U.S.C. § 1584 – Sale into Involuntary Servitude F. 18. U.S.C. §§ 2421-2423 – “Mann Act” G. 18.

U.S.C. §1591 – Sex Trafficking of Children or by Force, Fraud, or Coercion (Note: SAs should seek more detailed guidance by consulting the Financial Investigations Handbook (HSI HB 14-03), dated May 13, 2014, or as updated.) 11.3 Forfeiture Laws A. 18 U.S.C. 981 – Civil Forfeiture Civil forfeiture law embodies actions against a property in question with the requirement that the government establish probable cause that the property was involved in smuggling and harboring, peonage, slavery, and trafficking in persons or money laundering as it relates to the aforementioned SUAs. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 38 B. 18 U.S.C. 982 – Criminal Forfeiture Criminal forfeiture law embodies actions against a person in question with the requirement that the government establish a beyond-a-reasonable-doubt guilt of a person and the person’s proprietary interest in the property in the indictment. The criminal forfeiture law allows for the government to obtain a general judgment against a person and allows for substitution of assets if the property is not available. (Note: SAs should seek more detailed guidance by consulting the Asset Forfeiture Handbook (HSI HB 10-04), dated June 30, 2010, or as updated.) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 39 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 40 (b) (7)(E) 12.2 Guidelines Hostage situations can be dynamic and complex events; specific actions taken during a hostage situation need to be determined on a case-by-case basis. Exigent circumstances may require deviation from the following guidelines: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 41 (b) (7)(E)(b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 42 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 43 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 44 (b) (7)(E) Chapter 13.

IMMIGRATION RELIEF OPTIONS FOR HUMAN SMUGGLING AND HUMAN TRAFFICKING INVESTIGATIONS While conducting human smuggling or human trafficking investigations, SAs should be aware of the immigration relief options available when encountering foreign national victims/witnesses. These options should be used in instances where it has been determined that presence of the victim/witness is required and is in the U.S. Government’s best interest. SAs must thoroughly evaluate the totality of circumstances, identify special considerations (i.e., juveniles, witnesses who are also victims, criminal history, immigration history, security concerns, etc.) and then select the most appropriate option. The following descriptions contain only brief summaries and are not intended to provide detailed protocols or procedures related to each option. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 45 (b) (7)(E)(b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 46 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 47 (b) (7)(E) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 48 (b) (7)(E) Chapter 14.

CASE MANAGEMENT

In order to appropriately document investigations, proper case management must be followed. It is important for SAC offices, and thus SAs, to properly categorize and code their cases in order to streamline the process of reporting, querying, intelligence gathering, and resource allocation. 14.1 TECS Case Categories Human Smuggling/Trafficking, shall be utilized for all human smuggling Case category and trafficking cases entered into TECS. Although there may be some overlap between these two criminal activities, they are two distinctly different federal violations and must be tracked accordingly.

The primary program codes under this category are for human smuggling investigations and program codes listed in Section 14.2 below shall be used to further classify each case. for human trafficking investigations. In addition, the subcategory 14.2 TECS Program Codes SAs should be aware that human smuggling and human trafficking cases sometimes cross over into other program areas (e.g., Worksite Enforcement, Identity and Benefit Fraud, etc.) and the secondary program codes for these areas should therefore be utilized in addition to the and primary program codes. General program codes used in TECS for human smuggling and human trafficking investigations are as follows: _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 49 (b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E) Chapter 15.

INVESTIGATIVE RESOURCES

When conducting human smuggling or trafficking investigations, SAs need to be aware of organizations and entities that will aid in primary and secondary aspects of their investigations. _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 50 (b) (7)(E) 15.4 Victim Assistance Program Due to the complex nature of human trafficking cases and the multitude of short-term and long- term needs experienced by victims, HSI human trafficking investigations are closely linked to the VAP. The responsibility for ensuring that victims’ needs are met lies with collateral-duty VACs working in HSI and ERO field offices, as well as with full-time VASs at HSI and ERO HQ and field offices. If VAC services are needed for an investigation, SAs should consult with their SAC office VAS or VAC for assistance. The HSI VAP is in the VAP/MO Unit, ISD, and can be contacted at: HSI Victim Assistance Program: Phone Email @dhs.gov 15.5 Forensic Interview Program The VAP has full-time forensic interview specialists available to support domestic and international investigations involving victims, particularly in the areas of child exploitation and human trafficking.

The purpose of a forensic interview is to assist in the determination of whether or not a crime has occurred and to assess the victim’s safety in his or her current situation. Forensic interview specialists are available to all victims, but their expertise is children. memorandum, “The Forensic Interview Program,” dated September 16, 2009, or as updated, for additional information.) (See the HSI To request assistance with scheduling a forensic interviewer to aid their investigation, SAs should contact the VAP at HSI HQ which can be contacted at: Forensic Interviews: Phone: Email: @ice.dhs.gov _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 52 (b) (7)(E)(b) (7)(E)(b) (7)(E)(b) (7)(E) 15.6 Office of Refugee Resettlement ORR is part of the Administration for Children and Families under HHS. ORR provides assistance through NGOs for victims of human trafficking by helping with resources like housing, living assistance, providing certifications for foreign adult victims of human trafficking, and eligibility letters to foreign minor victims of human trafficking. Certifications and eligibility letters grant foreign victims access to federal benefits and services to the same extent as refugees, including monetary and medical assistance, social services, health care, and foster care.

ORR can be contacted at: Office of Refugee Resettlement Administration for Children and Families U.S. Department of Health and Human Services Aerospace Building 901 D Street, SW Washington, DC 20447 15.7 Non-Governmental Organizations NGOs are organizations that are not a part of a federal, state, or local government. For the purposes of HSI, NGOs are generally organizations or agencies that provide one or more social services to trafficking survivors and victims of other crimes. These service providers have an important role in the stabilization and long-term recovery of trafficking victims and often provide access to the following short-term and long-term services. Short-term services include, but are not limited to, shelter, food, clothing, medical care, and dental care.

Long-term services include, but are not limited to, mental health, English language training, job skill training, and case management. NGOs also provide or work with partner agencies that can provide immigration advocacy and legal services to trafficking victims which is a critical resource for victims who pursue civil cases or T or U nonimmigrant status. Many NGOs are community organizations, faith-based organizations, or agencies whose primary mission is to provide assistance to victims of domestic abuse or sexual assault. Since there is no organization with the capacity to meet the wide range of trafficking victims’ needs single-handedly, NGOs usually work in collaboration with counterparts in a task force model.

It should be noted that, while most trafficking victim service agencies are NGOs, there are many public agencies, especially at the local level, that also provide direct services to trafficking victims. 15.8 HSI Office of Intelligence The HSI Office of Intelligence collects, analyzes, and shares timely and accurate intelligence on illicit trade, illicit travel, and illicit financial activity with a U.S. nexus. SAs are encouraged to utilize their local Intelligence Research Specialists to assist with investigative efforts, including _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 53 (b) (7)(E) 15.9 Human Trafficking Prosecution Unit HTPU is part of the DOJ Civil Rights Division’s Criminal Section and it serves to consolidate the expertise and resources of experienced human trafficking prosecutors. HTPU prosecutors work closely with the AUSAs and law enforcement agencies to streamline fast-moving trafficking investigations, ensure consistent application of trafficking statutes, and identify multijurisdictional trafficking networks.

Early notification of any case with potential human trafficking angles allows HTPU to provide technical assistance, legal guidance, and coordination between districts prosecuting overlapping criminal network. (See the DOJ memorandum, “Human Trafficking Prosecution Unit,” dated September 12, 2012, or as updated.) HTPU can be contacted through HSTU. 15.10 Human Rights and Special Prosecution Section The DOJ Criminal Division’s HRSP Section prosecutes members of international criminal networks who seek to evade U.S. immigration laws, such as smuggling persons into the United States. (See the DOJ memorandum, “Human Rights and Special Prosecution Section,” dated September 12, 2012, or as updated.) http://www.justice.gov/criminal/hrsp/.

HRSP also assists in the prosecution of ECT and IPAS investigations. HRSP can be contacted through HSTU. 15.11 International Organized Crime Intelligence and Operations Center The International Organized Crime Intelligence and Operations Center (IOC2) utilizes existing resources and databases of the Organized Crime Drug Enforcement Task Force (OCDETF) Fusion Center and Special Operations Division (SOD) to share intelligence, deconflict operations, and produce actionable leads for investigators and prosecutors working nationwide. IOC2 can further help conduct case coordination in furtherance of the investigations.

(Note: When requesting the telephone searches from IOC2, SOD results are automatically included. IOC2 can be contacted at: National Program Manager U.S. Immigration and Customs Enforcement Homeland Security Investigations OCDETF Fusion Center International Organized Crime Intelligence and Operations Center (IOC2) _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 54 (b) (7)(E)(b) (7)(E) 15.12 Special Operations Division SOD can query telephone numbers to deconflict with other federal investigations. SOD can be contacted at: Program Manager, Special Operations Division Email: @ice.dhs.gov 15.13 Undercover Operations Undercover operations can be used to fund travel for SAs to follow victims outside their AOR. (Note: SAs should contact the Undercover Operations Unit for further information.) 15.14 Counterterrorism and Criminal Exploitation Unit The Counterterrorism and Criminal Exploitation Unit (CTCEU) brings special skill sets to human smuggling and trafficking cases that involve certain visa classes such as F, M, and J visas.

CTCEU’s SEVIS Fraud Investigations (SFI) may be contacted by SAs any time the smuggling scheme being used involves F, M, or J visas or academic, vocational and/or flight schools. CTCEU has the capability to analyze a large volume of data pertaining to schools, programs, and student and exchange visitor visa holders and compare them to current trends, intelligence, and law enforcement reporting to uncover human smuggling or trafficking. (Note: CTCEU can be contacted at on HSI Net.) @ice.dhs.gov; additional information can be found _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 55 (b) (7)(E)(b) (7)(E) Appendix A _____________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 A-i (b) (7)(E) __________________________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 B-i (b) (7)(E) ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 C-i (b) (7)(E) ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 C-ii (b) (7)(E) ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 C-iii (b) (7)(E) Appendix D ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 D-i (b) (7)(E) ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 D-ii (b) (7)(E) ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 D-iii (b) (7)(E) ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 D-iv (b) (7)(E) Appendix E ________________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 E-i (b) (7)(E) Appendix F ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 F-i (b) (7)(E) (b) (7)(E) FOR OFFICIAL USE ONLY – LAW ENFORCEMENT SENSITIVE (b) (7)(E) FOR OFFICIAL USE ONLY – LAW ENFORCEMENT SENSITIVE (b) (7)(E) Appendix G SUPERSEDED DOCUMENTS The Human Smuggling and Trafficking Investigations Handbook supersedes the following documents: Homeland Security Investigations Memorandum 1. Domestic and International Undercover Alien Smuggling Investigations (March 23, 2012) Office of Investigations Memoranda 1.

Human Trafficking Notification Requirements (April 30, 2010) 2. New Project Code 6AB for ICE HT Outreach Campaign (March 1, 2009) 3. Extraterritorial Criminal Strike Force (August 1, 2008) 4. Options and Forms of Immigration Relief for Victims and Witnesses in ICE Investigations (January 22, 2008) 5.

ICE Trafficking in Persons Strategy (ICE TIPS): Responding to Trafficking Victims Leads (July 27, 2007) 6. Trafficking in Persons Assessment (December 17, 2006) 7. Definitions of “Human Smuggling” and “Human Trafficking” (December 13, 2004) 8. Standard Operating Procedure Domestic and International Transportation of Undocumented Aliens (December 3, 2004) 9.

Standard Operating Procedure Human Smuggling Proprietary Safe House Operations (March 8, 2004) U.S. Immigration and Naturalization Service Special Agent Field Manual Chapter 27 of the U.S. Immigration and Naturalization Service Special Agent Field Manual entitled, “Smuggling Investigations,” was cancelled by the Human Smuggling and Trafficking Unit on August 12, 2010. ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 G-i ACRONYMS Appendix H Anti-Trafficking Coordination Team Assistant Director Asset Identification and Removal Group Asylum Officer Area of Responsibility Administrative Stay of Removal Assistant United States Attorney U.S. Customs and Border Protection Code of Federal Regulations Confidential Informant Continued Presence Certified Undercover Operation Deputy Assistant Director Department of Homeland Security Department of Justice Detention and Removal Operations Division of Unaccompanied Children’s Services Executive Associate Director Extraterritorial Criminal Travel ACTeam AD AIRG AO AOR ASR AUSA CBP C.F.R. CI CP CUC DAD DHS DOJ DRO DUCS EAD ECT ENFORCE Enforcement Case Tracking System EOIR ERO ESWP FOJC FOUO HB HHS HQ HRSP HSI HSO HSTC HSTU HTO HTPU ICE INA IOC2 IP IPAS ISD Executive Office for Immigration Review Enforcement and Removal Operations Exigent Security for Witnesses Program Field Office Juvenile Coordinator For Official Use Only Handbook Department of Health and Human Services Headquarters Human Rights and Special Prosecutions Homeland Security Investigations Human Smuggling Organization Human Smuggling and Trafficking Center Human Smuggling and Trafficking Unit Human Trafficking Organization Human Trafficking Prosecution Unit U.S. Immigration and Customs Enforcement Immigration and Nationality Act International Organized Crime and Intelligence Operations Center Internet Protocol Illicit Pathways Attack Strategy Investigative Services Division ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 H-i ISP ISU LEPS NGO NHTRC OAM OBP OCC OCDETF OFO OI ORR POE RFI RICO ROI SA SAC SCR SEVIS SIA SIR SOD SPBP SRT SUA TOC TCPSD TVPA TVPRA UCA UDA USAO U.S.C. USCIS VAC VAP VAS Internet Service Provider Investigative Support Unit Law Enforcement Parole Section Non-Governmental Organization National Human Trafficking Response Center Office of Air and Marine Office of Border Patrol Office of the Chief Counsel Organized Crime Drug Enforcement Task Force Office of Field Operations Office of Investigations Office of Refugee Resettlement Port of Entry Request for Information Racketeer Influenced and Corrupt Organization Report of Investigation Special Agent Special Agent in Charge Significant Case Report Student and Exchange Visitor Information System Special Interest Alien Significant Incident Report Special Operations Division Significant Public Benefit Parole Special Response Team Specified Unlawful Activity Transnational Organized Crime Transnational Crime and Public Safety Division Trafficking Victims Protection Act Trafficking Victims Protection Reauthorization Act Undercover Agent Undocumented Alien U.S. Attorney’s Office United States Code U.S. Citizenship and Immigration Services Victim Assistance Coordinator Victim Assistance Program Victim Assistance Specialist ____________________________________________________________________________________________________________ FOR OFFICIAL USE ONLY Human Smuggling and Trafficking Investigations Handbook LAW ENFORCEMENT SENSITIVE August 21, 2015 H-ii