DOJ Guidelines: Use of Confidential Informants

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THE ATTORNEY GENERAL'S GUIDELINES
REGARDING THE USE OF CONFIDENTIAL INFORMANTS

Preamble
The following Guidelinesregardingthe useof confidentialinfomlants areissuedunder
the authorityof the Attorney Generalasprovidedin sections509,510, and 533 of title 28, United
StatesCode. They apply to the useof confidentialinfomlantsin criminal investigationsand
prosecutionsby Departmentof Justicelaw enforcementagenciesand federalprosecutingoffices
asspecifiedin paragraph(I)(A) below.

TABLE OF CONTENTS
1

GENERAL PROVISIONS. . . .

A.

PURPOSEAND SCOPE

B.

DEFINITIONS.

.1
1

I.

"Departmentof JusticeLaw EnforcementAgency" or "JLEA"

2.

"Field Manager"

3.

"SeniorField Manager"

4.

"FederalProsecutingOffice" or "FPO"

5.

"Chief FederalProsecutor"

6.

"ConfidentialInformant" or tIC!,'

7.

"CooperatingDefendantlWitness"

8.

"Sourceof Information"

9.

"High Level ConfidentialInfonI1ant"

10.

"Tier 1 Otherwiselllegal Activity"

..........3

11

"Tier 2 Otherwisemegal Activity"

4

12.

"Fugitive"

13.

"ConfidentialInfonnant ReviewCommittee"or "CIRC"

2
.2

'...,.

.2
.2

...2
3

. . . . .3

.4

5

c.

PROHffiITION ON COMMITMENTS OF IMMUNITY BY FEDERAL
LAW ENFORCEMENT AGENCIES

D.

REVEALINGA CONFIDENTIAL INFORMANT'S TRUE mENTITY . . . 5

E.

DUTY OF CANDOR

5

5
5

CONFIDENTIALITY

F.

MAINTAINING

I.

i

EXCEPTIONS AND DISPUTE RESOLUTION

7

H.

RIGHTS OF THIRD PARTIES

7

I.

COMPLIANCE.

,

REGISTERING A CONFIDENTIAL INFORMANT.

8

Initial Suitability Detennination

..8

2.

ContinuingSuitability Review. . . .

.9

3.

Review of Long-TermConfidentiallnfonnants

10

B.

REGISTRATION

c.

INSTRUCTIONS.

.11

D.

SPECIAL APPROV AL REQUIREMENTS.

.13

1

High Level ConfidentialInformants

13

Individuals Underthe Obligationof a LegalPrivilege of
Confidentialityor Affiliated with the Media. . . . . . . . . .

14

FederalPrisoners,Probationers,Parolees,Detainees,and
SupervisedReleasees. . . . . . . . . . . . . . . . . . . . . . . . . . . .

14

4.

Currentor FornlerParticipantsin the WitnessSecurityProgram

15

s.

State or Local Prisoners, Probationers, Parolees, or

2.

3

SupervisedReleasees

6.
III.

.8

DETERMINATION

A.

SUITABILITY

II.

G.

.15

16

Fugitives.

RESPONSIBILITIES
REGARDING REGISTERED CONFIDENTIAL
---

--

-

--

-

INFORMANTS

17

A.

17

GENERAL PROVISIONS.

1.

No InterferenceWith an Investigationof a ConfidentialInformant.

17

2.

B.

c.

ProhibitedTransactionsandRelationships

MONETARY PAYMENTS

1.

General

2.

Prohibition AgainstContingentPayments.

3,

Approval for a SinglePayment. .

4.

Approval for Annual Payments

5.

Approval for AggregatePayments

6.

Documentationof Payment

18

7.

AccountingandReconciliationProcedures

19

8.

Coordinationwith Prosecution.

19

AUTHORIZATION OF OTHERWISE ILLEGAL ACTIVITY

.

.

.

...18

18

.. .18

19
.19

GeneralProvisions

... .20

2.

Authorization. .

3,

Findings.

4.

Instructions. .

5.

PrecautionaryMeasures

6.

Suspensionof Authorization. .

7

Revocationof Authorization

8

Renewaland Expansionof Authorization

9.

Emergency
Authorization. .

24

10.

Designees. . .

24

. . . . .20
..21

22

ill

.23
..23

. . . . . .23

D.

SPECIAL NOTIFICATION REOUIREMENTS

A.

NOTIFICATION OF INVESTIGAllON

B.

NOTIFICATION OF UNAUTHORIZED ILLEGAL ACTIVITY

c.

NOTIFICATION REGARDING CERTAIN FEDERAL JUDICIAL
PROCEEDINGS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26

D.

PRIVILEGED OR EXCULPATORY INFORMATION.

E.

RESPONDING TO REQUESTS FROM CHIEF FEDERAL
PROSECUTORS REGARDING A CONFIDENTIAL

OR PROSECUTION

. .27

INFORMANT

IV.

LISTING A CONFIDENTIAL INFORMANT IN AN ELECTRONIC
SURVEILLANCE APPLICATION
.

v.

F.

FILE REVIEWS

...27

G.

DESIGNEES. . . . .

...27

-DEACTIVATION
-- - - - - - - - - - -

OF
INFORMANTS
- - CONFIDENTIAL
- --

27

A.

GENERAL PROVISIONS

B.

DELAYED NOnFICATIONTO A CONFIDENTIAL INFORMANT

28

c.

CONTACTS WITH FORMER CONFIDENTIAL INFORMANTS
DEACTIVATED FOR CAUSE

28

D.

COORDINATION WITH PROSECUTORS .

28

...27

IV

I. GENERALPROVISIONS

A.

PURPOSEAND SCOPE

I.

The purposeof theseGuidelinesis to setpolicy regardingthe useof Confidential
Infonnants,asdefinedbelow, in criminal investigationsandprosecutionsby all
Departmentof JusticeLaw EnforcementAgenciesand FederalProsecuting
Offices, asdefinedbelow.

2.

TheseGuidelinesdo not apply to the useof CooperatingDefendants/Witnesses
or
Sourcesoflnfomlation, asdefinedbelow, unlessa Departmentof JusticeLaw
EnforcementAgency,in its discretion,choosesto apply theseGuidelinesto such
persons.

3.

B.

TheseGuidelinesaremandatoryand supersede
the Attorney General'sGuidelines
on the Use of Informantsin DomesticSecurity,OrganizedCrime, and Other
Criminal Investigations(December15, 1976);the Attorney General'sGuidelines
on FBI Use of InformantsandConfidentialSources(December2, 1980);
Resolution18 of the Office of InvestigativeAgencyPolicies (August 15, 1996);
and any other guidelinesor policies that areinconsistentwith theseGuidelines.
TheseGuidelinesdo not supersede
otherwiseapplicableethical obligationsof
Departmentof Justiceattorneys,which can,in certaincircumstances(for example,
with respectto contactswith representedpersons),havean impact on law
enforcementagents'conduct.

4.

TheseGuidelinesdo not limit the ability of a Departmentof JusticeLaw
EnforcementAgencyto imposeadditionalrestrictionson the useof Confidential
Infonnants.

5.

TheseGuidelinesapply to the useof a Confidentiallnfonnant in a foreign country
only to the extentthat the ConfidentialInfonnant is reasonablylikely to be called
to testify in a domesticcase.

6.

TheseGuidelinesdo not applyto the useof ConfidentialInfonnantsin foreign
intelligenceor foreign counterintelligenceinvestigations.

DEFINITIONS
"Departmentof JusticeLaw EnforcementAgency" or "JLEA"

a.

The Drug EnforcementAdministration;

b.

The FederalBureauof Investigation;

c.

The Immigration andNaturalizationService;

d.

The United StatesMarshalsService;and

e.

The Departmentof JusticeOffice of the InspectorGeneral.

2.

"Field Manager"- a JLEA's first-line supervisor,asdefinedby the JLEA
(typically, GS-14rank or higher).

:\

"SeniorField Manager"- a ILEA's second-linesupervisor,asdefinedby the
JLEA (typically, GS-15rank or higher).

4.

"FederalProsecutingOffice" or "FPO"a.
b,

c.

The United StatesAttorneys' Offices;
The Criminal Division, Tax Division, Civil Rights Division, Antitrust
Division, andEnvironmentalandNatural ResourcesDivision of the
Departmentof Justice;and
Any other litigating componentof the Departmentof Justicewith authority
to prosecutefederalcriminal offenses.

5.

"Chief FederalProsecutor"- the headof a FPO.

6.

"ConfidentialInfonnant"or "cr'

any individual who providesuseful and
credibleinfonnation to a JLEA regardingfeloniouscriminal activities, and from
whom the JLEA expectsor intendsto obtain additionaluseful and credible
infonnation regardingsuchactivities in the future.

7.

"Cooperating DefendantlWitness"

a.
b.

c.

-

-

any individual who:

meetsthe definition of a CI;
hasagreedto testify in a proceedingas a result of having provided
infonnation to the JLEA; and
(i) is a defendantor potentialwitnesswho hasa written agreementwith a
FPO,pursuantto which the individual hasan expectationof futurejudicial
or prosecutiveconsiderationor assistanceasa result of having provided
infonnation to the JLEA, or
(ii) is a potentialwitnesswho hashad a FPO concurin all materialaspects
of his or her useby the JLEA.

2

"Sourceof Infonnation" - any individual who:

8.

a.

meetsthe definition of a CI;

b.

providesinformationto a JLEA solely asa result of legitimateroutine
accessto informationor records,suchas an employeeof the military, a
law enforcementagency,or a legitimatebusiness(~, phonecompany,
banks,airlines),andnot asa result of criminal associationwith personsof
investigativeinterestto the JLEA; and

c.

providessuchinformation in a mannerconsistentwith applicablelaw.

"High Level ConfidentialInformant"- a CI who is part of the seniorleadershipof

9.

an enterprise that

10.

a.

has:(i) a nationalor internationalsphereof activities, or (ii) high
significanceto the JLEA's nationalobjectives,evenif the enterprise's
sphereof activitiesis local or regional;and

b.

engagesin, or usesothersto commit, anyof the conductdescribedbelow
in paragraph(I)(B)(1O)(b)(i)-(iv).

"Tier 1 OtherwiseIllegal Activity" - any activity that:
would constitutea misdemeanoror felony underfederal,state,or local law
if engagedin by a personactingwithout authorization;and

b.

that involves(i) the commission,or the significantrisk of the commission,of any act of
violenceby a personor personsotherthan the Confidentiallnfonnant;1
(ii) corruptconduct,or the significantrisk of corrupt conduct,by senior
federal,state,or local public officials;

I

Bookmakingthatis significantlyassociated
with, or substantially
controlledby,

organizedcrime ordinarily will be within the scopeof paragraph(I)(B)(IO)(b)(i). Thus, for
example,wherebookmakershavea financial relationshipwith membersor associatesof
organizedcrime, and/orusemembersor associatesof organizedcrime to collect their debts,the
conductof thosebookmakerswould createa significantrisk of violence,and would thereforefall
within the definition of Tier 1 Otherwisemegal Activity.
3

(iii) the manufacturing,importing, exporting,possession,or trafficking of
controlledsubstances
in a quantityequalto or exceedingthosequantities
specifiedin United StatesSentencingGuidelines§ 2D 1.1(c)(1);
(iv) financial loss,or the significantrisk of financial loss,in an amount
equalto or exceedingthoseamountsspecifiedin United StatesSentencing
Guidelines§ 2BI.I(b)(I)(I);2
(v) a ConfidentialInformantproviding to anyperson(otherthan a JLEA
agent)any item, service,or expertisethat is necessaryfor the commission
of a federal,state,or local offense,which the personotherwisewould have
difficulty obtaining;or
(vi) a ConfidentialInfonnantproviding to anyperson(other than a JLEA
agent)anyquantityof a controlledsubstance,with little or no expectation
of its recoveryby the JLEA.
11

"Tier 2 OtherwiseIllegal Activity" - any other activity that would constitutea
misdemeanoror felony underfederal,state,or local law if engagedin by a person
actingwithout authorization.

12.

"Fugitive" - an individual:

a.

b.

2

for whom a federal,state,or local law enforcementagencyhasplaceda
wantedrecordin the NCIC (otherthan for a traffic or petty offense);
who is locatedeitherwithin the United Statesor in a countrywith which
the United Stateshasan extraditiontreaty; and

Thecitationsto theUnitedStatesSentencing
Guidelines(USSG)Manualareto the

2001Edition. The referenceshereinto particularUSSG Sectionsareintendedto remain
applicableto the most closelycorrespondingUSSGlevel in subsequenteditionsof the USSG
Manual in the eventthat the cited USSGprovisionsareamended.Thus, it is intendedthat
subsection(iii) of this paragraphwill remainapplicableto the highestoffenselevel in the Drug
QuantityTable in future editionsof the USSGManual,andthat subsection(iv) of the paragraph
will remainapplicableto dollar amountsthat, in future editionsof the USSGManual, trigger
sentencingenhancements
similar to that set forth in the currentsection2Bl.l(b)(1)(I). Any
ambiguitiesin this regardshouldbe resolvedby the AssistantAttorney Generalfor the Criminal
Division.
4

c.

13.

whom the law enforcementagencythat hasplacedthe wantedrecordin the
NCIC is willing to take into custodyuponhis or her arrestand,if
necessary,seekhis or her extraditionto its jurisdiction.

"Confidential Infonnant Review Committee"or "CIRC" - a committee,createdby
a JLEA for purposesof reviewingcertaindecisionsrelating to the registrationand
utilization of CIs, the chair of which is a JLEA official at or abovethe level of
Deputy AssistantDirector (or its equivalent)andthe membershipof which
includesthe following two representatives
designatedby the AssistantAttorney
Generalfor the Criminal Division of the Departmentof Justice(eachof whom
shall be considereda "Criminal Division representative"):(i) a Deputy Assistant
Attorney Generalfor the Criminal Division; and (ii) an AssistantUnited States
Attorney.

c.

PROHIBITION ON COMMITMENTS OF IMMUNITY BY FEDERAL
LAW ENFORCEMENT AGENCIES

A JLEA agentdoesnot haveany authorityto makeanypromiseor commitmentthat
would preventthe governmentfrom prosecutingan individual for criminal activity that is not
authorizedpursuantto paragraph(llI)( C) below, or that would limit the useof any evidenceby
the government,without the prior written approvalof the FPO that hasprimaryjurisdiction to
prosecutethe CI for suchcriminal activity. A JLEA agentmust takethe utmost careto avoid
giving anypersonthe erroneousimpressionthat he or shehasany suchauthority.

D.

REVEALING A CONFIDENTIAL INFORMANT'S TRUE mENTITY

Exceptin the caseof approvalsandreviewsdescribedbelow in paragraphs(ll)(A)(3)
(review oflong-tentl CIs), (Ill)(B}(8) (coordinationconcerningpaymentsto CIs), (N)(D}(I)
(notification that CI hasobtainedprivileged information),and (V)(D) (coordinationconcerning
deactivationof CI, but only with respectto a CI whoseidentity wasnot previously disclosed),
whenevera JLEA is requiredto makecontactof anykind with a FPOpursuantto these
Guidelinesregardinga CI, the JLEA may not withhold the true identity of the CI from the FPO.

E.

DUTY OF CANDOR

Employeesof the entitiesto which theseGuidelinesapply have a duty of candorin the
dischargeof their responsibilitiespursuantto theseGuidelines.

F.

MAINTAINING CONFIDENTIALITY
A ILEA agentmust takethe utmostcareto avoid conveyingany confidential
investigativeinformationto a CI ~
informationrelating to electronic

5

surveillance,searchwarrants,or the identity of other actualor potential
infonnants),otherthan what is necessaryand appropriatefor operationalreasons.

2.

The Chief FederalProsecutorandhis or her designeearerequiredto maintainas
confidentialthe identity of any CI andthe information the CI hasprovided,unless
obligatedto discloseit by law or Court order. If a JLEA providesthe Chief
FederalProsecutoror his or her designeewith written materialcontainingsuch
information:
a.

b.

Accessto the infomlation shallbe restrictedto the Chief Federal
Prosecutoror his or her designeeandpersonneldeemednecessaryto carry
out the official dutiesrelatedto the case;

c.

The Chief FederalProsecutoror his or her designeeis responsiblefor
assuringthat eachpersonpemlitted accessto the information is made
awareof the needto preservethe securityand confidentiality of the
information, asprovidedin this policy;

d.

e.

3.

Suchindividual is obligatedto keepit confidentialby placing it into a
locked file cabinetwhen not in his or her direct careand custody;

Prior to disclosureof the infonnation to defensecounselor in openCourt,
the Chief FederalProsecutoror his or her designeemust give the JLEA an
opportunityto discusssuchdisclosureandmust comply with any other
applicableprovision of2S C.F.R. §§ 16.21-16.29;and
At the conclusionof a caseor investigation,all written materials
containingthe infonnation that havenot beendisclosedshall be forwarded
to the JLEA that providedthem.3

Employeesof a JLEA and employeesof a FPOhavea continuingobligation after
leaving employmentwith the Departmentof Justiceand its constituent
componentsto maintainasconfidentialthe identity of any CI andthe information
he or sheprovided,unlessthe employeeis obligatedto discloseit by law or Court
order. ~ 28 C.F.R.§§ 16.21- 16.29.

This requirementshall not preventthe Chief FederalProsecutoror his or her designee
from keepingin the relevantcasefile materialssuchasmotions,responses,legal memoranda,
Court orders,and internal office memorandaandcorrespondence.If any suchmaterialscontain
informationrevealinga CI's true identity, the Chief FederalProsecutoror his or her designee
shall maintainthe materialsin accordancewith the provisionsof paragraphI(F)(2)(a)-(d),above.
3

6

G.

H.

EXCEPTIONS AND DISPUTE RESOLUTION
1

Wheneverany of the entitiesto which theseGuidelinesapply believesthat an
exceptionto anyprovision of theseGuidelinesis justified, or wheneverthereis a
disputebetweenor amongany suchentities(otherthan a disputewith the
Criminal Division of the Departmentof Justice)regardingtheseGuidelines,an
exceptionmust be soughtfrom, or the disputeshall be resolvedby, the Assistant
Attorney General(AAG) for the Criminal Division or his or her designee.The
DeputyAttorney Generalor his or her designeeshall hearappeals,if any, from
decisionsof the AAG.

2.

Wheneverthereis a disputebetweenthe Criminal Division and any of the other
entitiesto which theseGuidelinesapply, suchdisputeshall be resolvedby the
Deputy Attorney Generalor his or her designee.

3.

Any exceptiongrantedor disputeresolvedpursuantto this paragraphshall be
documentedin the JLEA's files.

RIGHTS OF THIRD PARTIES

Nothing in theseGuidelinesis intendedto createor doescreatean enforceablelegal right
or private right of actionby a CI or anyotherperson.
I.

COMPLIANCE
1

2.

Within 120daysof the approvalof theseGuidelinesby the Attorney General,
eachJLEA shall developagency-specificguidelinesthat comply with these
Guidelines,and submit suchagency-specificguidelinesto the AAG for the
Criminal Division for review. The agency-specificguidelinesmust ensure,at a
minimum, that the JLEA' s agentsreceivesufficient initial and in-servicetraining
in the useof CIs consistentwith theseGuidelines,and that compliancewith these
Guidelinesis consideredin the annualperformanceappraisalof its agents.As
part of suchcompliancethe JLEA shall designatea seniorofficial to overseeall
aspectsof its CI program,including the training of agents;registration,review and
temlination of CIs; andnotificationsto outsideentities.
Within 30 daysof the approvalof theseGuidelines,eachILEA shall establisha
ConfidentialInfonnant Review Committee(CIRC) for the purposeof conducting
the review proceduresspecifiedin paragraphs(ll)(A)(3), (ll)(D)(I), and (ll)(D)(2).

7

II. -REGISTERING
A CONFIDENTIAL
INFORMANT
--- -~
- --

A.

SUITABILITY DETERMINATION

1.

Initial Suitability Determination

Prior to utilizing a personasa CI, a caseagentof a JLEA shall completeand sign a
written Initial Suitability ReportandRecommendation,
which shall be forwardedto a Field
Managerfor his or her written approval. In completingthe Initial Suitability Reportand
Recommendation,
the caseagentmust addressthe following factors(or indicatethat a particular
factor is not applicable):

a.

the person'sage;

b.

the person'salien status;

c.

whetherthe personis a public official, law enforcementofficer, union
official, employeeof a financial institution or school,memberof the
military services,a representativeor affiliate of the media,or a party to, or
in a position to be a party to, privileged communications~, a member
of the clergy,a physician,or a lawyer);

d.

the extentto which the personwould makeuseof his or her affiliations
with legitimateorganizationsin orderto provide information or assistance
to the ILEA, andthe ability of the ILEA to ensurethat the person's
informationor assistanceis limited to criminal matters;

e.

f.

the extentto which the person'sinfonnation or assistancewould be
relevantto a presentor potentialinvestigationor prosecutionandthe
importanceof suchinvestigationor prosecution;
the natureof anyrelationshipbetweenthe CI andthe subjector targetof
an existing or potentialinvestigationor prosecution,including but not
limited to a currentor fomler spousalrelationshipor other family tie, and
any currentor former employmentor financial relationship;

g.

the person'smotivation in providing information or assistance,including
any considerationsoughtfrom the governmentfor this assistance;

h.

the risk that the personmight adverselyaffect a presentor potential
investigationor prosecution;

8

the extentto which the person'sinfomlation or assistancecanbe
corroborated;
the person'sreliability andtruthfulness;
k.

the person'sprior recordasa witnessin anyproceeding;
whetherthe personhasa criminal history, is reasonablybelievedto be the
subjector targetof a pendingcriminal investigation,is underarrest,or has
beenchargedin a pendingprosecution;

m.

D.

o.

p.

q.

2.

whetherthe personis reasonablybelievedto posea dangerto the public or
other criminal threat,or is reasonablybelievedto posea risk of flight;
whetherthe personis a substanceabuseror hasa history of substance
abuse;
whetherthe personis a relative of an employeeof any law enforcement
agency;
the risk of physicalhaml that may occurto the personor his or her
immediatefamily or closeassociatesasa result of providing information
or assistanceto the JLEA; and
the recordof the JLEA andthe recordof any other law enforcement
agency(if availableto the JLEA) regardingthe person'sprior or current
serviceasa CI, CooperatingDefendantlWitness,or Sourceof Infomlation,
including, but not limited to, any infomlation regardingwhetherthe person
was at anytime terminatedfor cause.

Continuing Suitability Review
a.

EachCI's file shall be reviewedby the caseagentat leastannually. The
caseagentshall completeand sign a written Continuing Suitability Report
and Recommendation,
which shall be forwardedto a Field Managerfor his
or her written approval. In completingthe Continuing Suitability Report
andRecommendation,
the caseagentmust addressthe factorsset forth
abovein paragraph(ll)(A)(I) (or indicatethat a particular factor is not
applicable)and,in addition,the lengthof time that the individual hasbeen
registeredas a CI andthe lengthof time that the individual hasbeen
handledby the sameagentor agents.

9

b.

3.

EachJLEA shall establishsystemsto ensurethat all availableinfonnation
that might materially alter a prior suitability detennination,including, but
not limited to, infonnation pertainingto unauthorizedillegal activity by
the CI, is promptly reportedto a Field Managerand then recordedand
maintainedin the crs file. ~ (IV){B)(2) below. Upon receiptof any
suchinfonnation, the Field Managershall ensurethat a new Continuing
Suitability ReportandRecommendationis promptly preparedin light of
suchnew infonnation.

Review of Long-Term Confidential Informants4

a.

b.

When a CI hasbeenregisteredfor more than six consecutiveyears,and,to
the extentsucha CI remainsopen,everysix yearsthereafter,the CIRC
shall review the CI's completedInitial andContinuing Suitability Reports
andRecommendations
anddecidewhether,andunderwhat conditions,the
individual shouldcontinueto be utilized as a CI. A Criminal Division
representativeon the CIRC who disagreeswith the decisionto approvethe
continueduseof suchan individual asa ConfidentialInformant may seek
review of that decisionpursuantto paragraph(I)(G).
Every threeyearsafter a CI's file is reviewedpursuantto the provisionsof
paragraph(ll)(A)(3)(a), if the CI remainsregistered,the JLEA shall
conductan internalreview, including review by a designatedsenior
headquartersofficial, of the CI's completedInitial and Continuing
Suitability ReportsandRecommendations.If the designatedsenior
headquarters
official decidesthat thereareany apparentor potential
problemsthat may warrantanychangein the useof the cr, the official
shall (i) consultthe appropriateSeniorField Managerand (ii) provide the
Initial andContinuingSuitability ReportsandRecommendations
to the
CIRC for review in accordwith paragraph(ll)(A)(3)(a).

This provision did not apply until oneyearafter theseGuidelines' original effectivedate
of January8,2001, when the first setof ContinuingSuitability Reportsand Recommendations
was completed.Further,during the first threeyearsthat this provision is in effect, eachCIRC
may staggerthe review of somelong-tennCis in orderto evenout the numberof files that must
initially be reviewed. However,no later than four yearsafter the original effective dateof these
Guidelines,all of the CIs who were registeredfor morethan six consecutiveyearsasof the
original effective dateof theseGuidelinesmust be reviewedpursuantto this provision.
4

10

B.

REGISTRATION

After a Field Managerhasapprovedan individual as suitableto be a CI, the individual
shall be registeredwith that JLEA asa CI. In registeringa CI, the JLEA shall, at a minimum,
documentor include the following in the CI's files:
1

a photographof the CI;

2.

the JLEA's efforts to establishthe crs true identity;

3.

the resultsof a criminal history checkfor the CI;

4.

the Initial Suitability ReportandRecommendation;

5

anypromisesor benefits,andthe termsof suchpromisesor benefits,that are
given a CI by a JLEA or any otherlaw enforcementagency(if availableto the
JLEA);

6.

7.

c.

anypromisesor benefits,andthe termsof suchpromisesor benefits,that are
given a CI by anyFPO or any stateor local prosecutingoffice (if availableto the
JLEA); and
all information that is requiredto be documentedin the CI's files pursuantto these
Guidelines(~the provision of the instructionsset forth in the next paragraph).

INSTRUCTIONS
In registeringa CI, at leastone agentof the JLEA, alongwith one additionalagent
or other law enforcementofficial presentas a witness,shall review with the CI
written instructionsthat statethat:

a.

informationprovidedby the CI to the JLEA must be truthful;

b.

the CI's assistanceandthe infonnation provided are entirely voluntary;

c.

the United StatesGovernmentwill strive to protectthe CI's identity but
cannotguaranteethat it will not be divulged;

d.

[if apnlicable:]the JLEA on its own cannotpromiseor agreeto any
immunity from prosecutionor other considerationby a Federal
Prosecutor'sOffice or a Court in exchangefor the CI's cooperation,since
the decisionto conferany suchbenefit lies within the exclusivediscretion
of the FederalProsecutor'sOffice andthe Court. However,the JLEA will

1

consider(but not necessarilyact upon) a requestby the CI to advisethe
appropriateFederalProsecutor'sOffice or Court of the natureand extent
of his or her assistanceto the JLEA;5
eo

f.

g.

h.

[if ~Rlicable:] the CI hasnot beenauthorizedto engagein any criminal
activity andhasno immunity from prosecutionfor any unauthorized
criminal activity;6
the CI must abideby the instructionsof the JLEA and must not take or
seekto take any independentactionon behalf of the United States
Government;
the CI is not an employeeof the United StatesGovernmentandmay not
representhimself or herselfas such;
the CI maynot enterinto any contractor incur any obligation on behalf of
the United StatesGovernment,exceptas specificallyinstructedand
approvedby the JLEA;

1.

the JLEA cannotguaranteeanyrewards,payments,or other compensation
to the CI;

J

in the eventthat the CI receivesanyrewards,payments,or other
compensationfrom the ILEA, the CI is liable for any taxesthat maybe
owed; and

k.

[if apulicable:]no promisesor commitmentscanbe made,exceptby the
Immigration andNaturalizationService,regardingthe alien statusof any
personor the right of anypersonto enteror remainin the United States!

5 This instruction shouldbe providedif

thereis any apparentissueof criminal liability or
penaltiesthat relatesto the CI. Whetheror not this instructionis given to a CI, the JLEA does
not haveany authorityto makeanypromiseor commitmentthat would preventthe government
from prosecutingan individual, exceptasprovidedin paragraphs(I)(C) aboveand (llI)(C) below,
and a JLEA agentmust avoid giving anypersonthe erroneousimpressionthat he or shehasany
suchauthority.
6

Thisinstructionshouldbeprovidedto anyCI whois not authorized
to engage
in

otherwiseillegal activity. Seeparagraph(III)(C)(4) for instructionsthat must be providedto a CI
who is, in fact, authorizedto engagein otherwiseillegal conduct.
7

This instructionshouldbe providedif thereis any apparentissueof immigration status

that relates to the CI and the JLEA is not the Immigration and Naturalization Service.

12

2.

3.

D.

The contentandmeaningof eachof the foregoinginstructionalpoints mustbe
clearly conveyedto the CI. Immediatelyafter theseinstructionshavebeengiven,
the agentshall requirethe CI to acknowledgehis or her receipt andunderstanding
of the instructions. The agentandthe other law enforcementofficial shall
documentthat the instructionswere reviewedwith the CI andthat the CI
acknowledgedthe instructionsandhis or her understandingof them. As soonas
practicablethereafter,a Field Managershall review and,if warranted,approvethe
documentation.
The instructionand documentationproceduresshall be repeatedwheneverit
appearsnecessaryor prudentto do so, and in any eventat leasteverytwelve
months.

SPECIAL APPROVAL REQillREMENTS

1.

High Level Confidential Informants

a.

b.

c.

Prior to utilizing an individual asa High Level ConfidentialInfonnant, a
caseagentof a JLEA shall first obtain the written approvalof the CIRC.
A Criminal Division representativeon the CIRC who disagreeswith a
decisionto approvethe useof an individual asa High Level Confidential
Infonnant may seekreview of that decisionpursuantto paragraph(I)(G).
In decidingwhetherto approvethe useof a High Level Confidential
InfofDlant,the CIRC shall haveaccessto any Initial or Completed
Suitability ReportsandRecommendations
for the individual in question.
After a final decisionhasbeenmadeto approvethe useof a High Level
ConfidentialInformant,the CIRC shall considerwhetherto notify the
Chief FederalProsecutorof anyFPOthat is participatingin the conductof
an investigationthat is, or would be, utilizing the High Level Confidential
Informant,or anyFPOthat hasbeen,or would be, working with that
individual in connectionwith a prosecution,of the decisionto approvethat
individual as a High Level ConfidentialInformant. If the CIRC
determinesthat no suchnotification shall be made,the reasonor reasons
for the determinationshall be providedto the Criminal Division
representatives
on the CIRC. A Criminal Division representativeon the
CIRC who disagreeswith a decisionnot to provide suchnotification may
seekreview of that decisionpursuantto paragraph(I)(G).

13

2.

3.

Individuals Under the Obligation of a Legal Privilege of Confidentiality or
Affiliated with the Media
a.

Prior to utilizing asa ConfidentialInfonnant an individual who is under
the obligationof a legal privilege of confidentiality or affiliated with the
media,a caseagentof a JLEA shall first obtain the written approvalof the
CIRC. A Criminal Division representativeon the CIRC who disagrees
with a decisionto approvethe useof suchan individual as a Confidential
Infonnant may seekreview of that decisionpursuantto paragraph(I)(G).

b.

In decidingwhetherto approvethe useasa ConfidentialInfonnant of an
individual who is underthe obligation of a legal privilege of
confidentialityor affiliated with the media,the CIRC shall haveaccessto
any Initial or CompletedSuitability ReportsandRecommendations
for the
individual in question.

c.

After a final decisionhasbeenmadeto approvethe useof an individual
who is underthe obligationof a legal privilege of confidentiality or
affiliated with the mediaasa ConfidentialInformant,the CIRC shall
considerwhetherto notify the Chief FederalProsecutorof anyFPO that is
participatingin the conductof an investigationthat is, or would be,
utilizing the individual, or anyFPOthat hasbeen,or would be, working
with that individual in connectionwith a prosecution,of the decisionto
approvethat individual asa ConfidentialInformant. If the CIRC
detenninesthat no suchnotification shall be made,the reasonor reasons
for the determinationshall be providedto the Criminal Division
representatives
on the CIRC. A Criminal Division representativeon the
CIRC who disagreeswith a decisionnot to provide suchnotification may
seekreview of that decisionpursuantto paragraph(I)(G).

Federal Prisoners,Probationers, Parolees,Detainees,and Supervised
Releasees

a.

Consistentwith extantDepartmentof Justicerequirements,a JLEA must
receivethe approvalof the Criminal Division's Office of Enforcement
Operations("OEO") prior to utilizing asa CI an individual who is in the
custodyof the United StatesMarshalsServiceor the Bureauof Prisons,or
who is underBureauof Prisonssupervision.~ U.S.A.M. § 9-21.050.

b.

Prior to utilizing a federalprobationer,parolee,or supervisedreleaseeasa
CI, a Field Managerof a ILEA shall deternlineif the useof that personin
sucha capacitywould violate the termsand conditionsof the person's
probation,parole,or supervisedrelease.If the Field Mangerhasreasonto
4

believethat it would violate suchtenDSand conditions,prior to usingthe
personasa CI, the Field Manageror his or her designeemust obtain the
permissionof a federalprobation,parole,or supervisedreleaseofficial
with authorityto grantsuchpermission,which permissionshall be
documentedin the CI's files. If suchpermissionis deniedor it is
inappropriatefor operationalreasonsto contactthe appropriatefederal
official, the JLEA may seekto obtain authorizationfor the useof such
individual asa CI from the Court then responsiblefor the individual's
probation,parole,or supervisedrelease,providedthat the JLEA first
consultswith the FPO for that District.

c.

4.

In situationswherea FPO is eitherparticipatingin the conductof an
investigationby a JLEA in which a federalprobationer,parolee,or
supervisedreleaseewould be utilized asa CI, or wherea FPOwould be
working with a federalprobationer,parolee,or supervisedreleaseein
connectionwith a prosecution,the JLEA shall notify the attorneyassigned
to the matterprior to usingthe personasa CI.

Current or Former Participants in the Witness Security Program

a.

Consistentwith extantDepartmentof Justicerequirements,a JLEA must
receivethe approvalof OEO andthe sponsoringprosecutor(or his or her
successor)prior to utilizing asa CI a currentor fonDerparticipantin the
FederalWitnessSecurityProgram,provided further that the OEO will
coordinatesuchmatterswith the United StatesMarshalsService. ~
U .S.A.M. § 9-21.800.

b.

5.

hI situationswherea FPO is eitherparticipatingin the conductof an
investigationby a JLEA in which a currentor former participantin the
WitnessSecurityProgramwould be utilized as a CI, or where a FPO
would be working with a currentor former participantin the Witness
SecurityProgramin connectionwith a prosecution,the ILEA shall notify
the attorneyassignedto the matterprior to using the personasa CI.

State or Local Prisoners, Probationers, Parolees,or SupervisedReleasees
a.

Prior to utilizing a stateor local prisoner,probationer,parolee,or
supervisedreleaseeasa CL a Field Managerof a JLEA shall determineif
the useof that personin sucha capacitywould violate the termsand
conditionsof the person'sincarceration,probation,parole,or supervised
release.If the Field Mangerhasreasonto believethat it would violate
suchtermsandconditions,prior to usingthe personas a CI, the Field
Manageror his or her designeemust obtain the permissionof a stateor
15

local prison,probation,parole,or supervisedreleaseofficial with authority
to grant suchpennission,which pennissionshall be documentedin the
CI's files. If suchpermissionis deniedor it is inappropriatefor
operationalreasonsto contactthe appropriatestateor local official, the
JLEA may seekto obtain authorizationfor the useof suchindividual asa
CI from the stateor local Court then responsiblefor the individual's
incarceration,probation,parole,or supervisedrelease.

b.

6.

In situationswherea FPO is eitherparticipatingin the conductof an
investigationby a ILEA in which a stateor local prisoner,probationer,
parolee,or supervisedreleaseewould be utilized as a CI, or wherea FPO
would be working with a stateor local prisoner,probationer,parolee,or
supervisedreleaseein connectionwith a prosecution,the ILEA shall
notify the attorneyassignedto the matterprior to using the personasa CI.

Fugitives

a.

Exceptasprovidedbelow, a JLEA shall haveno communicationwith a
currentor fonDerCI who is a fugitive.

b.

A ILEA is pennittedto havecommunicationwith a currentor fonner CI
who is a fugitive:
(i) if the communicationis part of a legitimateeffort by that JLEA to arrest
the fugitive; or
(ii) if approved,in advancewheneverpossible,by a SeniorField Manager
of any federal,state,or local law enforcementagencythat hasa wanted
recordfor the individual in the NCIC and,in the caseof a federalwarrant,
by the FPO for the issuingDistrict.

c.

A JLEA that hascommunicationwith a fugitive must promptly report such
communicationto all federal,state,andlocal law enforcementagencies
andother law enforcementagencieshaving a wantedrecordfor the
individual in the NCIC, anddocumentthosecommunicationsin the CI's
files.

16

III. RESPONSIBILITIES
REGARDING REGISTERED
CONFIDENTIAL INFORMANTS
-

A.

GENERAL PROVISIONS
No Interference With an Investigation of a Confidential Informant

A JLEA agentmust take the utmostcareto avoid interferingwith or impedingany
criminal investigationor arrestof a CI. No agentshall revealto a CI any information relatingto
an investigationof the CI. An agentshall not confirm or denythe existenceof any investigation
of the CI, unlessauthorizedto do so by the Chief FederalProsecutor;nor shall an agentagreeto
a requestfrom a CI to determinewhetherthe CI is the subjectof any investigation.

2.

Prohibited Transactions and Relationships
a.

b.

c.

B.

A JLEA agentshall not: (i) exchangegifts with a CI; (ii) provide the CI
with any thing of morethannominalvalue; (iii) receiveany thing of more
than nominal value from a CI; or (iv) engagein anybusinessor financial
transactionswith a CI. Exceptasauthorizedpursuantto paragraph(Ill}(B)
below, any exceptionto this provision requiresthe written approvalof a
Field Manager,in advancewheneverpossible,basedon a written finding
by the Field Managerthat the eventor transactionin questionis necessary
and appropriatefor operationalreasons.This written finding shall be
maintainedin the CI's files.
A FederalLaw Enforcementagentshall not socializewith a CI exceptto
the extentnecessaryandappropriatefor operationalreasons.
In situationswherea FPO is eitherparticipatingin the conductof an
investigationby a JLEA that is utilizing a CI, or working with a CI in
connectionwith a prosecution,the JLEA shall notify the attorneyassigned
to the matter,in advancewheneverpossible,if the JLEA approvesan
exceptionunderparagraph(llI)(A)(2)(a) or if a FederalLaw Enforcement
agentsocializeswith a CI in a mannernot permittedunderparagraph
(llI)(A)(2)(b ).

MONETARY PAYMENTS

1.

General

Monies that a JLEA paysto a CI in the fonD of feesandrewardsshall be commensurate
with the value, asdetenninedby the JLEA, of the informationhe or sheprovidedor the

17

assistance
he or sherenderedto that JLEA. A JLEA's reimbursementof expensesincurredby a
CI shall be basedupon actualexpensesincurred.

2.

Prohibition Against Contingent Payments

Under no circumstancesshall anypaymentsto a CI be contingentupon the convictionor
punishmentof any individual.

3.

Approval for a Single Payment

A singlepaymentof between$2,500and $25,000per caseto a CI must be authorized,at
a minimum, by a JLEA's SeniorField Manager. A singlepaymentin excessof $25,000per case
shall be madeonly with the authorizationof the SeniorField Managerandthe expressapproval
of a designatedseniorheadquartersofficial.

4.

Approval for Annual Payments

Consistentwith paragraph(llI)(B)(3) above,paymentsby a JLEA to a CI that exceedan
aggregateof $100,000within a one-yearperiod,asthat period is definedby the JLEA, shall be
madeonly with the authorizationof the SeniorField Managerandthe expressapprovalof a
designatedseniorheadquarters
official. The headquarters
official may authorizeadditional
aggregateannualpaymentsin incrementsof $50,000or less.

5.

Approval for AggregatePayments

Consistentwith paragraphs(III)(B)(3)-(4), andregardlessof the time frame,any
paymentsby a JLEA to a CI that exceedan aggregateof $200,000shall be madeonly with the
authorizationof the SeniorField Managerandthe expressapprovalof a designatedsenior
headquarters
official. After the headquarters
official hasapprovedpaymentsto a CI that exceed
an aggregateof $200,000,the headquarters
official may authorize,subjectto paragraph
(III)(B)( 4) above,additionalaggregatepaymentsin incrementsof $100,000or less.

6.

Documentation of Payment

The paymentof anymoniesto a CI shall be witnessedby at leasttwo law enforcement
representatives.Immediatelyafer receivinga payment,the CI shall be requiredto sign or initial,
anddate,a written receipt.RAt the time of the payment,the representatives
shall advisethe CI
that the moniesmay be taxableincomethat must be reportedto appropriatetax authorities.
Thereafter,thoserepresentatives
shall documentthe paymentand the adviceof taxability in the

8

The CI may sign or initial the written receiptby using a pseudonymwhich hasbeen

previously approved and documented in the CI's files and designated for use by only one CI.

18

JLEA's files. The documentationof paymentshall specifywhetherthe paymentis for
infonnation, services,or expenses.

7.

Accounting and Reconciliation Procedures

EachJLEA shall establishaccountingandreconciliationproceduresto comply with these
Guidelines. Among otherthings,theseproceduresshall reflect all moniespaid to a CI
subsequentto the issuanceof theseGuidelines.

8.

Coordination with Prosecution

In situationswherea FPO is eitherparticipatingin the conductof an investigationby a
ILEA that is utilizing a CI, or working with a CI in connectionwith a prosecution,the JLEA
shall coordinatewith the attorneyassignedto the matter,in advancewheneverpossible,the
paymentof moniesto the CI pursuantto paragraphs(Ill)(B)(3)-(5) above.

c.

AUTHORIZATIONOF OTHERWISE ILLEGAL ACTIVITY

1.

General Provisions

a.

b.

A JLEA shall not authorizea CI to engagein any activity that otherwise
would constitutea misdemeanoror felony under federal,state,or local law
if engagedin by a personactingwithout authorization,exceptasprovided
in the authorizationprovisionsin paragraph(III)(C)(2) below.
A JLEA is neverpermittedto authorizea CI to
(i) participatein an act of violence;
(ii) participatein an act that constitutesobstructionof justice (~, perjury,
witnesstampering,witnessintimidation, entrapment,or the fabrication,
alteration,or destructionof evidence);
(iii) participatein an act designedto obtain infonnation for the JLEA that
would be unlawful if conductedby a law enforcementagent(~ breaking
and entering,illegal wiretapping,illegal openingor tamperingwith the
mail, or trespassamountingto an illegal search);or
(iv) initiate or instigatea plan or strategyto commit a federal,state,or
local offense.

19

2.

Authorization

a.

Tier 1 Otherwisemega1Activity mustbe authorizedin advanceand in
writing for a specifiedperiod,not to exceed90 days,by:
(i) a JLEA'8 SpecialAgent in Charge(or the equivalent);and
(ii) the appropriateChief FederalProsecutor.9

b.

c.

3.

Tier 2 Otherwiselllegal Activity must be authorizedin advanceandin
writing for a specifiedperiod,not to exceed90 days,by a JLEA' s Senior
Field Manager.
For purposesof this paragraph,the "appropriateChief FederalProsecutor"
is the Chief FederalProsecutorthat: (i) is participatingin the conductof an
investigationby a ILEA that is utilizing that active CI, or is working with
that activeCI in connectionwith a prosecution;(ii) with respectto
Otherwisemegal Activity that would constitutea violation of federallaw,
would haveprimaryjurisdiction to prosecutethe Otherwiseillegal
Activity; or (iii) with respectto Otherwiseillegal Activity that would
constitutea violation only of stateor local law, is locatedwherethe
otherwisecriminal activity is to occur.

Findings
a

The ILEA official who authorizesTier 1 or 2 Otherwisemegal Activity
must makea finding, which shall be documentedin the CI's files, that
authorizationfor the CI to engagein the Tier I or 2 Otherwisemegal
Activity is (i) necessaryeitherto (A) obtain infomlation or evidenceessentialfor the successof an
investigationthat is not reasonablyavailablewithout such
authorization,or

Evenwithout an expressact of Congressauthorizingthe conductat issue,it is within
the power andthe duty of federalprosecutors,asexecutivebranchofficers, to takereasonable
measuresto dischargethe dutiesimposedon them asexecutivebranchofficers, andthey will be
immunefrom stateaction if they take suchmeasuresundercolor of federallaw and in good faith.
9

20

(B) preventdeath,seriousbodily injury, or significant damageto
property;and
(ii) that in eithercasethe benefitsto be obtainedfrom the crs
participationin the Tier 1 or 2 Otherwisemegal Activity outweighthe
risks.

b.

In making thesefindings,the JLEA shall consider,amongotherthings:
(i) the importanceof the investigation;
(ii) the likelihood that the inforDlationor evidencesoughtwill be obtained;
(iii) the risk that the CI might misunderstandor exceedthe scopeof his
authorization;
(iv) the extentof the CI's participationin the Otherwisemegal Activity;
(v) the risk that the JLEA will not be ableto supervisecloselythe crs
participationin the Otherwisemega!Activity;
(vi) the risk of violence,physicalinjury, propertydamage,and financial
lossto the CI or others;and
(vii) the risk that the JLEA will not be ableto ensurethat the CI doesnot
profit from his or her participationin the authorizedOtherwiselllegal
Activity.

4.

Instructions

a.

After a CI is authorizedto engagein Tier 1 or 2 Otherwiseillegal Activity,
at leastone agentof the JLEA, alongwith one additional agentor other
law enforcementofficial presentasa witness,shall review with the CI
written instructionsthat state,at a minimum, that:
(i) the CI is authorizedonly to engagein the specific conductset forth in
the written authorizationdescribedaboveandnot in any other illegal
activity;
(ii) the CI's authorizationis limited to the time period specifiedin the
written authorization;
(iii) underno circumstancemay the CI:

21

(A) participatein an act of violence;
(B) participatein an act that constitutesobstructionofjustice~,
perjury, witnesstampering,witnessintimidation, entrapment,or
the fabrication,alteration,or destructionof evidence);
(C) participatein an act designedto obtain information for the
JLEA that would be unlawful if conductedby a law enforcement
agent(~, breakingandentering,illegal wiretapping,illegal
openingor tamperingwith the mail, or trespassamountingto an
illegal search);or
(D) initiate or instigatea plan or strategyto commit a federal,state,
or local offense;
(iv) if the CI is askedby anypersonto participatein any suchprohibited
conduct,or ifhe or shelearnsof plansto engagein suchconduct,he or she
must immediatelyreportthe matterto his or her contactagent;and
(v) participationin anyprohibitedconductcould subjectthe CI to full
criminal prosecution.

b.

5.

Immediatelyafter theseinstructionshavebeengiven, the CI shall be
requiredto sign or initial, anddate,a written acknowledgmentof the
instructions.10 As soonaspracticablethereafter,a Field Managershall
review and,if warranted,approvethe written acknowledgment.

Precautionary Measures

Whenevera JLEA hasauthorizeda CI to engagein Tier 1 or 2 Otherwiseillegal Activity.
it must take all reasonablestepsto: (a) supervisecloselythe illegal activities of the CI; (b)
minimize the adverseeffect of the authorizedOtherwiseillegal Activity on innocentindividuals;
and(c) ensurethat the CI doesnot profit from his or her participationin the authorizedOtherwise
illegal Activity.

The CI may sign or initial the written acknowledgmentby using a pseudonymwhich
hasbeenpreviouslyapprovedanddocumentedin the CI's files and designatedfor useby only
onecr.
10

22

6.

Suspensionof Authorization

Whenevera JLEA cannot,for legitimatereasonsunrelatedto the CI's conduct~
unavailabilityof the caseagent),comply with the precautionarymeasuresdescribedabove,it
shall immediately:(a) suspendthe Cl's authorizationto engagein Otherwisemega!Activity until
suchtime asthe precautionarymeasurescanbe compliedwith; (b) inform the CI that his or her
authorizationto engagein any Otherwisemega!Activity hasbeensuspendeduntil that time; and
(c) documenttheseactionsin the CI's files.

7.

8.

Revocation of Authorization

a.

If a JLEA hasreasonto believethat a CI hasfailed to comply with the
specifictermsof the authorizationof Tier 1 or 2 Otherwisemega!
Activity, it shall immediately:(i) revokethe crs authorizationto engagein
Otherwisemega!Activity; (ii) inform the CI that he or sheis no longer
authorizedto engagein any Otherwisemega! Activity; (iii) comply with
the notification requirementof paragraph(N)(B) below; (iv) makea
determinationwhetherthe CI shouldbe deactivatedpursuantto paragraph
(V); and (v) documenttheseactionsin the CI's files.

b.

Immediatelyafer the CI hasbeeninfonned that he or sheis no longer
authorizedto engagein anyOtherwiseIllegal Activity, the CI shall be
requiredto sign or initial, anddate,a written acknowledgmentthat he or
shehasbeeninfonned of this fact... As soonaspracticablethereafter,a
Field Managershall review and,if warranted,approvethe written
acknowledgment.

Renewal and Expansion of Authorization
a.

A JLEA that seeksto re-authorizeany CI to engagein Tier 1 or 2
Otherwisemegal Activity after the expirationof the authorizedtime
period, or after revocationof authorization,must first comply with the
proceduresset forth abovein paragraphs(III)(C)(2)-(5).

11 The CI

may sign or initial the written acknowledgmentby using a pseudonymwhich
hasbeenpreviouslyapprovedanddocumentedin the CI's files and designatedfor useby only
oneCI. If the CI refusesto sign or initial the written acknowledgment,the JLEA agentwho
informedthe CI of the revocationof authorizationshall documentthat the CI hasorally
acknowledgedbeing so informed andthe Field Managershall, as soonaspracticablethereafter,
review and,if warranted,approvethe written documentation.
23

b.

9.

A JLEA that seeksto expandin anymaterialway a CI's authorizationto
engagein Tier 1 or 2 Otherwiseillegal Activity by the JLEA must first
comply with the proceduressetforth abovein paragraphs(III)(C)(2)-(5).

Emergency Authorization
a.

b.

10.

In exceptionalcircumstances,
a JLEA' s SpecialAgent in Charge(or the
equivalent)andthe appropriateChief FederalProsecutormay orally
authorizea CI to engagein Tier 1 Otherwiselllegal Activity without
complyingwith the documentationrequirementsof paragraphs(III)(C)(2)(4) abovewhen they eachdeterminethat a highly significant and
unanticipatedinvestigativeopportunitywould be lost were the time taken
to comply with theserequirements.In suchan event,the documentation
requirements,aswell asa written justification for the oral authorization,
shallbe completedwithin 48 hoursof the oral approvalandmaintainedin
the CI's files.
In exceptionalcircumstances,
a JLEA' s SeniorField Managermay orally
authorizea CI to engagein Tier 2 Otherwisemegal Activity without
complyingwith the documentationrequirementsof paragraphs(Ill)(C)(2)(4) abovewhenhe or shedetem1ines
that a highly significant and
unanticipatedinvestigativeopportunitywould be lost were the time taken
to comply with theserequirements.In suchan event,the documentation
requirements,aswell asa written justification for the oral authorization,
shall be completedwithin 48 hoursof the oral approvalandmaintainedin
the CI's files.

Designees

A JLEA's SpecialAgent in Charge(or the equivalent)andthe appropriateChief Federal
Prosecutormay, with the concurrenceof eachother,agreeto designateparticularindividuals in
their respectiveoffices to carry out the approvalfunctionsassignedto them abovein paragraphs
(III)(C)(2)-(9).

D.

LISTING A CONFIDENTIAL INFORMANT IN AN ELECTRONIC
SURVEILLANCE APPLICAnON

1

A JLEA shall not namea CI asa namedintercepteeor a violator in an affidavit in
supportof an applicationmadepursuantto 18U .S.C.§ 2516 for an electronic
surveillanceorder unlessthe JLEA believesthat: (a) omitting the nameof the CI
from the affidavit would endangerthat person'slife or otherwisejeopardizean
ongoinginvestigation;or (b) the CI is a bona fide subjectof the investigation
basedon his or her suspectedinvolvementin unauthorizedcriminal activity.
24

2.

In the eventthat a CI is namedin an electronicsurveillanceaffidavit under
paragraph(Ill)(D)(l) above,the JLEA must infonn the Federalprosecutormaking
the applicationandthe Court to which the applicationis madeof the actualstatus
of the CI.

IV. SPECIALNOTIFICATION REOUIREMENTS

A.

NOTIFICATION OF INVESTIGAllON

OR PROSECUTION

When a JLEA hasreasonablegroundsto believethat a currentor fonner CI is
being prosecutedby, is the targetof an investigationby, or is expectedto become
a targetof an investigationby a FPO for engagingin allegedfeloniouscriminal
activity, a SpecialAgent in Charge(or the equivalent)of the JLEA must
immediatelynotify the Chief FederalProsecutorof that individual's statusas a
currentor fonner CV2
2.

B.

Wheneversucha notification is provided,the Chief FederalProsecutorand
SpecialAgent in Charge(or the equivalent),with the concurrenceof eachother,
shall notify any other federal,stateor local prosecutor'soffices or law
enforcementagenciesthat areparticipatingin the investigationor prosecutionof
the CI.

NOllFICATION OF UNAUTHORIZED ILLEGAL ACTIVITY
Whenevera JLEA hasreasonablegroundsto believethat a CI who is currently
authorizedto engagein specificTier 1 or 2 Otherwisemegal Activity hasengaged
in unauthorizedcriminal activity, or whenevera JLEA knows that a CI who has
no currentauthorizationto engagein anyTier 1 or 2 Otherwisemegal Activity
hasengagedin any criminal activity, a SpecialAgent in Chargeof the JLEA (or
the equivalent)shall immediatelynotify the following Chief FederalProsecutors
of the CI's criminal activity andhis or her statusas a CI:

a.

the Chief FederalProsecutorwhoseDistrict is locatedwherethe criminal
activity primarily occurred.unlessa stateor local prosecutingoffice in that
District hasfiled chargesagainstthe CI for the criminal activity andthere
clearly is no basisfor federalprosecutionin that District by the Chief
FederalProsecutor;

A targetis "a personasto whom the prosecutoror the grandjury hassubstantial
evidencelinking him or her to the commissionof a crime andwho, in thejudgment of the
prosecutor,is a putativedefendant."U.S.A.M. § 9-11.151.
12

25

b.

c.

2.

c.

the Chief FederalProsecutor,if any,whoseDistrict is participatingin the
conductof an investigationthat is utilizing that active CI, or is working
with that activeCI in connectionwith a prosecution;and
the Chief FederalProsecutor.if any.who authorizedthe CI to engagein
Tier 1 Otherwisemega!Activity pursuantto paragraph(III)(C)(2)(a)
above.I3

Wheneversuchnotificationsareprovided,the Chief FederalProsecutor(s)of the
FPOsandthe SpecialAgent in Charge(or the equivalent),with the concurrenceof
eachother,shall notify any stateor local prosecutor'soffice that hasjurisdiction
over the CI's criminal activity, andthat hasnot alreadyfiled chargesagainstthe
CI for the criminal activity, of the fact that the CI hasengagedin suchcriminal
activity. The Chief FederalProsecutor(s)andthe SpecialAgent in Charge(or the
equivalent)arenot required,but may with the concurrenceof eachother,also
notify the stateand local prosecutor'soffice of the person'sstatusas a CI.

NOTIFICATION REGARDING CERTAIN FEDERAL JUDICIAL
PROCEEDINGS

Whenevera JLEA hasreasonablegroundsto believethat: (1) a currentor fonDerCI has
beencalledto testify by the prosecutionin any federalgrandjury or judicial proceeding;(2) the
statementsof a currentor fonDerCI havebeen,or will be, utilized by the prosecutionin any
federaljudicial proceeding;or (3) a federalprosecutorintendsto representto a Court or jury that
a currentor fonDerCI is or was a co-conspiratoror othercriminally culpableparticipantin any
criminal activity, a SpecialAgent in Charge(or the equivalent)of the JLEA shall immediately
notify the Chief FederalProsecutorfor that proceedingof the individual's statusas a currentor
fonDerCI.

D.

PRIVILEGED OR EXCULPATORY INFORMATION
1

In situationswherea FPO is eitherparticipatingin the conductof an investigation
by a JLEA that is utilizing a CI, or working with a CI in connectionwith a
prosecution,the JLEA shall notify the attorneyassignedto the matter,in advance
wheneverpossible,if the JLEA hasreasonablegroundsto believe that a CI will
obtain or provide infomlation that is subjectto, or arguablysubjectto, a legal
privilege of confidentialitybelongingto someoneotherthan the CI.

2.

If the JLEA hasreasonablegroundsto believethat a currentor fonDerCI has
infonnation that is exculpatoryasto a personwho is expectedto becomea target

13 Wheneversuchnotificationsto FPOsareprovided,the JLEA must alsocomply with
the ContinuingSuitability requirementsdescribedabovein paragraph(ll)(A)(2).
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of an investigation,or asto a targetof an investigation,or asto a defendant
(including a convicteddefendant).the JLEA shall notify the Chief Federal
Prosecutorresponsiblefor the investigationor prosecutionof suchexculpatory
information.

E.

RESPONDING TO REQUESTS FROM CHIEF FEDERAL PROSECUTORS
REGARDING A CONFIDENTIAL INFORMANT

If a Chief FederalProsecutorseeksinfonnation from a SpecialAgent in Charge(or the
equivalent)asto whethera particularindividual is a currentor fonDerCI, and statesthe specific
basisfor his or her request,the SpecialAgent in Charge(or the equivalent)shall provide such
informationpromptly. If the SpecialAgent in Charge(or the equivalent)hasan objectionto
providing suchinfonnation basedon specificcircumstancesof the case,he or sheshall explain
the objectionto the Chief FederalProsecutormakingthe requestand any remainingdisagreement
asto whetherthe information shouldbe providedshall be resolvedpursuantto paragraph(I)(G).

F.

FILE REVIEWS

Whenevera JLEA disclosesanyinfonnation abouta CI to a FPOpursuantto paragraphs
(N)(A)-(E), the SpecialAgent in Charge(or the equivalent)andthe Chief FederalProsecutor
shall consultto facilitate anyreview andcopyingof the CI's files by the Chief FederalProsecutor
that might be necessaryfor the Chief FederalProsecutorto fulfill his or her office's disclosure
obligations.

G.

DESIGNEES

A SpecialAgent in Charge(or the equivalent)and a Chief FederalProsecutormay,with
the concurrenceof eachother,agreeto designateparticularindividuals in their respectiveoffices
to carry out the functionsassignedto them in paragraphs(N)(A)-(F).
V. DEACTIV AnON OF CONFIDENTIAL INFORMANTS
--

A.

---

GENERAL PROVISIONS

A ILEA that detemlinesthat a CI shouldbe deactivatedfor causeor for any otherreason
shall immediately:
1.

deactivatethe individual;

2.

documentthe reasonsfor the decisionto deactivatethe individual as a CI in the
CI's files;

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3.

4.

B.

if the CI canbe located,notify the CI that he or shehasbeendeactivatedas a CI
andobtain documentationthat suchnotification was provided in the samemanner
as set forth in paragraph(ll)(C)(2); and
if the CI was authorizedto engagein Tier 1 or Tier 2 Otherwisemegal Activity
pursuantto paragraph(Ill)(C)(2)(a)-(b), revokethat authorizationunderthe
provisionsof paragraph(Ill)(C)(7).

DELAYED NOTIFICATION TO A CONFIDENTIAL INFORMANT

A ILEA may delayproviding the notification to the CI describedabovein Paragraph
(V)(A)(3) during the time suchnotification might jeopardizean ongoinginvestigationor
prosecutionor might causethe flight from prosecutionof anyperson. Whenevera decisionis
madeto delayproviding a notification, that decision,andthe reasonssupportingit, must be
documentedin the CI's files.

c.

CONTACTS WITH FORMER CONFIDENTIAL INFORMANTS
DEACTIVATED FOR CAUSE

Absentexceptionalcircumstancesthat areapprovedby a SeniorField Manager,in
advancewheneverpossible,an agentof a JLEA shall not initiate contactswith, or respondto
contactsfrom, a fonner CI who hasbeendeactivatedfor cause. When granted,suchapproval
shall be documentedin the CI's files.
D.

COORDINATION WITH PROSECUTORS

In situationswherea FPO is eitherparticipatingin the conductof an investigationby a
JLEA that is utilizing a CI, or working with a CI in connectionwith a prosecution,the JLEA
shall coordinatewith the attorneyassignedto the matter,in advancewheneverpossible,
regardingany of the decisionsdescribedin paragraphs(V){A)-(C).

Date:
JohnAshcroft
Attorney General

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