Human intell collector operations
*FM 2-22.3 (FM 34-52) Field Manual Headquarters No.
2-22.3 Department of the Army Washington, DC, 6 September 2006
Human Intelligence Collector Operations
Contents
Page
PREFACE vi
PART ONE HUMINT SUPPORT, PLANNING, AND MANAGEMENT
Traits of a HUMINT Collector 1-1 0
Chapter 1
INTRODUCTION 1-1
Intelligence Battlefield Operating System 1-1
Intelligence Process 1-1
Human Intelligence 1-4
HUMINT Source 1-4
HUMINT Collection and Related Activities 1-7
Required Areas of Knowledge 1-12
Capabilities and Limitations 1-13
Chapter 2
HUMAN INTELLIGENCE STRUCTURE 2-1
Organization and Structure 2-1
HUMINT Control Organizations 2-2
HUMINT Analysis and Production Organizations 2-6
DISTRIBUTION RESTRICTION: Approved for public release; distribution is unlimited.
NOTE: All previous versions of this manual are obsolete. This document is identical in content to the version dated 6 September 2006. All previous versions of this manual should be destroyed in accordance with appropriate Army policies and reyulations.
'This publication supersedeJyM 34-52, 28 September 1992, and ST 2-22.7, Tactical Human Intelligence and Counterintelligence Operations, April 2002.
PENTAGON LmRARY " "j
MrtlTARY OOCUMENTI
WASHINGTON, DC 20310
6 September 2006 FM 2-22.3
FM 2-22.3 ------------
Chapter 3
HUMINT IN SUPPORT OF ARMY OPERATIONS 3-1
Offensive Operations ...............................•............................................................ 3-1
Defensive Operations 3-2
Stability and Reconstruction Operations 3-3
Civil Support Operations 3-7
Military Operations in Urban Environment.. 3-8
HUMINT Collection Environments 3-8
EAC HUMINT 3-9
Joint, Combined, and DOD HUMINT Organizations 3-10
Chapter 4
HUMINT OPERATIONS PLANNING AND MANAGEMENT .4-1
HUMINT and the Operations Process .4-1
HUMINT Command and Control .4-3
Technical Control.
4-4
Command and Support Relationships 4-4
HUMINT Requirements Management 4-5
HUMINT Mission Planning 4-15
Task Organization 4-18
Operational Considerations 4-19
Operations Plans, Operations Orders, and Annexes 4-21
Operational Coordination 4-22
PART TWO HUMINT COLLECTION IN MILITARY SOURCE OPERATIONS
Chapter 5
HUMINT COLLECTION 5-1
HUMINT Collection Operations 5-1
Human Source Contact Operations 5-2
Debriefing Operations 5-7
Liaison Operations 5-12
Interrogation Operations , 5-13
Types of Interrogation Operations 5-27
PART THREE THE HUMINT COLLECTION PROCESS
Chapter 6
SCREENING 6-1
Human Source Screening 6-1
Screening Operations 6-2
Screening Process 6-9
Screening Methodologies 6-11
Screening Requirements 6-12
ii FM 2-22.3 6 September 2006
Chapter 7
Chapter 8
Chapter 9
Chapter 10
_
Initial Data and Observations 6-13
Source Assessment 6-14
Other Types of Screening Operations 6-15
PLANNING AND PREPARATION 7-1
Collection Objectives 7-1
Research 7-1
HUMINT Collection Plan 7-8
Final Preparations 7-13
APPROACH TECHNIQUES AND TERMINATION STRATEGIES 8-1
Approach Phase 8-1
Developing Rapport 8-3
Approach Techniques 8-6
Approach Strategies for Interrogation 8-20
Approach Strategies for Debriefing 8-21
Approach Strategies for Elicitation 8-22
Termination Phase 8-23
QUESTIONING 9-1
General Questioning Principles 9-1
Direct Questions 9-1
Elicitation 9-5
Leads 9-5
Detecting Deceit. 9-6
HUMINT Collection Aids 9-9
Recording Techniques 9-9
Questioning With an Analyst or a Technical Expert 9-11
, Third-Party Official and Hearsay Information 9-12
Conducting Map Tracking 9-13
Special Source Categories 9-16
REPORTING 10-1
Reporting Principles 10-1
Report Types 10-1
Reporting Architecture 10-5
6 September 2006 FM 2-22.3
Chapter 11
HUMINT COLLECTION WITH AN INTERPRETER 11-1
Advantages and Disadvantages of Interpreter Use 11-1
Methods of Interpreter Use 11-2
Sources of Interpreters 11-4
Interpretation Techniques 11-5
Training and Briefing the Interpreter 11-5
Placement of the Interpreter 11-6
Interactions With and Correction of the Interpreter 11-7
Interpreter Support in Report Writing 11-8
Evaluating the Interpreter 11-8
Managing an Interpreter Program 11-9
PART FOUR ANALYSIS AND TOOLS
Chapter 12
HUMINT ANALYSIS AND PRODUCTION 12-1
Analytical Support to Operational Planning 12-1
Operational Analysis and Assessment... 12-3
Source Analysis 12-4
Single-Discipline HUMINT Analysis and Production 12-4
HUMINT Source Selection 12-19
Chapter 13
AUTOMATION AND COMMUNiCATION 13-1
Automation 13-1
Collection Support Automation Requirements 13-2
Analytical Automation Requirements 13-3
Automation Systems 13-7
Communications 13-8
APPENDIX A GENEVA CONVENTIONS A-1
Section I. Geneva Conventions Relative to the Treatment
of Prisoners of War (Third Geneva Convention) A-1
Section II.
Geneva Conventions Relative to the Protection of
Civilian Persons in Time of War (Fourth Geneva Convention) ........A-47
APPENDIX B SOURCE AND INFORMATION RELIABILITY MATRIX B-1
APPENDIX C PRE-DEPLOYMENT PLANNING C-1
APPENDIX D S2 GUIDE FOR HANDLING DETAINEES, CAPTURED ENEMY DOCUMENTS,
AND CAPTURED ENEMY EQUIPMENT.. D-1
Iv FM 2-22.3 6 September 2006
APPENDIX E EXTRACTS FROM ALLIED JOINT PUBLICATION (AJP)·2.5 E-1
APPENDIX F NATO SYSTEM OF ALLOCATING INTERROGATION SERIAL NUMBERS F-1
APPENDIX G QUESTIONING QUICK REFERENCE G-1
APPENDIX H SALUTE REPORTING H-1
APPENDIX I DOCUMENT EXPLOITATION AND HANDLlNG 1-1
GLOSSARY Glossary-1
BIBLIOGRAPHy Bibliography-1
APPENDIX J REFERENCES J-1
APPENDIX K CONTRACT INTERROGATORS K-1
APPENDIX L SAMPLE EQUIPMENT FOR HCT OPERATIONS L-1
APPENDIX M RESTRICTED INTERROGATION TECHNIQUE -SEPARATION M-1
INDEX Index-1
6 September 2006 FM 2-22.3
FM 2-22.3 _
Preface
This manual provides doctrinal guidance, techniques, and procedures governing the employment of human intelligence (HUMINT) collection and analytical assets in support of the commander's intelligence needs. It outline&
•
HUMINT operations.
•
The HUMINT collector's role within the intelligence operating system.
•
The roles and responsibilities of the HUMINT collectors and the roles of those providing the command, control, and technical support of HUMINT collection operations.
This manual expands upon the information contained in FM 2-0. It supersedes FM 34-52 and rescinds ST 2-22.7. It is consistent with doctrine in FM 3-0, FM 5-0, FM 6-0, and JP 2-0. In accordance with the Detainee Treatment Act of 2005, the only interrogation approaches and techniques that are authorized for use against any detainee, regardless of status or characterization, are those authorized and listed in this Field Manual. Some of the approaches and techniques authorized and listed in this Field Manual also require additional specified approval before implementation.
This manual will be reviewed annually and may be amended or updated from time to time to account for changes in doctrine, policy, or law, and to address lessons learned.
This manual provides the doctrinal guidance for HUMINT collectors and commanders and staffs of the MI organizations responsible for planning and executing HUMINT operations. This manual also serves as a reference for personnel developing doctrine, tactics, techniques, and procedures (TTP); materiel and force structure; institutional and unit training; and standing operating procedures (SOPs), for HUMINT operations at all army echelons. In accordance with TRADOC Regulation 25-36, the doctrine in this field manual is not policy (in and of itself), but is "...a body of thought on how Army forces operate....[It] provides an authoritative guide for leaders and soldiers, while allowing freedom to adapt to circumstances."
This manual applies to the Active Army, the Army National Guard/Army National Guard of the United States, and the United States Army Reserve unless otherwise stated. This manual also applies to DOD civilian employees and contractors with responsibility to engage in HUMINT collection activities. It is also intended for commanders and staffs of joint and combined commands, and Service Component Commands (SCC). Although this is Army doctrine, adaptations will have to be made by other Military Departments, based on each of their organizations and specific doctrine.
Material in this manual applies to the full range of military operations. Principles outlined also are valid under conditions involving use of electronic warfare (EW) or nuclear, biological, or chemical (NBC) weapons.
This manual is intended for use by military, civilian, and civilian contractor HUMINT collectors, as well as commanders, staff officers, and military intelligence (MI) personnel charged with the responsibility of the HUMINT collection effort.
HUMINT operations vary depending on the source of the information. It is essential that all HUMINT collectors understand that, whereas operations and sources may
6 September 2006
FM 2-22.3 _
differ, the handling and treatment of sources must be accomplished in accordance with applicable law and policy. Applicable law and policy include US law; the law of war; relevant international law; relevant directives including DOD Directive 3115.09, "DOD Intelligence Interrogations, Detainee Debriefings, and Tactical Questioning"; DOD Directive 2310.1E, "The Department of Defense Detainee Program"; DOD instructions; and military execute orders including fragmentary orders (FRAGOs).
Interrogation, the HUMINT subdiscipline responsible for MI exploitation of enemy personnel and their documents to answer the supported specific information requirements (SIRs), requires the HUMINT collector to be fully familiar with both the classification of the source and applicable law. The principles and techniques of HUMINT collection are to be used within the constraints established by US law including the following:
•
The Uniform Code of Military Justice (UCMJ).
•
Geneva Convention for the Amelioration of the Condition of the Wounded and Sick in Armed Forces in the Field (including Common Article III), August 12, 1949; hereinafter referred to as GWS.
•
Geneva Convention Relative to the Treatment of Prisoners of War (including Common Article III), August 12, 1949; hereinafter referred to as GPW.
•
Geneva Convention Relative to the Protection of Civilian Persons in Time of War (including Common Article III), August 12, 1949; hereinafter referred to as GC.
• Detainee Treatment Act of 2005, Public Law No. 109-163, Title XIV. HUMINT collectors must understand specific terms used to identify categories of personnel when referring to the principles and techniques of interrogation. Determination of a detainee's status may take a significant time and may not be completed until well after the time of capture. Therefore, there will be no difference
in the treatment of a detainee of any status from the moment of capture until such a determination is made. The following terms are presented here and in the glossary.
•
Civilian Internee: A person detained or interned in the United States or in occupied territory for security reasons, or for protection, or because he or she has committed an offense against the detaining power, and who is entitled to "protected person" status under the GC.
•
Enemy Prisoner of War (EPW): A detained person, as defined in Articles 4 and 5 of the GPW. In particular, one who, while engaged in combat under orders of his or her government, is captured by the armed forces of the enemy. As such, he or she is entitled to the combatant's privilege of immunity from the municipal law of the capturing state for warlike acts that do not amount to breaches of the law of armed conflict. For example, an EPW may be, but is not limited to, any person belonging to one of the following categories of personnel who have fallen into the power of the enemy; a member of the armed forces, organized militia or volunteer corps; a person who accompanies the armed forces, without actually being a member thereof; a member of a merchant marine or civilian aircraft crew not qualifying for more favorable treatment; or individuals who, on the approach of the enemy, spontaneously take up arms to resist invading forces.
•
Other Detainees: Persons in the custody of the US Armed Forces who have not been classified as an EPW (Article 4, GPW), retained personnel (Article 33, GPW), and Civilian Internee (Articles 27, 41, 48, and 78, GC) shall be treated as EPWs until a legal status is ascertained by competent authority; for example, by Article 5 Tribunal.
•
Retained Personnel: (See Articles 24 and 26, GWS.)
6 September 2006
FM 2-22.3 _
Official medical personnel of the armed forces exclusively engaged in the search for, or the collection, transport or treatment of wounded or sick, or in the prevention of disease, and staff exclusively engaged in the administration of medical units and facilities. Chaplains attached to the armed forces.
Staff of National Red Cross Societies and that of other Volunteer Aid Societies, duly recognized and authorized by their governments to assist Medical Service personnel of their own armed forces, provided they are exclusively engaged in the search for, or the collection, transport or treatment of wounded or sick, or in the prevention of disease, and provided that the staff of such societies are subject to military laws and regulations.
•
Protected Persons: Include civilians entitled to protection under the GC, including those we retain in the course of a conflict, no matter what the reason.
•
Enemy Combatant: In general, a person engaged in hostilities against the United States or its coalition partners during an armed conflict. The term "enemy combatant" includes both "lawful enemy compatants" and "unlawful enemy combatants." All captured or detained personnel, regardless of status, shall be treated humanely, and in accordance with the Detainee Treatment Act of 2005 and DOD Directive 2310.1E, ''Department of Defense Detainee Program", and no person in the custody or under the control of DOD, regardless of nationality or physical location, shall be subject to torture or cruel, inhuman, or degrading treatment or punishment, in accordance with and as defined in US law.
Lawful Enemy Combatant: Lawful enemy combatants, who are entitled to protections. under the Geneva Conventions, include members of the regular armed forces of a State Party to the conflict; militia, volunteer corps, and organized resistance movements belonging to a State Party to the conflict, which are under responsible command, wear a fixed distinctive sign recognizable at a distance, carry their arms openly, and abide by the laws of war; and members of regular armed forces who profess allegiance to a government or an authority not recognized by the detaining power.
Unlawful Enemy Combatant: Unlawful enemy combatants are persons not entitled to combatant immunity, who engage in acts against the United States or its coalition partners in violation of the laws and customs of war during an armed conflict. For the purposes of the war on terrorism, the term "unlawful enemy combatant" is defined to include, but is not limited to, an individual who is or was part of or supporting Taliban or al Qaeda forces, or associated forces that are engaged in hostilities against the United States or its coalition partners.
Headquarters, U.S. Army Training and Doctrine Command (TRADOC) is the proponent for this publication. The preparing agency is the US Army Intelligence Center and Fort Huachuca, Fort Huachuca, AZ. Send written comments and recommendations on DA Form 2028 (Recommended Changes to Publications and Blank Forms) directly to Commander, ATZS-CDI-D (FM 2-22.3), U.S. Army Intelligence Center and Fort Huachuca, 550 Cibeque Street, Fort Huachuca, AZ 85613-7017. Send comments and recommendations bye-mail to ATZS-FDTD@hua.army.mil. Follow the DA Form 2028 format or submit an electronic DA Form 2028.
Unless otherwise stated, masculine nouns and pronouns do not refer exclusively to men. Use of the terms ''he'' and ''him'' in this manual should be read as referring to both males and females unless otherwise expressly noted.
6 September 2006
FM 2-22.3
PART ONE
HUMINT Support, Planning, and Management
HUMINT collection activities include three general categories: screening, interrogation, and debriefing. In some cases these may be distinguished by legal distinctions between source categories such as between interrogation and debriefing. In others, the distinction is in the purpose of the questioning. Regardless of the type of activity, or goal of the collection effort, HUMINT collection operations must be characterized by effective support, planning, and management.
Chapter 1
Introduction
INTELLIGENCE BATTLEFIELD OPERATING SYSTEM 1-1. The Intelligence battlefield operating system (BOS) is one of seven operating systems--Intelligence, maneuver, fire support, air defense, mobility/countermobility/survivability, combat service support (CSS), and command and control-that enable commanders to build, employ, direct, and sustain combat power. The Intelligence BOS is a flexible force of Intelligence personnel, organizations, and equipment. Individually and collectively, these assets generate knowledge of and products portraying the enemy and the environmental features required by a command planning, preparing, executing, and assessing operations. Inherent within the Intelligence BOS is the capability to plan, direct, and synchronize intelligence, surveillance, and reconnaissance (ISR) operations; collect and process information; produce relevant intelligence; and disseminate intelligence and critical information in an understandable and presentable form to those who need it, when they need it. As one of the seven disciplines of the Intelligence BOS, HUMINT provides a capability to the supported commander in achieving information superiority on the battlefield.
INTELLIGENCE PROCESS
1-2. Intelligence operations consist of the functions that constitute the
intelligence process: plan, prepare, collect, process, produce, and the
common tasks of analyze, disseminate, and assess that occur throughout
the intelligence process. Just as the activities of the operations process
overlap and recur as circumstances demand, so do the functions of the
intelligence process. Additionally, the analyze, disseminate, and assess tasks
6 September 2006
of the intelligence process occur continuously throughout the intelligence process. (See Figure 1-1.)
• Plan. This step of the intelligence process consists of activities that include assessing the situation, envisioning a desired outcome (also known as setting the vision), identifying pertinent information and intelligence requirements, developing a strategy for ISR operations to satisfy those requirements, directing intelligence operations, and synchronizing the ISR effort. The commander's intent, planning guidance, and commander's critical information requirements (CCIRs) (priority information requi~ements [PIRs] and friendly force
<
information requirements [FFIRsD drive the planning of intelligence operations. Commanders must involve their supporting staff judge advocate (SJA) when planning intelligence operations (especially HUMINT operations). Planning, managing, and coordinating these operations are continuous activities necessary to obtain information and produce intelligence essential to decisionmakirig.
•
Prepare. This step includes those staff and leader activities that take place upon receiving the operations plan (OPLAN), operations order (OPORD), warning order (WARNO), or commander's intent to improve the unit's ability to execute tasks or missions and survive on the battlefield.
•
Collect. Recent ISR doctrine necessitates that the entire staff, especially the G3/S3 and G2/S2, must change their reconnaissance and surveillance (R&S) mindset to conducting ISR. The staff must carefully focus ISR on the CCIR but also enable the quick re-tasking of units and assets as the situation changes. This doctrinal requirement ensures that the enemy situation, not just our OPLAN, "drives" ISR operations. Well-developed procedures and carefully planned flexibility to support emerging targets, changing requirements, and the need to support combat assessment are critical. The G3/S3 and G2/S2 play a critical role in this challenging task that is sometimes referred to as "fighting ISR" because it is so staff intensive during planning and execution (it is an operation within the operation). Elements of all units on the battlefield obtain information and data about enemy forces, activities, facilities, and resources as well as information concerning the environmental and geographical characteristics of a particular area.
•
Process.· This step converts relevant information into a form suitable for analysis, production, or immediate use by the commander. Processing also includes sorting through large amounts of collected information and intelligence (multidiscipline reports from the unit's ISR assets, lateral and higher echelon units and organizations, and non-MI elements in the battlespace). Processing identifies and exploits that information which is pertinent to the commander's intelligence requirements and facilitates situational understanding. Examples of processing include developing film, enhancing imagery, translating a document from a foreign language, converting electronic data into a standardized report that can be analyzed by a system operator, and
6 September 2006
correlating dissimilar or jumbled information by assembling like elements before the information is forwarded for analysis.
• Produce. In this step, the G2/S2 integrates evaluated, analyzed, and interpreted information from single or multiple sources and disciplines into finished intelligence products. Like collection operations, the G2/S2 must ensure the unit's information processing and intelligence production are prioritized and synchronized to support answering the collection requirements.
COMMANDER Facilitates Situational Understanding t Relevant Information (which includes Intelligence) ASSESS isa continuous function The Operations Process ~ provides guidance and focus which drives the Intelligence Process t ~ Commander's ANALYZE, DISSEMINATE, and ASSESS are continuous functions The Intelligence Process provides continuous intelligence input essential to the Operations Process
Intent
Figure 1-1. Intelligence Process.
1-3. For more information on the Intelligence process, see FM 2-0.
6 September 2006
HUMAN INTELLIGENCE
1-4. HUMINT is the collection of information by a trained HUMINT collector (military occupational specialties [MOSs] 97E, 351Y [formerly 351C], 351M [formerly 351E], 35E, and 35F), from people and their associated documents and media sources to identify elements, intentions, composition, strength, dispositions, tactics, equipment, personnel, and capabilities. It uses human sources as a tool and a variety of collection methods, both passively and actively, to gather information to satisfy the commander's intelligence requirements and cross-cue other intelligence disciplines.
1-5. HUMINT tasks include but are not limited to
•
Conducting source operations.
•
Liaising with host nation (HN) officials and allied counterparts.
•
Eliciting information from select sources.
•
Debriefing US and allied forces and civilian personnel including refugees, displaced persons (DPs), third-country nationals, and local inhabitants.
•
Interrogating EPWs and other detainees.
•
Initially exploiting documents, media, and materiel.
Note. In accordance with Army regulatory and policy guidance, a select set of intelligence personnel may be trained and certified to conduct certain HUMINT tasks outside of those which are standard for their primary MOS. Such selection and training will qualify these personnel to conduct only those specific additional tasks, and will not constitute qualifications as a HUMINT collector.
HUMINT SOURCE
1-6. A HUMINT source is a person from whom information can be obtained. The source may either possess first-or second-hand knowledge normally obtained through sight or hearing. Potential HUMINT sources include threat, neutral, and friendly military and civilian personnel. Categories of HUMINT sources include but are not limited to detainees, refugees, DPs, local inhabitants, friendly forces, and members of foreign governmental and non-governmental organizations (NGOs).
HUMINT COLLECTOR
1-7. For the purpose of this manual, a HUMINT collector is a person who is specifically trained and certified for, tasked with, and engages in the collection of information from individuals (HUMINT sources) for the purpose of answering intelligence information requirements. HUMINT collectors specifically include enlisted personnel in MOS 97E, Warrant Officers (WOs) in MOS 351M (351E) and MOS 351Y (351C), commissioned officers in MOS 35E and MOS 35F, select other specially trained MOSs, and their Federal civilian employee and civilian contractor counterparts. These specially trained and certified individuals are the only personnel authorized to conduct HUMINT collection operations, although CI agents also use HUMINT collection techniques in the conduct of CI operations. HUMINT
6 September 2006
collection operations must be conducted in accordance with applicable law and policy. Applicable law and policy include US law; the law of war; relevant international law; relevant directives including DOD Directive 3115.09, "DOD Intelligence Interrogations, Detainee Debriefings, and Tactical Questioning"; DOD Directive 231O.1E, "The Department of Defense Detainee Program"; DOD instructions; and military execute orders including FRAGOs. Additional policies and regulations apply to management of contractors engaged in HUMINT collection. (See Bibliography for additional references on contractor management.) HUMINT collectors are not to be confused with CI agents, MaS 97B and WO MaS 351L (351B). CI agents are trained and certified for, tasked with, and carry out the mission of denying the enemy the ability to collect information on the activities and intentions of friendly forces. Although personnel in 97E and 97B MOSs may use similar methods to carry out their missions, commanders should not use them interchangeably. See Figure 1-2 for HUMINT and CI functions.
PHASES OF HUMINT COLLECTION
1-8. Every HUMINT questioning session, regardless of the methodology used or the type of operation, consists of five phases. The five phases of HUMINT collection are planning and preparation, approach, questioning, termination, and reporting. They are generally sequential; however, reporting may occur at any point within the process when critical information is obtained and the approach techniques used will be reinforced as required through the questioning and termination phases.
Planning and Preparation
1-9. During this phase, the HUMINT collector conducts the necessary research and operational planning in preparation for a specific collection effort with a specific source. Chapter 7 discusses this phase in detail.
Approach
1-10. During the approach phase, the HUMINT collector establishes the conditions of control and rapport to gain the cooperation of the source and to facilitate information collection. Chapter 8 discusses approach and termination strategies in detail.
Questioning
1-11. During the questioning phase, the HUMINT collector uses an interrogation, debriefing, or elicitation methodology to ask a source questions systematically on relevant topics, collect information in response to the intelligence tasking, and ascertain source veracity. Chapter 9 discusses questioning techniques in detail. (See Appendix B for a source and reliability matrix.)
6 September 2006
FM 2-22.3 _
HUMINT ROLE • Determine -Capabilities -Order of Battle -Vulnerabilities -Intentions TARGET • Adversary Decisionmaking Architecture FUNCTIONS • HUMINT Collection Activities -Tactical Questioning -Screening -Interrogation -Debriefing -Liaison -Human Source Operations -DOCEX -CEE Operations • Analysis -Link Diagrams -Patterns COUNTERINTELLIGENCE ROLE • Detect • Identify • Exploit • Neutralize TARGET • Adversary Intelligence Activities FUNCTIONS • Collection -Contact Operations -Tactical Source Operations • Investigation -Incidents -Anomalies • Operation -Agent Operations • Analysis -Link Diagrams -Patterns
Figure 1-2. HUMINT and CI Functions.
Termination
1-12. During the termination phase, the HUMINT collector completes a questioning session and establishes the necessary conditions for future collection from the same source by himself or another HUMINT collector. (See Chapter 8.)
Reporting
1-13. During the reporting phase, the HUMINT collector writes, edits, and submits written, and possibly oral, reports on information collected in the course of a HUMINT collection effort. These reports will be reviewed, edited, and analyzed as they are forwarded through the appropriate channels. Chapter 10 discusses reporting in detail.
6 September 2006
HUMINT COLLECTION AND RELATED ACTIVITIES
1-14. HUMINT collection activities include these categories: tactical questioning, screening, interrogation, debriefing, liaison, human source contact operations (SCOs), document exploitation (DOCEX), and captured enemy equipment (CEE) operations. DOCEX and CEE operations are activities supported by HUMINT collection but usually are only conducted by HUMINT collectors when the CEE or captured enemy document (CED) is associated with a source being questioned. In some cases, these determinations may depend on legal distinctions between collection methods such as interrogation and debriefing. In others, the distinction is in the purpose of the questioning. For example, screening is used to identify the knowledgeability and cooperation of a source, as opposed to the other activities that are used to collect information for intelligence purposes.
1-15. The activities may be conducted interactively. For example, a HUMINT collector may be screening a potential source. During the course of the screening, the HUMINT collector identifies that the individual has information that can answer requirements. He might at that point debrief or interrogate the source on that specific area. He will then return to screening the source to identify other potential areas of interest.
1-16. HUMINT collection activities vary depending on the source of the information. Once the type of activity has been determined, leaders use the process of plan, prepare, execute, and assess to conduct the activity. The following are the different types of HUMINT collection activities.
TACTICAL QUESTIONING
1-17. Tactical questioning is expedient initial questioning for information of immediate tactical value. Tactical questioning is generally performed by members of patrols, but can be done by any DOD personnel. (See ST 2-91.6.)
SCREENING
1-18. Screening is the process of identifying and assessing the areas of knowledge, cooperation, and possible approach techniques for an individual who has information of intelligence value. Indicators and discriminators used in screening can range from general appearance, possessions, and attitude to specific questions to assess areas of knowledge and degree of cooperation to establish if an individual matches a predetermined source profile. Screening is not in itself an intelligence collection technique but a timesaving measure that identifies those individuals most likely to have information of value.
1-19. Screening operations are conducted to identify the level of knowledge, level of cooperation, and the placement and access of a given source. Screening operations can also assist in the determination of which discipline or agency can best conduct the exploitation. Chapter 6 discusses screening in detail. Screening operations include but are not limited to
•
Mobile and static checkpoint screening, including screening of refugees and DPs.
•
Locally employed personnel screening.
6 September 2006
•
Screening as part of a cordon and search operation.
•
EPW and detainee screening.
INTERROGATION
1-20. Interrogation is the systematic effort to procure information to answer specific collection requirements by direct and indirect questioning techniques of a person who is in the custody of the forces conducting the questioning. Some examples of interrogation sources include EPWs and other detainees. Interrogation sources range from totally cooperative to highly antagonistic. Interrogations may be conducted at all echelons in 'all operational environments. Detainee interrogation operations conducted at a Military Police (MP) facility, coalition-operated facility, or other agency-operated collection facility are more robust and require greater planning, but have greater logistical support. Interrogations may only be conducted by personnel trained and certified in the interrogation methodology, including personnel in MOSs 97E, 351M (351E), or select others as may be approved by DOD policy. Interrogations are always to be conducted in accordance with the Law of War, regardless of the echelon or operational environment in which the HUMINT collector is operating.
DEBRIEFING
1-21. Debriefing is the process of questioning cooperating human sources to satisfy intelligence requirements, consistent with applicable law. The source usually is not in custody and usually is willing to cooperate. Debriefing may be conducted at all echelons and in all operational environments. The primary categories of sources for debriefing are refugees, emigres, DPs, and local civilians; and friendly forces.
•
Refugees, Emigres, DPs, and Local Civilians Debriefing Operations. Refugee, emigre, and DP debriefing operations are the process of questioning cooperating refugees and emigres to satisfy intelligence requirements. The refugee mayor may not be in custody, and a refugee or emigre's willingness to cooperate need not be immediate or constant. Refugee debriefings are usually conducted at refugee collection points or checkpoints and may be conducted in coordination with civil affairs (CA) or MP operations. Local civilian debriefing operations are the process of questioning cooperating local civilians to satisfy intelligence requirements. As with refugees and emigres, the local civilians being debriefed mayor may not be in custody and the civilian's willingness to cooperate may not be immediate or constant. Debriefing operations must be conducted consistent with applicable law and policy. Applicable law and policy include US law; the law of war; relevant international law; relevant directives including DOD Directive 3115.09, "DOD Intelligence Interrogations, Detainee Debriefings, and Tactical Questioning"; DOD Directive 2310.1E, "The Department of Defense Detainee Program"; DOD instructions; and military execute orders including FRAGOs.
•
Friendly Force Debriefing Operations. Friendly force debriefing operations are the systematic debriefing of US forces to answer
6 September 2006
collection requirements. These operations must be coordinated with US units. (See Chapter 6.)
LIAISON OPERATIONS
1-22. Liaison operations are programs to coordinate activities and exchange information with host country and allied military and civilian agencies and NGOs.
HUMAN SOURCE CONTACT OPERA'rIONS
1-23. Human SCO are operations directed toward the establishment of human sources who have agreed to meet and cooperate with HUMINT collectors for the purpose of providing information. Within the Army, SCO are conducted by trained personnel under the direction of military commanders. The entire range of HUMINT collection operations can be employed. SCO sources include one-time contacts, continuous contacts, and formal contacts from debriefings, liaison, and contact operations. SCO consist of collection activities that utilize human sources to identify attitude, intentions, composition, strength, dispositions, tactics, equipment, target development, personnel, and capabilities of those elements that pose a potential or actual threat to US and coalition forces. SCO are also employed to develop local source or informant networks that provide early warning of imminent danger to US and coalition forces and contribute to the Military Decision-Making Process (MDMP). See Chapter 5 for discussion of approval, coordination, and review for each type of activity.
DOCEX OPERATIONS
1-24. DOCEX operations are the systematic extraction of information from open, closed, published, and electronic source documents. These documents may include documents or data inside electronic communications equipment, including computers, telephones, Personal Digital Assistants (PDAs), and Global Positioning System (GPS) terminals. This operation is not solely a HUMINT function, but may be conducted by any intelligence personnel with appropriate language support.
1-25. Many CEDs are associated with EPWs and other human sources. Consequently, a HUMINT collector is often the first person to screen them. HUMINT collectors will screen the documents associated with human sources and will extract information of use to them in their immediate collection operation. Any information discovered during this initial screening that might cross-cue another collection effort will be forwarded to the appropriate unit.
1-26. A captured document is usually something that the enemy has written for his own use. For this reason, captured documents are usually truthful and accurate. There are cases in which falsified documents have been permitted to fall into enemy hands as a means of deception but these cases are not the norm. Normal policy of not relying on single-source information should help prevent deceptions of this type from being effective. Documents also do not forget or misinterpret information although it must be remembered that their authors may have. Usually, each document provides a portion of a
6 September 2006
larger body of information. Each captured document, much like a single piece of a puzzle, contributes to the whole. In addition to tactical intelligence, technical data and political indicators that are important to strategic and national level agencies can sometimes be extracted from captured documents. Captured documents, while not affected by memory loss, are often time sensitive; therefore, they are to be quickly screened for possible exploitation.
CEE OPERATIONS
1-27. CEE includes all types of foreign and non-foreign materiel found on a detainee or on the battlefield that may have a military application or answer a collection requirement. The capturing unit must
• Recognize certain CEE as having immediate intelligence value, and immediately forward such CEE to the unit's S2. Such items include
•
All electronic communications equipment with a memory card, including computers, telephones, PDAs, and GPS terminals.
•
All video or photographic equipment.
•
Recognize certain CEE as having technical intelligence (TECHINT) value. Such items include
•
New weapons.
• All communications equipment not immediately exploitable for HUMINT value.
•
Track vehicles.
•
Equipment manuals.
• All CEE known or believed to be of TECHINT interest.
•
Evacuate the equipment with the detainee.
•
Confiscate, tag, and evacuate weapons and other equipment found on the detainee the same as CEDs. (See Appendix D.)
•
Secure and report the capture of TECHINT items to the unit's S2 for disposition instructions.
TRAITS OF A HUMINT COLLECTOR
1-28. HUMINT collection is a science and an art. Although many HUMINT collection skills may be taught, the development of a skilled HUMINT collector requires experience in dealing with people in all conditions and under all circumstances. Although there are many intangibles in the definition of a "good" HUMINT collector, certain character traits are invaluable:
• Alertness. The HUMINT collector must be alert on several levels while conducting HUMINT collection. He must concentrate on the information being provided by the source and be constantly evaluating the information for both value and veracity based on collection requirements, current intelligence, and other information obtained from the source. Simultaneously, he must be alert not only to what the source says but also to how it is said and the accompanying body language to assess the source's truthfulness, degree of cooperation, and current mood. He needs to know when to give the source a break and
6 September 2006
when to press the source harder. In addition, the HUMINT collector
constantly must be alert to his environment to ensure his personal
security and that of his source.
•
Patience and Tact. The HUMINT collector must have patience and tact in creating and maintaining rapport between himself and the source, thereby enhancing the success of the questioning. Displaying impatience may
•
Encourage a difficult source to think that if he remains unresponsive for a little longer, the HUMINT collector will stop questioning.
•
Cause the source to lose respect for the HUMINT collector, thereby reducing the HUMINT collector's effectiveness.
•
Credibility. The HUMINT collector must provide a clear, accurate, and professional product and an accurate assessment of his capabilities. He must be able to clearly articulate complex situations and concepts. The HUMINT collector must also maintain credibility with his source. He must present himself in a believable and consistent manner, and follow through on any promises made as well as never to promise what cannot be delivered.
•
Objectivity and Self-control. The HUMINT collector must also be totally objective in evaluating the information obtained. The HUMINT collector must maintain an objective and dispassionate attitude regardless of the emotional reactions he may actually experience or simulate during a questioning session. Without objectivity, he may unconsciously distort the information acquired. He may also be unable to vary his questioning and approach techniques effectively. He must have eJj:ceptional self-control to avoid displays of genuine anger, irritation, sympathy, or weariness that may cause him to lose the initiative during questioning but be able to fake any of these emotions as necessary. He must not become emotionally involved with the source.
•
Adaptability. A HUMINT collector must adapt to the many and varied personalities which he will encounter. He must also adapt to all types of locations, operational tempos, and operational environments. He should try to imagine himself in the source's position. By being adaptable, he can smoothly shift his questioning and approach techniques according to the operational environment and the personality of the source.
•
Perseverance. A tenacity of purpose can be the difference between a HUMINT collector who is merely good and one who is superior. A HUMINT collector who becomes easily discouraged by opposition, noncooperation, or other difficulties will not aggressively pursue the objective to a successful conclusion or exploit leads to other valuable information.
•
Appearance and Demeanor. The HUMINT collector's personal appearance may greatly influence the conduct of any HUMINT collection operation and attitude of the source toward the HUMINT collector. Usually an organized and professional appearance will favorably influence the source. If the HUMINT collector's manner
1-11
6 September 2006
reflects fairness,strength, and efficiency, the source may prove more cooperative and more receptive to questioning.
• Initiative. Achieving and maintaining the initiative are essential to a successful questioning session just as the offensive is the key to success in combat operations. The HUMINT collector must grasp the initiative and maintain it throughout all questioning phases. This does not mean he has to dominate the source physically; rather, it means that the HUMINT collector knows his requirements and continues to direct the collection toward those requirements.
REQUIRED AREAS OF KNOWLEDGE
1-29. The HUMINT collector must be knowledgeable in a variety of areas in
order to question sources effectively. The collector must prepare himself for
operations in a particular theater or area of intelligence responsibility
(AOIR) by conducting research. The G2 can be a valuable source of
information for this preparatory research. The HUMINT collector should
consult with order of battle (OB) technicians and analysts and collect
information from open sources and from the Secret Internet Protocol Router
Network (SIPRNET) to enhance his knowledge of the AOIR. Some of these
areas of required knowledge are
•
The area of operations (AO) including the social, political, and economic institutions; geography; history; language; and culture of the target area. Collectors must be aware of all ethnic, social, religious, political, criminal, tribal, and economic groups and the interrelationships between these groups.
•
All current and potential threat forces within the AOIR and their organization, equipment, motivation, capabilities, limitations, and normal operational methodology.
•
Applicable law and policy that might affect HUMINT collection activities. Applicable law and policy include US law; the law of war; relevant international law; relevant directives including DOD Directive 3115.09, "DOD Intelligence Interrogations, Detainee Debriefings, and Tactical Questioning"; DOD Directive 2310.1E, "The Department of Defense Detainee Program"; DOD instructions; and military execute orders including FRAGOs. HUMINT collectors are subject to applicable law, which includes US law, the law of war (including the Geneva Conventions as applicable), and relevant international law. Additionally, local agreements with HNs or allies and the applicable execute orders and rules of engagement (ROE) may further restrict HUMINT collection activities. However, these documents cannot permit interrogation actions that would be illegal under applicable US or international law.
•
The collection requirements, including all specific information requirements (SIRs) and indicators that will lead to the answering of the intelligence requirements.
•
Cultural awareness in the various AOs will have different social and regional considerations that affect communications and can affect the conduct of operations. These may include social taboos, desired behaviors, customs, and courtesies. The staff must include this information in pre-deployment training at all levels to ensure that personnel are properly equipped to interact with the local populace.
6 September 2006
1-30. There are other areas of knowledge that help to develop more effective questioning:
•
Proficiency in the target language. The HUMINT collector can normally use an interpreter (see Chapter 11) and machine translation as they are developed to conduct questioning. Language proficiency is a benefit to the HUMINT collector in a number of ways: He can save time in questioning, be more aware of nuances in the language that might verify or deny truthfulness, and better control and evaluate interpreters.
•
Understanding basic human behavior. A HUMINT collector can best adapt himself to the source's personality and control of the source's reactions when he understands basic behavioral factors, traits, attitudes, drives, motivations, and inhibitions. He must not only understand basic behavioral principles but also know how these principles are manifested in the area and culture in which he is operating.
•
Neurolinguistics. Neurolinguistics is a behavioral communication model and a set of procedures that improve communication skills. The HUMINT collector should read and react to nonverbal communications. He must be aware of the specific neurolinguistic clues of the cultural framework in which he is operating.
CAPABILITIES AND LIMITATIONS
CAPABILITIES 1-31. HUMINT collection capabilities include-the ability to
•
Collect information and cross-cue from an almost endless variety of potential sources including friendly forces, civilians, detainees, and source-related documents.
•
Focus on the collection of detailed information not available by other means. This includes information on threat intentions and local civilian and threat force attitudes and morale. It also includes building interiors and facilities that cannot be collected on by other means due to restrictive terrain.
•
Corroborate or refute information collected from other R&S assets.
•
Operate with minimal equipment and deploy in all operational environments in support of offensive, defensive, stability and reconstruction operations, or civil support operations. Based on solid planning and preparation, HUMINT collection can provide timely information ifdeployed forward in support of maneuver elements.
1-13
6 September2006
LIMITATIONS
1-32. HUMINT collection limitations include
•
Interpersonal abilities. HUMINT is dependent on the subjective interpersonal capabilities of the individual rather than on the abilities to operate collection equipment. HUMINT collection capability is based on experience within a specific AO that can only be developed over time.
•
Identification of knowledgeable sources. There is often a multitude of potential HUMINT sources. Information in respop.se to specific requirements can only be collected if sources are available and identified that have that information.
•
Limited numbers. There are never enough HUMINT collectors to meet all requirements. Limited assets must be prioritized in support of units and operations based on their criticality.
•
Time limitations. HUMINT collection, particularly source operations, takes time to develop. Collection requirements must be developed with sufficient lead-time for collection.
•
Language limitations. Although HUMINT collectors can normally use an interpreter, a lack of language proficiency by the collector can significantly slow collection efforts. Such language proficiency takes time to develop.
•
Misunderstanding of the HUMINT mission. HUMINT collectors are frequently used incorrectly and assigned missions that belong to CA, MP, interpreter or translators, CI, or other operational specialties.
•
Commanders' risk management. Maneuver commanders, in weighing the risks associated with employing HUMINT collection teams (HCTs), should seriously consider the potential loss of a wealth of information such as enemy activities, locations of high-value personnel, and threats to the force that they will incur if they restrict HCT collection activities. J/G2Xs, operational management teams (OMTs), and HCT leaders must educate maneuver commanders on the benefits of providing security for HCTs and employing them in accordance with their capabilities.
•
Legal obligations. Applicable law and policy govern HUMINT collection operations. Applicable law and policy include US law; the law of war; relevant international law; relevant directives including DOD Directive 3115.09, "DOD Intelligence Interrogations, Detainee Debriefings, and Tactical Questioning"; DOD Directive 2310.1E, "The Department of Defense Detainee Program"; DOD instructions; and military execute orders including FRAGOs. HUMINT operations may be further restricted by Status of Forces Agreements (SOFAs) and other agreements, execute orders and ROE, local laws, and an operational umbrella concept. Such documents, however, cannot permit interrogation actions that are illegal under applicable law.
•
Connectivity and bandwidth requirements. With the exception of the size, activity, location, unit, time, equipment (SALUTE) report, most HUMINT reporting requires considerable bandwidth. Deployed
6 September 2006
HUMINT teams must be able to travel to, and report from, all areas of the battlefield. Digital communication equipment must be able to provide reliable connectivity with teams' reporting channels and sufficient bandwidth for transmission of reports, including digital imagery.
• Timely reporting and immediate access to sources. Except in tactical situations when HUMINT collectors are in immediate support of maneuver units, HUMINT collection and reporting takes time. In stability and reconstruction operations, sources need to be assessed and developed. Once they are developed, they need to be contacted which often takes time and coordination. In offensive and defensive operations, HUMINT collection at detainee holding areas sometimes may still be timely enough to meet tactical and operational requirements. See paragraphs 3-2 and 3-7 for more information on offensive and defensive operations.
1-15
6 September 2006
This page intentionally left blank.
FM 2-22.3
Chapter 2
Human Intelligence Structure
ORGANIZATION AND STRUCTURE
2-1. The success of the HUMINT collection effort depends on a complex interrelationship between command and control (C2) elements, requirements, technical control and support, and collection assets. Each echelon of command has its supporting HUMINT elements although no MI organization in the Army is robust enough to conduct sustained HUMINT operations under all operational environments using only its organic HUMINT assets. HUMINT units have specific support requirements to the commander. HUMINT units must be flexible, versatile, and prepared to conduct HUMINT collection and analysis operations in support of any echelon of command. A coherent C2 structure within these HUMINT organizations is necessary in order to ensure successful, disciplined, and legal HUMINT operations. This structure must include experienced commissioned officers, warrant officers, and senior NCOs conscientiously discharging their responsibilities and providing HUMINT collectors with guidance from higher headquarters.
2-2. Regardless of the echelon, there are four basic elements that work together to provide the deployed commander with well-focused, thoroughly planned HUMINT support. The four elements are staff support, analysis, C2, and collection. Each piece of the infrastructure builds on the next and is based on the size, complexity, and type of operation as shown in Figure 2-1.
Figure 2-1. Tactical HUMINT Organization.
6 September 2006
HUMINT CONTROL ORGANIZATIONS
2-3. HUMINT control organizations are the means by which a commander exercises command of a unit's operations. HUMINT control organizations are vital to "the effective use of HUMINT collection assets. HUMINT control organizations consist of the C/J/G/S2X and the HUMINT operations cell (HOC) at the brigade and above level and the OMTs at the battalion and below level.
C/J/G/S2X
2-4. The C/J/G/S2X is a staff element subordinate to the 'C/J/G/S2, is the primary advisor on HUMINT and CI, and is the focal point for all HUMINT and CI activities within a joint task force (JTF) (J2X), an Army component task force (G2X) or a brigade combat team (BCT) (S2X). The 2X can be organic to the unit staff or can be attached or under operational control (OPCON) to the staff from another organization such as the theater MI brigade. Th
Related Topics
- Results of the attack on Pearl Harbor
- Law war handbook 2004
- Conduct in combat 1984
- Legal support operations
- DA PAM 27–9–1 Military Judges
- Selected problems 1979
- Law of war documentary supplement 2009
- List of Ongoing Military Conflicts
- Military government and civil affairs
- Military Commissions