EFTA00226396

USAM 9-27.000. Principles of Federal Prosecution 
9-27.600 Entering into Non-prosecution Agreements in Return for Cooperation — Generally 
A. Except as hereafter provided, the attorney for the government may, with supervisory approval, enter into a non-
prosecution agreement in exchange for a person's cooperation when, in his/her judgment, the person's timely 
cooperation appears to be necessary to the public interest and other means of obtaining the desired cooperation 
arc unavailable or would not be effective. 
B. Comment. 
Pagc 1 of 5 
1. In many cases, it may be important to the success of an investigation or prosecution to obtain the 
testimonial or other cooperation of a person who is himself/herself implicated in the criminal conduct 
being investigated or prosecuted. However, because of his/her involvement, the person may refuse to 
cooperate on the basis of his/her Fifth Amendment privilege against compulsory self-incrimination. In this 
situation, there are several possible approaches the prosecutor can take to render the privilege inapplicable 
or to induce its waiver. 
a. First, if time permits, the person may be charged, tried, and convicted before his/her cooperation is 
sought in the investigation or prosecution of others. Having already been convicted himself/herself, 
the person ordinarily will no longer have a valid privilege to refuse to testify and will have a strong 
incentive to reveal the truth in order to induce the sentencing judge to impose a lesser sentence than 
that which otherwise might be found appropriate. 
b. Second, the person may be willing to cooperate if the charges or potential charge against him/her are 
reduced in number or degree in return for his/her cooperation and his/her entry of a guilty plea to the 
remaining charges. An agreement to file a motion pursuant to Sentencing Guideline 5K1.1 or Rule 
35 of the Federal Rules of Criminal Procedure after the defendant gives full and complete 
cooperation is the preferred method for securing such cooperation. Usually such a concession by the 
government will be all that is necessary, or warranted, to secure the cooperation sought. Since it is 
certainly desirable as a matter of policy that an offender be required to incur at least some liability 
for his/her criminal conduct, government attorneys should attempt to secure this result in all 
appropriate cases, following the principles set forth in USAM 9-27.430 to the extent practicable. 
c. The third method for securing the cooperation of a potential defendant is by means of a court order 
under 18 U.S.C. §§ 6001:6003. Those statutory provisions govern the conditions under which 
uncooperative witnesses may be compelled to testify or provide information notwithstanding their 
invocation of the privilege against compulsory self incrimination. In brief, under the so-called "use 
immunity" provisions of those statutes, the court may order the person to testi& or provide other 
information, but neither his/her testimony nor the information he/she provides may be used against 
him/her, directly or indirectly, in any criminal case except a prosecution for perjury or other failure 
to comply with the order. Ordinarily, these "use immunity" provisions should be relied on in cases in 
which attorneys for the government need to obtain sworn testimony or the production of information 
before a grand jury or at trial, and in which there is reason to believe that the person will refuse to 
testify or provide the information on the basis of his/her privilege against compulsory self-
incrimination. See usimo 9-23,a Offers of immunity and immunity agreements should be in 
writing. Consideration should be given to documenting the evidence available prior to the immunity 
offer. 
d. Finally, there may be cases in which it is impossible or impractical to employ the methods described 
above to secure the necessary information or other assistance, and in which the person is willing to 
cooperate only in return for an agreement that he/she will not be prosecuted at all for what he/she has 
done. The provisions set forth hereafter describe the conditions that should be met before such an 
agreement is made, as well as the procedures recommended for such cases. 
Exhibit 15 
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USAM 9-27.000. Principles of Federal Prosecution 
Page 2 of 5 
It is important to note that these provisions apply only if the case involves an agreement with a person who 
might otherwise be prosecuted. If the person reasonably is viewed only as a potential witness rather than a 
potential defendant, and the person is willing to cooperate, there is no need to consult these provisions. 
IJSAM 9-27.6A describes three circumstances that should exist before government attorneys enter into 
non-prosecution agreements in return for cooperation: the unavailability or ineffectiveness of other means 
of obtaining the desired cooperation; the apparent necessity of the cooperation to the public interest; and 
the approval of such a course of action by an appropriate supervisory official 
2. Unavailability or Ineffectiveness of Other Means. As indicated above, non-prosecution agreements are 
only one of several methods by which the prosecutor can obtain the cooperation of a person whose 
criminal involvement makes him/her a potential subject of prosecution. Each of the other methods--seeking 
cooperation after trial and conviction, bargaining for cooperation as part of a plea agreement, and 
compelling cooperation under a "use immunity" order--involves prosecuting the person or at least leaving 
open the possibility of prosecuting him/her on the basis of independently obtained evidence. Since these 
outcomes are clearly preferable to permitting an offender to avoid any liability for his/her conduct, the 
possible use of an alternative to a non-prosecution agreement should be given serious consideration in the 
first instance. 
Another reason for using an alternative to a non-prosecution agreement to obtain cooperation concerns the 
practical advantage in terms of the person's credibility if he/she testifies at trial. If the person already has 
been convicted, tither after trial or upon a guilty plea, for participating in the events about which he/she 
testifies, his/her testimony is apt to be far more credible than if it appears to the trier of fact that he/she is 
getting off "scot free." Similarly, if his/her testimony is compelled by a court order, he/she cannot properly 
be portrayed by the defense as a person who has made a "deal" with the government and whose testimony 
is, therefore, suspect; his/her testimony will have been forced from hint/her, not bargained for. 
In some cases, however, there may be no effective means of obtaining the person's timely cooperation 
short of entering into a non-prosecution agreement. The person may be unwilling to cooperate fully in 
return for a reduction of charges, the delay involved in bringing him/her to trial might prejudice the 
investigation or prosecution in connection with which his/her cooperation is sought and it may be 
impossible or impractical to rely on the statutory provisions for compulsion of testimony or production of 
evidence. One example of the latter situation is a case in which the cooperation needed does not consist of 
testimony under oath or the production of information before a grand jury or at trial. Other examples are 
cases in which time is critical, or where use of the procedures of 18 U.S.C. §?-6003 would unreasonably 
disrupt the presentation of evidence to the grand jury or the expeditious development of an investigation, 
or where compliance with the statute of limitat ions or the Speedy Trial Act precludes timely application 
for a court order. 
Only when it appears that the person's timely cooperation cannot be obtained by other means, or cannot be 
obtained effectively, should the attorney for the government consider entering into a non-prosecution 
agreement. 
3. Public Interest. If he/she concludes that a non-prosecution agreement would be the only effective method 
for obtaining cooperation, the attorney for the government should consider whether, balancing the cost of 
foregoing prosecution against the potential benefit of the person's cooperation, the cooperation sought 
appears necessary to the public interest. This "public interest" determination is one of the conditions 
precedent to an application under I8 U.S.C. § 6003 for a court order compelling testimony. Like a 
compulsion order, a non-prosecution agreement limits the government's ability to undertake a subsequent 
prosecution of the witness. Accordingly, the same "public interest" test should be applied in this situation 
as well. Some of the considerations that may be relevant to the application of this test are set forth in 
USAM 9-27.620. 
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USAM 9-27.000. Principles of Federal Prosecution 
Page 3 of 5 
4. Supervisory Approval. Finally, the prosecutor should secure supervisory approval before entering into a 
non-prosecution agreement. Prosecutors working under the direction of a United States Attorney must seek 
the approval of the United States Attorney or a supervisory Assistant United States Attorney. Departmental 
attorneys not supervised by a United States Attorney should obtain the approval of the appropriate 
Assistant Attorney General or his/her designee, and should notify the United States Attorney or Attorneys 
concerned. The requirement of approval by a superior is designed to provide review by an attorney 
experienced in such matters, and to ensure uniformity of policy and practice with respect to such 
agreements. This section should be read in conjunction with USAM 9-27.640, concerning particular types 
of cases in which an Assistant Attorney General or his/her designee must concur in or approve an 
agreement not to prosecute in ret urn for cooperation. 
9-27.620 Entering into Non-prosecution Agreements in Return for Cooperation — Considerations to be Weighed 
A. In determining whether, a person's cooperation may be necessary to the public interest, the attorney for the 
government, and those whose approval is necessary, should weigh all relevant considerations, including: 
1. The importance of the investigation or prosecution to an effective program of law enforcement; 
2. The value of the person's cooperation to the investigation or prosecution; and 
3. The person's relative culpability in connection with the offense or offenses being investigated or 
prosecuted and his/her history with respect to criminal activity. 
B. Comment. This paragraph is intended to assist Federal prosecutors, and those whose approval they must secure, 
in deciding whether a person's cooperation appears to be necessary to the public interest. The considerations 
listed here are not intended to be all-inclusive or to require a particular decision in a particular case. Rather they 
are meant to focus the decision-makers attention on factors that probably will be controlling in the majority of 
cases. 
1. Importance of Case. Since the primary function of a Federal prosecutor is to enforce the criminal law, 
he/she should not routinely or indiscriminately enter into non-prosecution agreements, which are, in 
essence, agreements not to enforce the law under particular conditions. Rather, he/she should reserve the 
use of such agreements for cases in which the cooperation sought concerns the commission of a serious 
offense or in which successful prosecution is otherwise important in achieving effective enforcement of the 
criminal laws. The relative importance or unimportance of the contemplated case is therefore a significant 
threshold consideration. 
2. Value of Cooperation. An agreement not to prosecute in return for a person's cooperation binds the 
government to the extent that the person carries out his/her part of the bargain. See Santobello v. New York 
404 U.S. 257 (1971); Wade v. United States, 112 S. Ct. 1840 (1992). Since such an agreement forecloses 
enforcement of the criminal law against a person who otherwise may be liable to prosecution, it should not 
be entered into without a clear understanding of the nature of the quid pm quo and a careful assessment of 
its probable value to the government. In order to be in a position adequately to assess the potential value of 
a person's cooperation, the prosecutor should insist on an "offer of proof' or its equivalent from the person 
or his/her attorney. The prosecutor can then weigh the offer in terms of the investigation or prosecution in 
connection with which cooperation is sought. In doing so, he/she should consider such questions as 
whether the cooperation will in fact be forthcoming, whether the testimony or other information provided 
will be credible, whether it can be corroborated by other evidence, whether it will materially assist the 
investigation or prosecution, and whether substantially the same benefit can be obtained from someone 
else without an agreement not to prosecute. After assessing all of these factors, together with any others 
that may be relevant, the prosecutor can judge the strength of his/her case with and without the person's 
cooperation, and determine whether it may be in the public interest to agree to forego prosecution under 
the circumstances. 
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USAM 9-27.000. Principles of Federal Prosecution 
Page 4 of 5 
3. Relative Culpability and Criminal History. In determining whether it may be necessary to the public 
interest to agree to forego prosecution of a person who may have violated the law in return for that person's 
cooperation, it is also important to consider the degree of his/her apparent culpability relative to others who 
are subjects of the investigation or prosecution as well as his/her history of criminal involvement. Of 
course, ordinarily it would not be in the public interest to forego prosecution of a high-ranking member of 
a criminal enterprise in exchange for his/her cooperation against one of his/her subordinates, nor would the 
public interest be served by bargaining away the opportunity to prosecute a person with a long history of 
serious criminal involvement in order to obtain the conviction of someone else on less serious charges. 
These are matters with regard to which the attorney for the government may find it helpful to consult with 
the investigating agenc y or with other prosecuting authorities who may have an interest in the person or 
his/her associates. 
It is also important to consider whether the person has a background of cooperation with law enforcement 
officials, either as a witness or an informant, and whether he/she has previously been the subject of a compulsion order 
under 18 U.S.C. §?-6003 or has escaped prosecution by virtue of an agreement not to prosecute. The information 
regarding compulsion orders may be available by telephone from the Immunity Unit in the Office of Enforcement 
Operations of the Criminal Division. 
9-27.630 Entering into Non-prosecution Agreements in Return for Cooperation — Limiting the Scope of 
Commitment 
A. In entering into a non-prosecution agreement, the attorney for the government should, if practicable, explicitly 
limit the scope of the government's commitment to: 
1. Non-prosecution based directly or indirectly on the testimony or other information provided; or 
2. Non-prosecution within his/her district with respect to a pending charge, or to a specific offense then 
known to have been committed by the person. 
B. Comment. The attorney for the government should exercise extreme caution to ensure that his/her non-
prosecution agreement does not confer "blanket" immunity on the witness. To this end, he/she should, in the first 
instance, attempt to limit his/her agreement to non-prosecution based on the testimony or information provided. 
Such an "informal use immunity" agreement has two advantages over an agreement not to prosecute the person 
in connection with a particular transaction: first, it preserves the prosecutor's option to prosecute on the basis of 
independently obtained evidence if it later appears that the person's criminal involvement was more serious than 
it originally appeared to be; and second, it encourages the witness to be as forthright as possible since the more 
he/she reveals the more protection he/she will have against a future prosecution. To further encourage full 
disclosure by the witness, it should be made clear in the agreement that the government's forbearance from 
prosecution is conditioned upon the witness's testimony or production of information being complete and 
truthful, and that failure to testify truthfully may result in a perjury prosecution. 
Even if it is not practicable to obtain the desired cooperation pursuant to an "informal use immunity" agreement, 
the attorney for the government should attempt to limit the scope of the agreement in terms of the testimony and 
transactions covered, bearing in mind the possible effect of his/her agreement on prosecutions in other districts. 
It is important that non-prosecution agreements be drawn in terms that will not bind other Federal prosecutors or 
agencies without their consent. Thus, if practicable, the attorney for the government should explicitly limit the scope of 
his/her agreement to non-prosecution within his/her district. If such a limitation is not practicable and it can reasonably 
be anticipated that the agreement may affect prosecution of the person in other districts, the attorney for the 
government contemplating such an agreement shall communicate the relevant facts to the Assistant Attorney General 
with supervisory responsibility for the subject matter. United States Attorneys may not make agreements which 
prejudice civil or tax liability without the express agreement of all affected Divisions and/or agencies. See also 9-
16.000 et seq. for more information regarding plea agreements. 
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USAM 9-27.000. Principles of Federal Prosecution 
Page 5 of 5 
Finally, the attorney for the government should make it clear that his/her agreement relates only to non-
prosecution and that he/she has no independent authority to promise that the witness will he admitted into the 
Department's Witness Security program or that the Marshal's Service will provide any benefits to the witness in 
exchange for his/her cooperation. This does not mean, of course, that the prosecutor should not cooperate in making 
arrangements with the Marshal's Service necessary for the protection of the witness in appropriate cases. The 
procedures to be followed in such cases are set forth in USAM9-21.000. 
9-27.640 Agreements Requiring Assistant Attorney General Approval 
A. The attorney for the government should not enter into a non-prosecution agreement in exchange for a person's 
cooperation without first obtaining the approval of the Assistant Attorney General with supervisory responsibility 
over the subject matter, or his/her designee, when: 
1. Prior consultation or approval would be required by a statute or by Departmental policy for a declination of 
prosecution or dismissal of a charge with regard to which the agreement is to be made; or 
2. The person is: 
a. A high-level Federal, state, or local official; 
b. An official or agent of a Federal investigative or law enforcement agency; or 
c. A person who otherwise is, or is likely to become of major public interest. 
B. Comment. USAM 9-27.640 sets forth special cases that require approval of non-prosecution agreements by the 
responsible Assistant Attorney General or his/her designee. Subparagrc
 ph (1) covers cases in which existing 
statutory provisions and departmental policies require that, with respe to certain types of offenses, the Attorney 
General or an Assistant Attorney General be consulted or give his/her approval before prosecution is declined or 
charges arc dismissed. For example, see USAM 64245 (tax offenses); USAM 941.010 (bankruptcy frauds); 
USAM 9-90,020 (internal security offenses); (see USAM_9-2.400 for a complete listing of all prior approval and 
consultation requirements). An agreement not to prosecute resembles a declination of prosecution or the 
dismissal of a charge in that the end resu It in each case is similar: a person who has engaged in criminal activity 
is not prosecuted or is not prosecuted fully for his/her offense. Accordingly, attorneys for the government should 
obtain the approval of the appropriate Assistant Attorney General, or his/her designee, before agreeing not to 
prosecute in any case in which consultation or approval would be required for a declination of prosecution or 
dismissal of a charge. 
Subparagraph (2) sets forth other situations in which the attorney for the government should obtain the approval 
of an Assistant Attorney General, or his/her designee, of a proposed agreement not to prosecute in exchange for 
cooperation. Generally speaking, the situations described will be cases of an exceptional or extremely sensitive nature, 
or cases involving individuals or matters of major public interest. In a case covered by this provision that appears to be 
of an especially sensitive nature, the Assistant Attorney General should, in turn, consider whether it would be 
appropriate to notify the Attorney General or the Deputy Attorney General. 
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EFTA00226420

PART V-IMMUNITY OF WITNESSES 
Chapter 
Section 
601. Immunity of witnesses  
 6001 
Sec. 
6001. 
6002 
6003. 
6004. 
0005. 
IIISTORICAL AND STATUTORY NOTES 
1994 Amendments 
Pub.L. 103-322, Title XXXIII, I 330013(1), Sept. 13, 1994, 
108 Stat. 2146, added chapter heading. 
§ 6001. 
Definitions 
As used in this chapter—
(1) "agency of the United States" means any 
executive department as defined in section 101 of 
title 5, United States Code, a military department 
as defined in section 102 of title 5, United States 
Code, the Nuclear Regulatory Commission, the 
Board of Governors of the Federal Reserve System, 
the China Trade Act registrar appointed under 53 
• Stat. 1432 (15 U.S.C. sec. 143), the Commodity 
• Futures Trading Commission, the Federal Commu-
nications Commission, the Federal Deposit Insur-
ance Corporation, the Federal Maritime Commis-
sion, the Federal Power Commission, the Federal 
• -- Trade Commission, the Surface Transportation 
.1 -Board, the National Labor Relations Board, the 
' National Transportation Safety Board, the Railroad 
Retirement 
ard, an arbitration board established 
under 48 Sta 1193 (45 U.S.C. sec. 1571 the Securi-
ties
i
 and Exc ange Commission, or a board estab-
lished under 49 Stet 31 (15 U.S.C. sec. 715d); 
. (2) "other information" includes any book, paper, 
document, record, recording, or other material; 
(3) "proceeding before an agency of the United 
States" means any proceeding before such an agen-
cy with respect to which it is authorized to issue 
subpenas and to take testimony or receive other 
• information from witnesses under oath; and 
(4) "court of the United States" means any of the 
- following courts: the Supreme Court of the United 
States, a United States court of appeals, a United 
States district court established under chapter 5, 
title 28, United States Code, a United States bank-
HISTORICAL AND STATUTORY NOTES 
1910 Amendment 
Publ.. 91-152, Title II, 6 201(a), Oct. 15. 1970, 84 Stat. 
926, added Part V and items 6001 to 6005. 
CHAPTER 601-IMMUNITY OF WITNESSES 
Definitions. 
Immunity generally. 
Court and grand jury proceedings. 
Certain administrative proceedings. 
Congressional proceedings. 
ruptcy court established under chapter 6, title 28, 
United States Code, the District of Columbia Court 
of Appeals, the Superior Court of the District of 
Columbia, the District Court of Guam, the District 
Court of the Virgin Islands, the United States 
Court of Federal Claims, the Tax Court of the 
United States, the Court of International Trade, 
and the Court of Appeals for the Armed Forces. 
(Added Publ. 91-452, Title II, § 201(a), Oct. 15, 1970, 84 
Stat. 926, and amended Pub.L. 95-405, 6 25, Sept. 30, 1978, 
92 Stat. 877; Pub.L. 95-598, Title III, § 314(l ), Nov. 6, 1978, 
92 Stat. 2678; Pub.L. 96-417, Title VI, € 601(1), Oct. 10, 
1980, 94 Stat. 1744; Pub.L. 97-164, 7Stle I, I 164(1), Apr. 2, 
1982, 96 Stat. 50; Pub.L. 102-550, Title XV, § 1543, Oct. 28, 
1992, 106 Stat. 4069; Pub.L. 102—572, Title IX, § 902(bRI), 
Oct. 29, 1992, 106 Stat. 4519; Pub.L. 103-272, § 4(d), July 5, 
1994, 108 Stat. 1361; Pub.L. 103-322 Title XXXIII, 
§ 330013(2). (3), Sept 13, 1994, 108 Stat. 2146; Pub.L. 
103-337, Div. A, Title IX, I 924(d)(1)(B), Oct. 5, 1994, 108 
Stat. 2832; Publ.. 10448, Title III, § 303(2), Dec. 29, 1995, 
109 Stat 913.) 
HISTORICAL AND STATUTORY NOTES 
Effective and Applicability Provisions 
1995 Acta Amend 
y Pub.L. 104-88 effective Jan. 1. 
i
t 
1996, see section 2 of 
. 104-88, set out as a note under 
section 701 of Title 49, 
portation. 
1992 Acts. Except as otherwise provided, amendment by 
Pub.L. 107450 effective Oct. 28, 1992, see section 2 of Pub.L. 
102450, set out as a note under section 6301 of Title 42, The 
Public Health and Welfare. 
1982 Acts. Amendment by Pub.L. 97-164 effective Oct 1, 
1982, see section 402 of Pub.L. 97-164, set out as an Effec-
the Date of 1982 Amendment note under section 171 of Title 
28, Judiciary and Judicial Procedure. 
1980 Acts. Amendment by Pub.L. 96-417 effective Nov. 1, 
1980, and applicable with respect to civil actions pending on 
or commenced on or after such date, see section 701(a) of 
Pub.L. 96-417, set out as an Effective Date of 1980 Amend-
ment note under section 251 of Title 28, Judiciary and 
Judicial Procedure. 
1978 Acts. Amendment by Pub.L. 95-598 effective Oct. 1, 
1979, see section 402(a) of Pub.L. 95-498, set out as an 
Effective Dates note preceding section 101 of Title 11, Bank-
ruptcy. 
Amendment by Pub.L. 95-405 effective Oct. 1, 1978, see 
section 28 of Pub.L. 95-405, set out as an Effective Date of 
1978 Amendment note under section 2 of Title 7, Agriculture. 
Compton, Annotation Materials, an 7111a is, U.S.C.A. 
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18 § 6001 
IMMUNITY OF WITNESSES 
Part 5 
1970 Acts. Section 2 
of Pub.L. 91-452 provided that: 
6) 
"The provisions o part 
of title 18, United States Code, 
1b
added by title II o this 
t [this part], and the amendments 
and repeals made y title II of this Act [sections 835, 895, 
1406, 1954, 2424, 2514 and 3486 of this title, sections 15, 87(0. 
135e, 499m(1). and 2135 of Title 7, Agriculture, section 25 of 
former Title II, Bankruptcy, sectio 1820 of Title 12, Banks 
it 
and Banking, sections 32, 33, 49, 77 
78u(d), 79r(e), 80a-4t, 
80b-9, 155, 717m. 1271, and 1714 of Ile 15, Commerce and 
Trade, section 825f of Title 16. Conservation, section 1333 of 
Title 19, Customs Duties, section 373 of Title 21, Food and 
Drugs, sections 4874 and 7493 of Title 26, Internal Revenue 
Code, section 161(3) of Title 29, Labor, section 506 of Tide 
33, Nsfigation and Navigable Waters, sections 405(0 and 
2201 
Title 42, The Public Health and Welfare, sections 157 
and 
of Title 45, Railroads, sections 827 and 1124 of Title 
46, Shipping, section 409(1 ) of Title 47, Telegraphs, Tele-
phones, and Radiotelegraphs, sections 9, 43, 46, 47, 48, 916, 
and 1017 of former Title 49, Transportation, and section 1484 
of Title 49, Appendix, section 792 of Title 50, War and 
National Defense, and sections 643a, 1152, 2026, and 2155(b) 
of Title 50, Appendix), shall take effect on the sixtieth day 
following the date of the enactment of this Act (Oct. 15, 
1970). No amendment to or repeal of any provision of law 
under tide II of this Act shall affect any immunity to which 
any individual is entitled under such provision by reason of 
any testimony or other information given before such day." 
Change of Name 
References to United States Claims Court deemed to refer 
to United States Court of Federal Claims and references to 
Claims Court deemed to refer to Court of Federal Claims, 
see section 902(b) of Pub.L. 102-572, set out as a note under 
section 171 of Title 28. Judiciary. and Judicial Procedure. 
Savings Provisions 
Amendment by section 314 of Pub.L. 95-598 not to affect 
the application of chapter 9 [6 151 et seq.], chapter 96 
[6 1961 et seq.] or section 2516, 3057, or 3284 of this title to 
any act of any person (1) committed before Oct. 1, 1979, or 
(2) committed after Oct. 1, 1979, in connection with a case 
commenced before such date, see section 403(d) of Pub.L. 
95-598, set out preceding section 101 of Title II, Bankruptcy. 
Amendment or Repeal of Inconsistent Provisions 
Section 259 of Pub.L. 91.452 provided that "In addition to 
the provisions of law specifically amended or specifically 
repealed by this title [see Effective Date note set out under 
this section), any other provision of law inconsistent with the 
provisions of part V of title 18, United States Code (added by 
title H of this Act) [this part), is to that extent amended or 
repealed." 
Abolition of the Atomic Energy Commission 
The Atomic Energy Commission was abolished and all 
functions were transferred to the Administrator of the Ener-
gy Research and Development Administration (unless other-
wise specifically provided) by section 5814 of Title 42, The 
Public Health and Welfare. The Energy Research and 
Development Administration was terminated and functions 
vested by law in the Administrator thereof were transferred 
to the Secretary of Energy (unless otherwise specifically 
provided) by sections 7151(a) and 7293 of Title 42. 
Termination of Civil Aeronautics Board and Transfer of 
Certain Functions 
All functions, powers, and duties of the Civil Aeronautics 
Board were terminated or transferred by former section 
1551 of Title 49, Transportation, effective in part on Dec. 31, 
1981, In part on Jan. I. 1983, and in part on Jan. 1, 1985. 
Termination of Federal Power Commission 
The Federal Power Commission, referred to in par. (1) was 
terminated and the functions, personnel, property, funds, 
etc.. thereof were transferred to the Secretary of Energy 
r certain functions which were transferred to the 
Energy Regulatory Commission) by sections 
171(a), 7172(a). 7291, and 7293 of Title 42, The 
Public Health and Welfare. 
Subversive Activities Control Board 
The Subversive Activities Control Board was established 
by Act Sept. 23, 1950, c. 1024, § 12, 64 Stat. 997, and ceased 
to operate June 30, 1973. 
§ 6002. 
Immunity generally 
Whenever a witness refuses, on the basis of his 
privilege against self-incrimination, to testify or pro-
vide other information in a proceeding before or ancil-
lary to—
(1) a court or grand jury of the United States, 
(2) an agency of the United States, or 
(3) either House of Congress, a joint committee 
of the two Houses, or a committee or a subcommit-
tee of either House, 
and the person presiding over the proceeding commu-
nicates to the witness an order issued under this title, 
the witness may not refuse to comply with the order 
on the basis of his privilege against self-incrimination; 
but no testimony or other information compelled un-
der the order (or any information directly or indirectly 
derived from such testimony or other information) 
may be used against the witness in any criminal case, 
except a prosecution for perjury, giving a false state-
ment, or otherwise failing to comply with the order. 
(Added Pub.L. 91-452, Title iI, § 20I(a), Oct. 16, 1970, 84 
Stat. 927, and amended Pub.L. 103-322, Title DOCIII, 
330013(4), Sept- 13. 1994, 108 Stat. 2146.) 
§ 6003. 
Court and grand jury proceedings 
(a) in the case of any individual who has been or 
may be called to testify or provide other inforthation 
at any proceeding before or ancillary to a court of the 
United States or a grand jury of the United States, 
the United States district court for the judicial district 
in which the proceeding is or may be held shall issue, 
in accordance with subsection (b) of this section, upon 
the request of the United States attorney for such 
district, an order requiring such individual to give 
testimony or provide other information which he re-
fuses to give or provide on the basis of his privilege 
against self-incrimination, such order to become effec-
tive as provided in section 6002 of this title. 
Compiete Annotation Materials, sae Title ta, US.CA. 
1210 
EFTA00226422

Ch. 601 
IMMUNITY OF WITNESSES 
18 § 6005 
(h) A United States attorney may, with the approv-
al of the. Attorney General, the Deputy Attorney 
General, the Associate Attorney General, or any des-
ignated Assistant. Attorney General or Deputy Assis-
tant Attorney General, request an order under subsec-
tion (a) of this section when in his judgment—
(I) the testimony or other information from such 
individual may be necessary to the public interest; 
and 
(2) such individual has refused or is likely to 
refuse to testify or provide other information on the 
basis of his privilege against self-incrimination. 
(Added Pub.L. 91-452, Title II, § 201(a), Oct. 15 1970, 84 
Stat 927, and amended Pub.L. 100-690, Title VII, § 7020(e), 
Nov. 18, 1988, 102 Stat. 4396; Pub.L. 103-322, Title XXXIII, 
§ 330013(4), Sept 13, 1994, 108 Stat. 2146.) 
§ 6004. 
Certain administrative proceedings 
(a) in the case of any individual who has been or 
who may be called to testify or provide other informa-
tion at any proceeding before an agency of the United 
States, the agency may, with the approval of the 
Attorney General, issue, in accordance with subsection 
(b) of this section, an order requiring the individual to 
give testimony or provide other information which he 
refuses to give or provide on the basis of his privilege 
against self-incrimination, such order to become effec-
tive as provided in section 6002 of this title. 
(b) An agency of the United States may issue an 
order under subsection (a) of this section only if in its 
judgment—
(1) the testimony or other information from such 
individual may be necessary to the public interest; 
and 
(2) such individual has refused or is likely to 
refuse to testify or provide other information on the 
basis of his privilege against self-incrimination. 
(Added Pub.L. 91-452, Title 11, § 201(a), Oct. 15, 1970, 84 
Stat. 927, and amended Pub.L. 103-322, Title Mill, 
330013(4), Sept. 13, 1994, 108 Stat. 2146.) 
§ 6005. 
Congressional proceedings 
(a) In the case of any individual who has been or 
may be called to testify or provide other information 
at any proceeding before or ancillary to either House 
of Congress, or any committee, or any subcommittee 
of either House, or any joint committee of the two 
Houses, a United States district court shall issue. in 
accordance with subsection (b) of this section, upon 
the request of a duly authorized representative of the 
House of Congress or the committee concerned, an 
order requiring such individual to give testimony or 
provide other information which he refuses to give or 
provide on the basis of his privilege against self-
incrimination, such order to become effective as pro-
vided in section 6002 of this title. 
(b) Before issuing an order under subsection (a) of 
this section, a United States district court shall find 
that—
(1) in the case of a proceeding before or ancillary 
to either House of Congress, the request for such 
an order has been approved by an affirmative vote 
of a majority of the Members present of that 
House; 
(2) in the case of a proceeding before or ancillary 
to a committee or a subcommittee of either House 
of Congress or a joint committee of both Houses, 
the request for such an order has been approved by 
an affirmative vote of two-thirds of the members of 
the full committee; and 
(3) ten days or more prior to the day on which 
the request for such an order was made, the Attor-
ney General was served with notice of an intention 
to request the order. 
(c) Upon application of the Attorney General, the 
United States district court shall defer the issuance of 
any order under subsection (a) of this section for such 
period, not longer than twenty days from the date of 
the request for such order, as the Attorney General 
may specify. 
(Added Pub.L. 91-452, Title 1I, § 201(a), Oct 15, 1970, 84 
Stat. 928, and amended Pub.L. 103-322, Title )(MULL 
330013(4), Sept 13, 1994, 108 Stat 2146; Pub.L. 104-292, 
5, Oct ii, 1996, 110 Stat 3460; Pub.L. 104-294, Title Vi, 
§ 605(o), Oct. 11, 1996, 110 Stat. 3510.) 
Complete Annotation Materials, see Title 18, U.S.CA. 
1211 
EFTA00226423

Memorandum 
Subject 
Changes to Child Exploitation Statutes in 
Title 18 
September 26, 2006 
To 
R. Alexander Acosta 
Thomas Mulvihill 
Jeffrey Sloman 
Kenneth Now 
Robert Waters 
Andrew Lourie 
Roger Stefin 
Karen Atkinson 
Rolando Garcia 
Bruce Brown 
Richard Boscovich 
Barbara Martinez 
From 
cc: Anne Schultz 
AUSA 
On July 27, 2006, Congress enacted the Adam Walsh Child Protection and Safety Act of 
2006. President Bush signed the Act into law on the same day. The Act made some dramatic 
changes to a number of sections in Title 18 - both sections that traditionally fall within "child 
exploitation" laws and other seemingly unrelated sections. The Act also created a series of new 
crimes that are expected to have a large impact on the District. 
This memo is meant to update you on the most pressing issue which is the changes that 
impact child exploitation crimes committed after July 27, 2006'. 
A. Changes to Mandatory Minimum and Maximum Sentences. 
1. 18 U.S.C. § 1001 - False Statements 
The statutory maximum of 5 years' imprisonment has been increased to 8 years if "the matter 
relates tom offense under chapter 109A [§§ 2241-2248],109B [new § 2250], 110 [§§2251- 2260], 
or 117 [§§ 2421-2427], or Section 1591 [sex trafficking of children]". 
The Act immediately became effective, but the changes do not appear in the 
pocket pan for West's Federal Criminal Code and Rules. Because that book is most frequently 
referred to by AUSAs, many prosecutors may be unaware of the changes. 
Exhibit 16 
EFTA00226424

2. 18 U.S.C. § 1591 - Sex Trafficking of Children 
There arc new statutory minimums and maximums for all of the categories of violations of 
Section 1591: 
(a) if the offense was effected by force, fraud, or coercion, or if the minor was under the age 
of 14, the minimum sentence is 15 years, up to a maximum of life; 
(b) if force, fraud, and coercion were not used and the minor was between 14 and 17, the 
minimum sentence is 10 years. up to a maximum of lift. 
3. 18 U.S.C. § 2241 - Aggravated Sexual Abuse 
Whoever crosses a state line with the intent to engage in a sexual act with a child under 12, 
or whoever, in the special maritime or territorial jurisdiction of the United States or in a federal 
prison, engages in a sexual act with a child between the ages of 12 and 15 by force, threat of force, 
rendering the victim unconscious, or by administering a drug or intoxicant to the victim, shall be 
imprisoned not less than 30 years, up to a maximum of life. 18 U.S.C. § 2241(c). 
4. 18 U.S.C. § 2242 - Sexual Abuse 
Whoever, in the special maritime and territorial jurisdiction of the United States or in a 
federal prison, engages in a sexual act with an adult by force, threat of force, or with a person 
mentally incapable of appraising the nature of the situation or a person physically incapable of 
refusing to participate, faces a maximum term of life imprisonment. 
5. 18 U.S.C. § 2243 - Sexual Abuse of a Minor or Ward 
Whoever, in the special jurisdiction of the United States, engages in a sexual act with a 
person between 12 and 15 or with a prisoner, faces up to IS years' imprisonment. 
6. 18 U.S.C. § 2244 - Abusive Sexual Contact 
If a person engages in "sexual contact" in the special jurisdiction of the United States, he or 
she faces the following sentences: 
(a) with a child under 12 or with a child between 12 and 15 by force, threats, or by 
incapacitating the victim, up to life imprisonment; 
(b) with an adult by force, threats, or with a person incapable of consenting, up to 3 years' 
imprisonment; 
(c) with a child between 12 and 15 or with a prisoner, up to 2 years' imprisonment. 
2 
EFTA00226425

7. 18 U.S.C. § 2245 - Offenses Resulting in Death 
The death penalty now applies to a person who commits murder in the course of an offense 
under Chapter I 09A, or section 1591, 2251, 225IA, 2260, 2421, 2422, 2423, or 2425. 
8. 18 U.S.C. § 2251 - Sexual Exploitation of Children 
Section 2251 addresses the sexual exploitation of children for the production of child 
pornography (subsection (a)); allowing one's child or ward to engage in sexual conduct for the 
production of child pornography (subsection (b)); sexually exploiting a child outside the United 
States to create child pornography for importation into the United States (subsection (c)); and posting 
or publishing an advertisement or notice offering to receive, exchange, buy, produce, create, or 
distribute child pornography (subsection (d)). The statutory sentencing limits have remained the 
same (15 to 30 years for a first offense, 25 to 50 years for a second offense, and 35 to life for a third 
offense), but Congress now imposes a range of 30 years to life or death if the offense results in the 
death of a person. 
9. 18 U.S.C. § 2252 - Activities Relating to Material Involving the Sexual 
Exploitation of Minors 
Violations of 2252(aX1), 2252(aX2) and 2252(aX3), which cover transporting, distributing, 
receiving, selling, or possessing with intent to sell, still carry statutory imprisonment ranges of 5 to 
20 years for the first offense, and 15 to 40 years for a second offense. Violations of 2252(aX4), 
which addresses possession of child pornography keeps the statutory range of0 to 10 years for a first 
offense and 10 to 20 years for a second offense. The penalty provisions of 2252(b)( I ) and 
2252(bX2) have been amended to expand the definitions of "prior conviction" to include sex 
trafficking of children. 
10. 18 U.S.C. § 2252A - Activities Relating to Child Pornography 
The statutory sentencing ranges have not changed, but this section also was amended to 
include sex trafficking of children as a "prior conviction." 
11. 18 U.S.C. § 2252B - Misleading Domain Names on the Internet 
The statutory maximum sentence for a violation of §2252B(b) - the knowing use of a 
misleading domain name with the intent to deceive a minor into viewing harmful material - has been 
increased to 10 years. 
12. 18 U.S.C. § 2258 - Failure to Report Child Abuse 
The failure of a professional who works on federal land or a federally-operated facility to 
report child abuse now faces a maximum of I year in prison. 
3 
EFTA00226426

13. 18 U.S.C. § 2260 - Production of Child Pornography for Importation into the 
United States 
Violations of Section 2260(a) - use of a minor outside the United States to create child 
pornography meant to be imported into the United States - will now be punished under the 
sentencing scheme in 18 U.S.C. § 2251(e) - 15 to 30 for the first offense. 25 to 50 for the second. 
and 35 to life for the third, and death or 30 to life if the offense results in the death of a person. 
Violations of2260(b)- receiving, distributing, transporting, selling or possessing with intent 
to distribute child pornography meant for importation into the United States - is punished under the 
sentencing scheme in 18 U.S.C. § 2252(b)(I) - 5 to 20 for the first offense and 15 to 40 for a second 
offense. 
14. 18 U.S.C. § 2422 - Coercion and Enticement 
The statutory sentence limits for using the mail or any facility of interstate or foreign 
commerce to persuade a minor to engage in prostitution or other sexual activity, in violation of 18 
U.S.C. § 2422(b). have increased to 10 years to life. 
15. 18 U.S.C. § 2423 - Transportation of Minors 
The mandatory minimum and maximum sentences for violations of 2423(a) - transportation 
of a minor with the intent that the minor engage in prostitution or other criminal sexual activity-also 
has been raised to 10 years to life. 
B. Changes to Sentencing Enhancements and Classification. 
1. 18 U.S.C. § 2260A - New Enhancement for Registered Sex Offenders 
The Act created a new section, 2260A, which creates a ten-year consecutive sentence for a 
violation "involving a minor" under 18 U.S.C. §§ 1201, 1466A, 1470, 1591, 2241, 2242, 2243, 
2244, 2245, 2251, 2251 A, 2260, 2421, 2422, 2423, and 2425, if the crime was committed while the 
defendant was required to register as a sex offender. Although not explicitly stated in the 
Amendment, this enhancement probably applies only to crimes of conviction involving a real minor 
(as opposed to an undercover officer) and, as a best practice, the AUSA should file a Sentencing 
Notice similar to a 21 U.S.C. § 851 Notice. 
2. 18 U.S.C. § 3559 - Sentencing Classification of Offenses 
Section 3559(d) was added in 2004 mandating death or life imprisonment for the commission 
of a violent felony or a violation of Section 2422, 2423, or 2251, if the victim was less than 14 years 
old, the victim died, and the defendant acted with the intent, to kill or seriously injure the victim or 
in reckless disregard for human life. 
4 
EFTA00226427

3559(e) also was added in 2004 to impose mandatory life imprisonment if the defendant has 
a prior sex conviction with a real minor victim and the crime of conviction is a sex offense with a 
real minor victim. The Adam Walsh Act added 18 U.S.C. § 1591 (sex trafficking of children) to the 
definition of "sex offense." 
The Adam Walsh Act also added 3559(f) which creates mandatory minimum sentences for 
violent crimes against children under 18. These mandatory minimums override the maximums and 
minimums in the statute creating the offense unless the sentence there is greater. If the offense is 
the murder of a minor, the defendant must be sentenced between 30 years and life, unless death is 
imposed. 18 U.S.C. § 3559(f)(I ). If the offense is kidnapping or maiming, the defendant must be 
sentenced between 25 years and life. 18 U.S.C. § 3559(0(2). And if the crime of violence results 
in serious bodily injury, or if a dangerous weapon was used during and in the relation to the offense, 
the defendant must be sentenced between 10 years and life. 18 U.S.C. § 3559(0(3). 
3. 18 U.S.C. § 3563 - Conditions of Probation 
The Act changed one mandatory condition of probation and added a discretionary condition. 
Section 3563(aX8) now mandates that, for any person required to register under the Sex Offender 
Registration and Notification Act, the Court must impose the condition that the person comply with 
the requirements of that Act. Section 3563(bX23) creates a new discretionary condition to allow 
probation officers and law enforcement officers to search the person, residence, vehicle, and 
computer of any registered sex offender at any time upon reasonable suspicion of a violation of 
probation or other unlawful conduct. 
4. 18 U.S.C. § 3583 - Supervised Release 
The Act made four significant changes to supervised release. First, the sexual offense 
defendant's compliance with the Sex Offender Registration and Notification Act is a mandatory 
condition. § 3583(d). Second, the Court can order, as a discretionary condition of supervised release, 
that the sexual offense defendant submit to a search at any time based upon a reasonable suspicion 
of a violation of supervised release or other criminal activity. § 3583(d)(3). Third, in 2003, Section 
3583(k) was amended to provide a maximum of lifetime supervised release for certain child 
exploitation offense. The Adam Walsh Act expands the crimes for which lifetime supervised 
release applies and also imposes a mandatory minimum of five years' supervised release for 
these offenses of conviction: 18 U.S.C. §§ 1591, 2241, 2242, 2243, 2244, 2245, 2250, 2251, 
2251 A, 2252, 2252A, 2260, 2421, 2422, 2423, and 2425. Fourth, if a sex offender violates his 
supervised release by committing one of a list of offenses, the Court must revoke the term of 
supervised release and impose a term of at least 5 years' imprisonment. §3583(k). 
INB: BECAUSE SECTIONS 3563 AND 3583 NOW MAKE SEX OFFENDER 
REGISTRATION A MANDATORY SENTENCING TERM, AS A BEST PRACTICE PLEA 
AGREEMENTS AND THE PLEA COLLOQUY SHOULD INFORM DEFENDANTS THAT 
THIS WILL BE PART OF THEIR SENTENCE.] 
5 
EFTA00226428

5. 18 U.S.C. § 3592 - Mitigating and Aggravating Factors in Determining Whether to 
Impose a Sentence of Death 
Section 3592 (c)(1) has been amended to included a violation of 18 U.S.C. § 2245 as an 
aggravating factor for a homicide case. 
C. Creation or Expansion of Federal Offenses 
1. 18 U.S.C. § 1201 - Kidnapping 
The Adam Walsh Act filled a jurisdictional gap in Section 1201. Now there is federal 
jurisdiction over a kidnapping offense if the victim was transported in interstate or foreign 
commerce, whether or not the victim was alive when the transportation began, or if the perpetrator 
travels in interstate or foreign commerce, during or in furtherance of the offense, or if the perpetrator 
uses the mail or any means, facility, or instrumentality of interstate of foreign commerce during or 
in furtherance of the offense. 
2. 18 U.S.C. § 1465 - Production and Distribution of Obscene Materials 
Section 1465 has been expanded to prohibit producing obscene materials "with the intent to 
transport, distribute, or transmit in interstate or foreign commerce." 
3. 18 U.S.C. § 2250 - Failure to Register as a Sex Offender 
The enactment of Section 2250 now makes it a federal criminal offense for certain sex 
offenders to fail to register or to update their sex offender registrations. To avoid jurisdictional 
problems, Section 2250 only applies to sex offenders who either: 
(a) is a sex offender due to a conviction under federal law, the Uniform Code of Military 
Justice, the law of the District of Columbia, Indian tribal law, or the law of a U.S. 
territory or possession, 
or (b) is a sex offender due to a conviction under state, local, or foreign' law and travels in 
interstate or foreign commerce, or enters, leaves, or resides in Indian Country. 
The punishment for violating Section 2250 is up to 10 years' imprisonment, but if the 
offender is found to have committed a crime of violence. then he must serve a consecutive term of 
5 to 30 years' imprisonment. 
rA foreign conviction cannot be the basis if it was not obtained with sufficient safeguards 
for fundamental fairness and due process for the accused. 
6 
EFTA00226429

4. 18 U.S.C. § 2252C - Misleading Words or Images on the Internet 
This new offense is an analog to § 2252B, which prohibits the use of misleading domain 
names to induce someone to view obscene material. Section 2252C expands the prohibition to 
"embedding" words or digital images into the source code of a website." If those words or images 
deceive an adult into viewing obscene material, the penalty is up to 10 years' imprisonment. If the 
words or images arc meant to deceive a minor into viewing material harmful to minors, the penalty 
is up to 20 years' imprisonment. 
5. 18 U.S.C. § 2257 and 2257A - Record Keeping Requirements for Producers of 
Pornography 
Section 2257 was enacted several years ago to require the producers of adult pornography 
to keep records of the names, ages, and other information related to the persons appearing in the 
pornography. The Adam Walsh Act amended Section 2257 to make clear that the record-keeping 
requirements also apply to internet-based pornography websites and digital images that are never 
printed on "film" or "videotape." The Act also criminalized a producer's refusal to allow an 
inspection of these records by the Attorney General or his designee. § 22570)(5). 
The Act also created Section 2257A, which extends these record keeping requirements to 
producers of "simulated sexually explicit conduct." § 2257A(a)( I ). 
IX Changes to Court Procedures 
1. 18 U.S.C. § 2255 - Civil Remedy for Personal Injuries 
Section 2255 has been expanded to allow a person who, while a minor, was a victim 
of various child exploitation offenses, to pursue a civil action for personal injury damages -
regardless of when the personal injury occurred. It also raises the presumptive damage amount to 
5150,000. 
2. 18 U.S.C. § 3142 - Release or Detention Pending Trial 
Section 3142 has been amended several times in recent years to create a presumption of 
detention in child exploitation cases. The Adam Walsh Act makes three changes to Section 3142. 
First, if a defendant charged with a child exploitation offense or a failure to register as a sex offender 
is released on bond, the release order must contain: (I) a condition of electronic monitoring, 
(2) restrictions on personal associations, residence, and travel, (3) restraints from contact with 
victims and witnesses, (4) reporting requirements, (5) a curfew and (6) prohibitions on possessing 
a firearm, destructive device, or other dangerous weapon. § 3142(c). 
Second, an AUSA can make a motion for detention based upon risk of flight and danger 
to the community in any case involving a crime of violence (which includes crimes in Chapters 
I 09A, 110, and 117), an offense with a maximum sentence of life imprisonment or death and "any 
felony 
7 
EFTA00226430

that is not otherwise a crime of violence that involves a minor victim or that involves the possession 
or use of a firearm or destructive device, or involves a failure to register" as a sex offender. § 
3142(1). 
Third, the factors that the Court is supposed to consider in making its decision on detention 
now include whether the offense involved a minor victim or a firearm, explosive, or destructive 
device. § 3142(g)(1). 
3. 18 U.S.C. § 3299 - Limitations Period 
The Act rescinded the statute of limitations for any offense under Section 1201 (kidnapping) 
involving a minor victim, and for my felony under chapters I 09A, 110 (except Sections 2257 and 
2257A), and 117, and under Section 1591. 
4. 18 U.S.C. § 3509 - Child Victims' and Child Witnesses' Rights 
The Adam Walsh Act provides a specific instruction regarding the handling and disclosure 
of child pornography. The child pornography must remain in the care, custody, and control of the 
Government or the Court. § 3509 (m)(1). Notwithstanding Rule 16 of the Federal Rules of 
Criminal Procedure, a Court shall deny any request by the defense to copy or duplicate any 
child pornography, so long as the Government makes the material reasonably available to the 
defense, including defense experts. § 3509(m)(2). 
5. 18 U.S.C. § 4042 - Duties of Bureau of Prisons 
BOP is mandated to provide notice to prisoners about to be released of their obligations to 
register as Sex Offenders, and to notify state and local law enforcement of the pending release of a 
sex offender. 
8 
EFTA00226431

1 
1 
UNITED STATES DISTRICT COURT 
2 
SOUTHERN DISTRICT OF FLORIDA 
WEST PALM BEACH DIVISION 
3 
4 
5 
6 
7 
8 
IN RE: OPERATION LEAP YEAR 
9 
10 
11 
12 
/ 
Grand Jury #07-103 (WPB) 
West Palm Beach, Florida 
13 
Tuesday, February 6, 2007 
14 
15 
TESTIMONY 
16 
OF 
17 
18 
19 
20 
21 
APPEARANCE: 
22 
23 
24 
25 
OFFICIAL REPORTING SERVICE (954) 467-8204 
Exhibit 17 
EFTA00226432

2 
1 
PROCEEDINGS 
2 
- - -
3 
The sworn testimony of 
as taken 
4 
before the Federal Grand Jury, west Palm Beach Division, 
5 
701 clematis Street, west Palm Beach, Palm Beach county, 
6 
state of Florida, on the 6th day of February, 2007. 
7 
NANCY SIEGEL, Registered Merit Reporter and Notary 
8 
Public was authorized to and did report the sworn 
9 
testimony. 
10 
Thereupon, 
11 
12 
a witness of lawful age, having been first duly sworn by 
13 
the foreperson, testified on her oath as follows: 
14 
BY MS. 
15 
Q 
please state and 
16 
spell your name for the record. 
17 
A 
It is 
and I work for 
18 
the FBI in Palm Beach county. 
19 
Q 
Can you spell your last name, please. 
20 
A 
I'm sorry, it is 
21 
Q 
And I know we have some people in the back 
22 
having trouble hearing you. You said that you work for 
23 
the FBI. Can you tell the Grand Jury what particular 
24 
group you are employed with? 
25 
A 
I am with the violent Crimes Squad here in 
OFFICIAL REPORTING SERVICE (954) 467-8204 
EFTA00226433

3 
1 
Palm Beach county, I work primarily crimes against 
2 
children, but have been an agent for the last 
3 
approximately 10 years. 
4 
Q 
Have you received specialized training in the 
area of crimes against children? 
6 
A 
Yes, I have. 
7 
Q 
As part of your employment with the FBI have 
8 
you been involved in an investigation of Jeffrey 
9 
Epstein? 
10 
A 
Yes, I have. 
11 
Q 
And can you tell us who Jeffrey Epstein is? 
12 
A 
Jeffrey Epstein is an investment advisor who 
13 
has a part-time residence in the town of Palm Beach, he 
14 
has got multiple residences across the country to 
15 
include a ranch in New mexico, an island in the virgin 
16 
isles, and multiple aircrafts, two airplanes and a 
17 
helicopter to be exact, and --
18 
Q 
And where is his primary residence? 
19 
A 
His primary residence, he has an office in New 
20 
York, but his primary residence I believe is the island. 
21 
Q 
In the virgin islands? 
22 
A 
Yes. 
23 
Q 
He also has a home in New York, correct? 
24 
A 
Yes. 
25 
Q 
How is it that you started investigating 
OFFICIAL REPORTING SERVICE (954) 467-8204 
EFTA00226434

4 
1 
Mr. Epstein? 
2 
A 
The Palm Beach police Department in March of 
3 
2005 initiated an investigation on Mr. Epstein involving 
4 
multiple underage females that had visited Mr. Epstein's 
5 
residence and had performed sexual massages or massages 
6 
for Mr. Epstein of a sexual nature. 
7 
Mr. Epstein paid the underage females anywhere 
8 
from 200 to $400, that investigation was around an 8 to 
9 
10-month investigation, and at that point we became 
10 
involved in about July of 2006. 
11 
Q 
And once the case was presented to you by the 
12 
Palm Beach Police Department did the FBI open its own 
13 
investigation? 
14 
A 
Yes, yes, we initiated our investigation in 
15 
July of 2006, we took a look at focusing in on the 
16 
underage minors and in our investigation we interviewed 
17 
many of the girls that were underage and we did an 
18 
independent investigation issuing Grand Jury subpoenas 
19 
as well as administrative subpoenas getting different 
20 
documents of financial records, telephone analysis, 
21 
flight manifests, looking to see if Mr. Epstein engaged 
22 
in sexual activity with these females. 
23 
Q 
All right. And just so the Grand Jury is 
24 
clear, were some of the girls who went to Mr. Epstein's 
25 
house 18 or older? 
OFFICIAL REPORTING SERVICE (954) 467-8204 
EFTA00226435