DOJ AG Use of FBI confidential human sources

7/29/2019 DOJ AG Use of FBI confidential human sources

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T H E A T T O R N E Y G E N E R A L ' S G U I D E L I N E S R E G A R D I N G

T H E U S E O F F B I C O N F I D E N T I A L HUMAN S O U R C E S


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T A B L E O F C O N T E N T S

G E N E R A L P R O V I S I O N S 1

A. P U R P O S E AN D S C O P E 1

B . D E F I N I T I O N S 3

1. " Sp ec i a l Ag en t in C h a r g e " o r " S A C " 3

2 . " F e d e r a l P r o s e c u t i n g O f fi c e " o r " F P O " 3

3 . " C h i e f F e d e r a l P r o s e c u t o r " o r " C F P " 4

4 . " F P O A t t o r n e y " ; 4

5 . " C o n f id e n t i a l H u m a n S ou r c e C o o r d i n a t o r " 4

6 . " FPO P a r t i c i p a t i n g I n t h e C o n d u c t o f a n I n v e s t i g a t i o n " 4

7 . "C o n f i d e n t i a l H u m a n S o u r c e " 4

8. "S e n i o r Le a d e r s h i p S o u r c e " 4

9 . " H i g h - L e v e l G o v e r n m e n t o r U n i o n S o u r c e " 5

1 0 . " T i e r 1 O t h e r w i s e I ll e g a l A c t i v i t y " 5

1 1 . " T i e r 2 O t h e r w i s e I l le g a l A c t i v i t y " 7

1 2 . " F u g i t i v e " 7

1 3 . " H u m a n Sou r ce Review C o m m i t t e e " o r " H S R C " 7

1 4 . " Na t i o n a l S e c u r i t y I n v e s t i g a t i o n " 7

1 5 . " I n t e r n a t i o n a l T e r r o r i s m I n v e s t i g a t i o n " 7

C . P R O H I B I T I O N O N C O M M I T M E N T S O F I M M U N I T Y B Y T H E F B I . . . . 8

D. M A I N T A I N I N G C O N F I D E N T I A LI T Y 8

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1. O b l i g a t i o n ; 8

2. S e c u r i t y o f M a t e r i a l 8

3 . C o n t i n u i n g O b l i g a t i o n9

4 . E x c e p t i o n s , 9

5. Disc losu res of C o n f i d e n t i a l H u m a n S o u r c es 10

E . E X C E P T I O N S A N D D I S P U T E R E S O L U T I O N | 0

F . R I G H T S O F T H I R D P A R T I E S 1 1

G . C O M P L I A N C E . . . . 1 1

I I . V A L I D A T I O N O F A C O N F I D E N T I A L H U M A N S O U R C E 1 2

A. I N I T I A L V A L I D A T I O N 1 2

1 . G e n e r a l 1 2

2 , T i m e L i m i t s 12

3 . R e q u i r e d I n f o r m a t i o n 13

B . I N S T R U C T I O N S 1 4

C . A N N U A L V A L I D A T I O N R E V I E W 1 7

III. S P E C I A L A P P R O V A L R E Q U I R E M E N T S 1 7

A. D E F I N E D C A T E G O R I E S O F S O U R C E S 1 7

1 . R e q u i r e d E a r l y A p p r o v a l 1 7

a . " S e n i o r L e a d e r s h i p S o u r c e " 17

b . " P r i v i le g e d o r M e d i a S o u r c e " 17

c. " H ig h - L e v e l G o v e r n m e n t o r U n i o n S o u r c e " 1 8

2. L o n g - T e r m S o u r c e s 18

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3 . A p p r o v a l Process 18

a . C o m p o s i t i o n of t he HS R C . . 18

b . Access to FBI I n f o r m a t i o n 19

c T i m e L i m i t 19

d . Not ice to FPO . . . . 2 0

e. D i s p u t e s '. , ; 20

f. I n t e r n a t i o n a l T e r r o r i s m o r N a t i o n a l S e c u r i t y S o u r c e s 2 0

B. F E D E R A L P R IS O N E R S , P R O B A TI O N E R S , P A R O LE E S ,

AN D S U P E R VI S E D R E L E A S E E S 2 3

C . C U R R E N T O R F O R M E R P A R TI C I P AN T S I N T H E W I TN E S S

S E C U R I T Y P R O G R A M 2 4

D. S T A T E O R L O C A L P R IS O N E R S , P R O B A T IO N E R S , P A R O LE E S ,

O R S U P E R VI S E D R E L E A S E E S 2 4

E . F U G I T I V E S 2 5

iv. RESPONSIBILITIES R E G A R D I N G C O N F I D E N T I A LH U M A N S O U R C E S 2 6

A. N O I N T E R F E R E N C E W I T H A N I N V E S T I G A T I O N O F A

C O N F I D E N T I A L S O U R C E 2 6

B. P R O H I B I T E D T R A NS A C T I O N S A N D R E L AT I O N S H I P S . . 2 7

C M O N E T A R Y P A YM E N T S 2 8

1 . G e n e r a l 2 8

2 . P r o h i b i t i o n A g a i n s t C o n t i n g e n t P a y m e n t s 2 8

3 . A p p r o v a l f o r P a y m e n t s 2 8

4 . D o c u m e n t a t i o n of P a ym e n t 29

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5. A c c o u n t i n g an d R eco n c i l ia t i o n P r o ced u r es 2 9

6 . C o o r d i n a t i o n w i t h Pr o s ecu t i o n 2 9

V. A U T H O R I Z A T I O N O F O T H E R W I S E I L L E G A L A C T I V I T Y 3 0

A. G E N E R A L P R O V I S I O NS 3 0

B. A U T H O R I Z A T I O N P R O C E D U R E S 3 0

1. W r i t t e n A u t h o r i z a t i o n 3 0

2. F i n d i n g s 3 2

3 . I n s t r u c t i o n s 34

4 . P r e c a u t i o n a r y M ea s u r e s 3 6

5. S u s p e n s i on o f A u t h o r i z a t i o n . . . . . . 3 6

6 . R ev o ca t i o n o f A u t h o r i z a t i o n 36

7 . R e n e w a l a n d E x p a n s i o n o fA u t h o r i z a t i o n 38

8 . E m e r g e n c y A u t h o r i z a t i o n 38

9 . Designees , 7 . . 3 9

1 0 . R eco r d K eep i n g P r o ced u r es 3 9

VI , S P E C I AL N O T I F I C A T I O N R E Q U I R E M E N T S 4 0

A. N O T I F I C A T I O N O F I N V E S T I G A T I O N O R P R O S E C U T I O N 4 0

B . N O T I F I C A T I O N O F U N A U T H O R I Z E D I L L E G A L A C T I V I T Y 4 1

C. N O T I F I C A TI O N R E G AR D I N G C E R T A I N F E D E R A L J U D I C I A L

P R O C E E D I N G S 4 2

D . P R I V I L E G E D O R E X C U L P A TO R Y I N F O R M A T I O N 4 3

E . L I S T I N G A C O N F I D E N T I A L I N F O R M A N T I N A N

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E L E C T R O N I C S U R V E I L L AN C E A P P L I C A TI O N 4 4

F . R E S P O N D I N G T O R E Q U E S T S F R O M F P O A T T O R N E Y S

R E G A R D I N G A C O N F I D E N T I A L H U M A N S O U R C E 4 4

G . E X C E P T I O N S T O T H E S P E C I AL N O T I F I C A T I O N

R E Q U I R E M E N T S , 4 5

H . F I L E R E V I E W S 4 5

I . D E S I G N E E S 4 5

V I I . C L O S I N G A C O N F I D E N T I A L H U M A N S O U R C E 4 6

A. G E N E R A L P R O V I S I O N S 4 6

B . D E L A YE D N O T I F I C A T I O N T O A C O N F I D E N T I AL H U M A NS O U R C E 4 6

C. C O N T A C T S W I T H F O R M E R C O N F I D E N T I AL H U M A N

S O U R C E S C L O S E D F O R C A U S E 4 7

D . C O O R D I N A T I O N W I T H F P O A T T O R N E Y S 47

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I G E N E R A L P R O V I S I O N S

A. P U R P O S E AN D S C O P E

1. T he purpos e o f these Guidel ines is to se t pol icy for a l l Department of Jus t ice

(DOJ ) personn el regardin g the use of a ll Conf iden t i a l Hum an Sources , a s fu r ther

defined below, t ha t are opera ted b y the Federa l Bu reau o f Inves t iga t ion (FBI) in

any o f the FBI ' s inves t iga t ive p rograms o r o the r au thor i zed in fo rma t ion co l l ec t ion

act ivi t ies .

2 . T h e s e Guidel ines are issued un der the au th ori ty of the Att orn ey Genera l as

p rov ided in T it l e 2 8 , Un i t ed S ta tes Code, Sec t ions 509 , 510 , and 533 .

3 . The se Guide l ine s a re ma nda to ry and s upe rsede: the At to rn ey Genera l ' s Guidel ines

Regarding the Use of Confiden t ia l Informa nt s (May 3 0, 20 02 ), to the extent t h a i

t h ey app ly to the F BI ; the At to r ne y Gene ra l Procedure fo r Repor t in g and Us e o f

In fo rmat io n Conce rn ing Vio la t ions o f Law and Au th or iza t ion for Pa r t i c ipa t ion in

Oth erwise I l legal Act ivi ty in FB I Fore ign Int e l ligence , Cou nt erint e l l igence or

. Intern at ion al Terroris m Inte l l igence Inves t iga t ion s (Au gus t 8 , 1988), to the extent

t ha t it applies to assets ; and the At to rn ey Genera l ' s Guide l ine s fo r FBI Na t iona l

Secu ri ty Inves t iga t ions and Fore ign In te l l igen ce Collec t ion (Oc tober 3 1 , 2 0 0 3 )

("NSIG"), to the extent t ha t they are incons is tent w i t h these Guide l ine s . 1 These

'However , techniques whose use is authorized for va l ida t ing assets , a s o u t l i n e d i n t h e

A t t o r n e y General ' s Guidel ines for F BI Nat iona l Secu ri ty Inves t iga t ion s and Fore ign Inte l l igenceCol lec t ion , to iden t i fy po ten t i a l assets , t o co ll ect in fo rma t ion to ma in ta in the cover o r c r e d i b i l it y

o f assets , or to val ida te assets (i n c l u d i n g d e t e r m i n i n g s u i t ab i l i t y or c red ib i l i ty ) may con t inu e to be

u t i l i zed i n re la t ion to Conf iden t i a l Hu ma n Sources i n conn ec t ion w i t h act ivi t ies re la ted to threa ts

to the na t iona l s ecu r i ty.


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Gu idelines do not supersede oth erwise applicable ethical and legal obligation s o f

Departm ent o f J us t ice a t torneys, which can, in cer ta in ci rcumst ances (for example ,

with respect to contacts with represented persons), h av e an impac t on FBI

conduc t .

These Gu idelines ap ply to the use of a Confiden t ia l Hum an Source in a fore ign

c o u n t r y on ly to the extent t h a t the Confident ia l Hum an Source i s reasona bly like ly

to tes t i fy in a domes t ic case.

The se Guidel ines do not l imi t th e ab i l i t y of the FBI to impose addi t ional

re s t r i c t ions on the use o f Conf iden t i a l Human Source s .

Al l DO J personn el have a du ty o f c andor in the discha rge o f the i r resp ons ibi li t ies

p u r s u a n t to these Guidel ines.

The se Guidel ines sha l l be effective 180 days after they are ap proved by th e

At torney Genera l . However , to the extent provided in FBI policy: (i) activit ies

commenced under pre-exist ing guidel ines may be cont inued and comple ted in

c o n f o r m i t y w i t h such p re -ex is t i ng gu ide li ne s , no twi ths t an d ing t he approva l by t he

At to r n ey Gene ra l and effectiveness of these Gu idel ines , and ( i i ) res t r ic t ions on the

u s e o f h u m a n sources u nder pre-exist ing guidel ines wh ich are not perpetua ted by

these Gu idelines need not be observed fol lowin g the At torn ey Genera l 's app roval

of these Guidel ines, even in re la t ion to ac t ivit ies commenced un der pre-exist ing

guidel ines , i f the requirements of these Guidel ines for su ch ac t ivit ies a re s a t i sf ied.

To th e extent t h a t pa ragraph III(A)(3 )(f) cannot be fu l ly implemen ted w i t h i n 18 0

days, the FBI and the Nat ional Securi ty Division wil l establ ish a pr otocol to


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govern the review of sources who wou ld oth erwise be subject to t h a t p a r a g r a p h .

The FBI sh a l l adopt such measures as ma y be needed to effect an order ly and

expedi t ious t ransi t ion to the new Gu idel ines , w i t h o u t d i s ru p t i o n or imp edimen t to

ongoing act ivi t ies w i t h i n thei r scope. The FBI sh a l l keep the Depu ty At torn ey .

Genera l , the Ass i s t an t At tor n ey Genera l o f th e C r i m i n a l D i v is i o n , a n d t h e

Assi s t an t Attor n ey Genera l for Na t iona l Secur i ty inform ed o f s uch measures as

d i rec ted by the Depu ty At torn ey Genera l .

B . D E F I N I T I O N S

1. "Specia l Agent in Ch ar ge" or "SAC " - the F BI Special Agent in Char ge ofan F B I

Fie ld Office ( i n c l u d i n g an Act in g Special Agent in Cha rge), except t h a t th e

func t ions au th orized for Special Agents in Charge by these Gu idel ines ma y also

be exercised by the Assis ta nt Direc tor in Cha rge in an FBI Field Office headed by

a n Ass i s t an t Di rec tor , and by FB I Headquar te rs of fi c i a l s d es igna ted by the

D i r e c t o r o f th e F B I .

2 . "Federa l Prosecu t ing Office" or "FPO" - an y of t h e f o ll o w i n g D e p a r t m e n t o f

J u s t i c e c o m p o n e n t s :

a . The Un ited States Att orn eys ' Offices ;

b . Th e C r i m i n a l D i v i s i o n ;

c . The Nat iona l Secu r i ty Div i s ion ("NSD");

d . Any other l i t i g a t i n g component of the Depar tm ent o fJ u s t i c e w i t h a u t h o r i t y

t o prosecute federal c r i m i n a l offenses, i n c l u d i n g the relevant sect ions of

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th e A n t i t r u s t Divis ion, Civi l Divis ion, Civi l Rights Divis ion,

Environmenta l and Natura l) Resources Divis ion, and the Tax Divis ion.

"Chief Federa l Prosecutor" or "CFP " - th e head of an FPO.

"FPO Attor n ey" - an a t torn ey employed by, or working under the direc t ion of , an

FPO.

" Conf iden t i a l Human Source Coord ina t o r" - a s u pe rv is o ry FPO At to rn ey

des ignated by the CFP to fac i li ta te complian ce with these Guide l ine s .

"FPO pa rt ic ipa t in g in the condu ct of an inves t iga t ion" - any FPO em ploying or

direc t ing an FPO Attorn ey ass igned t o a ma t t e r w h o s e approval is necessary

p u r s u a n t to these Guidel ines , or w h o s e approva l was s ou gh t o r ob ta ined rega rd ing

any inves t iga t ive or pros ecut oria l mat ter in c lud ing the issu ance of a search or

arres t warra nt , e lectron ic su rvei llance order , subpoena, ind ic tm en t or other re la ted

ma t te r .

" Conf iden t i a l Human S o u r c e " - any in d iv idua l who i s believed t o be p rov id ing

us e fu l and c red ib le in form a t ion to the FB I fo r any au th or ized in fo rma t ion

co ll ec t ion ac t iv i ty , and from wh om the FBI expects or in tends to ob ta in add i t iona l

us e fu l and c red ib le in fo rma t ion in the fu ture, and w h o s e i den t i ty , i n fo rma t ion o r

re la t ionship w i t h t he FBI war ran t s conf iden t i a l hand l ing .

"Senior Leadership S o u r c e " - a Conf iden t i a l Hum an S o u r c e who is in a pos i t ion

to exercise s ign i f i can t dec i s ion -mak ing au thor i ty over, or to otherwise m an ag e

and direc t , the un lawful ac t ivit ies of the par t ic ipant s in a grou p or organiza t ion,

involved in unlawful ac t ivi t ies t h a t are :


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a. na t ionwide or i n t e rna t iona l in scope; or

b. deemed to be of high s ignificance to the FBI 's cr imin al invest igat ive

pr io r i t i e s , even i f the u n lawful act ivi t ies are loca l or regional in scope .1

9. "High -Level Govern men t or Un ion Sour ce" - a Confident ial Hu ma n Source who

is either (a) in relat ion to the federal governm ent or the governm ent of a s tate , the

ch ief execut ive, the official next in success ion to the ch ief execut ive, or a mem ber

of the legislatu re, or (b) a pres ident, secretary-treasurer or vice pres ident of an

i n t e rna t iona l or n a t iona l labor u n io n or the p r i n c i p a l officer or officers ofa

su bordinate regional en t i ty of an i n t e rna t iona l or n a t i o n a l labor u n i o n .3

10 . "Tier I Oth erwise Illegal Act ivit y" a ny ac tivity t h a t :

a. wou ld const i tute a misdemean or or felony under federal , s ta te , or local law

i f engaged in by a pe rson ac t ing w it h o u t a u t h o r i za t i on ; a n d

b, that involves -

( i) the comm iss ion, or the s ignifican t risk of the comm iss ion , of any ac t

of violence by a person or persons other t h an the Conf ident i a l Human

Source;*

3 Su ch organizat ions sh al l includ e, bu t are not l imited to: any La Cosa Nos t ra Fami ly ,

E u r a s i a n Organized Cr ime Group, or As ian Cr im ina l Ente rpr i se which i s recognized by FB I

Headqua r te rs ; and any domes t i c or i n t e rna t iona l Terroris t Organizat ion, which is recognized by

F B I Headquar te rs .

The t e rm "regiona l en t i ty" sh a l l not inc lude a loca l un ion or a group of loca l un ions , su ch

as a dis t r ic t cou n ci l , combined together for purposes of condu ct ing col lect ive ba rgain ing wi th

employers .

*Bookmaking that is significantly associated w i t h , or s ubs tan t i a l ly cont rol led by, ,

o rganized c r ime ord in ar i ly wil l be wi th in th e scope o f this defini t ion . Thu s , for exam ple, where

bookmakers have a f inancial relat ionship wi th members or associates of organized crim e, and/ or

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( i i) corru pt condu ct , or the s ignificant risk o f c o r r u p t condu ct , by an

elected pu bl ic official or a pu bl ic official in a h igh-level d ecis ion-ma king

or sen si t ive posi t ion in federal, s ta te , or local govern men t;

(iii) the m a n u f a c t u r i n g , impor t ing , expor t ing , posses s ion , or t r a f f ick in g of

control led substances in a qu an t i ty equal to or exceeding those qua nt i t ies

specified in Un ited States Sentencing Gu idel in es 2D1 .1(c)(1);

(iv) fin an cial loss, or the sign ifica n t risk o f f inan cial loss , in an amoun t

equa l to or exceeding those amou nts sp ecified in United States Senten cing

Guide l ines 2 B i . l ( b X l ) ( I ) ; i

(v) a Confiden t ial Hu ma n Source pr oviding to an y person (other t h an an

F B I a ge n t ) an y item , service, or expertise t h a t is necessary for the

c o m m i s s io n o f a federal, state, or local offense, which the pe rson

otherwise would h av e diff icul ty obtaining; or

(vi) a Confiden t ial Hu ma n Sour ce providin g to an y person (other t h an a n

F B I a ge n t ) an y q u a n t i t y o fa con trol led su bstan ce, an explos ive, firearm, or

use memb ers or associates o f organ ized crim e to col lect th eir debts , the cond u ct o f those

bookm aker s wou ld crea te a s igni fi cant r i s k of violence, and would therefore fall within th e

d e f i n i t i o n of Tier 1 Otherwise I l legal Act ivi ty.

J Th e ci tat ions to the United States Sentencing Guidel ines (USSG) Man u al a re to the 2005

E d i t i o n . Th e references here in to pa r t i cu la r U S S G Sect ions are intended to remain appl icable to

the mos t c lose ly cor responding U S S G level in sub sequent edi t ions of the U S S G M a n u a l in t h e

event t h a t the ci ted U S S G provis ions are amend ed. Thu s , i t i s intend ed t h a t subsect ion ( i i i ) of

t h i s p a r a g r a p h , wil l remain appl icable to the highest offense l evel in the Dr u g Qua nt i ty Table in

f u t u r e edi t ions o f the U S S G M a n u a l , a n d that subsect ion ( iv) of the paragraph wil l remainapp l icable to dol l a r amou nts t h a t , in future edi t ions of the US S G Man u al , t r igger s entenc ing

enhan cements s imi la r to t h a t set forth in the cur rent sect ion 2 B U ( b ) ( l ) ( I ) . Any a mb igu i t ies in

th is regard sh ould be resolved by the Assis ta nt Attorn ey General for the Crimin al Divis ion .

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other dangerous weapon, or other i tem tha t poses an immedia te and

s ign i f i can t threat to p u blic safety, with l i t t le or no expecta t ion of it s

recovery by the FB I.

1 1 . "Tier 2 Otherwise I l lega l Act ivi t y" - any other ac t ivity t ha t would con st i tu te a

misd emea nor or felon y u nder federal, state, or local law ifengaged in by a person

a c t i n g wi thou t au thor i za t i on .

12 . "Fu gi t ive" - an i n d i v i d u a l :

a. for wh om a federal, state, or local law enforcement agency has placed a

wan ted record in the FBI 's Nat iona l Crim e Inform at ion Center (other t h a n

for a t ra ffic or pe t ty ofTense); or

b . for w h om a federa l warran t has been issu ed; and

c . for wh om the law enforcement agency is w i l l i ng , i f necessary, to seekh is

or h er ext rad i t ion to i t s j u r i s d i c t i on .

1 3 . " H u m a n S o u r c e Review Commit tee" or " H S R C " - A com mit tee convened

p u r s u a n t to these Guidel ines to review var ious m at ters under these Guidel ines as

set forth below in paragraph HI (A).

14 . "Nat ion al Secu ri ty In vest iga t ion" - A n at ional secu r i ty invest iga t ion as defined in

Pari VHI.Q of NSIG.

15. "In t e rn a t i ona l Ter ro r i s m Inves t i ga t i on" - AJ I invest iga t ion r e la t ing to intern a t iona l

t e r r o r i s m , wheth er condu cted under NSIG, un der the At tor n ey Genera l 's

Gu idel ines on Genera l Crimes, Racketeer ing Enterp r ise and Terror ism Enterp r ise

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Inves t iga t ions (May 3 0, 200 2), or un der other guidel ines issued by the Attor n ey

Genera l .

C. P R O H I B I T I O N O N C O M M I T M E N T S O F I M M U N I T Y B Y T H E F B I

T he FBI does n ot h av e any au th or ity to make any p romis e o r comm i tmen t tha t wou ld

preven t the gove rnmen t from p ros ecu t ing a Conf iden t i a l Hu m an Source fo r c r i m i n a l

ac t iv i ty tha t is no t au thor i zed purs uan t to Sec t ion V below o r t h a t w o u l d l i m i t t he us e o f

a n y ev i d en ce by the gove rnm en t , w i th ou t the p r io r wr i t t en app rova l o f the FPO tha t ha s

p r i m a r y j u r i s d i c t i o n t o p ros ecu te the Conf iden t i a l Hu ma n So u r ce fo r s u c h c r i m i n a l

ac t iv i ty . An FBI Agent m u s t exercise due d i l igence to avo id g iv in ga n y pe rs on th e

e r roneous impres s ion tha t he o r s he has any s uch au thor i ty .

D . M A I N T A I N I N G C O N F I D E N T I A L I T Y

1 . O b l i g a t i o n

D O J P e r s o n n e l h av e an ob l iga t ion to ma in ta in as conf iden t i a l the iden t i ty o f an y

C o n fi d e n t ia l H u m a n Source . Cons i s t en t w i t h t ha t ob l iga t ion , DOJ pe rs onne l s h a l l

n ot disc lose t he iden t i ty o f a Conf iden t i a l Hu ma n So u r ce o r i n f o r m a t i o n t h a t

So u r ce has p rov ided tha t wou ld h av e a tenden cy to iden t i fy the Source un le s s

d i s c los u re i s appropr ia t e u nde r one o f the except ions r eferenced below i n

para graph D (4) .

2 . S e c u r i t y o f M a t e r i a l

I f t he FBI p rov ides DOJ pe rs onne l w i t h a n y m a t e r i a l c o n t a i n i n g :

a . the iden t i ty o f a Conf iden t i a l Hu ma n Source ;

b . in fo rma t ion tha t may pos s ib ly iden t i fy the Source ; or

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c . in fo rmat io n th a t th e Source has provided;

s uch ma ter ia l mu s t b e secu red in a man n er con s is ten t wi th i t s s ecu r i ty mar k in g s o r

class if icat ions , when not in the d irect care an d cu s to d y o f DOJ p er so n n e l .

C o n t i n u i n g O b l i g a t i o n

DOJ p er so n n e l h a v e a co n t in u in g o b l ig a t io n a f te r l eavin g emp lo y men t w i t h th e

Dep ar tmen t o f Ju s t ice to ma in ta in as co n f id en t ia l th e id en t i ty o f an y Co n f id en t ia l

H u m a n So u r ce a n d t h e i n f o r m a t i o n t h a t So u r ce provided , unless d isclosure is

appr opr iate un der one o f the exceptions referenced below in para graph D (4).

E x c e p t i o n s

a . No twith s ta n d in g p arag rap h I (D) ( I ) , DOJ p er so n n e l ma y ma k e

appropr iate d isclosures;

i . t o F B I Agents wh o need to k n o w th e i d e n t i t y o f th e Source in o rd er

to p er fo rm t h e i r o f fic ia l d u t ies . However , an FPO mu s t co o rd in a te

w i t h t h e F B I Agent d i r ec t in g th e Source to o b ta in th e r eq u i r ed

ap p ro v a l o f th e FB I - SA C o r h i s o r h e r designee p r io r to su ch

d isc lo su re ;

i i . to o th er law en forcemen t , in te l ligen ce , imm ig ra t io n , d ip lo m at ic ,

an d m i l i t a r y off icials who need to k n o w th e id en t i ty to p er form

the ir officia l du ties , su bject to the pr ior ap proval o f the FB I - SA C

or h is or her designee ; .

i i i . w h e n t h e C on f id e n t i a l H u m a n Source h as agreed to tes t ify in a

g ran d j u r y o r j u d i c i a l p r o c e ed i n g.


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b . A l l DOJ pe rs onne l mu s t d i s c los e the iden t i ty o f a Conf iden t i a l Hum an

Source , and the in fo rma t ion that Source has p rov ided , when requ i red by

court order , law, regula t ion, these Guide l ine s o r o the r Depa r tmen t o f

Jus t ice pol ic ies .

S, D i s c lo s u r e s t o C o n f i d e n t i a l H u m a n So u r ces

D O J p e r s o n n e l m u s t exercise due d i l igence to avo id d i s c los ing a ny conf iden t i a l

inves t iga t ive in fo rma t ion to a Conf iden t i a l Human So u r ce ( e j ^ i n f o r m a t i o n

re la t ing to e lec t ron ic s u rve il lan ce , s ea rch war ra n t s , i nd ic tm en t s and othe r ch a rg ing

docum ents , o r the iden t i ty o f o the r ac tua l o r po ten t i a l in fo rm an t s ) , o the r t h an w h a t

is necessary and app ropria t e for opera t ional reasons .

E . E X C E P T I O N S AN D D I S P U T E R E S O L U T I O N

1. Whenever an FB I SAC, a CFP, or the designee of an FBI SAC or CFP, believes

t h a t ex t rao rd ina ry c ircums tances ex is t t h a t warra n t an excep t ion to any p r ov i s ion

o f these Guide l ine s , o r whenever t he re is a d is pu te be tween o r am ong en t i t ie s

(other t h an a d i s p u t e w i t h t he As s i s t an t A t to rn ey Gene ra l (AAGJ of e i ther the

C r i m i n a l Div i s ion o r Na t iona l Secur i ty Div i s ion o f the Depa r tmen t o f J us t i ce ) ,

rega rd ing these Guide l ine s , an excep t ion mu s t be s ough t from, o r the d i s pu te s ha l l

be re s o lved by , the AAG fo r the Cr im ina l D iv i s ion o r th e Na t ion a l Secu r i ty

Div i s ion (whichever is app ropria te) or his or her des ignee .

2. Whenever t he re i s a d is pu te w i t h (he AAG for ei ther the Crim in a l Divis ion or

Na t iona l Secu r i ty Div i s ion o f the Depa r tm en t o f J u s t i ce, s uch d i s pu te s ha l l be

resolved by the Dep u ty Attor n ey Genera l or his or her designee.

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3. The Depu ty Attor n ey GeneraJ , or his or her designee, sh al l hear ap peals , i f any,

from decis ions o f the Assis tan t Attorn eys General o f the Cr im in a l Divis ion and

the Nat iona l Secu r i ty Divi s ion .

4 . Any except ion gran ted or disput e resolved pu rsu ant to th is para graph .sha l l be

docum ented in the FBI 's files .

R I G H T S O F T H I R D P A R T I E S

N o t h i n g in these Gu idel ines is inten ded to create or does create an enforceable legal right

or pr iva te r igh t of ac t ion by a Conf ident i a l Hu ma n Source or any o ther pe rson .

C O M P L I A N C E

1. With in 60 days of the app roval of these Guidel ines by the Attor n ey General , th e

F B I sha l l su bm i t an implemen ta t ion p lan to the respec t ive Ass i s t an t At torn eys

Genera l for the Cr im ina l Divis ion an d the Na t ion a l Secur i ty Divi s ion of the

D e p a r t m e n t o f J u s t i c e for review. The plan mus t address a l l th e requirements

imposed up on the FBI by these Gu ide lines .

2 . Wi th in 60 days of the app rova l of these Guide l ines , the FB I in conjun c t ion w i t h

the Cr im ina l Divi s ion of the Depar tment of J u s t i c e , sh a l l e s t ab l ish a Hu ma n

Source R e vi e w Committee to perform the funct ions set fo r th in Section H I (A)

below.

3. With in 60 days of the app roval of these Guidel ines , each FPO sha l l des ignate one

or mor e su pervisory FPO Attorn eys to serve as "Conf iden t i a l Hu ma n Source

C o o r d i n a t o r s , " w h o s e duties shal l include:

a . " coordina t ing the respons ib i li t ie s of th e FPO u nd er thes e Guide l ines ;

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b . ser vin g as a point of contact fqr the FEU for a ll mat ters pu rsu ant to these

Guidel ines; and

c . ap proving mat ters p u r su an t to these Guidelines on beh alf of the FPO when

no other FPO Att orn ey has been assigned or when th e assigned FPO

Attor ne y is u na vailable.

4. Each CFP an d FBI-SAC.sh al l implement comprehen sive per iodic t r a i n i ng o f it s

respective personnel regarding these Guidelines.

5. Each CFP sh all coordinate w i t h the app ropriate FBI SAC to develop procedures to

ma ximize the access ibi li ty and avai labi l i ty of the F P O ' s Confiden t i a l Huma n

Source Coordina tors .

I I . V A L I D A T I O N O F A C O N F I D E N T I A L H U M A N S O U R C E

I N I T I A L V A L I D A T I O N

1 . G e n e r a !

Ai l FB I Confiden t ia l Huma n Sources mu st be subjected to the va l ida t ion process

as provided in these Guidel ines and other FBI pol ic ies.

2 . T i m e L i m i t s

The FBI , i n consu l t a t ion with the Assistant At torneys Genera l of the Crimin al

Div i s ion and the Nat ional Secu ri ty Division of the Departmen t of J us t i ce , s h a l l

establ ish reasonable t ime l imi t s for su bjecting a Sour ce to the In i t i a l Valida t ion

process t h a t are compat ible with these Guidelines and other FBI policies.

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R e q u i r e d I n f o r m a t i o t i

In open ing a Confiden t i a l Hu ma n Source, a n F B I Agent s ha l l document

i n fo rmat io n pe r ta in ing to tha t Source and forward i t to an app ropria te FB I

Supervisor for an In i t ia l Va l id a t i o n . A t a m i n i m u m , an F B I Agent shal l provide

the fol lowing information to fac i l i ta te the In i t i a l Validat ion process :

a . bas ic iden t i fyin g inform at ion tha t es tablishes th e p e r s o n ' s t ru e iden t i ty , o r

the FBI 's e fforts to es tablish th e ' ind ividu al 's t ru e iden t i ty ;

b . a ph otograph of the person (when possible);

c . whether the person has a cr im ina l his tory, is reasona bly be l i eved to be the

su bject or ta rget of a pen ding cr imin al inves t iga t ion , is un der arres t , or has

been cha rged in a pend ing p ros ecu t ion ;

d. th e person's mot iva t ion for p r ov id in g in fo rm a t ion o r a s s is t ance, inc lu d in g

any cons idera t ion sought from the governm ent for th is ass is tance;

e . any promises or benefits , and the terms of su ch prom ises or benefi ts , tha t

are given a Confident ia l Hum an S o u r c e by the FB I, FPO or an y other law

enforcement agency ( i f k n o wn , after exerc is ing reasonable efforts^; and

f. any other inform at ion tha t is requ ired to be docum ented in the

Conf iden t i a l Human Source's fi le pur su ant to these Guide l ine s and FBI

po l ic i es , i nc lud ing bu t not l imi ted to , the in s t ru c t ions p rov ided to the

Conf iden t i a l Human Source.

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B. I N S T R U C T I O N S

I . In open ing a Conf iden t i a l Hu ma n Source , at leas t one FBI Agent, along w i t h on e

a d d i t i o n a l Agent or other governm ent offic ia l present as a witness , s ha l l review

w i t h t he Conf iden t i a l Hu ma n Source i n s t ru c t ions as requ i red by these Guide l ine s

and other FB I pol ic ies . At a i r u i u m u m , these i n s t ruc t ions mus t ind ica te t h a t :

a . in fo rma t ion p rov ided by the Conf iden t i a l Hu ma n So u r ce t o t h e F B I m u s t

be t r u t h f u l ;

b . the Conf iden t i a l Hu ma n Source ' s ass is tance and the in fo rm a t ion p rov ided

a re en t i re ly vo lun ta r y ;

c . the Un ited States Governmen t w i l l s t r ive to p ro tec t the Conf iden t i a l

H u m a n So u r ce ' s i den t i ty bu t c anno t gua ran tee t h a t i t w i l l no t be d ivu lged ;

d . t h e C o n fi d e n t i a l H u m a n Source mu s t ab ide by the in s t r uc t ions o f the F BI '

a n d m u s t n o t t a k e o r seek t o t ake any independen t ac t ion on beh a l f o f the

U n i t e d States G o v e r n m e n t

2 . The fo l lowing add i t iona l in s t ru c t ions s h a l l also be reviewed w i t h a C o n f i d e n t i a l

H u m a n So u r ce i f app l i cab le to the pa r t i cu la r c ircums tances o f the Conf iden t i a l

H u m a n S o u r c e : .

a . The FB I on i ts own cann ot prom ise or agree t o any immuni ty f rom

pros ecu t ion o r o the r cons ide ra t ion by a FPO,.a s ta te or local prosecu tor , or

a C o u r t i n exchange fo r the Conf iden t i a l Hu ma n So u r ce ' s coope ra t ion ,

b ecau s e the decis ion to confer an y su ch ben efit lies w i t h i n the exclus ive

d i s c re t ion o f the FPO and the Cour t . However , t he FBI w i l l cons ide r (bu t

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not necessari ly a ct u p o n ) a request b y t he Conf iden t i a l Hu ma n Source t o

advise t h e appropr ia t e FPO, the state or local prosecutor , or C o u r t o f th e

na tu re and ex ten t o fh is or her ass is tance t o t he F B I ;5

b . Th e Conf iden t i a l Human Source has n ot been au thor ized t o engage in an y

c r i m i n a l ac t iv ity and has n o immuni ty f rom p ros ecu t ion fo r a n y

u n a u t h o r i ze d c r i m i n a l a c t i v it y ; 7

c . Th e Conf iden t i a l Human Source i s no t an employee of the Un i t ed States

G o v e r n m e n t a n d m a y no t rep res en t h ims e l f o r he rs e l f as s u ch ; '

d . Th e Conf iden t i a l . Hum an Source m a y no t en te r in t o a n y con t rac t or i n c u r

any ob l iga t ion o n beh a l f o f the Un i t ed States G o v e r n m e n t , except as

sp ecif ica l ly ins tr uct ed and approved b y t h e F B I ; 9

e . Th e FB I cann o t gua ran tee any rewards , paymen ts , or o the r compens a t ion

to t h e Conf iden t i a l Human Source ;

6 This i n s t r u c t i o n s h o u l d be prov ided i f t he re is any apparent is sue of c r i m i n a l l i a b i l i t y or

pen al t ies tha t re la tes t o t h e Conf iden t i a l Human Source .

7 Th i s i n s t r u c t i on s h o u ld b e provided t o any Conf iden t i a l Hum an So u r ce w h o is n o t

a u t h o r i z e d to engage in oth erwise i l legal ac t ivity . See pa rag raph V (B )(3) for i n s t r u c t i on s t h a t

m u s t b e prov ided t o a C o n f i d e n t i a l H u m a n Source wh o i s , in fac t , authorized to en gage in

o the rwis e i l l ega l conduc t .

' Th i s i n s t r u c t i on s h o u l d b e prov ided t o a l l Conf iden t i a l Hum an Sources except unde r

thos e c i rcums tances w h er e t h e Source has previous ly been , and con t inues t o be , o the rwis e

em p l o y ed b y t h e U n i t e d States Governmen t .

*Th i s in s t r u c t ion s h ou ld be provided t o a l l Conf iden t i a l Human sources except u n d e r

thos e c i rcums tances w h er e t h e Source is otherwise authorized to enter a con t rac t or i n c u r a n

ob l iga t ion o n t h e b e h a l f o f the Unit ed Sta tes .

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f. In th e event t ha t the Conf iden t i a l Hum an Source receives any rewards ,

payment s , or other compen sat ion from the FBI, the S o u r c e is liable for any

taxes t ha t may be o w e d ; an d

g. No prom ises or comm itmen ts can be m a d e , except by the United States

Departm ent of Homelan d S ecur i ty , regarding the a l ien s ta tus of any person

or the r igh t of any person (o enter or remain in the United Sta tes . ' 0

3 . The con ten t and mea n ing o f each of the foregoing ins tr uct ions mu st be c learly

conveyed t o the Conf iden t i a l Human Source . Immedia te ly af ter t h e s e i n s t r u c t i o n s

have been given, the FBI Agent s ha l l r equ i re the Conf iden t i a l Hum an S o u r c e t o

a c k n o w l e d g e h i s or he r rece ip t an d und e rs t and ing o f the in s t ru c t ions . T he FB I

Agent , and the add i t iona l Agent or other governmen t offic ia l present as a witness ,

s h a l l document tha t the in s t ruc t ions were reviewed with t h e C o n f id e n t i a l H u m a n

S o u r c e and tha t the Source ackn owledged t he in s t ru c t ions and h i s o r h e r

u n d e r s t a n d i n g o f t h e m . As soon as prac t icable thereafter , an FB I Su pervisor sh al l ,

review a n d , i f w a r r a n t e d , a p p r o v e t he documenta t ion .

4 . The ins t ru c t ion and docum enta t ion p rocedure s s ha l l be repeated t o the

Conf iden t i a l Human S o u r c e whenever i t appears necessary or prudent to do so,

a n d , i n a n y event , at leas t annual ly .

1 0 T his in s t ru c t ion s hou ld be p r ov ided i f t he re is any appa ren t is s ue o f imm igra t ion s t a tus

that re l a t e s to the Conf iden t i a l Human Source .

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A N N U A L V A L I D A T I O N R E V I E W

1 . E ach Conf iden t i a l Human Source's file shall be reviewed at leas t annual ly

cons is tent with these Guidel ines and other FBI p ol ic ies .

2 . The FB I sh al l es tabl ish procedures to ensure tha t a l l avai lable inform at ion tha t

migh t m a te r i a l ly a l t er a p r io r va l ida t ion assessment, i n c l u d i n g , b u t n o t l i m i t e d t o ,

b fo rma t ion pe r t a in ing to unau thor ized i l l ega l a c t iv i ty by the Conf iden t i a l Human

Source , i s p romp t ly repor ted to an FBI Supe rv is o r and then reco rded and

ma in ta ined in the fi le o f the Conf iden t i a l Hu ma n S o u r c e .

I I I . S P E C I A L A P P R O V A L R E Q U I R E M E N T S

D E F I N E D C A T E G O R I E S O F S O U R C E S

1 . R e q u i r e d E a r l y A p p r o v a l

W i t h i n 6 0 days o f u t i l i z i n g a Conf iden t i a l Human Source wh o meets any of the

fo l lowing d e fin i t ions , the FB I mu s t seek wri t t en approva l , i n accordance with t h e

re levan t p rovis ions se t for th in paragraph II I (A)(3 ) below, fo r the con t inu ed us e

of the Source un less an FPO Attor ney has exis t in g overs ight of a Source because

th e Source has agreed to tes t i fy in a federa l c r imin al pr osecu t ion:

a . "Sen ior Leadersh ip S o u r c e " - a Conf iden t i a l Hum an Source as defined in

pa rag raph I (B)(8), above;

b. "Privi leged or Media S o u r c e " - - A Conf iden t i a l Human Source who is

un der the obl iga t ion o f a legal pr ivi lege of confiden t ia l i ty or affi l ia ted w i t h

t he med ia ;

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c. "High-Level G o v e m m e n l or Un io n S o u r c e " - A Co n f id en t i a l Hu man

Source as defined in paragraph F (B)(9), above.

L o n g - T e r m S o u r c e s

When a Co n f id en t i a l Hu man Source h as been registered fo r mo re t h an five

consecut ive years , an d to the ex ten t such a Source r emain s o p en , every five years

thereaf ter , the FBI must seek wr i t t en a p p ro va l , in accordance with the relevant

provis ions set fo r th in paragraph IK (A)(3 ) below, for the cont inued use of (he

Source .

A p p r o v a l Process

AH FBI requests seek ing approval for t h e co n t i n u ed use o f a C o n f id e n t i a l H u m a n

S o u r c e wh o meets an y o fthe def in i t ions se t for th in paragraphs UJ (A)(1) & (2 )

above, except those Sources p ro v id in g i n fo rmat io n fo r u se i n a n i n t e r n a t i o n a l

t e r ro r i sm in v es t ig a t i o n , n a t i o n a l secu r i t y in v es t i g a t i o n , or o th er ac t i v i t y u n d er

NSIG, s h a l l be reviewed an d d e t e rmin ed b y a H u m a n S o u r c e Review C o m m i t t e e

(HSRC) .

a . Co mp o s i t i o n o fth e H S R C - - At least on e H S R C s h a l l be estab l i shed b y

t h e F B I an d t h e Cr imin a l Div i s i o n o ft h e Dep ar tmen t o f Ju s t i ce . Th e

Ch ai rp er so n o feach H S R C s h a l l be a n F B I Agent a t or above th e level o f

Deputy Assis tan t Director (or i t s equ ivalen t ) . Th e m e m b e r s h i p o feach

H S R C sh a l l i n c lu d e : t wo F B I Agents , an d t wo attorneys from (he F BI ' s

Office o fGeneral Counsel , as designated by t h e Ch a i rp e r s o n ; an d five

FPO At torneys designated by th e AAG for t h e Cr imin a l Div i s i o n . One of

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th e five FPO Attorn eys sha l l be a Depu ty AAG from the Crim ina l

Divis ion , and a t leas t two of the rem ain ing FPO Attor neys sh al l each be

from a U.S. Attorney 's Office an d have re levant exper ience in organized

crime mat ters . In ad di t ion , an FPO Att orn ey des ignated by the Ass is tan t

Att orn ey Genera l for Nat ion al Secu ri ty sh al l be a mem ber of the H SR C ,

bu t sha l l not be cons idered to be a vot ing m em ber for pu rposes of

de te rmin ing whe the r con t inued us e o f a S o u r c e u n d e r review s hou ld be

approved.

Ac cts s t o FB I In fo rm a t ion - - Dur in g the approva l process , th e H S R C

s h a l l h av e access t o a l l r el evan t FBI in fo rma t ion pe r t a in ing to the us e o f

the Conf iden t i a l Hum an S o u r c e u n d e r co n s i d e r a t io n , i n c l u d i n g a ny An n u a l

Va l ida t ion Repor t s . However , t he iden t i ty o f the Conf iden t i a l Hum an

S o u r c e w i l l not be disc losed to the H SR C un le s s the Cha i rpe rs on o f the

H S R C de te rmines tha t comp e l ling reasons ex is t to wa r r an t s u ch a

d i s c los u re .

T i m e L imi t - - The H S R C approva l process s h a l l be comple ted no more .

t h an 45 days a f t er th e FBI has s u bm i t t ed a reques t s eek ing appr ova l fo r the

con t inu ed us e o f a Conf iden t i a l Hu ma n Source . Wh ile th e reques t is

p e n d i n g w i t h th e H S R C , t he FBI s ha l l be pe rm i t t ed to con t inu e to u t i li z e

t h e C o n f id e n t i a l H u m a n Source .

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Notice to FPO - - Afte r a final decis ion has been made by the HS R C , t h e

H S R C sh al l cons ider wheth er to provide not ice of the decis ion to any

appropr ia t e FPO.

Dispu tes - - The H S R C s ha l l r e commend approva l o f the con t inu ed us e o f

a Source on ly upon reach ing a cons ens us , p rov ided t h a t w h eu ev e r t h e F B I ,

an FPO, or a H S R C Member disagrees w i t h t h e final dec i s ion o f the

HS R C , i t m a y seek r ev iew and recons ide ra t ion o f that d e c i s io n p u r s u a n t t o

the E xcep t ions and Dis pu te Res o lu t ion s ec t ion , pa rag raph I (E ) above.

Whi le the d i s pu te i s pend ing re s o lu t ion , the FBI s ha l l be pe r mi t t ed to

con t inue to u t i l i z e the Conf iden t i a l Human Source .

Sources Prov id ing In fo rma t ion fo r Us e in In te rn a t iona l T e r ro r i s m

Inves t iga t ions , Na t iona l Secur i ty Inves t iga t ions , o r O the r Ac t iv i t i e s unde r

N SI G - - No Con f iden t i a l Hu m an Source w h o is p r o v i d i n g i n f or m a t i o n

fo r us e in in te rn a t iona l t e r r o r i s m inves t iga t ions , na t iona l s ecu r i ty

inves t iga t ions , o r o the r ac t iv it i e s un de r NSIG shal l be referred to the

H S R C for r ev iew. Ins tead , the FBI s h a l l p rov ide n o t i ce to the Na t iona l

Secur i ty Div i s ion w i t h i n 6 0 days of FB I Headqu a r te r s ' ap pr ova l o f the

c o n t in u e d u s e o f a n y s u ch C o n f id e n t i a l H u m a n Source wh o i s s ub jec t to

the enhanced r ev iew prov i s ions o f the FBI ' s Conf iden t i a l Hu m an So u r ce

V a l i d a t i o n S t a n d a r d s M a n u a l . C o n f i d e n t i a l H u m a n Sources wh o meet a n y

of the defini t ions se t forth i n pa rag raphs 111(A)(1) & (2) s ha l l be su bject to

enhanced review. The Ass is tant Attorney Genera l for Nat ional Securi ty

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sh a l l designate FPO Attorneys to review the not ices and associated

i n fo rmat io n purs u an t to the fo llowing process :

i , Upon reques t by the des ignated FPO Attor n ey, the FB I sh al l make

avai lable a t FBI Headquarters to the des ignated FPO Attor n ey

Va l ida t ion Reports rega rd ing the Conf iden t i a l Hu ma n Source , I f

the Val idat ion Reports do not perm it the FPO Att orn ey to condu ct

a mea nin gfu l analys is o f the pr oprie ty of c o n t i n u i n g to use the

Conf iden t i a l Human Source , the FPO Attor n ey may ask for

addi t ional , i n fo rma t ion rega rd ing the Conf iden t i a l Hum an Source .

The iden t i ty o f the Confiden t i a l Hu ma n S o u r c e s ha l l no t be

disc losed to the des ignated FPO Attor n ey unless the Ass is ta nt

Direc tor or a Deputy Ass is tant Direc tor of the Divis ion t h a t is

u t i l i z i ng t he Conf iden t i a l Hum a i tSou rce de te rmines t h a t

compe l l ing reasons ex is t to wa r ran t s uch a d is c los u r e . Wi t h the

except ion of a reques t for the iden t i ty of the Confiden t ia l H u m an

S o u r c e , al l reques ts by the FPO Att orn ey for fu rth er in form at ion

p e r t a i n i n g t o a Conf iden t i a l Hu ma n S o u r c e shall be satisfied w i t h i n

a reasonable period of t im e. Fai lur e to pr ovide such . informa tion

may be g rounds fo r the Na t iona l Secu r i ty Divi s ion to recommend

t h a t the Depu ty Att orn ey Genera l d isa ppr ove cont inu ed use of the

C o n f i d e n t i a l H u m a n Source , I f t h e D i r e c t o r o f t h e F B I a n d t h e

Ass is tant Attorney Genera l for Nat ional Securi ty do not agree

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whether inform at ion sought is reasona bly necessary in order for th e

FPO Attor ne y to condu ct a mea nin gful a na lysis of the prop r iety o f

c o n t i n u i n g to u se th e Co n f id en t ia l Hu m an So u rce , an y su ch d isp u te

s ha l l be resolved by the Depu ty Att orn ey Gener al .

The designated FPO Attorn ey ma y consu lt wi th other designated

FPO Attorneys and wi th the Assis t an t Attor n ey Genera l for

Nat io n a l Secu r i ty con cern in g th e co n t in u ed u se o f th e Co n f id en t ia l

H u m a n Source. I f the Assis ta n t Att orn ey General for Nat iona l

Secu r i ty does n o t ob ject to th e FBI 's co n t in u ed u se o f th e

Co n f id en t ia l Hu m an Sou rce , n o fu r t h e r ac t io n sh a l l b e tak en . I f th e

Assis tan t Attorney General for National Secur i ty objects to the

FBI ' s co n t in u ed u se o f th e Co n f id en t ia l Hu ma n Sou rce , th e

Ass is ta n t A t to rn ey Gen era l sh a l l fo rward a r ecomm en d a t io n to th e

Dep u ty A t to rn ey Gen era l t h a t co n t in u ed u se o f th e Co n f id en t ia l

H u m a n So u r ce b e d isap p ro ved . Wh i le th e d i sp u te is p en d in g

re s o lu t ion before th e Dep u ty At to rn ey Gen era l , th e FB I sh a l l be

p e r m i t t e d to co n t in u e to u t i l ize th e Co n f id en t ia l Hu ma n Sou rce .

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B. F E D E R A L P R I S O N E R S , P R O B A T I O N E R S , P A R O L E E S , AN D S U P E R V I S E D

R E L E A S E E S

1. Consis ten t with ex tan t Dep ar tmen t o f Ju s t ice r equ i r emen ts , th e FBI m u s t receive

th e ap p ro va l o f th e Cr imin a l D iv is io n ' s Office of Enforcemen t Operations

("OEO") p r io r to u t i l i z i n g as a Co n fid en t ia l Hu ma n So u r ce an in d iv id u a l wh o is in

the cus tody of 'th e Unit ed States Mars ha ls Service or the Bureau of Pr isons , or

who is under Bureau of Pr isons su perv is ion . gee. U.S.A.M. 9-21 .05 0.

2 . P r io r to u t i l i z in g afed e ra lp ro b a t io n er , p a ro lee , o r su p erv ised releasee as a

Co n f id en t ia l Hu ma n Sou rce , an FBI Su p erv iso r s h a l l d e te rmin e wh eth er th e u se o f

t h a t p er son in su ch a cap ac i ty wo u ld v iola te th e te rms an d co n d i t ion s o f th e

person ' s p roba tion , par o le, or superv ised release. I f the FBI Super v isor has reason

t o bel ieve t h a t i t wo u ld v iola te su ch te rms an d co n d i t io n s , p r io r to u s in g th e

p er so n as a Co n f id en t ia l Hu m an Sou rce , th e FBI Su p erv iso r o r h i s or h e r designee

m u s t obtain the permiss ion of a federal probation , paro le, o r superv ised release

of f i c i a l w i t h au th o r i ty to gr an t su ch p ermiss io n , wh ich p erm iss io n sh a l l b e

d o cu m e n t e d i n th e C on f id e n t i a l H u m a n So u r ce ' s files. Ifs uch p ermiss io n i s

denied or i t is inappropr iate for operat ional r easons to contact the appropr iate

federal of f icial , the FBI may seek to ob ta in a u t h o r iza t io n fo r th e u se o f s uch

i n d i v i d u a l a s a C on f id e n t i a l H u m a n So u r ce from the Cou r t then responsib le for

th e in d iv id u a l ' s p ro b a t io n , p a ro le , o r su p erv ised release, provided t h a t t h e F B I

first co n su l t s w i t h th e FPO for that D i s t r i c t .

3 . I f an FPO is p a r t ic ip a t in g in th e co n d u c t o f an in v es t iga t io n b y th e FB I in wh ic h a

federal probationer , paro lee, or superv ised releasee wo u ld b e u t i l i zed as a

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C o n f i d e n t i a l H u m a n Source o r w o u l d b e wo r k i n g w i t h a fede ra l p roba t ione r ,

parolee , or supervised releasee i n conn ec t ion with a p ros ecu t ion , the FBI s ha l l

not i fy the FPO At to r n ey a s s igned to the cu r r en t ma t t e r p r io r to us ing the pers on a s

a C on f id e n t i a l H u m a n S ou r c e.

C U R R E N T O R F O R M E R P A R T I C I P A N T S I N T H E W I T N E S S S E C U R I T Y

P R O G R A M

I . Cons i s t en t w i t h ex tan t Depa r tmen t o f J us t i ce requ i remen t s , t he FBI mus t receive

t h e app rova l o f OE O and the s pons or ing FPO At to rn ey (o r h i s o r he r successor )

p r i o r t o u t i l iz i n g a s a C o n f id e n t i a l H u m a n Source a cu r r en t o r fo rmer pa r t i c ipan t

in t he Fede ra l Wi tnes s Secur i ty Program, p rov ided fu r th e r th a t the OE O w i l l

coord ina te s uch ma t t e r s w i t h t he Un i t ed S ta tes Mars ha l s Serv ice . U .S.A.M.

9 - 2 1 . 8 0 0 .

2 . I f an F P O i s p a r t i c i p a t i n g in t h e co n d u c t o f a n i nves t iga t ion by the FB I in wh ich a

c u r r e n t or fo rmer p a r t i c ipan t in the Witnes s Secur i ty Program wou ld be u t i l i z ed a s

a C o n f i d e n t i a l H u m a n Source o r w o u l d b e w or k i n g w i t h a cu r r en t o r fo rmer

p a r t i c i p a n t i n the Wi tnes s Secur i ty Program in conn ec t ion w i t h a p ros ecu t ion , the

FB I s h a l l n o t i fy the FPO At to rn ey a s s igned to the ma t t e r p r io r to u s ing the pe rs on '

a s a C o n f id e n t i a l H u m a n S o u r ce .

S T A T E O R L O C A L P R IS O N E R S , P R O B A TI O N E R S , P A R O L E E S , O R

S U P E R V IS E D R E L E AS E E S

I . Prior to ut i l iz in g a s ta te or local pr ison er , proba t ioner , par olee , or su pervised

releasee as a Conf iden t i a l Hum an Source , a n FBI Sup e rv is o r s h a l l de te rmine

whether (be use of t h a t pe rs on in s uch a capa c i ty wou ld v io la t e the t erms and

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cond i t ions o f the pe rs on ' s inca rce ra t ion , p roba t ion , pa ro le , o r s upe rv is ed release.

I f the FBI Supervisor has reason to bel ieve that i t wou ld v io la t e s u ch t e rms and

cond i t ions , p r io r to us ing the pe rs on a s a Conf iden t i a l Hu ma n Source , an F BI

Supervisor or his or her designee mu s t ob ta in the pe rm is s ion o f a s t at e o r loca l

p r i s o n , probat ion, parole , or supervised release offic ia l w i t h a u t h o r i t y t o g r a n t

s u c h pe rmis s ion , wh ich pe rmis s ion s ha l l be documented in the Conf iden t i a l

H u m a n Source ' s Mies. Ifsuch pe rm is s ion i s ^ en ied o r i t i s inapp ropr ia t e fo r

ope ra t iona l reasons to contac t the appropria te s ta te or local off ic ia l , the FBI may

seek t o ob ta in au thor iza t ion fo r the us e o f s uch pe rs on a s a Source from the s ta te

o r loca l cour t then re s pons ib le fo r the pe rs on ' s inca rce ra t ion , p rob a t ion , pa r o le , o r

s upe rv i s ed release.

2 . I f an FPO i s pa r t i c ipa t ing in the conduc t o f an inves t iga t ion by the FB I in wh ich a

s ta te or local pr isoner , probat ioner , parolee , or supervised releasee would be

u t i l i z ed a s a C o n f id e n t i a l H u m a n Source o r w o u l d b e w o r k i n g w i t h a s ta te or loca l

p r i s one r , p r oba t ione r , pa r o lee , o r s u pe rvi s ed releasee i n connec t ion w i t h a

pros ecu t ion , the FBI s ha l l n o t i fy the FPO At to r n ey a s s igned to the ma t t e r p r io r to

us ing the pe rs on a s a . Conf iden t i a l Hu m an Source .

E . F U G I T I V E S

1. Except as provided below, a n F B I Agent s h a l l n o t i n i t i a t e c o m m u n i c a t i o n w i t h a

c u r r e n t o r fo r m e r C o n f i d e n t i a l H u m a n So u r ce who is a fugi t ive .

2 . A n F B I Agent is p e r m i t t ed t o c o m m u n i c a t e w i t h a cu r ren t o r fo rmer Conf iden t i a l

H u m a n Source wh o is a fugi t ive :

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a. if the fugit ive Source i n i t ia t e s the co ramu nica t jon ;

b. i f the comm u nica t ion is part of a legi t imate effort by the F BI to arres t the

fugitive; or

c. if approved, in advance whenever poss ible, by a Su pervisor o f any federa l ,

state, or local law enforcement agency tha t has a wan ted r ecord for the

i n d iv id u a l i n t h e NCIC and , in the case of a federa l warra nt , by the FPO

for the issuing Dis tr ic t .

3 . An FBI Agent who communica te s with a C o n fi d e n t i a l H u m a n Source wh o is a

fug i t ive mu s t p rom pt ly repor t s uch comm un ica t ion to the appropr ia t e fede ra l , s t a t e

or local law en forcement agency, and any other law enforcement agency ha v ing a

wan ted reco rd for th e ind iv idu a l in the NCIC, and mu s t documen t those

c o m m u n i ca d o n s i n t h e C o n fi d e n t ia l H u m a n Source ' s files.

IV, R E S P O N S I B I LI T IE S R K G AR D F N G

C O N F I D E N T I A L H U M A N S O U R C E S

NO I N T E R F E R E N C E W I T H A N I N V E S T I G A T I O N O F A C O N F I D E N T I A LH U M A N S O U R C E

DOJ pe rs onne l s h a l l no t in t e r fe re with or imp ede any cr im in al inves t iga t ion or arres t of a

Conf iden t i a l Huma n Source . DOJ pe rs onne l s ha l l no t r evea l to a Conf iden t i a l Hu ma n

S o u r c e any in fo rm a t ion re l a t ing to an inves t iga t ion o f the Source , inc lu d in g co r i fi rming o r

deny ing the exis tence o f s u c h an inves t iga t ion, un less a u thorized to do so by the Ch ief

Federa l Prosecutor or his or her designee, a ft e r cons u l t a t ion w i t h t he appropr ia t e FBI

S AC or his or her designee.

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P R O H I B I T E D T R A N S A C T I O N S AN D R E L A T I O N S H I P S

1. DOJ pe rs onne l d i rec t ing o r overseeing t he d i rec t ion o f a Conf iden t i a l Hu m an

S o u r c e s ha l l no t :

a. exchange gifts with a Co n f id e n t i a l H u m a n S o u r c e;

b . p rov ide the Conf iden t i a l Hu m an S o u r c e w i m a n y t h i n g o f m o r e t h a n

n o m i n a l va lue ;

c. receive an y th ing o f more than nom ina l va lue from a Conf iden t i a l Hum an

Source; or

d . engage in an y bus iness or f inan cia l t ra ns act ions w i t h a Conf iden t i a l

H u m a n S o u r c e ,

2 . Un le s s au thor i zed purs u an t to pa rag raph IV (B)(3) be low, any excep t ion to th i s

p rov i s ion requ i re s the wr i t t en approva l o f an FB I Su pe rv is o r , i n ad v an ce

whenever poss ible , based on a f inding by the FB I Su pervisor tha t the event o r

t ran s ac t ion in ques t ion is necessary an d app ropria t e for opera t ional reasons . This

w r i t t e n find ing s ha l l be ma in ta ined in the Conf iden t i a l Hu ma n Source ' s files.

3 . DOJ pe rs onn e l d i rec t ing o r overseeing t he d i rec t ion o f a Conf iden t i a l Human

S o u r c e s h a l l no t social ize w i t h t ha t Source , except t o th e exten t necessary a n d

app ropr ia t e fo r ope ra t iona l r ea s ons .

4 . I f an FPO i s pa r t i c ipa t ing in the eondu c t o f an inves t iga t ion tha t is u t i l i z ing an F BI

C o n f i d e n t i a l H u m a n S o u r c e o r w o r k i n g w i t h a Co n f id e n t i a l H u m a n S o u r c e in

connec t ion with a p ros ecu t ion , the FBI s ha l l p rov ide wr i t t en no t i f i c a t ion to the

FPO Attor n ey ass igned to the mat ter , in advance when ever pos s ib le , i f t he FB I

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approves an except ion u nd er paragraph IV (B) or i f an FBI Agent social izes w i t h a

C o n fi d e n t i a l H u m a n Source i n a mann e r no t pe rm i t t ed und e r pa rag raph IV(B)(2)

& ( 3 ) .

M O N E T A R Y P A YM E N T S

1. G e n e r a l

Monie s tha t the FB I pays t o a Conf iden t i a l Hu ma n Source i n the fo rm o f fees an d

rewards s ha l l be commens ura te w i t h t he va lue , a s de te rmined by the FBI , o f the

in fo rma t ion or ass is tance the Source pr ovided to the FBI. The FB I 's

r e im b u r s e m e n t O f expenses i n c u r r e d b y a C o n f id e n t i a l H u m a n Source s h a l l be

based u p o n a c t u a l expenses i n c u r r e d , except t ha t r e loca t ion expenses may be

made based on an e s t ima te o f the expenses .

2 . P r o h i b i t i o n Ag a i n s t C o n t i n g e n t P a y m e n t s

Und er no c ircum s tances s h a l l any paymen ts to a Conf iden t i a l Hu m an Source be

c o n t in g e n t u p o n t h e c o n v ic t i o n o r p u n i s h m e n t o f a n y i n d i v i d u a l .

3 . A p p r o v a l f o r P a y m e n t s

T he F BI s h a l l e s t ab l i s h a wr i t t en de lega t ion o f a u t h o r i t y for approval of payments

to Conf iden t i a l Hu m an Sources . T he de lega t ion o f a u t h o r i t y s ha l l e s t ab l i s h the

leve l o f approva l requ i red when s ing le paymen ts , aggregate a n n u a l p a y m e n t s , a n d

to tal aggregate p a y m e n t s m ee t or exceed s pec i fi c th r e s ho ld am oun ts . The

th re s h o ld amou n ts and approva l a u th or i ty a re s ub jec t to pe r iod ic r ev iew a n d

amendment a s deemed appropr ia t e hy the FBI Di rec to r .

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4 . D o c u m e n t a t i o n o f P a ym e n t

T he pa ymen t o f any FBI funds to a Conf iden t i a l Hu ma n Source sh al l be witnessed

by a t leas t one FBI Agent and another governm ent off ic ia l . In the event o f

ex t rao rd ina r y c ircums tances th a t mu s t be docum ented in the Source ' s f i le , only

one witness sh al l be requ ired. Imm edia te ly after receivin g a paymen t , the

C o n f i d e n t i a l H u m a n Source shal l be required to s ign or in i t ia l , and da te , a wr i t t en

rece ip t . " At the t ime o f the paymen t , t he FBI Agent or other govern men t off ic ia l

s h a l l advise t he Conf iden t i a l Hum an Source t ha t the mon ie s m ay be t axab le

incom e th a t mu s t be repor ted to appropr ia t e t ax au thor i t i e s . The rea ft e r , t he FB I

s h a l l d o c u m e n t t h e p a y m e n t a n d t h e advice o f t ax ab i l i t y in th e FBI 's fi les . The

docu men ta t ion o f paymen t s h a l l s pec ify whe the r the paymen t i s fo r services or

expenses .

5 . A c c o u n t i n g a n d R e c o n c i l ia t i o n P r o c e d u r e s

T he FBI s ha l l e s t ab l is h accoun t ing and reconc i l ia t ion p rocedure s to comply w i t h

these Gu ide l ine s . T he FB I p rocedure s s ha l l ens u re tha t the FB I accoun t s fo r a l l

fun ds pa id to a Conf iden t i a l Hu ma n Source subsequent to the issuance of these

G u i d e l i n e s .

6 . C o o r d i n a t i o n w i t h P r o s e c u t i o n

I f a n FPO At to r ney i s pa r t i c ipa t ing in the conduc t o f a n i nves t iga t ion o r

p ros ecu t ion tha t is u t i l i zing an FBI Conf iden t i a l Hum an Source who is expected .

" T he Conf iden t i a l Human Source may s ign or in i t ia l t he wr i t t en rece ip t by us ing a

p s e u d o n y m w h i c h h a s been prev ious ly approved and docum ented in the Source's files and

des igna ted fo r us e by on ly one Con f iden t i a l Hum an Source.

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to testify, the FBI shall coordinate with the FPO at torn ey, in advance i f

pra c t icable , any payment of monies to the Confident ia l Hu ma n S o u r c e purs uan t

to paragrap h fV(C)(3) above. If the payment is to be m ad e for services and i f the

FPO At to rney objects to the payment , no payment w i l l be m a d e u n t i l the dispute

has been resolved in accordance with Section I. E. above.

V. A U T H O R I Z A T I O N O F O T H E R W I S E I L L E G A L A C T I V I T Y

A. G E N E R A L P R O V I S I O N S

1. The FBI s h a l l no t au th or ize a Confiden t i a l Hu ma n S o u r c e to engage i n any

ac t iv i ty t h a t other wise wou ld cons t i tu te a cr im ina l viola t ion u nder federa l , s ta te ,

or local law if engaged i n by a pers on ac t ing with ou t au thor i za t ion , except as

p rov ided in the au th or iza t ion p rovi s ions in pa ragraph V(B) below.

2 . T he FB I is .never pe rm i t t ed to au th or ize a Conf iden t i a l Hum an S o u r c e t o :

a , pa r t i c ipa te in any ac t o f violen ce except in self -defense; ' 2 or

b , pa r t i c ipa te in an act designed t o ob ta in in fo rma t ion fo r the FBI t h a t w o u l d

be unlawful i f conducted by a law enforcement agent ( e ^ b r e a k in g a n d

entering, i l legal wire tapping, i l legal opening or tampering with th e mai l , or

trespass am ou nt ing to an i llegal search).

B . A U T H O R I Z A T I O N P R O C E D U R E S

I . W r i t t e n A u t h o r i z a t i o n

l2 Th e Source may take reasonable measures o f self-defense in an emergency to protect his

or her own l i fe or the lives of others agains t wrongful force.

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Tier 1 Otherwise I l legal Act ivi ty mu st be a ut horized by an FBI SAC and

the appropria te CFP, in advance and in wri t in g for a specif ied period, not

to exceed 90 daya, except t ha t , with respect to a l l in ternat ional te rrorism

inves t iga t ions , na t ional securi ty inves t iga t ions , or other ac t ivi t ies under

NSIG, upon reques t of the FBI and a t the discre t ion of die appropria te

CFP, the Other wise I l legal Act ivi ty may he au th orized for a per iod of u p t o

on e year.

Tier 2 Otherwise I l legal Act ivi ty must be aut hor ized by an F BI SAC in

advance and in wri t in g for a specified period, n ot to exceed 90 days .

The wr i t te n au th oriza t ion b y the F BI SAC andVor CFP of Oth erwise I l legal

A c t i v i t y sh al l be as nar row as reasonable un der the c ircum stan ce? as to the

u n l a w f u l ac t iv i ty ' s scope, geographic a rea , du ra t ion and o the r re l a t ed

m a t t e r s .

For pu rpos es o f th i s pa rag raph , except w i t h respect to a l l in ter na t iona l

t e r ro r i sm inves t iga t ions , na t ional secu ri ty inves t iga t ions , or other ac t ivi t ies

u n d e r NSIG, th e "app ropria te Ch ief Federa l Prosecu tor" is the CFP tha t :

i . i s pa r t i c ipa t ing in the condu c t o f an inves t iga t ion by the FBI tha t is

ut i l i z ing t he Conf iden t i a l Huma n Source o r i s wo r k i n g with th e

Conf iden t i a l Human Source i n conn ec t ion w i t h a p ros ecu t ion ;

i i . w o u l d h a v e p r i m a r y j u r i s d i c t i on to prosecute the Oth erwise I l legal

Act iv i ty tha t would con s t i tu t e a viola t ion of federa l law; or

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i i i . i s located where the Oth erwise I l legal Act ivi ty is to occur, a nd i t

only cons t i tu tes a viola t ion of s ta te or local law.

e. Wi th re s pec t to a l l i n t e rna t iona l t e r ro r i s m inves t iga t ions , na t iona l s ecu r i ty

inves t iga t ions , or other ac t ivi t ies under NSIG, t h e a p p r o p r ia t e C h i e f

Federa l Prosecutor is the AAG of th e NSD , or designee. W i t h i n 6 0 days

after these Guidel ines are app roved by the Att orn ey Gen era l , th e AAG of

the NSD s h a l l i den t i fy designees fo r pu rpos es o f th is p a r a g r a p h , w h i c h

may inc lu de DOJ pe rs onne l ou t s ide the NSD.

2 . F i n d i n g s

a . T he FB I SAC and the CFP who au th or ize the Oth e rwis e I l lega l Ac t iv i ty

m u s t ma ke a find ing, wh ich s h a l l be docum ented in the Con f iden t i a l

H u m a n Source ' s fi les , th a t the i l legal a c t ivi ty is :

i . necessary ei ther to -

A. ob ta in in fo rm a t ion o r ev idence essent ia l for the success o f

an i nves t iga t ion th a t is no t r ea s onab ly ava i l ab le wi th ou t

s u c h a c t i v it y , i n c l u d i n g c ir c u m s t a n c e s i n w h i c h t h e

C o n f i d e n t i a l H u m a n Source m u s t engage i n the i l l ega l

ac t ivi ty i n o r d er t o m a i n t a i n h i s c r e d i b i l it y a n d t h e r e b y

obta in the in fo rma t ion o r evidence, or

B . p reven t dea th , s e r ious bod i ly in jury , or s ign i f ican t d a m a g e

to property; and

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i i . that the benefi t s to be ob tained from the Conf iden t ia l Hu ma n

Source ' s pa r t icipa t ion in the Otherwise I llegal Act iv i ty ou t weigh

th e r i sk s .

in m a k i n g these f ind ings, the FBI SAC an d the CFP s ha l l consider , am ong

o th er t h in g s ;

i . the importance of the invest igat ion ;

ii . t h e l i k e l ih o o d t h a t t h e in fo rma t io n o r evidence so u g h t w i l l b e

o b ta in ed ;

i i i . t h e r i sk t h a t th e Co n fid en t i a l Hu ma n Source m i g h t m i s u n d e r s t a n d

or exceed th e scope o f h i s au th o r i za t i o n ;

i v . t h e ex t en t o f t h e Co n f id en t i a l Hu m an Source ' s p ar t i c i p a t i o n i n t h e

Otherwise I l legal Act iv i ty ;

v . t h e r i sk t h a t t h e F B I w i l l not be able to closely m o n i t o r th e

Co n f id en t i a l Hu man Source ' s p ar t i c ip a t i o n i n th e Oth erwi se I ll eg a l

Act iv i t y ;

vi . : t h e r i sk o f violence, p h y s i ca l in jury , p ro p er ty damage, or financial

loss t o t h e Cb n f id en t i a l Hu man Source or o thers ; and

vi i . t h e r i sk t h a t t h e F BI w i l l not be able t o en su re t h a t t h e Co n f id en t i a l

H u m a n Source does n ot realize un due prof it s from h is or her

p ar t i c i p a t i o n in the Other wise I l legal Act iv i ty .

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I n s t r u c t i o n s

a. U a C on f id e n t i a l H u m a n Source i s au thor ized to engage i n Oth erwi se

DIegal Activity, at least one FBI Agent , along with o n e ad d i t i o n a l

govern men t o fficial p resen t as a witnes s , sh al l review w i t h th e

C o n f i d e n t i a l H u m a n Source w r it t e n i n s t r u c t i on s t h a t :

i . t h e Co n f id en t i a l Hu m an S o u r c e i s au thor ized on ly to engage i n t h e

sp ec i fi c co n d u c t se t fo r t h i n t h e wr i t t en au th o r i za t i o n an d n o t in

any o ther i l legal act iv i ty ( the Chief Federal Prosecutor ' s w r i t t e n

au th o r i za t i o n sh o u ld b e r ead t o t h e Co n f id en t i a l Hu man Source

un less i t is no t feasible);

i i . t h e Co n f id en t i a l Hu m an Source ' s au th o r i za t i o n i s l imi t ed t o t h e

t ime p er iod s p ec ifi ed i n t h e wr i t t en au th o r i za t i o n ;

i i i . u n d er n o c ir cu ms tan ce ma y th e Co n f id en t i a l Hu ma n Source ;

A. par t icipate in an act o f violence (except in self-defense);

B. p a r t i c ip a t e i n an ac t designed t o o b t a in in fo rm at io n fo r t h e

F BI t h a t wo u ld b e u n l a wfu l i f co n d u c t ed b y a l aw

enforcement agent (s^g., b rea k in g an d en t e r i n g , i l leg a l

wi re t ap p in g , i l l eg a l o p en in g o r t amp er in g w i t h t h e ma i l , o r

t respass am oun t ing to an i l legal search );

C. I f app l icab le: pa r t ic ipate in an act that const i tu tes

o b s t ru c t i o n o f j u s t i ce (e.g.. p er ju ry , witn ess t am p er in g ,

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witness i n t imid a t i o n , en t rapmen t , o r the fab r i ca t ion ,

a l t e r a t i o n , or de s t ruc t ion o f evidence) ;

D . I f app l icable : in i t ia t e or ins t iga te a plan or s t ra tegy to

commit a federa l , s ta te , or local offense;

i v . i f t he Conf iden t i a l Hum an So u r ce i s asked by any person to

pa rt ic ipate in an y i l legal ac t ivity other t ha n the specific condu ct se t

for th i n the wr i t t e n au thor iza t ion , o r l ea rns o f p lans t o engage i n

s uch i l legal ac t ivity , the Source mu s t imm edia te ly repor t the ma t t e r

to the FBI C a se Agent; an d

v . pa r t i c ipa t ion in any i l lega l a c t iv i ty o the r than the s pec i fi c condu c t

s et for th in the wr i t t en au thor iza t ion cou ld s ub ject the Conf iden t i a l

H u m a n Source t o c r imina l p ros ecu t ion .

b . Imm edia te ly af ter these i n s t ruc t ions ha ve been g iven , the Conf iden t i a l

H u m a n Source s h a l l be requ i red to s ign o r i n i t i a l , and da te , a wr i t t en

ackn owledgment o f the i n s t r u c t i o n s . 13 I f the Conf iden t i a l Human Source

refus es to sign or i n i t i a l t he wr i t t en ackn owledgmen t , t he FB I Agent, an d

t h e a d d i t i on a l Agent or other government off ic ia l present as a witness ,

sh a l l d o cu m e n t t h a t t h e i n s t ru c t i o n s were reviewed w i t h t he Conf iden t i a l

H u m a n Source and tha t the Source ackn owledged the in s t ru c t ions and h i s

1 1 T he Conf iden t i a l Human Source ma y s ign o r i n i t i a l t he wr i t t en ackn owledgment by

u s i n g a ps eudon ym which has been prev ious ly approved and documen ted in the Conf iden t i a l

H u m a n Source ' s f i les and des ignated for use by only one Confident ia l Human Source .

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or her un ders t an ding of th em. As soon as pra c t icable thereafter , an FBI

Supe rv i s o r s ha l l review and , i f wa r ran ted , approve t he documenta t ion .

4 . P r e c a u t i o n a r y M e a s u r e s

Whenever t he FB I has au thor ized a Conf iden t ia J Hum an Source t o engage in

Otherwise I l legal Act ivi ty , the FBI must take a l l reasonable s teps t o :

a . mon i to r closely the ac t ivi t ies of the Confident ia l Hu m an Source ;

b . m i n i m i z e t h e ad verse effect of the Otherwise I l legal Act ivi ty on innocent

persons ; and

c . ensure t h a t t he Conf iden t i a l Hu ma n Source does n ot realize undue p ro f i t s

from his or her pa rt ic ipat ion in the Other wise I l legal Act ivi t y .

5 . S u s p e n s i o n o f A u t h o r i z a t i o n

Wh en ev e r the FBI cannot , for legi t imate reasons un re la ted to the Conf iden t i a l Hu ma n

Source ' s c o n d u c t (e.g.. u na va i l ab i l ity o f the C a se Agent) , c o m p l y w i t h t he p recau t iona ry

measures described above, i t s h a l l im media te ly :

a . s us pend the Conf iden t i a l Hum an Source ' s a u t h o r i za t i o n t o engage in

Otherwise I l legal Act ivi ty u n t i l s uch t ime a s the p recau t iona ry measures

can be comp l ied w i t h ;

b . in fo rm the Conf iden t i a l Hu m an Source that h i s or he r a u t hor i za t ion to

engage in any Otherwise I l legal Act ivi ty has been s us pended u n t i l that

t ime ; and

c. document these ac t ions in the Confiden t i a l Hu ma n Source ' s files.

6. Revocat ion o f A u t h o r i z a t i o n

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a . I f an F BI Agent has reason to believe t ha t a Conf iden t i a l Hu ma n Source

has failed to comply with the terms of the au th oriza t ion of Otherwise

Il legal Act ivi ty , the FBI Agent shal l immedia te ly;

i . revoke t he Conf iden t i a l Hu ma n So u r ce ' s au thor iza t ion to engage in

Otherwise I l legal Act ivi ty;

i i . i n fo rm the Conf iden t i a l Human S o u r c e tha t he or she is n o longer

au thor ized to engage in any Oth erwise I l legal Act ivi t y;

i i i . c o m p l y w i t h the not i fica t ion requirem ent o f para graph V I (B)

below;

i v . de te rmine whe the r the Conf iden t i a l Hum an S o u r c e s hou ld be

closed pursu ant to Sect ion VD; and

v. document these ac t ions in the Conf iden t i a l Hu ma n Source ' s files,

b . Imm edia te ly a ft e r the Conf iden t i a l Hu ma n Source ba s been i n fo rmed tha t

he or she is no longer authorized to engage in any Otherwise I l legal

Act ivi ty , the Confident ia l H u m a n S o u r c e s hou ld s ign o r i n i t i a l , and date , a

wr i t t en acknowledgment tha t he or s he has been i n fo rmed o f this f a c t . 1 4 I f

the Conf iden t i a l Human Source refuses to s ign or i n i t i a l t he wr i t t en

ackn owledgment , t he FBI Agent who in fo rmed the Conf iden t i a l Hum an

S o u r c e of the revocat ion of au th oriza t ion sh al l docu men t th e refus a l , and

th e source ' s oral acknowledgment of the inform at ion i f such ora l

H T he Conf iden t i a l Human Source may s ign or i n i t i a l t he wr i t t en acknowledgment by

u s i n g a p s e u d o n y m w h i c h h a s been previous ly approved ar id docum ented in the Confident ia l

H u m a n Source ' s fi les an d des igna ted for use by only one Confident ia l Hum an Source .

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ackn owledgment i s p rov ided . As s oon a s p rac t i cab le the rea ft e r , an FBI

Supe rv i s o r s ha l l review t he wr i t t en ackn owledgment o r docum enta t ion o f

re fus a l .

R e n e w a l a n d E x p a n s i o n o f A u t h o r i z a t i o n

a . I f t he FB I seeks t o re -au thor ize any Conf iden t i a l Human Source to engage

i n Othe r wis e I l l ega l Ac t iv i ty a f t er the exp i ra t ion o f the au th or ized t ime

pe r iod , o r a f t e r r evoca t ion o f au t hor i za t ion , the FB I mus t first c o m p l y with

th e procedu res se t forth above i n pa rag raphs V(B)( l ) - (3) .

b . I f the FB I seeks t o expand in any ma te r i a l way a Conf iden t i a l Hu ma n

So u r ce ' s a u t h o r i za t i o n t o engage i n O the r wis e I l l ega l Ac t iv i ty , the F BI

m u s t first c o m p l y w i t h the procedures se t forth a bove i n pa rag raphs V

(B) (1M3) .

E m e r g e n c y A u t h o r i z a t i o n

a . In excep t iona l ci rcum s tan ces , an FB I SAC and the appr opr ia t e CFP ma y

' o ra l ly au thor i ze a Conf iden t i a l Hum an Source t o engage in Tier 1

Oth e rwis e I l l ega l Ac t iv i ty wi th ou t com ply ing w i t h t he docum enta t ion

requ i remen t s o f pa rag raphs V (B)(l)-(3 ) above, when th ey each de le rmine

t h a t a h igh ly s ign i fi can t an d una n t i c ipa ted inves t iga t ive oppor tu n i ty wou ld

be los t -were the t ime t aken to comply w i t h these d o c u m e n t a t i o n

requ i remen t s , " and that t he c ircum s tances s u ppor t a find ing requ i red

p u r s u a n t lo paragraph V (B)(2 ). In s uch an event, t h e d o c u m e n t a t i on

requ i remen t s , a s we l l as a wr i t t en j u s t i fi ca t i o n fo r the o ra l au t hor i za t ion ,

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sh a l l be completed within 72 hours or as soon as pra c t icable fol lowin g the

o r a l approva l and ma in ta ined in the Conf iden t i a l Hu ma n Source ' s files,

b . In extraord inar y c ircum stan ces , an FB I SAC ma y ora l ly au th orize a

Conf iden t i a l Human Source to engage in Tier 2 Otherwise I l legal Act ivi t y

w i t h o u t comply ing with t he documenta t ion requ i remen t s o f pa rag raphs

- V(B)(1 )-(3) above when he or she determines t h a t a h igh ly s ign i fi can t and

un an t i cipa ted inves t iga t ive oppor tu n i ty wou ld be lo s t were t he t ime t aken

t o c o m p l y w i t h these requ i remen t s . In s uch an event , t h e d o c u m e n t a t i o n

requirements , as wel l as a wr i t t en j u s t i f i c a t ion fo r the o ra l au thor i za t ion ,

s h a l l be completed w i t h i n 72 hours o r a s s oon a s p rac t i cab le fo l lowing the

o r a l appr ova l and ma in ta ined in the Conf iden t i a l Hu ma n So u r ce ' s files.

9 . Designees

The FB I S AC and the CFP m ay agree to . des igna te p a r t i c u l a r in d i vi d u a l s a t t h e

s upe rv i s o ry level i n th e ir respect ive offices t o ca r ry ou t the app rova l func t ions

ass igned to them in Sect ion V.

1 0 . R e c o r d K e e p i n g P r o c e d u r e s

a . The FB I sh al l m ain ta in a fi le for each C o n f i d e n t i a l H u m a n S o u r c e

con ta in ing a l l the wr i t t en au thor iza t ions , find ings and ins t ru c t ions

. regard ing Tier 1 Other wise I l legal Act ivi ty , as requ ired un der Sect ion

V(B) ofthese Guidel ines .

b . At the end of each calendar year , the FBI shal l . report to the Ass is tant

At to rn eys Gene ra l o f the Cr im ina l D iv i s ion and the Na t iona l Secur i ty

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Divis ion the tota l number of t imes each FBI Fie ld Office au thor ized a

Conf iden t i a l Human S o u r c e to engage in Oth erwise DIegal Act ivi ty , and

the overa l l na t ion wide tota ls ,

c . I f reques ted, the FB I sh al l provide to the Ass is t an t Attor neys Genera l o f

the Cr im ina l D iv i s ion an d the Na t iona l Secur i ty Div i s ion a c o p y of any

wri t ten authoriza t ion, f inding or ins t ruct ion is s ued p urs u an t to Sec t ion

V(B) of these Guide l ine s .

VI . S P E C I A L N Q T T F r C ATI ON R E Q U I R E M E N T S

N O T I F I C A T I O N O F I N V E S T I G A T I O N O R P R O S E C U T I O N

1. I f a n F B I Agent has reasonable grounds to believe t h a t t h e alleged fe lonious

ac t i v i t y of a cu r ren t o r fo rmer Conf iden t i a l Hu ma n S o u r c e is , or is expected t o

b eco m e , the bas is of a pros ecu t ion or inves t iga t ion by an FPO or a s ta te or local

prosecutor 's office, t h e F B I Agent mu s t immed ia te ly no t i fy a Conf iden t i a l Hu ma n

S o u r c e Coord ina to r o r the ass igned FPO At to rn

Documents

DOJ AG Use of FBI confidential human sources