FBI Undercover Operations Part 01 (Final)

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FEDERAL BUREAU OF INVESTIGATION
FREEDOM OF INFORMATION/PRIVACY ACTS SECTION
COVER SHEET
SUBJECT: UNDERCOVER OPERATIONS &
GUIDELINES

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Sensitive
Manual of Investigative Operations and Guidelines
Part II PAGE 10
or law enforceaent officer of a pen register or trap and trace devioi
pursuant to 
! above without application for the authorizing order
within 48 hours of the installation shall constitute a violation of
this chapter. '
In essence, the "emergency" trap and trace provision mirrors the
"eaergency Title III" provision found in Title 18, USC, Section
2518!. However, there are several differences. First, the nuber of
statutorily designated DOJ officials who lay approve emergency use of
trap and trace devices in Federal investigations is broadened to
include "any Assistant Attorney General, any acting Assistant AttorneyGeneral, or any Deputy Assistant Attorney General." Second, unlike
Section 2518!, the emergency trap and trace statute does not include
emergency situations involving "conspiratorial activities threatening
the national security interest." In those rare situations where an
"eaergency" trap and trace would be required for use in situations
threatening the national security, consideration should be given:  a!
to utilizing the emergency provisions of the Foreign Intelligence
Surveillance Act of 1978  FISA!, which regulates pen register/trap andtrace devices as well as electronic surveillance interceptions in
national security investigations, which include criminal espionagecases; or  b! to emphasizing that the situation, although threatening
the national security, either involves an iluediate danger of death or
serious physical injury to any person or that the situation concerns
conspiratorial activities characteristic of organized crime- e.g., a
terrorist group's plan to boab a building!. Of course, ifinvestigative or law enforcement officers are dealing with the
telephone subscriber or customer  user!, the customer's consent, as is
indicated in Section 3l21 b!!, is sufficient, and a court order need
not be obtained. Use Fora FD472 to docuaent consent.
EFFECTIVE: O3/23/92
10-11 FBI unnzacovsa ACTIVITIES - CRIMINAL MATTERS [ $25 nxoc,
mar 11, 10-14.1.5.1]
 NOTE: FBI UNDERCOVER ACTIVITIES  FCI MATTERS, SEE FC1
HANUAL.!
The undercover technique is one of the most effective and
successful investigative tools the Federal Bureau of Investigation has
to investigate crime. As such, it should be protected and used
Sensitive
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Hanual of Investigative Operations and GuidelinesPart II ~ PAGE 10
wisely. The conduct of undercover operations  UCOs! is governed bythe Attorney Genera1's Guidelines  AG6! on FBI Undercover Operationswhich were initially approved in 1980 and revised ll/13/92. The FIELDGUIDE FOR UNDERCOVER AND SENSITIVE OPERATIONS which sets forth FBIpolicies and procedures concerning the conduct of UCOs has beendisseminated to the field. The field office undercover coordinator UCC! and the Undercover and Sensitive Operations Unit  USOU!,Criminal Investigative Division, FBI Headquarters, should be consultedregarding specific questions relating to UCOs.
EFFECTIVE: 12/O7/93
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EFFECTIVE: 10/18/93
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EFFECTIVE: 10/18/93
10-11.3 [Deleted]
EFFECTIVE: 10/18/93
Sensitive
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Manual of Investigati
Part II
10-11.4 |n¢1¢c¢8|
arrzcr1vs= 10/1a/9:
10-11.5 |n.1¢:=¢|
EFFECTIVE: 10/18/93
10-11.6 |De1eted|
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EFFECTIVE: 08/28/91
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10-12 USE OF HYPNOSIS AS AN INVESTIGATIVE AIDO
Sensitivo
vo_0p0rations and Guidclinoa
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SenaitivoPAGE 10 - 100

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Manual of Investigative Operations and Guidelines
Part II PAGE 10
l0-14.1.5 Undercover Funding Authority
Request for advance funding for FCI, Group I and Group IIUndercover Operations should be made to the substantive desk at FBIHQ.Short-tern FCI and Group II Undercover Operations lay be funded fromthe|draft system.| Larger FCI and Group II cases nay use advancedfunds if theldraft syatealis insufficient to fund the operation. AllGroup I Undercover Operations are funded from FIIHQ advances.
Authority to conduct undercover operations is discussed in Part II,l0-ll, of this manual, "FBI UNDERCOVER ACTIVITIES - CRIMINAL MATTERS."
Authority to conduct undercover operations in PCI natters is discussedin Part I, Section 0-6 of the Foreign Counterintelligence Manual. ~ ~
EFFECTIVE: 12/07/93
10'l4.l.6 Show and Buyrbust Honey Funding Authority

! Show and Buyrbust noney is available on a case-by-case basis to provide financial credibility for an asset/informant,
cooperating witness or Undercover Agent or to consummate a proposedillegal transaction in support of a specific investigative case. Use-of these funds does NOT constitute an EXPENDITURE of appropriated
funds. Such funds are NEVER to be allowed to becoae evidence or to
leave the care, custody or control of the FBI. They are to be
returned to FBIHQ when no longer needed by the case for which theiruse was originally authorized so that they nay be subsequently
reissued.
! Show funds cannot be deposited into a bank or otherfinancial institution without an exemption from the Attorney General.
Upon receipt of an exemption, the funds are to be placed in afederally insured financial institution, unless otherwise authorized,
to provide credibility to an operation.
' ! The funds may be used in a display of cash toreinforce the role of an Undercover Agent or to consummate a proposed
illegal transaction as part of an arrest  Buy-Bust! scenario.
! The SAC may approve the use of up to|forShow ur oses or for use in a Buy-Bust situation. The use of morethanbnust be approved in advance by FB'IHQ.
! Requests for Show or Buy-Bust funds must specify:
l Sensitive
rn1urzn= 03/14/94b

FEDERAL BUREAU OF INVESTIGATION
FREEDOM OF INFORMATION/PRIVACY ACTS SECTION
COVER SHEET
SUBJECT: GUIDELINES ON UNDERCOVER
OPERATIONS

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u.s. Department ofJustice  V
Federal Bureau of Investigation ~
__ 1' V
Undercover and Sensitive
Operations Unit
Attorney General 's
Guidelines on FBI
Undercover Operations
Revised 11/13/92
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Investigative Support Section
Criminal Investigative Division

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 ATTORNEY GENERAL&#39;S GUIDELINES ON
FEDERAL BUREAU OF INVESTIGATION
UNDERCOVER OPERATIONS
The following Guidelines on the use of undercover activities
and operations by the Federal Bureau of Investigation  FBI! are
issued under the authority of the Attorney General provided in
Title 28, United States Code, Sections 509, S10, and 533. They
apply to all investigations conducted by the FBI, except those
conducted pursuant to its foreign counterintelligence and foreign
intelligence responsibilities.

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I.
II.
III
IV.
V.
VI.
VII. _ . 92 .1. _./92  I
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INTRODUCTION 
DEFINITIONS
GENERAL.AUTHORITY
AUTHORIZATION OP UNDERCOVER OPERATIONS
§enera1 Approval Standards
Undercover Qperations Which Hay be Authorized hymthe§pecia1 Agent in Charge_1$AC1A.
B.
Qperations which lust be Aggroved at FBIHQ
Crininal Undercover Qperations Review CommitteeC.
D.
E. Agproval by the Director, Deputy Director, or Designated Assistant Director
P.
G.Agplication/Notification to PBIHQ
Duration of Authorization
H. Participation in Otherwise Illegal Activity byUndercover Enployees
I. Bhergency Authorization
PROTECTING INNOCENT PARTIES AGAINST ENTRAPHENT
A. Entraggggt
B. Authorization Requirements
C. Excegtion
NONITORING AND CONTROL OF UNDERCOVER OPERATIONS
A. Pregaration of Undercover Knlqyeesy Infornants, andCoqperating_Witnesses
B.Review of Conduct
C. §ontinuing_Consu1tation with the Appropriate FederalProsecutor I
Serious Legal Ethical, Prosecutive, or DepartlentalPolicy Questionsy and Previously Unforeseen SensitiveCircunstances I
E._ Annual Report of the Undercover Review Committee
F.D.
Deposit of Proceeds; Liquidation of Proprietaries
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I. INTRODUCTION 
The use of the undercover technique, including proprietary
business entities, is essential to the detection, prevention, and
prosecution of white collar crimes, public corruption, terrorism,
organized crime, offenses involving controlled substances, and
other priority areas of investigation. However, these techniques
inherently involve an element of deception and may require
cooperation with persons whose motivation and conduct are open to
question, and so should be carefully considered and monitored.
II. DEFINITIONS
A. "Undercover Activities means any investigative
activity involving the use of an assumed name or cover identity
by an employee of the FBI or another Federal, state, or local law
enforcement organization working with the FBI.
B. "Undercover Operation means an investigation involving
a series of related undercover activities over a period of time
by an undercover employee. For purposes of these Guidelines, a
"series of related undercover activities" generally consists of
more than three separate contacts by an undercover employee with
the individual s! under investigation. However, undercover
activity involving sensitive or fiscal circumstances constitutes
an undercover operation regardless of the number of contactsinvolved. &#39; &#39;
C. "Undercover Employee means any employee of the FBI, or
employee of a Federal, state, or local law enforcement agency
working under the direction and control of the FBI in a .
particular investigation, whose relationship with the FBI is
concealed from third parties in the course of an investigative
operation by the maintenance of a cover or alias identity.
D. "Proprietary" means a sole proprietorship, partnership,
corporation, or other business entity operated on_a commercial
basis, which is owned, controlled, or operated wholly or in part
on behalf of the FBI, and whose relationship with the FBI is
concealed from third parties.
B. Appropriate Federal Prosecutor means a United States
Attorney or Section Chief in the Criminal Division of the
Department of Justice  DOJ!.
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III. GENERAL AUTHORITY &#39;
The FBI may use undercover activities and conduct undercoveroperations, pursuant to these Guidelines, that are appropriate tocarry out its law enforcement responsibilities. These guidelinesdo not apply to investigations utilizing confidential informants,cooperating witnesses or cooperating subjects, unless theinvestigation also utilizes an undercover employee. The FBI,through the development of internal policy, may choose to applythese Guidelines to certain confidential informant, cooperatingwitness, and cooperating subject operations by referring suchmatters to the Undercover Review Committee pursuant to SectionIV, Paragraph  D!!.
Under this authority, the FBI may participate in jointundercover activities with other law enforcement agencies and mayoperate a proprietary to the extent necessary to maintain anoperation&#39;s cover or effectiveness. All joint undercoveroperations are to be conducted pursuant to these Guidelines.
IV. AUTHORIZATION OF UNDERCOVER OPERATIONS I
A. General Approval Standards: Any official consideringapproval or authorization of a proposed undercover applicationshall weigh the risks and benefits of the operation, givingcareful consideration to the following factors:

! The risk of personal injury to individuals,
property damage, financial loss to persons orbusinesses, damage to reputation, or other harm to
persons;
! The risk of civil liability or other loss-to the
Government; _
! The risk of invasion of privacy or interferencewith privileged or confidential relationships;
! The risk that individuals engaged in undercoveroperations may become involved in illegal conductrestricted in paragraph IV.H. below: and
! The suitability of Government participation in thetype of activity that is expected to occur during the
operation. B
B. Undercover Operations Which Hay be Authorized by theSpecial Agent in Charge  SAC!

! The establishment, extension, or renewal of allundercover operations to be supervised by a given fieldoffice must be approved by the SAC. Tf the undercover
operation does not involve any of the factors listed inparagraph IV.C. below, this approval shall constitute
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authorization for the operation. Approval requires a
written determination, stating supporting facts and
circumstances, that: .
 a! Initiation of investigative activity
regarding the alleged criminal conduct or criminal
enterprise is warranted under any applicable
departmental guidelines; "
 b! The proposed undercover operation appears to
be an effective means of obtaining evidence or
necessary information. This finding shouldinclude a statement of what prior investigation
has been conducted and what chance the operation
has of obtaining evidence or necessary information
concerning the alleged criminal conduct or
criminal enterprise:
 c! The undercover operation will be conducted
with minimal intrusion consistent with the need to
collect the evidence or information in a timely
and effective manner;
 d! Approval for the use of any informant or
confidential source has been obtained as required
by the Attorney Genera1&#39;s Guidelines on Use of
Informants and Confidential Sources;
 e! Any foreseeable participation by an
undercover employee in illegal activity that canbe approved by the SAC on his or her own authority
is justified by the factors noted in paragraph H;
 f! If there is no present expectation of the
occurrence of any of the sensitive or fiscal
circumstances listed in paragraph C, a statement
to that effect.
! Undercover operations may be authorized pursuant
to this subsection for up to six months and continued
upon renewal for an additional six-month period, for atotal of no more than one year. Undercover operations
initiated pursuant to this subsection may not involve
the expenditure of more than $40,000  $100,000 in drug
cases of which a maximum of $40,000 is for operational
expenses!, or such other amount that is set from time
to time by the Director, without approval from FBI
Headquarters  FBIHQ!.
! The SAC may delegate the responsibility to
authorize the establishment, extension, or renewal ofundercover operations to designated Assistant Special
Agents in Charge. The delegation of this ~
responsibility by the SAC should be in writing and
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maintained in the appropriate field office. However,
all undercover operations which must be authorized at
FBIHQ must be approved by the SAC. &#39;
! A copy of all written approvals described in 
!
above shall be forwarded promptly to FBIHQ.
Operations Which lust be Approved at FBIHQ
 l! Fiscal Circumstances
In all undercover operations involving the fiscal
circumstances set out below, the SAC shall submit an
application to FBIHQ in accordance with paragraph IV.F.
below. A recommendation for authorization may be
forwarded directly to the Director or designated
Assistant Director or, in operations involving only
fiscal circumstances letters  a! c!, to the designated
Deputy Assistant Director for final review andw
authorization, provided that the approval levels
conform to all applicable laws.
Applications for approval of undercover operations
referred to FBIHQ only because of fiscal circumstances
need not be considered or approved by the Undercover
Review Committee. ~
For purpose of these Guidelines, an undercover
operation involves fiscal circumstances if there is a
reasonable expectation that the undercover operation
will -- &#39;
 a! Require the purchase or lease of property,
equipment, buildings, or facilities; the
alteration of buildings or facilities; a
contract for construction or alteration of
buildings or facilities; or prepayment of
more than one month&#39;s rent;
NOTE: The purchase, rental, or lease of property using
an assumed name or cover identity to facilitate a
physical or technical surveillance is not an undercover
operation for purposes of these Guidelines. However,
since the expenditure of appropriated funds is
involved, approval must be obtained from FBIHQ in
conformance with applicable laws.
 b! Require the deposit of appropriated funds or
proceeds generated by the undercover operation
into banks or other financial institutions;
 c! Use the proceeds generated by the undercover
operation to offset necessary and reasonable>
expenses of the operation;
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 d! Require a reimbursement or compensation
agreement with cooperating individuals or entities
for services or losses incurred by them in aid of
the operation  any reimbursement agreement enteredinto with third parties must be reviewed by the
FBI&#39;s Legal Counsel Division!: or
 e! Exceed the limitations on duration or
- commitment of resources established by the
Director for operations initiated at the field
office level.
! Sensitive Circumstances
In all undercover operations involving any sensitive
circumstances listed below, the SAC shall submit an
application to FBIHQ in accordance with paragraph F
below. The application shall be reviewed by &#39;
appropriate supervisory personnel at FBIHQ and, if
favorably recommended, sent to the Undercover Review
Committee for consideration. The application shall
then be forwarded to the Director or a designated
Assistant Director, who may approve or disapprove the
application. .
For purposes of these Guidelines, sensitive
circumstances are involved if there is a reasonable
expectation that the undercover operation will in-
volve-, -
 a! an investigation of possible criminal conduct
92 by any elected or appointed official, or political
candidate, for a judicialr, legislative,
management-, or executive-level position of trustin a Federal, state, or local governmental entity
or political subdivision thereof;
 b! an investigation of any public official at
the Federal, state, or local level in any matter
involving systemic corruption of any governmental
function; _
 c! an investigation of possible criminal conduct
by any foreign official or government, religious
organization, political organization, or the news
media;
NOTE: There are some circumstances involving officials
in judicial, legislative, management, or executive-
level positions which may logically be considered
nonsensitive. In such instances, the Section Chief, &#39;
White-Collar Crimes Section, FBIHQ, who is a member of
the Criminal Undercover Operations Review Committee and
has a national perspective on matters involving public
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officials, must be consulted for a determination as towhether the undercover operation should be presented tothe Undercover Review Cbmmittee. _
 d! Engaging in activity having a significanteffect on or constituting a significant intrusioninto the legitimate operation of a Federal, state,or local governmental entity; &#39;
 e! Establishing, acquiring, or using a
proprietary:
 f! Providing goods or services which areessential to the commission of a crime, whichgoods and services are reasonably unavailable to asubject of the investigation except from the
Government:
 g! Activity that is proscribed by Federal,state, or local law as a felony or that is"~otherwise a serious crime -- but not including the
purchase of stolen or contraband goods; thedelivery or sale by the Government of stolen
property whose ownership cannot be determined; thecontrolled delivery of drugs which will not entercommerce; the payments of bribes which are notincluded in the other sensitive circumstances; orthe making of false representations to thirdparties in concealment of personal identity or thetrue ownership of a proprietary  this exemptiondoes not include any statement under oath or thepenalties of perjury!.  See Paragraph H below!;
NOTE: Some of the above activities, including thecontrolled delivery of drugs and bribe payments, aresubject to specific review and approval procedures.These matters must be coordinated with FBIHQ.
 h! A significant risk that a person
participating in an undercover operation will bearrested or will supply falsely sworn testimony orfalse documentation in any legal or administrative
proceeding  See paragraph H below!;
 i! Attendance at a meeting or participation in
communications between any individual and his orher lawyer;
 j! A significant risk that a third party willenter into a professional or confidential
relationship with a person participating in anundercover operation who is acting as an attorney,physician, clergyman, or member of the news media;
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*  k! A request to an attorney, physician, member
of the clergy, or other person for information,
that would ordinarily be privileged or to,a member
of the news media concerning an individual with
whom the news person is known to have a
professional or confidential relationship;

! Participation in the activities of a group
under investigation as part of a Domestic Security
Investigation or recruiting a person from within
such a group as an informant;
 m! A significant risk of violence or physical
injury to individuals or a significant risk of
financial loss: »
 n! Activities which could result in significant
claims against the United States arising in tort,
contract, or for compensation for the "taking" of
property; _ .
 o! Untrue representations by a person
participating in the undercover operation
concerning the activities or involvement of any
third person without that individual&#39;s knowledge
or consent.
D. Criminal Undercover Operations Review Committeei jndercover Review Committee!

! The Undercover Review Committee shall consist of
appropriate employees of the FBI designated by the
Director and Criminal Division attorneys designated by
the Assistant Attorney General in charge of the
Criminal Division, DOJ, to be chaired by a designee of
the Director. ,
! When an application from an SAC for approval of an
undercover operation involving sensitive circumstances
specified in paragraph C! is received by FBIHQ, upon
recommendation by the FBIHQ substantive section, the
Committee members will meet to reviev the application.
Criminal Division members of the Committee may consult
with appropriate FBI personnel, senior DOJ officials,
and the United States Attorney as deemed appropriate.
The Committee shall submit the application to the
Director or designated Assistant Director with a ~
recommendation for approval or disapproval of the
request and any recommended changes or amendments to
the proposal.
! In addition to the considerations contained in
IV.A. above, the Committee shall also examine the
application to determine whether adequate measures have
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been taken to minimize the incidence of sensitive
circumstances and reduce the risks of harm and
intrusion that are created by such circumstances. If
the Committee recommends approval of an undercover"
operation, the recommendation shall include a brief
written statement explaining why the operation merits
approval in light of the anticipated occurrence of
sensitive circumstances.
! The Committee shall recommend approval of an
undercover operation only upon reaching a consensus,
provided that:
 a! If one or more of the designees of the
Assistant Attorney General in charge of the
Criminal Division does not join in a
recommendation for approval of a proposed
operation because of legal, ethical, prosecutive,
or departmental policy considerations, the
designee shall promptly advise the Assistant
Attorney General and no further action shall be
taken on the proposal until the designated
Assistant Director has had an opportunity to
consult with the Assistant Attorney General; and
 b! If, upon consultation, the Assistant Attorney
General disagrees with a decision by the _
designated Assistant Director to approve the
proposed operation, no further action shall be
taken on the proposal without the approval of the
Deputy Attorney General or the Attorney General.
! The Committee should consult the Legal Counsel
Division of the FBI and the Office of Legal Counsel or
other appropriate division or office at DOJ about any
significant unsettled legal questions concerning
authority for, or the conduct of, a proposed undercover
operation.
! The Director, Assistant Attorney General, or other
official designated by them may refer any sensitive
investigative matter, including informant, cooperating
witness, and cooperating subject operations, to the
Undercover Review Committee for advice, recommendation
or comment, regardless of whether an undercover
operation is involved.
! The United States Attorney, Special Agent in
Charge or any member of their staffs, may attend the
Criminal Undercover Operations Review Committee in
order to advocate for the approval of an undercover
operation. ~
 8! If the Special Agent in Charge and the United,
States Attorney jointly disagree with any stipulation
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set by the Criminal Undercover operations Review
Committee regarding the approval of an undercoveroperation, they may consult with the chairman of theCriminal Undercover Operations Review Committee who mayschedule a meeting of the committee to reconsider the
issue in question.92
 9! At any time during the undercover operation theSpecial Agent in Charge can appeal any Headquartersdecision directly to the Assistant Director. Likewise,the United States Attorney can appeal directly to theAssistant Attorney General, Criminal Division, or theDeputy Attorney General as appropriate.
B. Approval by the Director, Deputy Director, AssociateDeputy Director-Investigations, or Designated AssistantDirector
A designated Assistant Director may approve an undercoveroperation considered by the Undercover Review Committee, unlessthe investigation involves sensitive circumstances  l!»or  m!.Except pursuant to the limited circumstances described in SectionI below, only the Director, Deputy Director, or Associate DeputyDirectorInvestigations may approve a proposed operation if areasonable expectation exists that:

! The undercover operation will be used toparticipate in the activities of a group under .investigation as part of a Domestic Security
Investigation or to recruit a person from within such agroup as an informant or confidential source  Sensitive
Circumstance 
!!;
! There may be a significant risk of violence or
personal injury to individuals or a significant risk of_ financial loss  Sensitive Circumstance  m!!.
F. Application/Notification to FBIHQ

! Application to FBIHQ must be made for any
undercover operation requiring FBIHQ approval. Eachapplication shall include:
 a! The written SAC approval described in B
!
above:
 b! A description of the proposed operation andthe particular cover to be employed; any &#39;
informants or other cooperating persons who willassist in the operation, including backgroundinformation, arrest record, and plea agreements;the particular offense or criminal enterprise
under investigation; and any individuals known to
be involved;
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 c! A statement&#39;of the period of time for which
the operation would be maintained: y
 d! A description of how the requirements
concerning any inducements to be offered as
discussed in Section V.B. below have been met; and
 e! A statement of proposed expenses.
! Applications for approval of undercover operationsinvolving sensitive circumstances listed in paragraph
C! shall also include the following information:
 a! A statement of which circumstances are
reasonably expected to occur, what the facts are
likely to be, and why the undercover operation
merits approval in light of the circumstances,
including: _.
 i! For undercover operations involving
sensitive circumstance  g!, a statement why
the participation in otherwise illegal
activity is justified under the requirements
of paragraph H below, and a letter from the
appropriate Federal prosecutor pursuant to
paragraph F! b!;
 ii! For undercover operations involving
sensitive circumstance  l!, a statement why
the infiltration or recruitment is necessary
and a description of procedures to minimize
any acquisition, retention, and dissemination
of information that does not relate to the
matter under investigation or to other
authorized investigative activity.
 b! A letter from the appropriate Federal
prosecutor indicating that he or she has reviewed
the proposed operation, including the sensitive
circumstances reasonably expected to occur, agreeswith the proposal and its legality, and will
prosecute any meritorious case that has developed.
The letter should include a finding that the
proposed investigation would be an appropriate use
of the undercover technique and that the potential
prosecutive benefits outweigh any direct costs or
risks of other harm.
! An application for the extension or renewal of an
undercover operation should describe the results
obtained from the operation or explain any failure toobtain significant results and, where sensitive &#39;
circumstances are involved, should include a letter
from the appropriate Federal prosecutor favoring the &#39;
extension or renewal of authority.
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.  V.
X ,
Duration of Authorization

! An undercover&#39;operation approved by FBIHQ may notcontinue longer than is necessary to achieve theobjectives specified in the authorization, nor in anyevent longer than six months, without new authorizationto proceed, except pursuant to subparagraph ! below.
! If there is significant change in either thedirection or objectives of an undercover operationapproved by FBIHQ, the operation must be reviewed bythe Undercover Review Committee to determine whether anew authorization is necessary.
! An undercover operation which requires review bythe Undercover Review Committee may be initiated orextended on an interim basis by the designatedAssistant Director in the event of exigentcircumstances, for a period not to exceed 30 days. Inthe case of an initial authorization, budgetenhancement, or change in focus, the interim authoritymust be ratified by the Undercover Review Committee atits next scheduled meeting.
! An undercover operation initially authorized bythe SAC must be reauthorized by a designated AssistantDirector, pursuant to paragraphs IV.CF, if it lastslonger than 12 months or involves the expenditure ofmore than $40,000  $100,000 in drug cases of which amaximum of $40,000 is for operational expenses!, orsuch other amount that is set from time to time by theDirector. No undercover operation approved at thefield office level may continue for more than one yearwithout obtaining approval at FBIHQ.
! An undercover operation approved by an SAC isdeemed to commence on the date approved, Q9; on thedate covert activity is begun.
! Among the factors to be considered in adetermination by any approving official of whether anundercover operation should be renewed or extended are:
 a! The extent to which the operation has
produced the results anticipated when it wasestablished; ,
 b! The potential for future success beyond thatinitially targeted:
 c! The extent to which the investigation cancontinue without exposing the undervsuer
operation: and V
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 d! The extent to which continuation of the
. investigation may cause injury, financial or
otherwise, to innocent parties.
H. Participation in Otherwise Illegal Activity by
Undercover Elployees
Except when authorized pursuant to these Guidelines, no
undercover employee shall engage in any activity that would
constitute a violation of Federal, state, or local law if engaged
in by a private person acting without authorization. For
purposes of these Guidelines, such activity is referred to as
otherwise illegal activity.

! Justification: No official shall recommend or
approve participation by an undercover employee in
otherwise illegal activity unless the participation is
justified:
 a! to obtain information or evidence necessary
for the success of the investigation and not if;
reasonably available without participation in the
otherwise illegal activity; &#39;,
 b! to establish or maintain credibility of a
cover identity: or
 c! to prevent death or serious bodily injury,
! Minimization: The FBI shall take reasonable steps
to minimize the participation of an undercover employee
in any otherwise illegal activity. .>
! Prohibitions: An undercover employee shall not m.
 a! participate in any act of violence except in &#39;
self-defense; ,
 b! initiate or instigate any plan to commit
criminal acts except in accordance with Part V
 Avoidance of Entrapment! below, or
 c! participate in conduct which would constitute
unlawful investigative techniques  e.g., illegal
wiretapping, illegal mail openings, breaking and
entering, or trespass amounting to an illegal
search!.
! Self-Defense: Nothing in these Guidelines
prohibits an undercover employee from taking reasonable
measures of selfdefense in an emergency to protect his
or her own life or the lives pf others against wrongful
force. Such measures shall be reported to the
appropriate Federal prosecutor and FBIHQ, who shall
14

inform the Assistant Attorney General for the Criminal
Division as soon as possible.
! Authorization:
 a! The SAC must approve all undercover operations
and activities, including those which contemplate
participation in otherwise illegal activity. This
approval shall constitute authorization of:
 i! otherwise illegal activity which is a
misdemeanor or similar minor crime under
Federal, state, or local law:
 ii! consensual monitoring, even if a crime
under local law;
 iii! the purchase of stolen or contraband
goods;
 iv! the delivery or sale of stolen property
which cannot be traced to the rightful owner;
 v! the controlled delivery of drugs which
will not enter commerce:
 vi! the payment of bribes which is not
included in the sensitive circumstances;
 vii! the making of false representations to
third parties in concealment of personal
identity or the true ownership of a
proprietary  but not any statement under oath
or the penalties of perjury, which must be
authorized pursuant to subparagraph  b!
below!. .
 b! Participation in otherwise illegal activitywhich is a felony or its equivalent under Federal,
state, or local law requires additional
authorization by the Assistant Director after
review by the Undercover Review Committee. See
Section IV E!.
 c! Participation in otherwise illegal activity
which involves a significant risk of violence or
physical injury requires authorization by the DDirector or Deputy Director after review by theUndercover Review Committee. See Section IV E!.
 d! If an undercover employee believes it to be
necessary and appropriate under the standards setout in subparagraph H
! above, to participate in
otherwise illegal activity that was not foreseen
15

._ . .  !
~. &#39; .
or anticipated, every effort should be made to
consult with the&#39;SAC, who shall seek emergency
interim authority from the designated Assistant
Director, and review by the Undercover Review
Committee if possible, or, if necessary, may
provide emergency authorization under paragraph I
below. If consultation is impossible, and the
undercover employee concludes that there is an
immediate and grave threat to life, physical
safety, or property, the undercover employee may
participate in the otherwise illegal activity, so
long as he does not take part in and makes every
effort to prevent any act of violence. A report
to the SAC shall be made as soon as possible, who
shall submit a written report to FBIHQ, which
shall promptly inform the Undercover Review
Committee. A decision by an undercover employee
to participate in otherwise illegal activity under
this subsection may be retroactively authorized if
appropriate. &#39;
 e! If an undercover operation results in violence
in the course of criminal activity, and an
undercover employee, informant, or cooperating
witness has participated in any manner in the
criminal activity, the SAC shall immediately.
inform the appropriate Federal prosecutor and
FBIHQ, which shall inform the Assistant Attorney
General in charge of the Criminal Division as soon
as possible. &#39;
Emergency Authorization
 I! In situations which require the prior written
authorization of the SAC, the SAC may orally approve an
undercover operation when he or she determines that a
significant and unanticipated investigative opportunity
would be lost were the time taken to prepare a written
authorization. The required written authorization,
with the justification for the oral approval included,
shall be prepared promptly and forwarded to FBIHQ.
! Emergency interim authorization procedures are in
place within FBIHQ that provide for expeditious review
and authorization of a proposed undercover operation.
see G.!. If the SAC concludes that an emergency *
situation exists which makes even this expedited
procedure too lengthy, in the following situations, the
SAC may authorize the undercover operation:
 a! In situations which would otherwise require
approval by the designated Assistant Director, the
SAC may approve an undercover operation whenhe or
she determines that without immediate initiation,
16

92O  *0
extension, or renewal of an operation, life,
property, or personal safety of individuals would
be placed in serious danger. .
 b! In situations which would otherwise require
approval by the Director or Deputy Director, the
SAC may approve an undercover operation when he or
she determines that the initiation, extension, or
renewal of an operation is imperative to protect
life or prevent serious injury.
Before providing authorization in these situations, the
SAC shall attempt to consult with the appropriate
Federal prosecutor and with a designated Assistant
Director.
! The power to provide emergency authorizations
under subparagraph ! may not be delegated pursuant to
IV.B!. 4
! In situations arising under subparagraph&#39;!, a
written application for approval must be submitted to
FBIHQ within 48 hours after the operation has been
initiated, extended, or renewed, together with the
initial finding and a written description of theemergency situation. As soon as it is notified of an
emergency authorization, FBIHQ shall notify the DOJ
members of the Undercover Review Committee. If the
subsequent written application for approval is denied,
a full report of all activity undertaken during the
course of the operation must be submitted to the
Director, who shall inform the Deputy Attorney General.
V. PROTECTING INNOCENT PARTIES AGAINST ENTRAPIENT
A.
B.Entrapment &#39;
Entrapment must be scrupulously avoided. Entrapment
occurs when the Government implants in the mind of a
person who is not otherwise disposed to commit the
offense the disposition to commit the offense and then
induces the commission of that offense in order to
prosecute.
Authorization Requirements
In addition to the legal prohibition on entrapment,
additional restrictions limit FBI undercover activity
to ensure, insofar as it is possible, that entrapment
issues do not adversely affect criminal prosecutions.
As a result, no undercover activity involving an
inducement to an individual to engage in crime shall be
authorized unless the approving official is satisfied
that --
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! The illegal nature of the activity is
reasonably clear-to potential subjects; and
! The nature of any inducement offered is
justifiable in view of the character of the
illegal transaction in which the individual is
invited to engage; and
! There is a reasonable expectation that
offering the inducement will reveal illegal
activities; and
! One of the two following limitations is met:
 i! There is reasonable indication that the
subject is engaging, has engaged, or islikely to engage in the illegal activity
proposed or in similar illegal conduct; or,
 ii! The opportunity for illegal activity has
been structured so that there is reason to
believe that any persons drawn to the
opportunity, or brought to it, are
predisposed to engage in the contemplated
illegal conduct.
Exception
The alternative requirements of subparagraph 8!,
while not required by law, are imposed to ensure thatthe Government does not offer inducements to engage in
crime to persons who are not predisposed to do so.
These standards can be waived only by the Director upona written finding that the activities are necessary to
protect life or prevent other serious harm.
»
VI HONITORING AND CONTROL OF UNDERCOVER OPERATIONS
Preparation of Undercover Elloyees, Inforlants, and
Cooperating,Witnesses

! Prior to the investigation, the SAC or a
designated Supervisory Special Agent shall review with
each undercover employee the conduct that the
undercover employee is expected to undertake and otherconduct that may be necessary during the investigation.
The SAC or Agent shall discuss with each undercover
employee any of the sensitive or fiscal circumstances
specified in paragraphs IV.C
! or ! that are
reasonably likely to occur.
! Each undercover employee shall be instructed thathe or she shall not participate in any act of violence;
initiate or instigate any plan to commit criminal acts;
18 O O

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_ i: LIV
92
use unlawful investigative techniques to obtaininformation or evidence; or engage in any conduct thatwould violate restrictions on investigative techniquesor FBI conduct contained in the Attorney Genera1&#39;sGuidelines or departmental policy; and that, except inan emergency situation as set out in paragraphIV.H.! d!, he or she shall not participate in anyillegal activity for which authorization has not beenobtained under these Guidelines. The undercoveremployee shall be instructed in the law of entrapment.When an undercover employee learns that persons underinvestigation intend to commit a violent crime, he orshe shall try to discourage the violence.
Review of_gggduct
From time to time, during the course of the undercoveroperation, the SAC shall review the conduct of theundercover employee s! and others participating in theundercover operation, including any proposed orreasonable foreseeable conduct for the remainder of theinvestigation. Any findings of impermissible conductshall be discussed with the individual, promptlyreported to the designated Assistant Director and themembers of the Undercover Review Committee, and_adetermination shall be made as to whether theindividual should continue his or her participation inthe investigation.
Continuing Consultation with the Appropriate FederalProsecutor
Upon initiating and throughout the course of_anyundercover operation, the SAC or a designatedSupervisory Special Agent shall&#39;consult on a continuingbasis with the appropriate Federal prosecutor,particularly with respect to the propriety of theoperation and the legal sufficiency and quality ofevidence that is being produced by the activity.
Serious Legal, Ethical,_Prosecutive, or DepartmentalPolicy Questions, and Previously Unforeseen SensitiveCircumstances

! The SAC shall consult with the chairman of the-Criminal Undercover Operations Review Committee, FBIHQwhenever a serious legal, ethical, prosecutive, ordepartmental policy question arises in any undercoveroperation or if sensitive circumstances occur that werenot anticipated. The FBI shall consult with the UnitedStates Attorney, or Assistant Attorney General, ortheir representative, and with DOJ members of theUndercover Review Committee on whether to modify,
19~» .. ..._._.~;.
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suspend, or terminate the investigation related to such
issues.
! When unforeseen sensitive circumstances arise,
SAC shall submit a written application to FBIHQ for
authorization of an undercover operation previously
approved at the field office level, or amend the
existing application to FBIHQ pursuant to paragraph
IV.F.the
Annual Report of the Undercover Review Colmittee

! The Undercover Review Committee shall retain a
file of all applications for approval of undercover
operations submitted to it, together with a written
record of the Committee&#39;s action on the application
any ultimate disposition by the approving official.
The FBI shall also prepare a short summary of each
undercover operation recommended for approval by theand
Committee. These records and be
available for inspection by a
or Deputy Attorney General assummaries shall
designee of the
appropriate and Associate
of the
Assistant Attorney General in charge of the Criminal
Division.
! On an annual basis, the Committee shall submit to
the Director, the Attorney General, the Associate or
Deputy Attorney General, and the Assistant Attorney
General in charge of the Criminal Division a written
report summarizing:
 a! the types of undercover operations approved
and disapproved together with the reasons for
disapproval;
 b! the major issues addressed by the Committee in
reviewing applications and how they were resolved;
and
 c! any significant modifications to the
operations recommended by the Committee.
Deposit of Proceeds; Liquidation of Proprietaries
As soon as the proceeds from any undercover operation
are no longer necessary for the conduct of the
activity, the remaining proceeds shall be deposited in»
the Treasury of the United States as miscellaneous
receipts. A
Whenever a proprietary with a_net value over the amount
specified by the Department of Justice Appropriation
Authorization Act or other applicable laws is to be
liquidated, sold, or otherwise disposed of, the FBI
20

VI. . p. IQ
F 2&#39;
shall report the circumstances to the Attorney General
and the Comptroller General. The proceeds of the
liquidation, sale, or the disposition, after _
obligations are met, shall be deposited in the Treasury
of the United States as miscellaneous receipts.
RBSERVLTIQ§_
These Guidelines are set forth solely for the purpose of
internal DOJ guidance. They are not intended to, do not,
and may not be relied upon to create any rights, substantive
or procedural, enforceable by law by any party in any
matter, civil or criminal, nor do they place any limitations
on otherwise lawful investigative or litigative prerogatives
of the Department of Justice.
- 21

FEDERAL BUREAU OF INVESTIGATION
FREEDOM OF INFORIVIATION/PRIVACY ACTS SECTION
COVER SHEET
SUBJECT: GUIDELINES ON UNDERCOVER
OPERATIONS

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ATTQB§£Y ctntnaigs GUIDELINES on£51 unbsncovtk OPERATIONS C
The following guidelines on use of undercover operationsby the Federal Bureau of Investigation are issued underauthority of the Attorney General as provided in 28 U.S.C.509, 510, and 533. They are consistent with the requirementsof the proposed FBI Charter Act, but do not depend uponpassage of the Act for their effectiveness.
INTRODUCTION u
DEFINITIONS
GENERAL AUTHORITY
AUTHORIZATION OF UNDERCOVER OPERATIONS
A. Undercover Operations that May Not be Approvedby the Special Agent in Charge because of FiscalCircumstances
B. Undercover Operations that May Not be Approved bythe Special Agent in Charge Because of SensitiveCircumstances --
C. Undercover Operations that May be Approved bythe Special Agent in Charge
D. Approval by Headquarters  Undercover OperationsReview Committee, and Director or DesignatedAssistant Director!, with Concurrence of UnitedStates Attorney or Strike Force Chief, WhereSensitive or Fiscal Circumstances Are Present
E. Applications to Headquarters
F. Undercover Operations Review Committee
G. Approval by Director or Deisgnated Assistant
Director
H. Duration of Authorizations

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LI. Authorization of Participation In "Otherwise
Illegal" Activity &#39;
J. Authorization of the Creation of Opportunities
for Illegal Activity &#39;
K. Authorization of Investigative Interviews
I That are Not Part of an Undercover Operation
MONITORING AND CONTROL OF UNDERCOVER OPERATIONS
L. Continuing Consultation with United States
Attorney or Strike Force Chief
H. Serious Legal, Ethical, Prosecutive, or Departmental
Policy Questions, and Previously Unforeseen Sensitive
Circumstances
N. Emergency Authorization
O. Annual Report of Undercover Operations Review.
Committee
P. Preparation of Undercover Employees
Q. Review of Undercover Employee Conduct
R. Deposit of Proceeds; Liquidation of Proprietaries
RESERVATION
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INTRODUCTION
»
The FBI&#39;s use of undercover employees and operation of
proprietary business entities is a lawful.and essential techniquein the detection and investigation of white collar crime,
political corruption, organized crime, and other priority areas.However, use of this technique inherently involves an element ofdeception, and occasionally may require a degree of cooperationwith persons whose motivation and conduct are open to question,and so should be carefully considered and monitored.
DEFII2 * "-IlIOJS
An "undercover employee," under these guidelines, is any
employee of the FBI -- or employee of a federal, state or local
law enforcement agency working under the direction andmcontrolof the FBI in a particular investigation -- whose relationship
with the FBI is concealed from third parties in the course of an
investigative operation by the maintenance of a cover or alias
identity. &#39;
An "undercover operation" is any investigative operation in
which an undercover employee is used.
A "proprietary" is a sole proprietorship, partnership,
corporation, or other business entity owned or controlled by theFBI, used by the FBI in connection with an undercover operation,and whose relationship with the FBI is not generally acknowledged
GENERAL AUTHORITY
 l! The FBI may conduct undercover operations, pursuant tothese guidelines, that are appropriate to carry out its investigative
responsibilities in domestic law enforcement.
Under this authority, the FBI may participate in joint
undercover operations with other federal, state, and local law
enforcement agencies; may seek operational assistance for an
undercover operation from any suitable informant, confidential
source, or other cooperating private individual; and may operatea proprietary on a commercial basis to the extent necessary to
maintain an operation&#39;s cover or effectiveness.
~

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.! Undercover operations can be"full investigation" stage in Domestic
0authorized only at the
Security Investigations.
AUTHORIZATION OF UNDERCOVER OPERATIONS &#39;
All undercover operations under these guidelines fall into fone of two categories:  l! those undercover operations that canbe approved by the Special Agent in Charge  SAC! under his ownauthority, and ! those undercover operations that can only be.authorized by the Director or designated Assistant Director,upon favorable recommendations by the SAC, Bureau headquarters FBIHQ!, and the Undercover Operations Review Comitee, Under-cover operations in the latter category are those that involve asubstantial expenditure of government funds, or otherwise implicatefiscal policies and considerations.  Paragraph A!. Also includedin this latter category are undercover operations that involvewhat are termed "sensitive circumstances." In general, theseare undercover operations involving investigation of publiccorruption, or undercover operations that involve risks ofvarious forms of harm and intrusion.  Paragraph B!. Of course,in planning an undercover operation, these risks of harm andintrusion will be avoided whenever possible, consistent with theneed to obtain necessary evidence in a timely and effective
manner.
A. Undercover Operations that May Not be Approved by theSpecial Agent in Charge because of Fiscal Circumstances

! Subject to the emergency authorization procedures setforth in paragraph N, the SAC may not authorize the establishment,extension or renewal of an undercover operation if there is areasonable expectation that: &#39;
 a! The undercover operation could result in significantcivil claims against the United States, either arisingv in tort, contract or claims for just compensationfor the "taking" of property;
 b! The undercover operation will require leasing
or contracting for property, supplies, services,equipment, or facilities for any period extendingbeyond the September 30 termination date of thethen current fiscal year, or with prepayment ofmore than one month&#39;s rent; or will require leasingany facilities in the District of Columbia;
 c! The undercover operation will require
the use of appropriated funds to establish
or acquire a proprietary, or to operatesuch a proprietary on a comercial basis;

  d!
 E!
 f!
 g!O O
- 3 -
The undercover operation will require
the deposit of.appropriated funds, or ofPT°¢eed$ Eeneraied by the undercover operation.in banks or other financial institutions;
The undercover operation will involve
use of proceeds generated by the undercover
operation to offset necessary and reasonable
expenses of the operation;
The undercover operation will require
indemnification agreements for losses incurredin aid of the operation, or will require expentures in excess of $1500 for property, supplie
services, equipment or facilities for theconstruction or alteration of facilities;di-
5.
The undercover operation will last longerthan 6 months or will involve an expenditure
in excess of $20,000 or such other amount that
is set from time to time by the Director, with
the approval of the Attorney General. However
this expenditure limitation shall not apply
where a significant and unanticipated investiga-
tive opportunity would be lost by compliance with
the procedures set forth in paragraphs D, L, F,
and G.
B. Undercover Operations that May not be Approved by the
Special Agent in Charge Because of Sensitive Circumstances
Subject
in paragraph
extension orto the emergency authorization procedures set forth
N, the SAC may not authorize the establishment,
renewal of an undercover operation that involves
sensitive circumstances. For purposes of these guidelines, an
undercover op
is a reasonab
 a!eration involves sensitive circumstances if there
le expectation that;
The undercover operation will concern
an investigation of possible corrupt
action by a public official or political
candidate, the activities of a foreign
government, the activities of a religious
or political organization, or the activities
of the news media;
~

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!
 d!
 e!
 F!
 g!
 h!
 i!O I a
- 4 -
The undercover operation will involve
untrue representations by an undercover
employee or cooperating private individual
concerning the activities or involvementof any innocent person;
An undercover employee or cooperating privateindividual will engage in any activity thatis proscribed by federal, state, or locallaw as a felony or that is otherwise a
serious crime -- except this shall not
include criminal liability for the purchaseof stolen or contraband goods or for the
making of false representations to third
parties in concealment of personal identityor the true ownership of a proprietary;
An undercover employee or cooperating private
individual will seek to supply an item orservice that would be reasonably unavailable
to criminal actors but for the participationof the government;
An undercover employee or cooperating
private individual will run a significantrisk of being arrested and seeking to continue
undercover;
An undc-rcnvc-r c-nwployce or COOP Tfl
§&#39;_
private individual will be required Lugive sworn testimony in any proceedingin an undercover capacity;
An undercover employee or cooperatingprivate individual will attend a meetingbetween a subject of the investigation
and his lawyer;
An undercover employee or cooperatingprivate individual will pose as an attorney,
physician, clergyman, or member of the newsmedia, and there is a significant risk that
another individual will be led into aprofessional or confidential relationshipwith the undercover employee or cooperatingprivate individual as a result of the pose;
A request for information will be madeby an undercover employee or cooperatingindividual to an attorney, physician, clergyman,or other person who is unde the obligation

- 5 -
of a legal privilege of confidentiality, and
the particular information would ordinarily be
privileged;
 j! A request for information will be made
by an undercover employee or cooperating
private individual to a member of the news
media concerning any individual with whom
the newsman is known to have a professional
or confidential relationship;
 k! The undercover operation will be used to
infiltrate a group under investigation
as part of a Domestic Security Investigation,
or to recruit a person from within such a
group as an informant;
 l! There may be a significant risk of violence
or physical injury to individuals or a
significant risk of financial loss to an
innocent individual.
C. Undercover Operations that May be Approved by the
§pecial Agent in Chargg

! The SAC may authorize the establishment, extension
or renewal of all other undercover operations, to be supervised
by his field office, upon his written determination, stating
supporting facts and circumstances, that:
 a! Initiation of investigative activity regarding
the alleged criminal conduct or criminal
enterprise is warranted under the AttorneyGeneral&#39;s Guidelines on the Investigation of &#39;
General Crimes, the Attorney Generals
Guidelines on Domestic Security Investigations,
the Attorney General&#39;s Guidelines on Investigation
of Criminal Enterprises Engaged in Racketeering
Activity, and any other applicable guidelines;
 b! The proposed undercover operation appearsto be an effective means of obtaining
evidence or necessary information; this
should include a statement of what prior
investigation has been conducted, and what
chance the operation has of obtaining
evidence or necessary information concerning
 the alleged criminal conduct or criminal" enterprise; -

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- 5 -
  c! The undercover operation will be conducted
with minimal intrusion consistent with the ,
need to collect the evidence or information
in a timely and effective manner;
 d! Approval for the use of any informant
or confidential source has been obtained
as required by the Attorney General&#39;s
Guidelines on Use of Informants and
Confidential Sources;
 e! There is no present expectation of the
occurrence of any of the circumstances
listed in paragraphs A and B;
 f! Any foreseeable participation by an undercover
. employee or cooperating private individual
in illegal activity that can be approved by
a SAC on his own authority  that is, the_
purchase of stolen or contraband goods, or
participation in a nonserious misdemeanor!,
is justified by the factors noted in
paragraph 1
!.
D. Approval by Headguarters  Undercover Operations
Review CommitteeL and Director or Designated Assistant
Director!, withConrurrence of United States Attorney
or Strike Force Chief, Where Sensitive or Fiscal
Circumstances Are Present
The Director of the FBI or a designated Assistant
Director must approve the establishment, extension, or
renewal of an undercover operation if there is a reasonable
expectation that any of the circumstances listed in paragraphs
A and B may occur. .
In such cases, the SAC shall first make application to
FBI Headquarters  FBIHQ!. See paragraph E below. FBIHQ may
either disapprove the application or recommend that it be
approved. A recommendation for approval may be forwarded
directly to the Director or designated Assistant Director if
the application was submitted to FBIHQ solel because of a
fiscal circumstance listed in paragraph AZb§- e!. In all
other cases in which FBIHQ recommends approval, the application
shall be forwarded to the Undercover Operations Review
Comittee for consideration. See paragraph E. If approved g
by the Undercover Operations Review Committee, the application
shall be forwarded to the Director or designated Assistant
Director. See paragraph G. The Director or designated
Assistant Director may approve or disapprove the application.~

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1x
E. Applications to Headquarters

! Each application to Headquarters from a SAC recommending
approval of the establishment, extension, or renewal of an under-
cover operation involving circumstances listed in paragraphs A
and B shall be made in writing and shall include, with supporting
facts and circumstances:
 a!
 b!
 C!A description of the proposed undercover
operation, including the particular cover
to be employed and any informants or other
cooperating persons who will assist in the
operation; a description of the particular
offense or criminal enterprise under
investigation, and any individuals known
to be involved; and a statement of the
period of time for which the undercover
operation would be maintained; 
A description of how the determinations
required by paragraph C l! a! -  d! have
been met;
A statement of which circumstances specified
in paragraphs A and B are reasonably
expected to occur, what the operative facts
are likely to be, and why the undercover
operation merits approval in light of the
circumstances, including,
 i
iifor any foreseeable participation by
an undcrcovcr employee or cooperating
private individual in activity that is
proscribed by federal, state, or local
law as a felony or that is otherwise a
serious crime - but not including the
purchase of stolen or contraband goods
or making of false representations to
third parties in concealment of personal
identity or the true ownership of a
proprietary -- a statement why the
participation is justified by the factors
noted in paragraph 1
!, and a statement
of the federal prosecutor&#39;s approval
pursuant to paragraph 1!;
for any planned infiltration by an
undercover employee or cooperating private
individual of a group under investigation
as part ofva Domestic Security Investigati
or re~ruitment of a person from withinOT1

O 8 I
I
such a group as an informant, a statement
why the infiltration or recruitment is
necessary and meets the requirements of
the Attorney General&#39;s Guidelines on
Domestic Security Investigations; and
a description of procedures to minimize
any acquisition, retention, and
dissemination of information that does not
relate to the matter under investigation
or to any other authorized investigative
activity.
-  d! A statement of proposed expenses;
 e! A statement that the United States Attorney
or Strike Force Chief is knowledgeable about
the proposed operation, including the sensitive
circumstances reasonably expected to occur;
concurs with the proposal and its objectives
and legality; and agrees to prosecute any»
meritorious case that is developed.
! In the highly unusual event that there are compelling
reasons that either the United States Attorney or Strike
Force Chief should not be advised of the proposed undercover
operation, the Assistant Attorney General in charge of theCriminal Division, or other Department of Justice attorney
designated by him, may substitute for such person s! for
purposes of any authorization or other function required bythese guidelines. Where the SAC determines that such substitution
is necessary, the application to FBIHQ shall include a
statement of the compelling reasons, together with supportingfacts and circumstances, which are believed to justify that
determination. Such applications may only be authorized
pursuant to the procedures prescribed in paragraph F, below,whetherior not consideration by the Undercover Operations
Review Committee is otherwise required, and upon the approvalof the Assistant Attorney General in charge of the Criminal
Division.
! An application for the extension or renewal of
authority to engage in an undercover operation should also
describe the results so far obtained from the operation or a
reasonable explanation of any failure to obtain significantresults, and a statement that the United States Attorney orStrike Force Chief favors the extension or renewal of authority.
F; Undercover Operations Review Committee

!. There shall be an Undercover Operations Review
Committee; consisting of appropriate employees of the FBI

O C
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 O
designated by the Director, and&#39;attorneys of the Department of
Justice designated by the Assistant Attorney General in charge
of the Criminal Division, to be chaired by a designee of the
Director.
! Upon receipt from FBIHQ of a SAC&#39;s application for
approval of an undercover operation, the Committee will review
the application. The Justice Department members of the Committee
may consult with senior Department officials and the United
States Attorney or Strike Force Chief, as they deem appropriate.
If the Committee concurs in the determinations contained in the
application, and finds that in other respects the undercover
operation should go forward, see paragraph F! and ! below,
the Committee is authorized to recommend to the Director or
designated Assistant Director, see paragraph G, that approval be
granted.
!» In reviewing the application, the Committee shall
carefully assess the contemplated benefits of the undercover
operation, together with the operating and other costs of the
proposed operation. In assessing the costs of the undercover
operation, the Committee shall consider, where relevant, the _
following factors, among others:
 a!
 b!
 C!
 d!
 e!
 f!
 s!the risk of harm to private individuals or
undercover employees;
the risk of financial loss to private individuals
and businesses, and the risk of damage liability
or other loss to the government;
the risk of harm to reputation;
the risk of harm to privileged or confidential
relationships;
the risk of invasion of privacy;
the degree to which the actions of undercover
employees or cooperating private individuals may
approach the conduct proscribed in paragraph J
below; and
the suitability of undercover employees or
cooperating private individuals participating-
in activity of the sort contemplated during
the undercover operation.
! If the proposed undercover operation involves any of
the sensitive circumstances listed~in paragraph B, the Committee
shall also examine the application to determine whether the

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undercover operation is planned so as to minimize the incidence
of such sensitive circumstances, and to minimize the risks of
harm and intrusion that are created by such circumstances. If
the Committee recommends approval of an undercover operation
involving sensitive circumstances, the recomendation shall
include a brief written statement explaining why the undercover
operation merits approval in light of the anticipated occurrence
of such sensitive circumstances.
! The Committee shall recommend approval of an under-
cover operation only upon reaching a consensus, provided that:
 a! If one or more of the designees of the
Assistant Attorney General in charge of
the Criminal Division does not join in
a recommendation for approval of a proposed
undercover operation because of legal, ethical,
prosecutive or Departmental policy considerations,
the designee shall promptly advise the Assistant
Attorney General and there shall be no approval
of the establishment, extension, or renewal
of the undercover operation until the Assistant
Attorney General has had the opportunity to
consult with the Director;
 b! If, upon consultation, the Assistant Attorney
General disagrees with a decision by the
Director to approve the proposed undercover
operation, there shall be no establishment,
extension or renewal of the undercover
operation until the Assistant Attorney
General has had an opportunity to refer
the matter to the Deputy Attorney General
or Attorney General.
! The Comittee should consult the Legal Counsel Division
of the FBI, and the Office of Legal Counsel or other appropriate
division or office in the Department of Justice, about any
significant unsettled legal questions concerning authority for
or the conduct of a proposed undercover operation.
G. Approval by Director or Designated Assistant Director
The Director or a designated Assistant Director shall have-
authority to approve operations recommended for approval by the
Undercover Operations Review Committee, provided that only the
Director may authorize a proposed operation if a reasonable
expectation exists that:

&#39; C I
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 a! There may be a significant risk of violence or
physical injury to individuals;
 b! The undercover operation will be used to infiltrate
a group under investigation as part of a Domestic
Security Investigation, or to recruit a person
from within such a group as an informant or
confidential source, in which case the Director&#39;s
authorization shall include a statement of
procedures to minimize any acquisition, retention,
and dissemination of information that does not
relate to the matter under investigation or to
any other authorized investigative activity; or
 c! A circumstance specified in paragraph A b!- e!
is reasonably expected to occur, in which case
the undercover operation may be implemented
»only after the Deputy Attorney General or
Attorney General has specifically approved thataspect of the operation in accordance with 
applicable law.
H. Duration of Authorizations

! An undercover operation may not continue longer
than is necessary to achieve the objective of the authorization,
nor in any event longer than 6 months without new authorization
to proceed.
! Any undercover operation initially approved by aSAC must be reauthorized by an Assistant Director or the
Director, pursuant to paragraphs D-G, if it lasts longer
than 6 months or involves expenditures in excess of the
amount prescribed in paragraph A g!.
I. Authorization of Participation In "Otherwise Illegal" Activity
Nothwithstanding any other provision of thcsc guidelines,
an undercover employee or cooperating private individual
shall not engage, except in accordance with this paragraph,
in any activity that would constitute a crime under state or
federal law if engaged in bya private person acting without
the approval or authorization of an appropriate government
official. For purposes of this paragraph, such activity is
referred to as "otherwise illegal" activity.
&#39; 
! No official shall recommend or approve an undercover
employee&#39;s or cooperating private individual&#39;s planned or
reasonably foreseeable participation in otherwise illegal
activity unless the participation is justified in order:

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 a! to obtain information or evidence necessary
for paramount prosecutive purposes;
 b! to establish and maintain credibility or
cover with persons associated with the
criminal activity under investigation; or
 c! to prevent or avoid the danger of death or
serious bodily injury.
! Participation in any activity that is proscribed
by federal, state, or local law as a felony or that is
otherwise a serious crime -- but not including the purchase
of stolen or contraband goods or the making of false representations
to third parties in concealment of personal identity or the
true ownership of a proprietary - must be approved in
advance by an Assistant Director on the recommendation of
the Undercover Operations Review Committee pursuant to
paragraphs DG, except that the Director&#39;s approval is~
required for participation in any otherwise illegal activity
involving a significant risk of violence or physical injury
to individuals. Approvals shall be recorded in writing.
A recomendation to FBIHQ for approval of participation
in such otherwise illegal activity must include the views of
the United States Attorney, Strike Force Chief, or Assistant
Attorney General on why the participation is warranted.
! Participation in the purchase of stolen or contraband
goods, or in a nonserious misdemeanor, must be approved in
advance by the Special Agent in Charge. Approvals by the
SAC shall be recorded in writing.
! The FBI shall take reasonable steps to minimize
the participation of an undercover employee or cooperating
private individual in any otherwise illegal activity.
! An undercover employee or cooperating private
individual shall not participate in any act of violence,
initiate or instigate any plan to commit criminal acts, or
use unlawful investigative techniques to obtain information
or evidence for the FBI  e.g., illegal wiretapping, illegal
mail openings, breaking and entering, or trespass amounting
to an illegal search!.
! If it becomes necessary to participate in otherwise~
illegal activity that was not foreseen or anticipated, an
undercover employee should make every effort to consult with
the SAC. For otherwise illegal activity that is a felony or
a serious misdemeanor, the SAC can provide emergency authorization

O -13- I
underrparagraph N. If consultation with the SAC is impossible
and there is an imediate and grave threat to life or physical
safety  including destructionof property through arson or
bombing!. an undercover employee may participate in the otherwise
illegal activity so long as he does not take part in and makes
every effort to prevent any act of violence. A report to the SAC
shall be made as soon as possible after the participation, and
the SAC shall submit a full report to FBIHQ. FBIHQ shall promptly
inform the members of the Undercover Operations Review Committee.
! Nothing in these guidelines prohibits establishing,
funding, and maintaining secure cover for an undercover operation
by making false representations to third parties in concealment
of personal identity or the true ownership of a proprietary
 e.g., false statements in obtaining driver&#39;s licenses, vehicle
registrations, occupancy permits, and business licenses! when
such action is approved in advance by the appropriate SAC.
 8! Nothing in paragraph I! or ! prohibits an undercover
employee from taking reasonable measures of self defense in an
emergency to protect his own life or the life of others against
wrongful force. Such measures shall be reported to the SAC and
the United States Attorney, Strike Force Chief, or Assistant
Attorney General as soon as possible.
 9! If a serious incident of violence should occur in the
course of a criminal activity and an undercover employee or
cooperating private individual has participated in any fashion in
the criminal activity, the SAC shall imediately inform FBIHQ.
Headquarters shall promptly inform the Assistant Attorney General
in charge of the Criminal Division.
J. Authorigation of the Creation of Opportunities for
lllegal Activity

! Entrapment should be scrupulously avoided. Entrapment
is the inducement or encouragement of an individual to engage in
illegal activity in which he would otherwise not be disposed to
engage.
! In addition to complying with any legal requirements,
before approving an undercover operation involving an invitation
to engage in illegal activity, the approving authority should be
satisfied that
 a! The corrupt nature of the activity is
reasonably clear to potential subjects;
_  b! There is a reasonable indication that the
undercover operation will reveal illegal
activities; and _ -

-14-
I
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 c! The nature of any inducement is not
unjustifiable in view of the character
of the illegal transaction in which the .
individual is invited to engage.
! Under the law of entrapment, inducementsmmaybe offered_
to an individual even though there is no reasonable indicationthat that particular individual has engaged, or is engaging, in
the illegal activity that is properly under investigation. None-
theless, no such undercover operation shall be approved withoutthe specific written authorization of the Director, unless the
Undercover Operations Review Committee determines  See paragraph
F!, insofar as practicable, that &#39; &#39; either
 a! there is a reasonable indication, based
on information developed through informants
or other means, that the subject is engaging,
has engaged, or is likely to engage in illegal
activity of a similar type; Q;
 b! The opportunity for illegal activity has been
structured so that there is reason for
believing that persons drawn to the opportu-
nity, or brought to it, are predisposed to engage
in the contemplated illegal activity.
 A! In any undercover operation, the decision to offer an
inducement to an individual, or to otherwise invite an individual
to engage in illegal activity, shall be based solely on law enfor
ment considerations.
K. Authorization of Investigative Interviews that are
Not Part of an Undercover Operation
Notwithstanding any other provision of these guidelines,
routine investigative interviews that are not part of an
undercover operation may-be conducted without the authorization
of FBIHQ, and without compliance with paragraphs C, D, and
E. These include so-called "pretext" interviews, in which an
FBI employee uses an alias or cover identity to conceal his
relationship with the FBI.
However, this authority does not apply to an investigative
interview that involves a sensitive circumstance listed inparagraph B. Any investigative interview involving a sensitive
circumstance -- even an interview that is not conducted as
part of an undercover operation -- may only be approvedpursuant to the procedures set forth in paragraphs D, E, F,
and G, or pursuant to the emergency_authority prescribed in
paragraph N, if applicable.

O -15, O
MONITORING AND CONTROL OF UNDERCOVER OPERATIONS
L. Continuing_Consultation with United States Attorney
9r Strike Force Chief
Throughout the course of any undercover operation that
has been approved by Headquarters, the SAC shall consult
periodically with the United States Attorney, Strike Force
Chief, or Assistant Attorney General concerning the plans
and tactics and anticipated problems of the operation.
M. Serious Legal, Ethical, Prosecutive, or DepartmentalPolicy Questions, and Previously*Unforeseen I
Sensitive Circumstances

! In any undercover operation, the SAC shall consult
with Headquarters whenever a serious legal, ethical, prosecutive,
or Departmental policy question is presented by the operation.
FBIHQ shall promptly inform the Department of Justice members of
the Undercover Operations Review Committee of any such question
and its proposed resolution.
! This procedure shall always be followed if an undercover
operation is likely to involve one of the circumstances listed in
paragraphs A and B and either  a! The SAC&#39;s application to FBIHQ
did not contemplate the occurrence of that circumstance, or  b!
the undercover operation was approved by the SAC under his own
authority. In such cases the SAC shall also submit a written
application for continued authorization of the operation or an
amendment of the existing application to Headquarters pursuant to
paragraph B.
Whenever such a new authorization or amended authorization
is required, the FBI shall consult with the United States Attorney,
Strike Force Chief, or Assistant Attorney General, and with the
Department of Justice members of the Undercover Operations Review
Committee on whether to modify, suspend, or terminate the undercover
operation pending full processing of the application or amendment.
N. Emergency Authorization 
Notwithstanding any other provision of these guidelines, any
SAC who reasonably determines that:
 a! an emergency situation exists requiring
the establishment, extension, renewal, or
modification of an undercover operation
before an authorization mandated by these
guidelines can with due diligence be obtained,
in order to protect life or substantial
property, to apprehend or identify a fleeing
offender, to prevent the hiding or destruction
of essential evidence, or to avoid other grave
harm; and ~ I
 b! there are grounds upon which authorization
could be obtained under these guidelines,

- 15 -
may approve the establishment, extension, renewal, or modification
of an undercover operation if a written application for
approval is submitted to Headquarters within_48 hours after
the undercover operation has been established, extended,
renewed, or modified. In such an emergency situation the
SAC shall attempt to consult by telephone with the United
States Attorney, Strike Force Chief, or Assistant Attorney
General, and with a designated Assistant Director. FBIHQ
shall promptly inform the Department of Justice members of
the Undercover Operations Review Committee of the emergency
authorization. In the event the subsequent written application
for approval is denied, a full report of all activity undertaken
during the course of the operation shall be submitted to the
Director, who shall inform the Deputy Attorney General.
O. Annual Report of Undercover Operations Review Committee
 l! The Undercover Operations Review Committee shall
retain a file of all applications for approval of undercover
operations submitted to it, together with a written record
of the Committee&#39;s action on the applications and any ultimate
disposition by the Director or a designated Assistant Director.
The FBI shall also prepare a short summary of each undercover
operation approved by the Comittee. These records and
summaries shall be available for inspection by a designee of
the Deputy Attorney General or of the Assistant Attorney
General in charge of the Criminal Division.
! On an annual basis, the Committee shall submit to
the Director, the Attorney General, the Deputy Attorney
General, and the Assistant Attorney General in charge of the
Criminal Division, a written report summarizing:  a! the
types of undercover operations approved; and  b! the major
issues addressed by the Committee in reviewing applications
and how they were resolved.
P. Preparation of Undercover Employees A
 l! The SAC or a designated supervisory agent shall
review with each undercover employee prior to the employee&#39;s
participation in an investigation, the conduct that the
undercover employee is expected to undertake and other
conduct whose necessity during the investigation is foreseeable.
The SAC or designated supervisory agent shall expressly
discuss with each undercover employee any of the circumstances
specified in paragraphs A and B which is reasonably expected
to occur. . -
Each undercover employee shall be instructed generally,
and in relation to the proposed undercovev operation that
he shall not participate in any act of violence; initiate

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or instigate any plan to
investigative techniques_Q-17- -
commit criminal acts; use unlawful 
to obtain information or evidence;
or engage in any conduct that would violate restrictions on
investigative techniques or FBI conduct contained in Attorney
General Guidelines or other Department policy; and that, ~
except in an emergency situation, he shall not participate
in any illegal activity for which authorization has not been
obtained under these guidelines. when the FBI learns that
persons under investigation intend to commit a violent
crime, any undercover employee used in connection with the
investigation shall be instructed to try to discourage the -
violence. _
! To the extent feasible, a similar review shall be
conducted by a Special Agent with each cooperating private
individual. &#39;
Q. Review of Undercover Employee Conduct . W _

! From time to time during the course of the investigation,
as is practicable, the SAC or designated supervisory agent
shall review the actual conduct of the undercover employee,
as well as the employee&#39;s proposed or reasonably foreseeable
conduct for the remainder of the investigation, and shall
make a determination whether the conduct of the employee has
been permissible. This determination shall be communicated
to the undercover employee as soon as practicable. Any
findings of impermissible conduct shall be promptly reported
to the Director, and consultation with the Director shall be
undertaken before the employee continues his participation
in the investigation. To the extent feasible, a similar
review shall be made of the conduct of each cooperating
private individual.
! A written report on the use of false representations
to third parties in concealment of personal identity or the
true ownership of a proprietary, for establishing, funding,
and maintaining secure cover for an undercover operation,
shall be submitted to the SAC or designated supervisory
agent at the conclusion of the undercover operation. A
written report on participation in any other activity
proscribed by federal, state or local law shall be made by
an undercover employee to the SAC or designated supervisory
agent every 60 days and at the conclusion of the participation
in the illegal activity.
R. Deposit of Proceeds; Liquidation of Proprietaries 4
&#39; As soon as the proceeds from an undercover operation
are no longer necessary for the conduct of the operation,?
L.
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the remaining proceeds shall be deposited in the Treasury of
the United States as miscellaneous receipts.
Whenever a proprietary with a net value over $50,000 is
to be liquidated, sold, or otherwise disposed of, the FBI,
as much in advance as the Director or his designee shall
determine is practicable, shall report the circumstances to
the Attorney General and the Comptroller General. The
proceeds of the liquidation, sale, or other disposition,
after obligations are met, shall be deposited in the Treasury
of the United States as receipts.
RESERVATION
These guidelines on the use of undercover operations
are set forth solely for the purpose of internal Department
of Justice guidance. They are not intended to, do not, and
may not he relied upon to, create any rights, substantive or
procedural, enforceable at law by any party in any matter,
civil or criminal, nor do they place any limitations on
otherwise lawful investigative or litigative prerogatives of
the Department of Justice.
]@__7___. {>_,,.4.£,,.
Benjénin R. Civiletti
Attorney General
_/ /Date:  I
92