03/15/2002 FRI 09:35 FAX 703 549 5201 US ATTORNEY'S OFFICE @o21

that it is anticipated that such special administrative measures
ta be imposed in this case will include restricting the
defendant’s access to computers.

BREACH OF THE PLEA AGREEMENT

32. Any alleged breach of this agreement by either party
shall be determined by the Court in an appropriate proceeding at
which the defendant’s disclosures and documentary evidence shall
be admissible and at which the moving party shall be required to
establish a breach of the plea agreement by a preponderance of
the evidence.

33. If the defendant fails in any way to fulfill completely
all of the obligations under this plea agreement, including but
not limited to his candid, forthright, truthful and complete
cooperation, the United States may seek release from any or all
its obligations under this plea agreement. If released from its
obligations under this plea agreement, the United States may
prosecute the defendant to the full extent of the law, including
seeking the death penalty if it deems such a penalty to be
warranted. ‘The defendant agrees that any prosecution and
sentencing subsequent to a breach of this plea agreement is not
barred by the Double Jeopardy Clause of the Constitution or any
other Constitutional provision or law or rule and that such
xights as he might otherwise have enjoyed under these provisions

are hereby waived, except that the defendant may raise any

-20-


03/15/2062 FRI 09:33 FAX 703 549 5201 US ATTORNEY'S OFFICE ois

collecting fines and restitution.

20. Defendant also agrees to the immediate’ forfeiture of
his retirement pay, except for that portion of his retirement pay
which is the equivalent to a survivor’s annuity, which he hereby
assigns irrevocably and without reservation to his wife,
Bernadette Hanssen. Defendant understands that his wife’s
receipt of any portion of his retirement pay is dependent on her
continued full cooperation and he agrees that, if the United
States determines that his wife has failed to continue her full
cooperation, the defendant will, upon request of the United
States, execute a consent order of forfeiture covering the entire
.retirement pay including that portion not previously subject to
forfeiture. Defendant understands that upon sentencing in this
matter, he will stand convicted of espionage and, therefore,
pursuant to 5 U.S.C. Section 8312, both he and his spouse will be
precluded from receiving any retirement pay, unless the
provisions of 5 U.S.C. Section 8318(e) are invoked.

21. The Government represents that, as of the present time,
the defendant’s wife, Bernadette Hanssen, has been fully
cooperative. “rE, in the Government’s opinion and discretion,
Bernadette Hanssen continues to be fully cooperative up to and
including the date of sentencing, the United States commits that
it will invoke at the time of sentencing the provisions of 5

U.S.C. Section $318(e) to provide Bernadette Hanssen the

-14-


03/15/2002 FRI 09:36 FAX 703 549 5201 US ATTORNEY'S OFFICE 025

Government’s agreement not to object to the defendant’s request
in no way limits the exercise of that discretion.

CONCLUDING REPRESENTATIONS

37. This written agreement constitutes the complete plea
agreement between the United States, the defendant, and the
defendant’s counsel. The United States has ‘made no promises or
representations except as set forth in writing in this plea
agreement. It is noted, however, that a separate Proffer
Agreement was signed by the parties and it is attached to this
plea agreement as Attachment B.

38. The defendant acknowledges that no threats have been
made against the defendant and that the defendant is pleading
guilty freely and voluntarily because the defendant is guilty.
Any modification of this plea agreement shall be valid only as
set forth in writing in a supplemental or revised plea agreement
signed by all parties.

, 39. Defendant's Signature: I hereby agree that I have
consulted with my attorney and fully understand all rights with
respect to the indictment. Further, I fully understand all
rights with respect to the provisions of the Sentencing
Guidelines and Policy Statements which may apply in my case. I
have read this plea agreement and carefully reviewed every part
of it with my attorney. I understand this agreement and I

voluntarily agree to it.

-24-


03/15/2002 FRI 09:31 FAX 703 549 5201 US ATTORNEY'S OFFICE oe

d. The parties agree that in view of the above-
described agreement concerning the appropriate sentence in this
matter, no presentence report is required and that the Court may
find, pursuant to Rule 32(b) (1), that the information in the
record is sufficient to enable the Court meaningfully to exercise
its sentencing authority under 18 U.S.C. Section 3553.

e. The parties agree that sentencing should be
postponed for six months in order that the initial debriefing
process may be substantially completed prior to sentencing.

6. This Plea Agreement is made pursuant to Rule 11(e) (1) (C)
of the Federal Rules of Criminal Procedure and, therefore,
pursuant to Rule 11(e) (2), it requires submission to the Court
for its review before entry of the plea. The parties have
submitted this Plea Agreement to the Court and requested entry of
an order pursuant to Rule 11(e) (3). By signing such an order,
the Court accepts the Plea Agreement and informs the Government
and the defendant that the Court will embody in its judgment and
sentence the disposition provided for in the Plea Agreement .

7. The defendant is aware that 18 U.S.C. Section 3742
affords a defendant the right to appeal the sentence imposed.
Acknowledging all this, the defendant knowingly waives the right
to appeal any sentence up to and including Life Imprisonment (or
the manner in which that sentence was determined) on the grounds

set forth in 18 U.S.C. Section 3742 or on any ground whatever, in

-5-


03/15/2002 FRI 09:39 FAX 703 549 5201 US ATTORNEY'S OFFICE Bose

and may offer into evidence any documents, materials, tangible
evidence or witnesses whose location, existence or relevance
become known to the Government through statements made by
defendant Hanssen during the proffer sessions.

9. The Government may use without limit, directly or
indirectly, any statements made by the defendant in the proffer
sessions against third persons or entities.

10. This Proffer Agreement is predicated on the Court’s
acceptance of the proposed Plea Agreement pursuant to Rule
11(e) (1) (C) of the Federal Rules of Criminal Procedure. If the
Court declines to accept the proposed Plea Agreement, this
Proffer Agreement is null and void.

AGREED : AGREED:
For the United States:

KENNETH E. MELSON
UNITED STATES ATTORNEY

°<7/m 6) hs Preston Burton, Es.
BY: y John F. Hundley, Esq.
Randy I. Bellows Sydney J. Hoffmann, Esq.

Justin W. Williams
Gordon D. Kromberg

Laura A. Ingersoll
Senior Trial Attorney OBERT PHILI
U.S. Department of Justice : DEFENDANT

-4-


03/15/2002 FRI 09:35 FAX 703 549 5201 US ATTORNEY'S OFFICE @o22

defense or make any claim that he could have raised prior to the
entry of the Plea Agreement.

34. This plea agreement is entered following the completion
of a proffer by the defendant and based on the defendant’s
representation that the proffer is candid, forthright, truthful
and complete. If the defendant’s statements during the
debriefing process are materially inconsistent with the
defendant’s statements during the proffer, the defendant
acknowledges and agrees that this is an adequate and sufficient
basis for the Government to declare and justify a breach of the
plea agreement and seek to be released from its obligations under
the agreement.

35. If the defendant fails to fulfill his obligations under
this plea agreement, and the matter proceeds to trial, the
defendant understands and agrees that any statements he makes
pursuant to or associated with this plea agreement, including but
not limited to the Statement of Facts submitted in connection
with this plea agreement and such statements as the defendant
makes during the debriefing process, are admissible if offered by
the Government at pre-trial proceedings and/or at trial and may
be used for any purpose. Defendant shall assert no claim under
the United States Constitution, any statute, Rule 410 of the
Federal Rules of Evidence, Rule i1(e) (6) of the Federal Rules of

Criminal Procedure, or any other federal rule, that defendant’s

~21-


03/15/2002 FRI 09:36 FAX 703 549 5201 US ATTORNEY'S OFFICE @o28

U. S. DEPARTMENT OF JUSTICE
Statement of Special Assessment Account

This statement reflects your special assessment only. There may
be other penalties imposed at sentencing.

Robert Philip Hanssen

{$1,500.00 (Fifteen Hundred Dollars)

INSTRUCTIONS:

1. MAKE CHECK OR MONEY ORDER PAYABLE TO:
CLERK, U.S. DISTRICT COURT

2. PAYMENT MUST REACH THE CLERK'S OFFICE BEFORE YOUR
SENTENCING DATE

3. PAYMENT SHOULD BE SENT TO:

In person (9 AM to 4|By mail:

PM)
Alexandria cases: Clerk, U.S. District Court
401 Courthouse Square
Alexandria, VA 22314
Richmond cases: Clerk, U.S. District Court

1000 E. Main Street, #307
Richmond, VA 23219

Newport News cases: Clerk, U.S. District | Clerk, U.S. District
Court Court
. 102 - 25TM Street, P.O. Box 494
2TM Floor Newport News, VA
Newport News, VA 23607
23607
Norfolk cases: Clerk, U.S. District Court

600 Granby Street
Norfolk, VA 23510

4. INCLUDE DEFENDANT’S NAME ON CHECK OR MONEY ORDER

5S. ENCLOSE THIS COUPON TO INSURE PROPER and PROMPT
APPLICATION OF PAYMENT


03/15/2002 FRI 09:36 FAX 703 549 5201 US ATTORNEY'S OFFICE oz

Rule 613(b) of the Federal Rules of Evidence. Should the
defendant testify in a sentencing proceeding, whether pursuant to
a plea or trial, the Government may also use such proffer
statements to impeach him. The Government may also make direct
use of the defendant’s proffer statements in any prosecution for
perjury or the making of false statements.

¢. The Government may make any indirect use of
statements made by the defendant during the proffer sessions. In
other words, the Government is not limited in any manner frora
making derivative use of statements made by the defendant in the
proffer session, and may offer into evidence any documents,
materials, tangible evidence or witnesses whose location,
existence or relevance become known to the Government through
statements made by the defendant during the proffer session.

d. The Government may use without limit, directly or
indirectly, any statements.made by the defendant in the proffer
‘sessions against third persons or entities.

DESIGNATION

37. The Government agrees not to object to the defendant's
request to the Court for a recommendation that he be assigned by
the United States Bureau of Prisons to the U.S. Penitentiary
Allenwood, a high security facility. The parties recognize that

it is solely within the discretion of the Bureau of Prisons to

determine where the defendant is actually incarcerated and the

-23-


03/15/2002 FRI 09:34 FAX 703 549 5201 US ATTORNEY'S OFFICE org

to monitor the information being disseminated and, if necessary,
to prevent the unauthorized disclosure of information. Such
contacts include, but are not limited to, contacts in person,
contacts by electronic means, and contacts via public or private
mail carrier.

ASSIGNMENT OF ANY PROFITS OR PROCEEDS’ FROM PUBLICITY

29. The defendant hereby assigns to the United States any
profits or proceeds which he may be entitled to receive in
comnection with any publication or dissemination of information
relating to his person, to his work at the FBI, his espionage
activities, the facts and circumstances leading to his arrest and
conviction, or acquired from FBI files, and agrees that any such
profits and/or proceeds constitutes the proceeds of his espionage
activity for purposes of 18 U.S.C. Section 794(d) (1) (A). This
assignment shall include all profits and proceeds for the benefit
of the defendant, regardless of whether such profits and proceeds
are payable to himself or to others, directly or indirectly, for
his benefit or for the benefit of the defendant’s associates or a
current or future member of the defendant’s family. The
defendant shall not circumvent this assignment by assigning the
rights to his story to an associate’ or to a current or future
member of the defendant’s family, or to another person or entity
who would provide some financial benefit to the defendant, to the

defendant's associates, or to a current or future member of the

-18-


03/15/2002 FRI 09:32 FAX 703 549 5201 US ATTORNEY'S OFFICE @o1

g. The defendant understands and agrees that his
cooperation obligation represents a lifetime commitment by the
defendant to the United States to cooperate as described in this
agreement .

ADDITIONAL GENERAL PROVISIONS

ll. The United States agrees not to use any truthful
information provided pursuant to this agreement against the
defendant in any other criminal prosecution against the
defendant. Regardless of any other provision of this agreement,
however, the United States may use any statement made by the
defendant, whether in the form of the Statement of Facts
accompanying this plea agreement or in the debriefing of the
defendant or in some other form, against the defendant in any
prosecution of the defendant resulting from the defendant's
breach of the plea agreement, whether such breach is caused by
the defendant providing false information, failing to provide
full and complete cooperation, er for any other reason. Such a
prosecution includes, but is not limited to, a prosecution for
the making of false or perjuriougs statements or for the
defendant’s espionage-related activities.

12. This plea agreement does not restrict the Court's or
Probation Office‘’s access to information and records in the

possession of the United States.

13. This plea agreement is not conditioned upon charges

-10-


03/15/2002 FRI 09:38 FAX 703 549 5201 US ATTORNEY'S OFFICE Bos

Hanssen agrees to answer all questions in a candid, forthright,
truthful and complete manner. Similarly, any statements which
defendant Hanssen makes during the course of the proffer sessions
that are not in response to specific questions must also be
candid, forthright, truthful and complete.

4. Proffer participants will be: (1) defendant Hanssen; (2)
legal counsel for the defendant; (3) FBI personnel; and (4)
Department of Justice and United States Attorneys Office
personnel . The Government has sole discretion to determine who
attends the proffer on behalf of the FBI, DOJ and USAO and who
conducts the questioning of defendant Hanssen.

5. Following the conclusion of the first proffer session,
the Governnient will provide defense counsel an interim assessment
ef defendant Hanssen’s candor, forthrightness, truthfulness and
completeness.

6. Following the conclusion of the second proffer session,
the Government will inform defense counsel within five business
days as to whether, in its judgment, the defendant has been
candid, forthright, truthful and complete. If so, the Government
agrees that it will enter into the Plea Agreement that has been
submitted to the Court. If not, defense counsel may, within
five business days,-contest the Government’s determination by
submitting the matter to the Court for adjudication. If the

Court rules in favor of the Government, or the defendant chooses

2.


03/15/2002 FRI 09:37 FAX 703 549 5201 US ATTORNEY'S OFFICE Bos

property.

E. The United States shall publish notice of this order and of its intent to dispose of the
property one time in such manner as the Attomey General may direct. The United States shall
also, to the extent practicable, provide direct written notice to any persons known to have alleged
an interest in the property.

F. Any person, other than the defendant, asserting any legal interest in the property may,
within thirty days of the final publication of notice or his receipt of notice, whichever is earlier,
petition the court pursuant to 21 U.S.C. § 853(n) for a hearing to adjudicate the validity of his
alleged interest in the property.

G. Following the Court's disposition of all petitions filed, or if no such petitions are filed
within the time prescribed by law, upon proof of publication and proof of notice to any persons
known to have alleged an interest in the property, the United States shall have clear title to the
property and may warrant good title to any subsequent purchaser or transferee.

H. The money forfeiture judgment included in this Order may be enforced in the same
manner as a restitution order, criminal fine, or civil judgment.

I. The Government may, at its discretion, seek further orders of this Court, or submit


03/15/2002 FRI 09:31 FAX 703 549 5201 US ATTORNEY'S OFFICE Boos

jurors without cause by exercising peremptory challenges. The
jury would have to agree unanimously before it could return a
verdict of either guilty or not guilty. The jury would be
instructed that the defendant is presumed innocent, that it could
not convict the defendant unless, after hearing all the evidence,
it was persuaded of the defendant’s guilt beyond a reasonable
doubt, and that it was to comsider each charge separately.

c. If a trial is held by the judge without a jury, the
judge would find the facts and, after hearing all the evidence
and considering each count separately, determine whether or not
the evidence established the defendant’s guilt beyond a
reasonable doubt.

d. At a trial, the United States would be required to
present its witnesses and other evidence against the defendant.
The defendant would be able to confront those witnesses and the
defendant’s attorney would be able to cross-examine them. In
turn, the defendant could present witnesses and other evidence in
defendant’s own behalf. If the witnesses for the defendant would
not appear voluntarily, the defendant could require their
attendance through the subpoena power of the Court.

e. At a trial, the defendant could rely on a privilege
against self-incrimination to decline to testify, and no
inference of guilt could be drawn from the refusal of the

defendant to testify. If the defendant desired to do so, the


03/15/2002 FRI 09:31 FAX 703 549 5201 US ATTORNEY'S OFFICE @oo7

exchange for the concessions made by the United States in this
plea agreement. This agreement does not affect the rights or
obligations of the United States as set forth in 18 u.s.c.
Section 3742 (b).

8. The United States will not further criminally prosecute
the defendant for the specific conduct described in the
Indictment and Statement of Facts.

SURRENDER OF RIGHTS

9. The defendant represents to the Court that the defendant
is satisfied that his attorneys have rendered effective
assistance. The defendant understands that by entering into this
agreement, the defendant surrenders certain rights as provided in
this agreement. The defendant understands that the rights of
criminal defendants include the following:

a. If the defendant persisted in a plea of not guilty
to the charges, the defendant would have the right to a speedy
jury trial with the assistance of counsel. The trial may be
conducted by a judge sitting without a jury if the defendant, the
United States, and the judge all agree.

b. te a jury trial is conducted, the jury would be
composed of twelve laypersons selected at random. The defendant
and the defendant’s attorney would assist in selecting the jurors
by removing prospective jurors for cause where actual bias or

other disqualification is shown, or by removing prospective

-6-


03/15/2002 FRI 09:34 FAX 703 549 5201 US ATTORNEY'S OFFICE @o20

defendant’s family. Moreover, the defendant shall not circumvent
this assignment by communicating with an associate or a family
member for the purpose of assisting or facilitating their
profiting from a public dissemination, whether or not such an
associate or other family member is personally or directly
involved in such dissemination.

NO FOREIGN CONTACTS

30. The defendant shall have no contact with any foreign
government or agents thereof, except with the express permission
eof the FBI, and shall not seek or accept, personally or through
another person or entity, any benefit from such foreign
government or agent thereof, and should such a benefit be
received by the defendant, or some other person or entity on his
behalf, he hereby assigns any such benefit to the United States.
For purposes of this paragraph, any benefit provided to an
associate of the defendant or to a current or future family
member of the defendant which is related to, arises out of, or
in recognition of, the defendant’s espionage activities, is

' deemed to be a benefit provided to the defendant himself.

SPECIAL ADMINISTRATIVE MEASURES

31. The defendant is aware of the provisions of 28 C.F.R.
Section 501.2 governing conditions of incarceration in national
security cases and acknowledges that the United States reserves

the right to exercise these provisions. The defendant understands

-19-


03/15/2002 FRI 09:32 FAX 703 549 5201 US ATTORNEY'S OFFICE Boro

who shall make themselves reasonably available.

c. The defendant agrees to provide all documents,
records, writings, or materials, objects or things of any kind in
the defendant's possession or under the defendant’s care,
custody, or control relating directly or indirectly to all areas
of inquiry and investigation, excepting documents privileged
under the attorney-client privilege.

d. The defendant agrees that, upon request by the
United States, the defendant will voluntarily submit to polygraph
examinations to be conducted by a polygraph examiner of the
United States’ choice. The defendant stipulates to the
admissibility of the results of this polygraph examination if
later offered in a proceeding to determine the defendant’s
compliance with this plea agreement; however, the defendant
reserves the right to challenge the weight that should be
attributed to such polygraphs by contesting the accuracy of such
polygraphs.

e. The defendant agrees that the accompanying
Statement of Facts is limited to information to support the plea.
The defendant will provide more detailed facts relating to this
case during ensuing debriefings.

f. The defendant is hereby on notice that he may not
violate any federal, state, or local criminal law while

cooperating with the government.

-9-


‘a 0
03/15/2002 FRI 09:36 FAX 703 549 5201 US ATTORNEY'S OFFICE @o26

Date: WAZ Te fed 2 pif

40. Defense Counsel Signature: We are counsel for the

Defendant

defendant in this case. We have fully explained to the defendant
the defendant’s rights with respect to the pending indictment.

Further, we have reviewed the provisions of the Sentencing

Guidelines and Policy Statements and we have fully explained to

the defendant the provisions of those Guidelines which may apply
in this case. We have carefully reviewed every part of this plea
agreement with the defendant. To our knowledge, the defendant’s

decision to enter into this agreement,is informed and
x

CIT
me FH 08

Date: June [Y, 00 | “2
7 Playe\ Cacheris, Esq.

Preston Burton, Esq.
John F. Hundley, Esq.
Sydney J. Hoffmann, Esq.
Counsel for Defendant

voluntary one.

Respectfully submitted,

KENNETH E. MELSON
- UNITED STATES ATTORNEY

Randy I. Bellows

dustin W. Williams

Gordon D. Kromberg

Assistant United States Attorney

-25-


03/15/2002 FRI 09:30 FAX 763 549 5201 US ATTORNEY'S OFFICE @oo2

FILED
ER COURT

IN THE UNITED STATES DISTRICT COURT FOR THE

EASTERN DISTRICT OF VIRGINIA

CLEAK, US. CISTRICT A
; oo, ALEXANDRIA, VIRGIN:
Alexandria Division

UNITED STATES OF AMERICA )
v. CRIMINAL NO. 01-186-A
ROBERT PHILIP HANSSEN,
Defendant.

PLEA AGREEMENT

Kenneth E. Melson, United States Attorney for the Eastern
District of Virginia, Randy I. Bellows, Justin W. Williams, and
Gordon D. Kromberg, Assistant United States Attorneys, Laura A.
Ingersoll, Senior Trial Attorney, United States Department of
Justice, and the defendant, ROBERT PHILIP HANSSEN, and the
defendant’s counsel, Plato Cacheris, Preston Burton, John F.
Hundley, and Sydney J. Hoffmann, pursuant to Rule 11(e) of the
Federal Rules of Criminal Procedure, have entered into an
agreement, the terms and conditions of which are as follows:

GENERAL PROVISIONS

1. The defendant, ROBERT PHILIP HANSSEN, agrees to plead
guilty to Counts 1, 2, 3, 4, 6, 8, 9, 11, 12, 13, 14, 15, 18, 20
and 21 of the indictment. Count 1 charges the defendant with
conspiracy to commit espionage, in violation of Title 18, United
States Code, Sections 794(a) and (c). Counts 2, 3, 4, 6, 8, 9,

11, 12, 13, 14, 15, 18 and 20 charge the defendant with

A TRUE COPY, TESTE:
CLERK,U.S. DISTRICT COURT

py JALLZEG O27),
7 DEPUTY CLERK =” 2Y



03/15/2002 FRI 09:33 FAX 703 549 5201 US ATTORNEY'S OFFICE @o13

such assets and to provide and/or consent to the release of the
defendant’s tax returns, if requested to do so.

16. The defendant agrees to the entry of one or more money
forfeiture judgments in the amount of at least $1,437,000,
representing the proceeds of his espionage activities. This sum
of $1,437,000 does not include any additional sums of money, or
other items of value, actually received by the defendant from the
KGB and the SVR, or other entities or representatives of the
Soviet Union or Russian Federation, or any other foreign entity
or individual, which may be disclosed by the defendant in the
course of his proffer or debriefing, or which otherwise may come
to the attention of the United States, and which shall be the
subject of additional orders of forfeiture. The above-described
sum of money includes $50,000 recovered by the FBI from the
“Lewis” drop site in the Long Branch Nature Center, as well as
moneys maintained on behalf of the defendant by the Russian
government. It is also understood that the Government may, at
its discretion, seek further orders of this court, or submit
amended proposed orders, should it conclude that an amount other
than $1,437,000 is the appropriate amount for forfeiture.

17. The defendant also agrees to forfeit all interest in
any asset that the defendant owns or over which the defendant
exercises control, directly or indirectly, as well as any

property that is traceable to, derived from, fungible with, or’a

“12.


03/15/2002 FRI 09:32 FAX 703 549 5201 US ATTORNEY'S OFFICE o12

being brought against any other individual. This plea agreement
is not conditioned upon any outcome in any pending investigation.
This plea agreement is not conditioned upon any result in any
future prosecution which may occur because of the defendant's
cooperation. This plea agreement is not conditioned upon any
result in any future grand jury presentation or trial involving
charges resulting from this investigation. This plea agreement
is conditioned upon the defendant providing full, complete and
truthful cooperation.

14: The accompanying Statement of Facts signed by the
defendant is hereby incorporated into this Plea Agreement.
Defendant adopts the Statement of Facts and agrees that the facts
therein are accurate in every respect and that had the matter
proceeded to trial, the United States would have proved those
facts beyond a reasonable doubt.

FORFEITURE AND PENSION-RELATED MATTERS

15. The defendant agrees to identify all assets over which
he now exercises or has ever exercised control, directly or
indirectly, or in which the defendant has, or has ever had, any
financial interest. The defendant agrees to take steps as
requested by the United States to obtain from any other parties
by any lawful means any records of assets owned at any time by

the defendant. The defendant agrees to undergo any polygraph

examination the United States may choose to administer concerning

-11-


03/15/2002 FRI 09:38 FAX 703 549 5201 US ATTORNEY'S OFFICE o33

ATTACHMENT B TO PLEA AGREEMENT

IN THE UNITED STATES DISTRICT COURT FOR THE
EASTERN DISTRICT OF VIRGINIA

Alexandria Division

UNITED STATES OF AMERICA

UNDER SEAL

ve CRIMINAL NO. 01-188-A

ROBERT PHILIP HANSSEN

PROFFER AGREEMENT

The United States of America, by undersigned counsel, and
the defendant, ROBERT PHILIP HANSSEN, and his counsel, hereby
enter into the following Proffer Agreement:

1. Defendant Hanssen agrees to submit to two proffer
sessions, each one consisting of a four-hour session. The two
proffer sessions will be separated by at least one business day,
pursuant to a schedule to be agreed upon by the parties prior to
the first proffer session.

2. The proffers will be tape recorded by the FBI. The
Government may also, at its discretion, provide a court reporter
to record and transcribe the proceedings. The proffer will be
under oath.

3. There are no limits to the questions which may be posed

to defendant Hanssen by proffer participants and defendant

-1-


03/15/2002 FRI 09:38 FAX 703 549 5201 US ATTORNEY'S OFFICE @o32

amended proposed orders, should it conclude that an amount other than $1, 437,000 is the
appropriate amount for forfeiture.

SO ORDERED.

Dated this day of

, 2001.

UNITED STATES DISTRICT JUDGE
ASK FOR THIS:

Q Bel lai

Randy I. Bellows
Justin W. Williams
Gordon D. Kromberg
Assistant United States Attorneys
Laura A. Ingersoll
Sepigr Trial Attorney, U.S. Department of Justice

Preston Burton
John F. Hundley
Sydney J. Hoffmann
Counsel for ROBERT PHILIP HANSSEN

4.


03/15/2002 FRI 09:32 FAX 703 549 5201 US ATTORNEY'S OFFICE oo

defendant could testify in the defendant’s own behalf.
TERMS OF COOPERATION

10. The defendant agrees to cooperate fully, eruthfully and
completely with the United States, and provide all information
known to the defendant regarding any criminal activity and
intelligence activity by himself and/or others. A failure to
cooperate fully, truthfully and completely is a breach of this
plea agreement, as determined by the Court. The defendant
acknowledges that he has been advised that the United States will
seek no downward departures from the applicable sentencing
guidelines, or from the sentence imposed, pursuant to Section 5K
of the Sentencing Guidelines, or Rule 35(b) of the Federal Rules
of Criminal Procedure, in respect to the defendant’s cooperation.
In regard to that cooperation:

a. The defendant agrees to testify fully, truthfully
and completely at any grand juries, trials or other proceedings.
b. As required by the United States, the defendant

agrees to be available for debriefing by law enforcement officers
and/or intelligence officers and for pre-trial conferences with
prosecutive authorities. The timing and location of such
debriefings and meetings shall be determined by the United
States. Should defense counsel wish to attend particular
debriefings, the Government will seek to schedule such

debriefings consistent with the schedule of defendant’s counsel,

-8-


03/15/2002 FRI 09:35 FAX 703 549 5201 US ATTORNEY'S OFFICE 023

statements pursuant to this agreement or any leads derived
therefrom, should be suppressed or are inadmissible, except on
relevancy grounds. The terms of this paragraph do not apply to
the statements which the defendant makes pursuant to the proffer
agreement that preceded the entry of this plea agreement. The
Government’s use of such statements is governed by next paragraph
of this plea agreement.

36. If the defendant fails to fulfill his obligations under
this plea agreement, and the matter proceeds to trial, the
Government may make certain uses of the statements made by the
defendant during the proffer sessions which preceded the entry of
the plea, as follows:

a. The Government agrees that it will not make direct
use of any statement made by the defendant during the proffer
sessions. In other words, the Government will not seek to have
admitted as admissions, pursuant to Rule 801(d) (2) of the Federal
Rules of Evidence, statements made by the defendant during the
proffer sessions.

b. If the defendant testifies in this matter, whether
in pre-trial proceedings or at trial, and he makes statements
which the Government believes to be inconsistent with his
proffer, the Government may seek to impeach him with statements _
he made during the proffer sessions, and may offer extrinsic

evidence to establish that such statements were made, pursuant to


03/15/2002 FRI 09:37 FAX 703 549 5201 US ATTORNEY'S OFFICE @o29

ATTACHMENT A TO PLEA AGREEMENT.

IN THE UNITED STATES DISTRICT COURT FOR THE

EASTERN DISTRICT OF VIRGINIA

AJexandria Division
UNITED STATES OF AMERICA )
)
v. ) CRIMINAL NO. 01-188-A.
) .
ROBERT PHILIP HANSSEN )

CONSENT ORDER OF FORFEITURE

WHEREAS, defendant pled guilty to conspiracy to commit espionage, espionage and
attempted espionage, in violation of 18 U.S.C. § 794 and, pursuant to his plea, agreed to forfeit
all interest in any asset that the defendant owns or over which the defendant exercises control,
directly or indirectly, as well as any property that is traceable to, derived from, fungible with, or a
substitute for property that constitutes the proceeds of his espionage activities, including that
property which is the subject of this order of forfeiture;

AND WHEREAS, defendant agrees to waive the provisions of Federal Rules of Criminal
Procedure 7(c)(2), 32.2, and 43(a) with respect to notice in the indictment that the government
will seck forfeiture as part of any sentence in this case, and that entry of this order shall be made
a part of the sentence in or out of the presence of the defendant and be included in the judgment

in this case without further order of the Court;

“le


03/15/2002 FRI 09:31 FAX 703 549 5201 US ATTORNEY'S OFFICE Hoos

for Acceptance of Responsibility, pursuant to §3E1.1(a) and (b),
resulting in an Offense Level Total for Counts 1, 6, 8, 9, 11,
12, 13, 14, 15, 18 and 20 of Level 41 and an Offense Level Total
for Count 1 of Level 36.

iii. Pursuant to Chapter 3, Part D of the
Sentencing Guidelines, concerning Multiple Counts, and
specifically the provisions of §3D1.2, §3D1.3, and §3D1.4, the
combined offense level for all counts is a Level 41.

iv. A one level upward departure based on the
defendant’s extraordinary abuse of a position of trust is
appropriate, pursuant to §5K2.0 and Title 18, United States Code,
§3553(b), in that the “level of trust violated by the defendant
and the level of hart created solely by the violation of that
trust falls outside the heartland of cases that qualify for the
[abuse of position of trust] enhancement.” United States v. Earl
Edwin Pitts, 176 F.3d 239, 246 (4 Cir. 1999). Consequently,
the Final Adjusted Offense Level, including the upward departure,
is a Level 42.

v. The defendant’s Criminal History Category is
Category I. Therefore, the Sentencing Guideline Range is 360
months to Life Imprisonment.

vi. The parties agree and stipulate that the

appropriate sentence within this guideline range is Life

Imprisonment .


03/15/2002 FRI 09:33 FAX 703 549 5201 US ATTORNEY'S OFFICE o16

equivalent of a survivor’s annuity.

22. The Government agrees that it will not seek forfeiture
of the personal residence of the defendant, his spouse and
children, located at 9414 Talisman Drive, Vienna, Virginia, or
the family’s three vehicles, specifically a 1992 Isuzu Trooper
(VIN JACDHS8W7N7903937), a 1993 Volkswagen van (VIN
WV2KCO706PH080424), and a 1997 Ford Taurus (VIN
1FALP52U9VG211742). However, the defendant may not circumvent
the other forfeiture provisions of this plea agreement by paying
off or reducing the mortgages on his personal residence with
funds possessed by or under his control, now or in the future.

23. The defendant further agrees to waive all challenges to
any forfeiture carried out in accordance with this Plea Agreement
on the grounds that imposition of such forfeiture would
constitute an excessive fine or double jeopardy, or that it was
imposed in violation of the provisions of Federal Rules of
Criminal Procedure 7(c) (2), 32.2, and/or 43(a). The defendant
agrees to take such steps as may be requested by the United
States to pass clear title to forfeitable assets to the United
States, and to testify truthfully in any judicial forfeiture
proceeding.

NONDISCLOSURE AGREEMENTS

24. The defendant acknowledges that, in connection with his

employment by the FBI, he entered into certain agreements

-15-


03/13/2002 FRI 09:34 FAX 703 549 5201 US ATTORNEY'S OFFICE @o1s8

deletion of information which, in the discretion of the FBI,
should not be published or disseminated on the grounds of
national security or on any other grounds as are already the
subject of the defendant’s pre-existing agreements with the FBI.

26. In order to avoid any interference with the debriefing
process, the defendant agrees that during the debriefing process
hé will provide no interviews or have any other contact with the
media, directly or indirectly.

27. Even after the debriefing process is complete, the
defendant agrees that, in recognition of the non-disclosure
agreements he has previously executed and pursuant to the terms
of this plea agreement, he will never disclose to any person or
entity, except to persons or entities specifically authorized by
the United States Government, any classified information, any
confidential United States Government information (whether or not
such information is formally classified), and all other
information acquired as part of his official duties or acquired
from FBI files, or acquired through his employment as a Special
Agent of the FBI.

28. The defendant agrees that he will notify the FBI in a
timely manner of any contacts he intends to have with any
xepresentative of the media in order to insure that an FBI
representative and/or other intelligence community representative

is present, unless such presence is explicitly waived by the FBI,

-17-


03/15/2002 FRI 09:30 FAX 703 549 5201 US ATTORNEY'S OFFICE Boos

the case, and that particular provisions of the Sentencing
Guidelines or policy statement or sentencing factors are
applicable to this case. Pursuant to Rule 11(e) (1) (C), such a
plea agreement is binding on the Court once it is accepted by the
Court. Specifically, the parties agree to the following:

a. The appropriate sentence in this case is Life
Imprisonment. The defendant understands and acknowledges that,
if sentenced to Life Imprisonment, there is no possibility of
parole, or reductions for good behavior or for any other reason.

b. In as much as Counts 2, 3 and 4 were committed
prior to the effective date of the United States Sentencing
Guidelines, the Guidelines do not govern the determination as to
the appropriate sentence to impose as to these counts. The
parties agree and stipulate that the appropriate sentence for
each of these counts. is Life Imprisonment.

c. The appropriate application of the United States
Sentencing Guidelines is as follows:

i. The applicable Base Offense Level for Counts 1,

6, 8 9, 11, 12, 13, 14, 15, 18 and 20 is §2M3.1(a) (1), ie.,

Level 42. The applicable Base Offense Level for Count 21 is

§2M3.1(a) (2), i.e., Level 37.

ii. As to each count, a two level upward
adjustment is appropriate for Abuse of Position of Trust,

pursuant to §3B1.3, and a three level reduction is appropriate

-3-


03/15/2002 FRI 09:36 FAX 703 549 5201 US ATTORNEY'S OFFICE o27

- Department of Justice

APPROVED:

a. NW Llbams vave:_7/2/200/

Justin W. Williams
Assistant United States Attorney
Chief, Criminal Division

-26-


03/15/2002 FRI 09:30 FAX 703 549 5201 US ATTORNEY'S OFFICE Boos

espionage, in violation of Title 18, United States Code, Section
794(a). Count 21 charges the defendant with attempted espionage,
in violation of Title 18, United States Code, Sections 794(a) and
2. The maximum penalty for each count is: death, if certain
specified criteria are met or, otherwise, life imprisonment; a
fine of $250,000; five years of supervised release; full
restitution; and a $100 special assessment. The defendant is
aware that any term of supervised release is in addition to any
prison term the defendant may receive, and that a violation of a
term of supervised release could result in the defendant being
returned to prison for the full term of supervised release.

2. The defendant agrees that pending sentencing in this
matter he will not seek release from detention and he further
agrees that detention is warranted under 18 U.S.C. Section 3143.

3. Before sentencing in this case, the defendant agrees to
pay a mandatory special assessment of one hundred dollars
($100.00) per count of conviction. Restitution is not applicable
in this case.

4. Following acceptance of this plea, the Government agrees
to move the court to dismiss Counts 5, 7, 10, 16, 17 and 19.

SENTENCING MATTERS

S. This plea is taken pursuant to Rule 11(e) (1) (C) of the
Federal Rules of Criminal Procedure, in that the parties have

agreed that a specific sentence is the appropriate disposition of

-2-


03/15/2002 FRI 09:38 FAX 703 549 5201 US ATTORNEY'S OFFICE @o35

not to contest this matter, the Government is released from any
obligation or commitment to enter into the Plea Agreement and may
take all such action as it deems appropriate in the prosecution’
of this matter. If the Court rules in favor of the defense, the
Government shall enter into the Plea Agreement that has been
submitted to the Court.

7. The Government agrees that, should this matter proceed
to trial, the Government will not make direct use of any
statement made by defendant Hanssen during the proffer sessions.
Specifically, the Government will not seek to have admitted as
admissions, pursuant to Rule 801(d) (2) of the Federal Rules of
Evidence, statements made by defendant Hanssen during the proffer
sessions. However, if defendant Hanssen testifies in this
matter, whether in pre-trial proceedings, at trial or in the
sentencing phase of this case, and he makes statements which the
Government believes to be inconsistent with his proffer, the
Government may seek to impeach him with statements made during
the proffer sessions, and may offer extrinsic evidence to
establish that such statements were made pursuant to Rule 613(b)
of the Federal Rules of Evidence. The Governmerit may also make
direct use of defendant Hanssen’s proffer statements in any
prosecution for perjury or the making of false statements.

8. The Government may make indirect or derivative use of

statements made by defendant Hanssen during the proffer sessions,

-3-


03/15/2002 FRI 09:37 FAX 703 549 5201 US ATTORNEY'S OFFICE o30

NOW, THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED
THAT:
A. The following property is forfeited to the United States of America pursuant to 18
U.S.C. § 794, as the proceeds of espionage, or property that is traceable to or fungible with or a
substitute for such property:
1. $1,437,000, representing the proceeds of espionage received from the
Soviets and/or Russians, including but not limited to approximately
$800,000, plus applicable interest, maintained on the behalf of the
defendant by or through a Russian intelligence service and which may
have been deposited, at one point, in the Vneshtorg Bank in Moscow, and
$50,000 recovered by the FBI from the “Lewis” drop site in Long Branch

Nature Center.

2.. Two Rolex watches, bearing the serial numbers L859772 and
R16710430B9315/E458859.

B. The defendant’s government pension, or retirement pay, is hereby forfeited, except for
that portion of the defendant’s pension which is the equivalent to a survivor’s annuity, which the
defendant has assigned irrevocably and without reservation to his wife, Bemadette Hanssen.

C. Excepted from this forfeiture order is the following: the personal residence of the
defendant, his spouse and children, located at 9414 Talisman Drive, Vienna, Virginia, and the
family’s three vehicles, specifically a 1992 Isuzu Trooper (VIN JACDH58W7N7903937), a 1993
Volkswagen van (VIN WV2KC0706PH080424), and a 1997 Ford Taurus (VIN
IFALP5S2U9VG211742). However, the defendant may not circumvent the other provisions of
this forfeiture order by paying off or reducing the mortgages on his personal residence with
funds possessed by or under his control, now or in the future.

D. The Attomey General and the Secretary of the Treasury are authorized to seize the


03/15/2002 FRI 09:33 FAX 703 549 5201 US ATTORNEY'S OFFICE Bor

substitute for property that constitutes the proceeds of his
espionage activities, for which the defendant will receive credit
against the money judgment(s), including but not limited to two
Rolex watches. The defendant further agrees to waive all
interest in any such asset in any administrative or judicial
forfeiture proceeding, whether criminal or civil, state or
federal. The defendant agrees to consent to the entry of orders
of forfeiture for such property and waives the requirements of
Federal Rules of Criminal Procedure 32.2 and 43(a) regarding
notice of the forfeiture in the charging instrument, announcement
of the forfeiture at sentencing, and incorporation of the
forfeiture in the judgment.

18. The defendant agrees to enter at the time of his plea
the Consent Order of Forfeiture, which is Attachment A to this
plea agreement and agrees to enter subsequent consent orders of
forfeiture as requested by the Government pursuant to the terms
of this plea agreement.

19. If requested to do so by the Government, the defendant
agrees to join in a motion with the United States under Rule
6(e) (3) (C) of the Federal Rules of Criminal Procedure, to
disclose grand jury material to the Internal Revenue Service for
use in computing and collecting the defendant’s taxes, interest
and penalties, and to the civil and forfeiture sections of the

United States Attorney’s Office for use in identifying assets and

-13-


03/15/2002 FRI 09:34 FAX 703 549 5201 US ATTORNEY'S OFFICE @o17

proscribing the unauthorized disclosure of classified
information, confidential information, and other information
acquired as a part of the defendant’s performance of his official
duties or acquired from FBI files. This included the FBI
Employment Agreement signed by the defendant on January 12, 1976,
and the Classified Information Nondisclosure Agreement signed by
the defendant on october 15, 1984. Even though the defendant is
no longer an FBI employee, he acknowledges his continuing duties
and obligations under these agreements, and they are hereby
incorporated by reference.

25. The defendant understands his continuing legal
obligation to refrain from the unauthorized oral or written
disclosure of information belonging to the United States
government or acquired by. virtue of his United States Government
employment or derived from the activities which resulted in his
arrest. Should the defendant at any time author or participate
in the creation of amy book, writing, article, film, documentary,
or other production, or otherwise provide information for
purposes of publication or dissemination, including but not
limited to information provided through interviews with writers
or representatives of any media organization or entity, the
defendant hereby agrees first to submit in a timely fashion such
book, writing, article, film, documentary, or other production,

or information, to the FBI for timely pre-publication review and

-16-