Description of document: Senior Management Office memoranda posted on the Department of Justice (DOJ) internal website (DOJNet), 2011 Requested date: 09-April-2011 Released date: 22-September-2016 Posted date: 17-October-2016 Source of document: FOIA Contact Justice Management Division Department of Justice Room 1111 RFK, 950 Pennsylvania Avenue, NW Washington, DC 20530-0001 Fax: 202-616-6695 Email: JMDFOIA@usdoj.gov The governmentattic.org web site (“the site”) is noncommercial and free to the public. The site and materials made available on the site, such as this file, are for reference only. The governmentattic.org web site and its principals have made every effort to make this information as complete and as accurate as possible, however, there may be mistakes and omissions, both typographical and in content. 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U.S. Department of Justice Office of Information Policy Suite 11050 1425 New YorkAvenue, NW Washington, DC 20530-0001 Telephone: (202) 514-3642 September 22, 2016 Re: AG/11-00628 (F) DAG/11-00689 (F) VRB:LAD:JKD This responds to your Freedom oflnformation Act (FOIA) request dated April 9, 2011, and received in this Office on April 12, 2011, for a copy of Senior Management Office memoranda posted on the DOJNET. The cut-off date for the search was May 5, 2011. This response is made on behalf of the Offices of the Attorney General and Deputy Attorney General. Please be advised that a search of the DOJNET has been conducted, and 168 pages were located that are responsive to your request. I apologize for the delay of this response which was the result of the extensive consultations that were required. I have determined that 161 pages are appropriate for release without excision, and copies are enclosed. Also enclosed are five pages which I have determined are appropriate for release with excisions some made on behalf of the Drug Enforcement Administration, the Executive Office for United States Attorneys, United States Marshals Service, and Criminal Division, pursuant to Exemptions 6 and 7(C) of the FOIA, 5 U.S.C. § 552(b)(6) and (b)(7)(C). Exemption 6 pertains to information the release of which would constitute a clearly unwarranted invasion of the personal privacy of third parties. Exemption 7(C) of the FOIA, pertains to records or information compiled for law enforcement purposes, the release of which could reasonably be expected to constitute an unwarranted invasion of the personal privacy of third parties. Finally, because two pages originated with the Justice Management Division (JMD), we have referred that material to JMD for processing and direct response to you. You may contact JMD as follows: Karen McFadden FOIA Contact Justice Management Division Room 1111 RFK 950 Pennsylvania Avenue NW Washington, DC 20530-0001 JMDFOIA@usdoj .gov -2- For your information, Congress excluded three discrete categories of law enforcement and national security records from the requirements of the FOIA. See 5 U.S.C. § 552(c) (2012). This response is limited to those records that are subject to the requirements of the FOIA. This is a standard notification that is given to all our requesters and should not be taken as an indication that excluded records do, or do not, exist. You may contact our FOIA Public Liaison at the telephone number listed above for any further assistance and to discuss any aspect of your request. Additionally, you may contact the Office of Government Information Services (OGIS) at the National Archives and Records Administration to inquire about the FOIA mediation services they offer. The contact information for OGIS is as follows: Office of Government Information Services, National Archives and Records Administration, Room 2510, 8601 Adelphi Road, College Park, Maryland 20740-6001; e-mail at ogis@nara.gov; telephone at 202-741-5770; toll free at 1-877-684-6448; or facsimile at 202-741-5769. If you are not satisfied with my response to this request, you may administratively appeal by writing to the Director, Office of Information Policy, United States Department of Justice, Suite 11050, 1425 New York Avenue, NW, Washington, DC 20530-0001, or you may submit an appeal through OIP's FOIAonline portal at https ://foiaonline .regulations .gov/foia/action/public/home . Your appeal must be postmarked or electronically submitted within ninety days of the date of my response to your request. If you submit your appeal by mail, both the letter and the envelope should be clearly marked "Freedom oflnformation Act Appeal." Sincerely, ~arfor Vanessa R. Brinkmann Senior Counsel Enclosures ci&ff tce of tbe ~ttornep ~eneral Wasbington, 13.(:. 20530 MEMORANDUM FOR ROBERT F. DIEGELMAN ACTING ASSISTANT ATTORKEY GENERAL FOR ADMINISTRATION GENE~ FROM: THE ATIORNEY SUBJECT: Selection for the Chief [nfonnation Officer Based upon the unique managerial and technical qualifications possessed by Vance E. Hitch, I have selected him as the superior candidate to fill the career Senior Executive Service position of Chief Information Officer in the Justice Management Division at the ES-5 pay level (S 138,200 per annum). Please take the necessary action to obtain Office of Personnel Management Qualification Review Board approval of Mr. Hitch' s executive qualifications and effect his appointment to the Chief lnfom1ation Officer position as soon as possible. ---- -------- ®ffire of tbe ~ttornep ®eneral Wasbin~ton, l'iJ.~. 20530 April 1, 2002 MEMORANDUM FOR DIRECTOR, FEDERAL BUREAU OF INVESTIGATION DIRECTOR, FEDERAL BUREAU OF PRISONS DIRECTOR, EXECUTIVE OFFICE FOR UNITED ST ATES ATTORNEYS ALL UNITED STATES ATTORNEYS FROM: Sl:BJECT: 'he Victim Notification System (VNS) After several years of planning and hard work by everyone involved, the Department's Victim Notification System (VNS) is now fully operational. Pursuant to the At1omey General Guidelines for Victim and Witness Assistance 2000 and statute (42 U.S.C. §§ 10606, 10607), the Federal Bureau of Investigation (FBI), the United States Attorneys' offices (USAOs), and the Federal Bureau of Prisons (BOP) arc each responsible for notifying victims at various stages of the criminal justice process. VNS significantly enhances our ability to comply with these statutory obligations. In addition, VNS will be the primary method for notifying the victims in the prosecution of United States v. Moussaoui and the events of September 11. As a result. VNS is and will continue to he a priority program for the Department. Now that the VNS is up and running, I urge all United States Attorneys (US As), FBISpeeial Agents in Charge (SACs), and BOP managers to personally ensure it is being used effectively. As with any new endeavor, some procedural change will likely be required within each component in order to fully use the new notification system. Management from each of the participating components should provide their staff with the necessary support to ensure victims are receiving the appropriate notifications from VNS in a timely fashion. VNS reinforces the Department's strong commitment to victims of crime. With the combined efforts of the FBI, USAOs, and BOP, I am confident VNS will be a success and will increase victims' confidence in the federal criminal justice system. @Hice nf ±~e J\ttorttel;! !DUM FOR HEADS OF DEPARTMENT COMPONE1\TS ATTORNEY~ FROM: Tl IE SUBJECT: National Womcn's~orv-M-onth, March 2002 March 2002 commemorates National Women's History Month. During this month. the Department will sponsor and present various programs and activities that recognize the contributions women have made to this nation and to the Department of Justice. "Women Sustaining the American Spirit" is the National Women's History Month theme. This observance was inspired by women textile and garment workers in New York who went on strike on March 8, 1857, to protest thc:ir low wages and poor working conditions. As a result March 8 was celebrated annually as American Women's Day. In the I 970's, the celebration was expanded to a full \veek. and since 1987 the entire month of March has been proclaimed as l\ational Women's History :vtonth. Women continue to make vital contributions to American society and we are honored to recognize their achievements. These achievements and contributions will be highlighted through programs and other activities. I invite your staff. managers. and employees to join in studying this rich history which has played a vital role in the development of our nation. In view of the special significance of National Women's l listory Month, please inform your employees in the Washington metropolitan area of scheduled activities and grant them reasonable official lime to participate. -----~----·--------------·-·--··-·-··- ®fficc of tqc J\ttornct? Oi>eneral ~us~iugton, Jtl.QI. 20530 March 1, 2002 MEMORANDUM FOR ALL UNITED STATES ATTORNEYS ALL FlRST ASSISTANT UNITED STA TES ATTORNEYS ALL CRIMINAL CHIEFS ALL CRIMINAL DIVISION SECTION CHIEFS AND OFFICE DIRECTORS SUBJECT: Renewal of Approval Requirement Under The Economic Espionage Act of 1996 Recognizing the increasingly important role of intellectual property in ensuring national security and the well-being of our economy, Congress enacted the Economic Espionage Act of 1996 ("EEA") Codified at 18 US C. §§ 1831-1839, the EEA criminalizes the theft or misappropriation of trade secrets for the benefit of a foreign government. instrumentality or agent (~ 1831) or for commercial or economic gain(§ 1832). Pursuant to 28 C.F.R. § 0.64-5. all prosecutions brought under§§ 1831 and 1832 must be approved by the Attorney General, the Deputy Attorney General, or the Assistant Attorney General of the Criminal Division for 5 years after the enactment of the EEA. 'Ibis requirement expired on October 11, 2001. I am pleased to report that since the pac;sage of the EEA, federal prosecutors have effectively used the statute to protect against the criminal misappropriation of trade secrets while avoiding intervening in commercial disputes best handled through civil litigation Federal criminal charges have been filed in 29 cases of commercial trade secret theft, resulting in guilty pleas or verdicts in 25 cases Sentences of ac; much a" 77 months imprisonment have been imposed. There have been two EEA trials under § 1832, both leading to guilty verdicts against all the defendants. The remaining § 1832 cases are currently pending trial. This year, the first indictment charging foreign economic espionage in violation of* 183 l was returned. As one indication of the measured and thorough approach the Department has taken with n:spect to investigating and charging theft of trade secrets, there has not been an acquittal under the EEA since passage of the legislation. Additional information about EEA prosecutions may be found at CCIPS' website, www cybercrimc gov. --·------ ---- Memorandum for all United States Attorneys Page 2 All First Assistant United States Attorneys All Criminal Chiefs All Criminal Division Section Chiefs and Office Directors I have decided to revive the prior approval requirement for initiating prosecutions under § 183 l, and thus, such approval should be obtained from the Assistant Attorney General for the Criminal Division, through the Internal Security Section (ISS). I have decided not to extend the approval requirement for cases under § 1832. Nevertheless, l strongly urge prosecutors to consult with the Computer Crime and Intellectual Property Section (CCIPS) regarding § 1832 prosecutions prior to filing charges. lSS can be reached at 202-514-1187 and CCIPS can be reached at 202-514-1026. Both sections have developed an expertise in handling these complex cases and would be a valuable source of information to any office seeking charges under the EEA. The United States Attorneys' Manual(§ 9-59.000) will be amended to reflect this change. ~·----·-··------ ®ffice of tqe )\ttorueu immediately and advise the FFL whetherthctransactionc:.m proceed. is denied. or must still be delayed for li.111herreview or research. 111e second uptiLlfl. the f Liil In-House Call Center option. would discontinue the contract call centers and require that al I FFL inquiries gn din:ctly to the NICS You recommended that the Transfer Option be 11nph:mented I hereby direct you to implement as soon as practicable the Transfer Option in order to increase the immcdiatedetenninatinn ratcofNICS checks. The Transfer Option immediately routes to an Examiner any calls to the contracted call centers that receive a delay. The Examiner who receives this call will be able torctiieve thetr:.u1saction from the delay queue and review the infonnation while still on the phone with the rrL to make a detem1ination about the potential ti reanns purchase. l11c Examiner can issue a proceed or deny response while on the phone, and if the Examiner believes additional review or research is needed, he or she wi II advise the FF!. that thetrans:iction remains delayed. TheTransferOption is recommended because it can be implemented at base level funding while increasing the immediate dete1mination rate to approximately 90 1!/u I fu11her direct you to analyze in detail and rcpot1 tome the sh011- and long-tem1 costs and benefits nfbringing all NICS calls directly to a Full In-I louse Call Center The rcprnt should be submitted tome as soon as practicable and should assess the viability of the In-House Call Centt:r Option as a long-tt:1m solution for increasing the NJCS immediate dete1mination rate. Your analysis and rep011 may serve as the basis for compliance wtth 0\1B Circular/\ 76. which St'ts fo1th the procedures to be followed when the governrn.:nt proposes to pcrfonn a service cum:ntly contral:ted tu an uutsi<..k vendor. l@ffiu of t~t l\ttnrne\! titntral lilasqingfon, JD. JDUVl: 1-"0R 11 FADS OF OEPARTMENT COMPONENTS FOR t\ I. L UN !TED ST ATFS A TTOR NFYS FR0\1: r.?t.x:n1E ATTORNEY GENERAL 7J_j U:.1 SUBJECT: Diversity \ilanagcmcnt Plan for the Deparlmcnt of Justice I am issuing this Diversity Management Plan to improve the effectiveness of the Justice Dcpan111e11t 's n:crnit1rn:nl. hiring, retention, and professional development efforts. This plan and the ;icti\lll items il mamlatcs n:Occt a critical fact. Bas1.:d uu my 1.:xp1.:ril:ncc as Attorm:y G1.:m:ral, and on my experience as a long-time career employee within the Department of Justice, I am convinced that the Justice Deparlmcnt is stronger, more credible, and more effective when its \\orkforce inclmle.s ljt1ali£icd individuals whose backgrounds reflect our nation's rich uin:rsity. ;111d wh1.:n its work en\'iromm:nt encourages all of its l:mployces Lo develop and lo Lhri\'l: professionally. This plan creates a framework for managing diversity across the Department of Justice. and sustaining our progress o\·cr lime. ln addition to focusing on the JusLice Department's attorney employees. this diversity management plan will address efforts lo foster di' 1.:rsity among the Justice Department's 11011-lawycrs, particularly amnng the Department's law e11forcc1m:11t pcrso1111d. Moreover, it stresses improving coordination among components that ha\·c already undertaken diversity initiatives in order to better share best practices for improving di\crsity management. The Diversity Management Plan \viii ensure that the Department's stl'as l'rnsecutorial lkvc:lonmenl. Assistai1..:c and Training(< )!'():\'I} I :n I F ST t\W .. Fourth Flm>r, \Vashingtun, DC 205~10. /\Is. O'Cunmir's crnail ;1duress 1s"'8Wloli'j;11'{•' ~nn.u..,dPJ.);l'..'-> !1-.1(~, l{cl!itlll: (ri1.r~s Liai:-;c.1!1 Ortice. Mr. Stcphrn J. C11npbell. Ofli..:e l)f thc Deputy (\mstitution Avc11u1: NW, \Vashington, DC 20510. Vlr. Campbell's e- :\llorncy Ciencral. l))(l mail address is .;1L·ph~1.1.j.c;:mpb_~lh1 u.:\l~_oj.[-;Ll\". Alghani!Stan. Deputy Assistant Attorney Clcneral tv1ary Lee Vv'am.:n. Criminal Division. Dcpartmem or Justiee. 950 Constitution A vi.:nue N \\', \Vashinglon. DC 205:10-000 I. :\I~. \Vam.:n·s e-mail adJn;~;s is n.!_:_l_D·.:.lec ... v111-rc11'.~:lI.;_f. OYEES FR0:-..1: /. THI .. ATTORNEY (1£'.NER:'.7~ Sl BJEC!: RESTRICTIONS OS OFFICIAL A:-.:D POLITICAL EVENTS 011 ~·larch 5, 200S. I sent a mcmoranJ.l1111 to all Dcpartmcnl of Justice c111ployc1.:s reminding 1he111 of certain election year considcralions. including Hatch Act restrictions and 1 sensitivities related 10 the investigation and prosecution of clcction-rclatcJ <:rimes. Tll\S mcmora11du111 scls forth additional limitalions on official events anJ fu11hcr restricts atti:nc.lancL' al pt,litical C\'Cllls. ~ An ofliciul event is om: 1hat a Depan1111.:nt employee allc11·Js in his or her ofticial cap;1rity. ;111J include:; such e\'cnls as a speech. grant annuum:cmrnt. or appearance\\ llh a caml1datL' for a partisan office. as delim:c.l by tbc I latch Act. Given thi.: upcoming li.:c.li.:ral dct:tions. Dcpanm...:nt t:mpluyccs must be vigilanl lo prevent the appcaranl'C that any M our otl1cial duties are an effort 10 inllucm;c th<: outcome of an ckction. In dc1em1i11i11g whether an appearance could he cunstrucj.guv Jmd/c1hics docs:agpol.ictpul luml». Memorandum lor Department Non-Career Employee.<; Subject: Rcslrictions on Official and Polirical Evc:nls Pagt• 2 In this Presidential election year. I have dctcnrnncd that approv•tl "ill no! hi.! given for attendance at a political event not open 10 the general public during the pcrim1 beginning with th1: tirst of the l\VO national pany conventions. August 25. 2008, throJgh the general election on ~ovcmbcr 4, 2008. The only exceptions arc ifa non-curccr appointee has a dose family mcmhcr who is running for partisan office, or a similar exceptional situa1i~)JL In these circumstances. approval must he sought from David Margolis, Associate Deputy Attomcy General. or the Principal Deputy Associate Attorney General (currently Carl Nichols}. During this period, noncarecr appointees may continue to seek npJHO\·al to attend C\'ctlts !hat ~ire Dpcn to the general public. such as a speech by a candidate ror publir ortiL'C, as long as their attendance 1s passi\c. Non-career appointees may attend C\'ClllS Llll tile C\'ening or Nov:.:mbcr 4. Election Day. without prior aprroval. Thank you. , Office of the Attorney General Washington, D.C. March 5, 2008 TO: ALL DEPARTMENT EMPLOYEES FROM: THE ATrORNEY GENERAL RE: ELECTION YEJ\R SENSITIVITIES ~ Department of Justice employees arc entrusted with the authority to enforce the laws of the United States and with the responsibility to do so in a neutral and impartial manner. This is particularly important in an election year. Now that the election season is upon us. I want to remind you of the Department's existing policies with respect to political activities. I. INVESTIGATION AND PROSECUTION OF ELECTION CRIMES The Department of Justice has a strong interest in the prosecution of dection fraud and other election-related crimes. such as those involving federal and state campaign finance laws. federal patronage laws. and corruption of the election process. J\s Department employees, however. \Ve must be particularly sensitive to safeguarding the Department's reputation for fairness. neutrality and nonpartisanship. Simply put. politics must play no role in the decisions of federal investigators or prosecutors regarding any investigations or criminal charges. Law enforcement officers and prosecutors may never select the timing or investigative steps or criminal charges for the purpose of affecting any election. or for the purpose of giving an advantage or disadvantage to any candidate or political party. Such a purpose is inconsistent with the Department's mission and with the Principles of Federal Prosecution. If you are faced with a question regarding the timing of charges or overt investigative steps near the time or a primary or general election. please contact the Public Integrity Section of the Criminal Division for further guidance. Please remember also that consultation with the Public Integrity Section of the Criminal Division is required at various stages or all criminal matters that focus on violations of federal and state campaign-finance law. federal patronage crimes. and corruption of the election process. More detailed guidance is available in sections 1-4 and 9-85 of the United States Attorneys· Manual. which can be accessed on line at . II. HATCH ACT As you arc aware, the I latch Act generally prohibits Department employees from engaging in partisan political activity while on duty, in a federal facility or using federal property. Please note that this prohibition includes using the internet at work for any political Page I of2 act1V1t1es. The Act also prohibits us from using our authority for the purpose of affecting election results; soliciting (or discouraging) political participation; soliciting. accepting or receiving political contributions; and generally from running as a candidate in a partisan election. In addition to restrictions on what Department employees may and may not do while on duty. using government property, and in off-duty activities. certain employees are further restricted from engaging in certain political activity even while not on duty. The degree to which an employee is restricted in his or her off-duty activities depends on his or her position. i.e. career, further restricted, or noncareer appointee. Further restricted employees are members of the career SES, administrative law judges. employees of the Criminal Division. National Security Division and the Federal Bureau of Investigation, Criminal Investigators and Explosives Enforcement Officers of the Bureau of Alcohol, Tobacco and Firearms, and noncareer appointees in the Department. If you are unclear on these restrictions or the classification of your position, please consult with your component's designated ethics official about the limits of permissible activity prior to engaging in any political activity. You can also visit the Justice Management Division·s Ethics page at for more detailed information. It is critical that each one of us comply with this Act. For one, it contributes to maintaining a work environment free of political pressure and ensures the public retains its confidence that we are adhering to our responsibility to administer justice in a neutral manner. For another, violations of the Act carry strict penalties, including presumptive removal from federal service. Thank you. Page 2 of2 (@Hice of t~e .!ttomee ~i>nrral lllas~ingtun. m. ill. 20530 November 22, 2004 MEMORANDUM FOR HEADS OF DEPARTMENT COMPONENTS - FROM: SUBJECT: Component Reviews and The partnership forged by the men and women of the Justice Department with the American people has not only seen our nation through the worst attack in its history, but has also ushered in an historic era of safety and security. Violent crime is at its lowest rate in three decades. Gun crime prosecutions are at an all-time record high and violent crimes committed with guns arc at an all-time record low. Drug use among the nation's youth is declining. Civil rights laws are being vigorously enforced and the Department has set new records for prosecuting human traffickers. Corporate criminals are facing justice, and integrity has been restored to the nation's marketplace. With the help of our partners in state and local law enforcement and our fellow Americans, we have done what so many said could not be done: We have safeguarded both the security and liberty of our fellow Americans in a time of war. WhiJc we are grateful for these accomplishments, we W1derstand that in the war on terror and our other critical responsibilities, complacency breeds failure. With vigilance in pursuit of our mission and an unwavering dedication to integrity, we must learn from our accomplis.tunents and translate the results achieved into a framework for f uturc success. Continuous improvement is our goal, and excellence is our standard. To that end, I am asking each of you to undertake a thorough review of policies, administrative practices, and regulations relevant to the work of your component in an effort to identify recommendations for potential improvement. Recommendations may include, but should not be limited to, options for structural and organizational change, operational reform, and regulatory and legislative proposals. I urge you to think expansively - but always within the boW1ds of the Constitution - about ways to strengthen our efforts in the war on terror, fight the scourge of illegal drug use, and enforce the laws more vigorously and effectively. For example, the U.S. Attorneys recently prepared comprehensive reports assessing their various Project Safe Neighborhoods strategies, providing an opportunity for best practices to be shared with other districts. The FBI, too, has undertaken exhaustive evaluations of the '04 Threat Task Force and is working to build upon that successful model in other areas of their operation. Memorandum for Heads of Department Components Subject: Component Reviews and Reports Page2 Please submit your reports, together with recommendations, to the Deputy Attorney General no later than January 7, 2005. All reports should be structured as follows: I. JI. lll. IV. V. Executive Summary Policy Review Regulatory Review Administrative Practices Review Recommendations As we move forward into the next term of President Bush's administration, we must remain focused intensely on the task at hand, relentless in our efforts to safeguard the lives and liberties of all AmericHJls. In a recent statement, President Bush captured the imperative of our mission best: "We are fighting a continuing war on terror, and every American has a stake in the outcome of this war ... We will persevere until the enemy is defeated. We will stay strong and resolute. We have a duty, a solemn duty to protect the American people, and we will." Thank you for your continued service to the President, and to America. oMfice of thr ~ttornru l\\enrral ' - 1'aa~i119ton. 'ID. f i ntel\igcnce professionals. (b'l Important g.oals of the HCC arc, through col\ahoratiYc proccssc·~. to incn:ase coon.lination among 1hc Dcpart1ncnt's intelligence <1cti\'itics and tn 1mpro\e the inte~1ation of intclligcnc.: activ:t1cs alllong 1)cp:.irtmrnt hf'acltj\l:'lrtcr.s nrnnagemcnt anJ Dcparlmcnl componenls wnh mtd l:gcncc r-::;po11sib1 lit i..:s. The JICC is also Jc;si)!111..:J Iv pro\ idc the Deparlll1t:nl u uni fii.:J voin.: in i.:011 mnmkations with the lntd Ii g,cncl.: Comm uni l y. anri assist the Dcpar11m::nt i!1 its rnlc 111 leading federal c.1ordmat1011 with <>late, locaL and tnhal law enforcement. Any sh~mn!_'.. of mtelligcnce shall he 111 ;;ccordann: with appllcahk law aw.1 guiddincs. lNTERNAL ORDER -- t;OT PUBLISllED IN F.R. 3. J\11.:mbcrshin. The JICC shall he composed of the heads of the Dcp;inrncnt of Justice components with intelligence rcsponsihtlities. or their dc:;ignees, hall. through collahora\1\'I! procc='"cs: (a) Ensure th:n th(' :\110111-:-y Kcr.:p mc1:111LT~ i11t'on:1d of intcll11:'.':-ncc :1w\·1t1es :1cr11ss 1hc l lepanmcm, and a11ict:l:itc Dcrian111C"11t mtclligcn•c con(crns .111d 1~s11es 1.11h~ .\tt11n1c:~ tiL·n1:ral for· ri:' ic\\' and :1ruon: ~md \ n IJcntify :111d rr.:CC1ll111ll'lhi (1ppo:11111itiLS for im cstmcnl in fr;-istrncl urc 5. Re\ J~\\. Thi: Altu1111.:~ G..:ncr;Ll :;hall n. ". rC\\ 1h1~ 1!l intL·iliE'enci: ordr.:1 for cont111u"d five \'C~HS. o\uom~y t. icncral ~1pplioh1lity within ©ffltt of t~t .!ttll!Utt! {gitntral •as~ington. i).@. 20.5.:JO February 23, 2004 MEMORANDUM FOR HEADS OF DEPARTMENT COMPONENTS FROM: THE ATTORNEY GENE SUBJECT: Component Head Personal On January 16, 2004, the Dcp~nt received its third consecutive dean audit opinion -- an unprecedented accomplishment in the history of the Department of Justice. This accomplislureut demonstrates the integrity of our financial management and ensures accowitability to the taxpayers. It is vitally important that we continue this success in 2004, and we will, with your help. The Fiscal Year (FY) 2004 financial reporting and audit effort begins this tmnth. 11ie fmancial audits have high public visibility, they demonstrate the financial integrity of our operations, and they are a stated priority of the President. The due date for the FY 2004 Perfonnance and Accowitability Report (PAR), which includes our full financial statements and the completed audit opinion, bas been accelerated by nearly 75 days over the time needed to finish the recently completed FY 2003 fmancial audit. I wn asking each component head to take inurediate steps to ensure that his or her component is positioned to earn au w1qu~t:d ("clean") audit opinion on the FY 2004 reports and enable the Deparonent to meet this year's submission deadline. The FY 2004 DcpartlIX!nt-wide repon is due to OMB on or before November 15. 2004. There is no tlexioility in that due date; in fact, failure to meet this deadline I~ that the Department will lose its unqualified audit opinion and receive a "disclaimed opinion" on our financial reports. Further, to meet the Departirentwide due date, component audits must be completed by mid-October. Meeting the new due dates will require more than just working faster; we must start to inunediately reexamine our fundamental accounting practices and process times lo ensure that our operations are capable of meeting the FY 2004 due dates. The FY 2004 report acceleration is a major challenge, one faced by other agencies as well, but it is a challenge which must be met. Please meet with your senior financial managers and ensure that they have sufficient resources to meet this year's deadlines, have the means to provide the auditors with necesmu-y financial data and supporting documentation in a timely manner, and that they are resolving the weaknesses reponed in our financial operations and systems. Further, if you anticipate any impe~nts which would prevent us from earning anotl~r wiqualified audit opinion, completing promised corrective actions, or treeting this year's early due date, please advise our Chief Pinancial Officer, Paul R. Corts, by February 27, 2004. Memorandum for Heads of Department Components Subject: Component Head Personal Action - 2004 Financial Audit Readiness Page2 Again, allow me to express my appreciation for the hard work done by your financial staffs and supporting offices during the FY 2003 financial audits as the Department earned its third consecutive unqualified audit opinion. I realize the tremendous dedication that went into this effort, and our f:uumcial staffs are to be commended for their accomplisl:nn!nts. With your help and the help of our dedicated financial staffs, I am confident we can meet this year's new challenges and continue our success. rity under whlch they exercise law enforcement powers. Attorney General Guidelines for Offices of Inspector General page2 with Statutory Law Enforcement Authority need hinges on the respective office meeting the three prerequisites enumerated in section 6(e)(2). Those Offices of Inspector General listed in section 6(e)(3) of the Act are exempt from the requirement of an initial determination of need by the Attorney General. Offices of Inspector General receiving law enforcement powers under section 6(e) must exercise those authorities in accordance with Guidelines promulgated by the Attorney General. This document sets forth the required Guidelines. ill. APPLICATION OF GUIDELINES These Guidelines apply to qualifying personnel in those offices of presidentially appointed Inspectors General with law enforcement powers received from the Attorney General under section 6(e) of the Inspector General Act of 1978, as amended. Qualifying personnel include the Inspector General, the Assistant Inspector General for Investigations under such Inspector General, and all special agents supervised by the Assistant Inspector General for Investigations, provided that those individuals otherwise meet the training and qualifications requirements contained in these Guidelines. These mandatory guidelines do not limit Offices of Inspector General from exercising any statutory law enforcement authority derived from a source other than section 6(e). These Guidelines may be revised by the Attorney General, as appropriate. These Guidelines may be supplemented by agency-specific agreements between an individual Office of Inspector General and the Attorney General. If the Attorney General determines that an Office of Inspector General exercising law enforcement powers under section 6(e), or any individual exercising such authorities, has failed to comply with these Guidelines, the Attorney General may rescind or suspend exercise oflaw enforcement authorities for that office or individual. IV. LAW ENFORCEMENTTRAJNING AND QUALIFICATIONS A.. Basic and Refresher Trainine Each Office of Inspector General must certify completion of the Basic Criminal Investigator Training Program at the Federal Law Enforcement Training Center by each Inspector General, Assistant Inspector General of investigations, and Special Agent/Investigator who will be exercising powers under these Guidelines. As an alternative, this training requirement may be satisfied by certification of completion of a comparable course of instruction to the Federal Law Enforcement Training Center Basic Criminal Investigator Training Program. Additionally, the Office of Inspector General will provide periodic refresher training in the following areas: trial process; federal criminal and civil legal updates; interviewing techniques and policy; law of arrest, search, and seizure; and physical conditioning/defensive tactics. The specifics of these programs should conform as much as - -------- Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page3 practicable to standards such as those set at the Federal Law Enforcement Training Center or the Federal Bureau of Investigation Training Academy at Quantico, Virginia. B. Firearms Training and Qualification Reguirements All individuals exercising authorities under section 6(e) must receive initial and periodic firearms training and qualification in accordance with Federal Law Enforcement Training Center standards. This training wi\1 focus on technical proficiency in using the firearms the Special Agent will carry, as well as the policy and legal issues involved in the use of deadly force. The initial training for this requirement must be met by successful completion of an appropriate course of training at the Federal Law Enforcement Training Center or an equivalent course of instruction (that must include policy and law concerning the use of firearms, civil liability, retention of firearms and other tactical training, and deadly force policy). In addition to basic firearms training, each covered Office of Inspector General will implement a program of quarterly firearms qualifications by all individuals exercising authorities under section 6(e). Such program will be conducted in accordance with recognized standards. C. Deadly Force Policy The Offices of Inspector General will abide by the deadly force policy established by the Department of Justice. V. RANGE OF LAW ENFORCEMENT POWERS Section 6(e) of the Act provides that the Attorney General may authorize covered individuals to: 1. carry a firearm while engaged in official duties as authorized under this Act or other statute, or as expressly authorized by the Attorney General; 2. make an arrest without a warrant while engaged in official duties as authorized under this Act or other statute, or as expressly authorized by the Attorney General, for any offense against the United States committed in the presence of such individual, or for any felony cognizable under the laws of the United States if such individual has reasonable grounds to believe that the person to be arrested has committed or is committing such felony; and 3. upon probable cause to believe that a violation has been committed, seek and execute warrants for arrest, search of a premises, or seizure of evidence issued under the authority of the United States. Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page 4 Individuals exercising law enforcement authorities under section 6(e) may exercjsc those powers only for activities authorized under the Inspector General Act of 1978 or other statute, or as 2 expressly authorized by the Attorney General. The Inspector General of each agency covered by these Guidelines, any Assistant Inspector General for Investigations under such Inspector General, and any special agent supervised by such an Assistant Inspector General are authorized to carry their firearms while off-duty when the Inspector General detem1ines that they need to do so for operational or safety reasons. The possession of firearms on aircraft while on official duty shall be governed by Transportation Security Administration guidelines and common canier regulations applicable to the transport of firearms. VI. ADHERENCE TO ATIORNEY GENERAL GUIDELINES In addition to any other Department of Justice directives or guidance referenced in these Guidelines, Offices of Inspector General will adhere to the Attorney General's Guidelines on General Crimes, Racketeering Enterprise, and Terrorism Enterprise Investigations; the Attorney General's Guidelines Regarding the Use of Confidential Informants; the Attorney General's Memorandum on Procedures for Lawful, Warrantless Monitoring of Verbal Communications; any other Attorney General Guidelines applicable to criminal investigative practices; and updated or amended versions of any of the aforementioned documents. VII. NOTIFICATION AND CONSULTATION REQUIREMENTS WITH RESPECT TO ALLEGATIONS OF CRIMINAL VIOLATIONS The Inspector General Act directs expeditious reporting to the Attorney General whenever an Office of Inspector General has reasonable grotmds to believe there has been a violation of federal criminal law. A. Offices Of Inspector General/Federal Bureau of lnvesti2ation Mutual Notification Reguirements As the prin1ary investigative arm of the Department of Justice, the Federal Bureau of Investigation has jurisdiction in all matters involving fraud against the Federal Government, and shares jurisdiction with the Offices of Inspector General in the 2 Section 6( c) does not, of itself, prov1de plenary authority to make arrests for non-federal criminal violations. Legal authority for officers to respond to such offenses generally depends on state law. A federal agency may, however, as a matter of policy, permit its officers to intervene in serious criminal conduct that violates state law under certain circwnstances. -----~- Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page 5 investigation of fraud against the Office of Inspector General's agency. In areas of concurrent jurisdiction, the Offices of Inspector General and the Federal Bureau of Investigation must promptly notify each other in writing upon the initiation of any criminal investigation. The notification requirement is a continuing obligation when new subjects are added to an investigation. Absent exigent circumstances, ''promptly'' shalJ be considered to be within 30 calendar days. Notification by the Offices of Inspector Genera) shall be in writing and addressed to the Federal Bureau of Investigation in the district in which the investigation is being conducted. Notification by the Federal Bureau of Investigation shall be in writing and shall be addressed to the appropriate regional office of the Office of Inspector General. Notifications shall include, at a minimum and where available. (a) subject name, date of birth, social security number, and (b) any other case-identifying information including, but not limited to, (i) the date the case was opened or the allegation was received, and (ii) the allegation that predicated the case. For investigations in which allegations arise that are beyond the scope of the Office of Inspector General's jurisdiction, the Office of lnspector General will immediately notify the appropriate investigative agency of the allegations. B. Consultation with Prosecutors In criminal investigations, a federal prosecutor must be consulted at an early stage to ensure that the allegations, if proven, would be prosecuted. Such consultation will also ensure coordination of investigative methods. VIII. USE OF SPECIALIZED INVESTIGATIVE PROCEDURES ANO TECHNIQUES A. Court-Ordered Electronic Surveillance Court-authorized interceptions of wire, oral, or electronic communications are among the most intrusive investigative techniques currently available to law enforcement. The rigors of the approval process, expenditures of financial and manpower resources, and the probability of challenges by the defense bar make this technique subject to intense scrutiny. Surreptitious electronic surveillance using closed-circuit television presents similar considerations. Accordingly, any investigation involving the interception of communications pursuant to 18 U.S.C. §§ 2510, el seq., electronic surveillance using closed-circuit television in situations where a warrant is required, or any other courtordered electronic surveillance, shall be conducted only after consulting with the Federal Bureau of Investigation and appropriate United States Attorney's Office (or Criminal Division litigating component). Subsequent to such notification, the Federal Bureau of Investigation may choose to join the investigation, but is not required to do so. However, in an instance in which the Office of Inspector General intends to engage in courtauthorized electronic surveillance without the participation of the Federal Bureau of ------ - . --·----- Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page 6 Investigation, one of the following federal investigative agencies must participate in the investigation ru1d supervise the application for and use of the surreptitious electronic surveillance: the Drug Enforcement Administration; Bureau of Alcohol, Tobacco, Fireanns, and Explosives; Bureau of Immigration and Customs Enforcement; United States Postal Service; United States Secret Service; or Internal Revenue Service. B. Undercover Investigative Operations The Attomey General's Guidelines on Federal Bureau of Investigation Undercover Operations (the "Undercover Guidelines") ensure that the Federal Bureau of Investigation considers the efficacy, as well as the legal and policy implications, of every proposed undercover operation, and ensure that the use of the undercover investigative technique is subject to a management on-site review and oversight on a regular basis. It is the intent of this provision that undercover operations conducted by the Offices of Inspector General be subject to the same standards that govern the use of this investigative technique by the Federal Bureau of Investigation. Accordingly, the community of Inspectors General granted law enforcement powers under section 6(e) of the Inspector General Act shall establish an Undercover Review Committee (the Committee) composed of 6 senior headquarters managers selected by the community of Inspectors General, with no two members of the Committee being employed by the same Office oflnspcctor General, for the pwpose of reviewing undercover operations involving sensitive circumstances 3 in investigations that are not being conducted jointly with the Federal Bureau of Investigation. The Committee shall also include such representatives from the litigating sections of the Criminal Division of the Department of Justice as are designated by the Assistant Attorney General of the Criminal Division. If an undercover investigation being reviewed by the Committee is being conducted by an Office of lnspector General that is not represented on the Committee, a representative of that Office of Inspector General who is a senior management official shall be added as a full member of the Committee to review that undercover operation. The Federal Bureau of Investigation may designate a representative to participate in the Committee in a consultative role. Before conducting an undercover operation lasting longer than six months, or involving any of the sensitive circumstances set forth in the Undercover Guidelines, the Office of Inspector General must first notify the Federal Bureau of Investigation. The Federal Bureau of Investigation may choose to join the investigation, in which case the 3 "Sensitive circumstances" are set forth in the Undercover Guidelines, and include investigations involving certain public officials, a significant risk of violence, authorized criminal activity, operation of a proprietaTy business, the risk for significant ci•il liability, and other circ:urnslances as defined in those Guidelines. Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page 7 undercover operation would be subject to review by the Criminal Undercover Operations Review Committee of the Federal Bureau of Investigation. If the Federal Bureau of Investigation opts not to join the case, the Wldercover operation will be reviewed by the Committee. No undercover operation involving sensitive circumstances may be conducted without the approval of one of these committees. The approval for each undercover operation involving sensitive circumstances must be renewed for each six-month period, or less, during which the undercover operation is ongoing. The standards of the Committee for approval of the undercover operation shall be the same as those set forth in the Undercover Guidelines. The Committee shall operate in the same fashion as the Criminal Undercover Operations Review Committee as outlined \n the Undercover Guidelines. Each Office of Inspector General whose law enforcement effort contemplates the use of the undercover investigative technique in investigations not involving the sensitive circumstances set forth above shall establish procedures that are consistent with the procedures established for such undercover investigations not involving sensitive circumstances as are set forth in the Undercover Guidelines. C. Especially Sensitive Tari:ets (1) Upon notification pursuant to Part VII, Subpart A of these Guidelines, or otherwise, the Federal Bureau of Investigation may choose to join, but would not be required to join, any investigation that involves: (a) especially sensitive targets, including a member of Congress, a federal judge, a member of the executive branch occupying a position for which compensation is set at Executive Level IV or above, or a person who has served in such capacity within the previous two years; (b) a significant investigation of a public official for bribery, conflict of interest, or extortion relating to the official's performance of duty; (c) a significant investigation of a federal law enforcement official acting in his or her official capacity; or (d) an investigation of a member of the diplomatic corps of a foreign country. (2) Investigations involving certain other classes of persons may result in serious security concerns, especially regarding the operation of the Federal Witness Security Program. Therefore, an Office of Inspector General investigation will be coordinated with the Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page8 Office of Enforcement Operations of the Criminal Division, Department ofJustice, when the investigation: (a) involves a person who is or has been a member of the Witness Security Program if that fact is known by the Office of Inspector General; (b) involves a public official, federal law enforcement officer, or other government employee or contract employee who is or has been involved in the operation of the Witness Security Program; (c) involves the use or targeting, in an undercover capacity, of a person who is in the custody of the Federal Bureau of Prisons or the United States Marshals Service, or is under Federal Bureau of Prisons' supervision; or (d) involves the use or targeting, in an undercover capacity, of a Federal Bureau of Prisons employee, if any part of the activity will occur within the confines of, or otherwise would be likely to affect the security of, a Bureau of Prisonsadministered facility. Investigations that require coordination with the Office of Enforcement Operations pursuant to Part Vill, Subpart C.(2)(a)-(d) may be conducted without the participation of the Federal Bureau of Investigation. In such instances, notification of the investigation should not be made to any other agency without the explicit approval of the Office of Enforcement Operations. D. Consensual Monitoring in Certain Situations Consensual monitoring of conversations in some circumstances can present unusual problems. Accordingly, if the Office oflnspector General contemplates the use of consensual monitoring involving a consenting or non-consenting person in the custody of the Bureau of Prisons or the United States Marshals Service, the use of any type of consensual monitoring in the investigation, whether telephonic or non-telephonic, must be coordinated with the Office of Enforcement Operations at the Department of Justice. Consistent with the Attorney General's Memorandum on Procedures for Lawful, Warrant less Monitoring of Verbal Communications, the use of any non-telephonic consensual monitoring in an Office of Inspector General investigation requires the prior approval of the Director or an Associate Director of the Office of Enforcement Operations if any of the following sensitive circumstances are present: - - - - - - - -- - ---- Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page9 (a) the monitoring relates to an investigation of a member of Congress, a federal judge, a member of the Executive Branch occupying a position for which compensation is set at Executive Level IV or above, or a person who has served in such capacity within the previous two years; (b) the monitoring relates to an investigation of the Governor, Lieutenant Governor, or Attorney General of any State, or Territory, or a judge or justice of the highest court of any State or Territory, and the offense investigated is one involving bribery, conflict of interest, or extortion relating to the performance of his or her official duties; (c) any party to the communication is a member of the diplomatic corps of a foreign country; (d) any party to the communication is or has been a member of the Witness Security Program and that fact is known to the agency involved or its officers; (e) the consenting or non~consenting person is in the custody of the Bureau of Prisons or the United States Marshals Service; or (f) the Attorney General, Deputy Attorney General, Associate Attorney General, any Assistant Attorney General, or the United States Attorney in the district where an investigation is being conducted has requested the investigating agency to obtain prior written consent before conducting consensual monitoring in a specific investigation. IX. PROSECUTOR CONCURRENCE FOR CERTAIN TECHNIQUES The use and control of infonnants, sources, and cooperating witnesses is recognized by the courts as lawful and often essential to the effectiveness of properly authorized law enforcement investigations. However, certain guidelines must be applied because the use of informants and cooperating witnesses may involve intrusion into the privacy of individuals, or cooperation with individuals whose reliability and motivation can be open to question. In the fo11owing situations, inter alia, the prior concurrence of a federal prosecutor must be obtained to avoid problems such as entrapment, danger to the public, and abuse of police authority: 1. when an informant is authorized to participate in criminal activities; 2. when an informant or cooperating witness is a person entitled to claim a federally recognized legal privilege of confidentiality, such as an anomey, member of the clergy, or psychiatrist; Attorney General Guidelines for Offices oflnspector Genera) with Statutory Law Enforcement Authority page 10 3. when aggregate payments for services or expenses to be made to a source who could be a witness in a legal proceeding exceed $25,000; or 4. when the use of any member of the news media as a source is planned (and in such a situation the prior written approval of a federal prosecutor must be obtained). X. RELATIONS WITH THE NEWS MEDIA The Department of Justice has issued guidelines that prescribe policy and instructions concerning the release of information by Department of Justice employees relating to criminal and civil proceedings (see 28 C.F.R. § 50.2). Office of Inspector General persormel must familiarize themselves with and follow these guidelines. In addition, in the course of joint investigations between an Office of Inspector General and the Federal Bureau oflnvestigation, wherever a "news release" would be pennitted pursuant to the guidelines noted above, the Office of Inspector General must coordinate the release with the Federal Bureau of 1.nvestigation and the Department of Justice. XI. REPORTING REQUIREMENTS Each Office oflnspector General shall make an annual written report to the Attorney General due on November I of each year, detailing the investigative and prosecutive activities of that Office of Inspector General. The report shall, at a minimum, contain information on the numberof(l) federal criminal investigations initiated, (2) undercover operations undertaken, and (3) times any type of electronic surveillance was used. Additionally, the report shall provide information on an significant and credible allegations of abuse of authorities conferred by section 6(e)(l) of the Inspector General Act by Office of Inspector General investigative agents and what, if any, actions were taken as a result. The names of the agents need not be included in such report. XII. PEER REVIEWS In accordance with section 6(e)(7) of the Inspector General Act, covered Offices of Inspector General must implement a collective memorandum of understanding, in consultation with the Attorney General, under which each Office of Inspector General will be periodicaHy reviewed by another Office of Inspector General or a committee of Offices of Inspector General. Reviews should occur no less often than once every 3 years. The purpose of the review is to ascertain whether adequate internal safeguards and management procedures exist to ensure that the law enforcement powers conferred by the 2002 amendments to the Inspector General Act are properly exercised. Results of the review will be communicated to the Attorney General, as well as to the applicable Inspector General. Attorney General Guidelines for Offices of Inspector General with Statutory Law Enforcement Authority page 11 XIII. NO THIRD-PARTY RIGHTS CREATED These Guidelines are adopted for the purpose of the internal management of the Executive Branch. These Guidelines are not intended to, do not, and may not be relied upon to, create any rights, substantive or procedural, enforceable at law or in equity by any party in any maner civil or criminal, nor do these Guidelines place any limitations on otherwise lawful investigative or litigation prerogatives of the Department of Justice or otherwise lawful investigative prerogatives of the covered Offices oflnspc:clor Gt;ncral. ,(Oc &,,g;~~ Date (:}.e ~<-= \\ ffJ 1o: U';l-LL-UJ Ll Ht: tlt:LUW MEMO WAS DISTRIBUTED TO U.S. ATTORNEYS 0... Page 3 of 7 I .Sentence would not be affected. First. if the applicable guideline range from which a sentence may be imposed would be unaffected, prosecutors may decline to charge or to pursue readily provable charges. However, if the most serious readily provable charge involves a mandatory minimum sentence that exceeds the applicable guideline range, counts essential to establish a mandatory minimum sentence must be charged and may not be dismissed, except to the extent provided elsewhere below. 2:'Fast-track" programs. With the passage of the PROTECT Act, Congress recognized the importance of early disposition or "fast-track" programs. Section 401 (m)(2)(B) of the Act instructs the Sentencing Commission to promulgate, by October 27, 2003. a policy statement authorizing a downward departure of not more than 4 levels "pursuant to an early disposition program authorized by the Attorney General and the United States Attorney." Pub. L. No. 108-21, § 401 (m)(2)(B), 117 Stat. 650. 675 (2003) (emphasis added). Although the PROTECT Act requirement of Attorney General authorization only applies by its terms to fast-track programs that rely on downward departures. the same requirement will also apply, as a matter of Department policy, to any fast-track program that relies on "charge bargaining" - i.e., an expedited disposition program whereby the Government agrees to charge less than the most serious. readily provable offense. Such programs are intended to be exceptional and will be authorized only when clearly warranted by local conditions within a district. The specific requirements for establishing and implementing a fast-track program are set forth at length in the Department's "Principles for Implementing An Expedited or Fast-Track Prosecution Program." In those districts where an approved "fast-track" program has been established. charging decisions and disposition of charges must comply with those Principles and with the other requirements of the approved fast-track program. 3.Post-indictment reassessment. In cases where post-indictment circumstances cause a prosecutor to determine in good faith that the most serious offense is not readily provable, because of a change in the evidence or some other justifiable reason (e.g .. the unavailability of a witness or the need to protect the identity of a witness until he testifies against a more significant defendant), the prosecutor may dismiss the charge(s) with the written or otherwise documented approval of an Assistant Attorney General. United States Attorney. or designated supervisory attorney. 4.Substantial assistance. The preferred means to recognize a defendant's substantial assistance in the investigation or prosecution of another person is to charge the most serious readily provable offense and then to file an appropriate motion or motions under U.S.S.G. § 5Kl.1. 18 U.S.C. § 3553 (e), or Federal Rule of Criminal Rule of Procedure 35(b). However, in rare circumstances, where necessary to obtain substantial assistance in an important investigation or prosecution, and with the written or otherwise documented approval of an Assistant Attorney General, United States Attorney. or designated supervisory attorney. a federal prosecutor may decline to charge or to pursue a readily provable charge as part of plea agreement that properly reflects the substantial assistance provided by the defendant in the investigation or prosecution of another person. 5.Statutory enhancements. The use of statutory enhancements is strongly encouraged. and federal prosecutors must therefore take affirmative steps to ensure that the increased penalties resulting from specific statutory enhancements, such as the filing of an information pursuant to 21 U.S.C. § 851 or the filing of a charge under 18 U.S.C. § 924(c), are sought in all appropriate cases. As soon as reasonably practicable, prosecutors should ascertain whether the defendant is eligible for any such statutory enhancement. In many cases, however, the filing of such enhancements will mean that the statutory sentence exceeds the applicable Sentencing Guidelines range, thereby ensuring that the defendant will not receive any credit for acceptance of responsibility and will have no incentive to plead guilty. Requiring the pursuit of such enhancements to trial in every case could therefore have a significant effect on the allocation of prosecutorial resources within a given district. Accordingly. an http://www.justice.gov/opa/pr/2003/September/03 _ag_5 l 6.htm 5/5/2011 tt.J 1 u; w1-LL-V-' Li 11i:. tlt:.LU w Ml:MU WAS UlSTRIBUTED TO U.S. ATTORNEYS 0... Page 4 of 7 Assistant Attorney General, United States Attorney. or designated supervisOI)' attorney may authorize a prosecutor to forego the filing of a statutory enhancement, but only in the context of a negotiated plea agreement, and subject to the following additional requirements: a.Such authorization must be written or otherwise documented and may be granted only after careful consideration of the factors set forth in Section 9-27.420 of the United States Attorneys' Manual. In the context of a statutory enhancement that is based on prior criminal convictions, such as an enhancement under 21 U .S.C. § 851, such authorization may be granted only after giving particular consideration to the nature. dates, and circumstances of the prior convictions. and the extent to which they are probative of criminal propensity. b.A prosecutor may forego or dismiss a charge of a violation of 18 U .S.C. § 924( c) only with the written or otherwise documented approval of an Assistant Attorney General, United States Attorney, or designated supervisory attorney, and subject to the following limitations: (i) In all but exceptional cases or where the total sentence would not be affected, the first readily provable violation of 18 U.S.C. § 924(c) shall be charged and pursued. (ii) In cases involving three or more readily provable violations of 18 U.S.C. § 924(c) in which the predicate offenses are crimes of violence. federal prosecutors shall, in all but exceptional cases, charge and pursue the first two such violations. 6.0ther Exceptional Circumstances. Prosecutors may decline to pursue or may dismiss readily provable charges in other exceptional circumstances with the written or otherwise documented approval of an Assistant Attorney General, United States Attorney, or designated supervisory attorney. This exception recognizes that the aims of the Sentencing Reform Act must be sought without ignoring the practical limitations of the federal criminal justice system. For example, a casespecific approval to dismiss charges in a particular case might be given because the United States Attorney's Office is particularly over-burdened, the duration of the trial would be exceptionally long, and proceeding to trial would significantly reduce the total number of cases disposed of by the office. However, such case-by-case exceptions should be rare; otherwise the goals of fairness and equity will be jeopardized. II.Department Policy Concerning Plea Agreements A. Written Plea Agreements In felony cases. plea agreements should be in writing. If the plea agreement is not in writing, the agreement should be formally stated on the record. Written plea agreements will-facilitate efforts by the Department of Justice and the Sentencing Commission to monitor compliance by federal prosecutors with Department policies and the Sentencing Guidelines. The PROTECT Act specifically requires the court, after sentencing, to provide a copy of the plea agreement to the Sentencing Commission. 28 U.S.C. § 994(w). Written plea agreements also avoid misunderstandings with regard to the terms that the parties have accepted. B.Honesty in Sentencing As set forth in my July 28, 2003 Memorandum· on "Department Policies and Procedures Concerning Sentencing Recommendations and Sentencing Appeals," Department of Justice policy requires honesty in sentencing, both with respect to the facts and the law: http://www.justice.gov/opa/pr/2003/September/03 _ag_S l 6.htm 5/5/2())) tu1u. U';f-L.L-u-' l ' t t t tltLUW MclYlU WAS UlSTRlBUTED TO U.S. ATTORNEYS 0 ... Page 5 of7 Any sentencing recommendation made by the United States in a particular case m~1st hon~stly reflect the totality and seriousness of the defendant's conduct and must be fully consistent with the Guidelines and applicable statutes and with the readily provable facts about the defendant's history and conduct. This policy applies fully to sentencing recommendations that are contained in plea agreements. The July 28 Memorandum further explains that this basic policy has several important implications. In particular, if readily provable facts are relevant to calculations under the Sentencing Guidelines, the prosecutor must disclose them to the court, including the Probation Office. Likewise, federal prosecutors may not "fact bargain," or be party to any plea agreement that results in the sentencing court having less than a full understanding of all readily provable facts relevant to sentencing. The current provision of the United States Attorneys' Manual that addresses charging policy and that describes the circumstances in which a less serious charge may be appropriate includes the admonition that "[a] negotiated plea which uses any of the options described in this section must be made known to the sentencing court." See U.S.A.M. § 9-27.300(B); see also U.S.A.M. § 9-27.400(B) (''it would be improper for a prosecutor to agree that a departure is in order, but to conceal the agreement in a charge bargain that is presented to a court as a fait accompli so that there is neither a record of nor judicial review of the departure"). Although this Memorandum by its terms supersedes prior Department guidance on this subject, it remains Department policy that the sentencing court should be informed if a plea agreement involves a "charge bargain." Accordingly, a negotiated plea that uses any of the options described in Section I(B)(2), (4), (5), or (6) must be made known to the court at the time of the plea hearing and at the time of sentencing, i.e., the court must be informed that a more serious, readily provable offense was not charged or that an applicable statutory enhancement was not filed. C.Charge Bargaining Charges may be declined or dismissed pursuant to a plea agreement only to the extent consistent with the principles set forth in Section I of this Memorandum. D.Sentence Bargaining There are only two types of permissible sentence bargains. I .Sentences within the Sentencing Guidelines range. Federal prosecutors may enter into a plea agreement for a sentence that is within the specified guideline range. For example, when the Sentencing Guidelines range is 18-24 months, a prosecutor may agree to recommend a sentence of 18 or 20 months rather than to argue for a sentence at the top of the range. Similarly, a prosecutor may agree to recommend a downward adjustment for acceptance of responsibility under U .S.S.G. § 3E 1.1 if the prosecutor concludes in good faith that the defendant is entitled to the adjustment. 2.Departures. In passing the PROTECT Act, Congress has made clear its view that there have been too many downward departures from the Sentencing Guidelines, and it has instructed the Commission to take measures "to ensure that the incidence of downward departures [is] substantially reduced." Pub. L. No. 108-21, § 40l(m)(2)(A), 117 Stat. 650, 675 (2003). The Department has a duty to ensure that the circumstances in which it will request or accede to downward departures in the future are properly circumscribed. Accordingly, federal prosecutors must not request or accede to a downward departure except in the limited circumstances specified in this memorandum and with authorization from an Assistant Attorney General. United States Attorney, or designated supervisory attorney. Likewise, except in http://www.justice.gov/opa/pr/2003/September/03 _ ag_5 l 6.htm 5/5120\ \ :tDlo: U'J-LL-UJ llHE l:H~LUW MtMO WAS DISTRIBUTED TO U.S. ATTORNEYS 0 ... Page 6 of7 such circumstances and with such authorization, prosecutors may not simply stand silent when a downward departure motion is made by the defendant. An Assistant Attorney GeneraL United States Attorney, or designated supervisory attorney may authorize a prosecutor to request or accede to a downward departure at sentencing only in the following circumstances: a.Substantial assistance. Section SK 1.1 of the Sentencing Guidelines provides that, upon motion by the Government. a court may depart from the guideline range. A substantial assistance motion must be based on assistance that is substantial to the Government's case. It is not appropriate to utilize substantial assistance motions as a case management tool to secure plea agreements and avoid trials. b.'"Fast-track.. programs. Federal prosecutors may support a downward departure to the extent consistent with the Sentencing Guidelines and the Attorney General's "Principles for Implementing An Expedited or Fast-Track Prosecution Program." The PROTECT Act specifically recognizes the importance of such programs by requiring the Sentencing Commission to promulgate a policy statement specifically authorizing such departures. c.Other downward departures. As set forth in my July 28 Memorandum, '"[o]ther than these two situations, however, Government acquiescence in a downward departure should be, as the Sentencing Guidelines Manual itself suggests, a "rare occurenc[e]." See U.S.S.G., Ch. 1, Pt. A, il (4)(b). Prosecutors must affirmatively oppose downward departures that are not supported by the facts and the law. and must not agree to .. stand silent" with respect to such departures. In particular, downward departures that would violate the specific restrictions of the PROTECT Act should be vigorously opposed. Moreover, as stated above. Department of Justice policy requires honesty in sentencing. In those cases where federal prosecutors agree to support departures, they are expected to identify departures for the courts. For example, it would be improper for a prosecutor to agree that a departure is warranted, without disclosing such agreement, so that there is neither a record of nor judicial review of the departure. In sum. plea bargaining must honestly reflect the totality and seriousness of the defendant's conduct. and any departure must be accomplished through the application of appropriate Sentencing Guideline provisions. CONCLUSION Federal criminal law and procedure apply equally throughout the United States. As the sole federal prosecuting entity, the Department of Justice has a unique obligation to ensure that all federal criminal cases are prosecuted according to the same standards. Fundamental fairness requires that all defendants prosecuted in the federal criminal justice system be subject to the same standards and treated in a consistent manner. cc: The Acting Deputy Attorney General The Associate Attorney General The Solicitor General The Assistant Attorney General, Criminal Division http://www.justice.gov/opa/pr/2003/September/03 _ag_ 516.htm SJSJ2l>i) n-.J 1 u. u":l-u.-u.J L 1 Mt l:jtLU w !VlcMU wAS LJlSTRJBUTED TO U.S. ATTORNEYS 0... Page 7 of 7 The Assistant Attorney General, Antitrust Division The Assistant Attorney General, Civil Rights Division The Assistant Attorney General, Environment and Natural Resources Division The Assistant Attorney General, Tax Division The Assistant Attorney General, Civil Division The Director, Executive Office of United States Attorneys ### 03-516 http://~w.justice.gov/opa/pr/2003/September/03 _ ag_ 516.htm 5/5/201} lmfffrl' of till' 1'ttorne\2 tnerul lllaa~ington. fn. QI. 205311 September 22, 2003 TO: All Uniled Stnles Anomcys f-ROM: Jnhn Ashcro~ i\Ltorney Gen{jj1"' ~ Departmen1 Principles for Implementing an Expedited Disposition or "f<"asl- SUBJECT: Tr:ick'. Prosecution Program in a Districl Section 401 (m)(2)(B) of the 2003 Prosecutorial Remedies and Olher Tools lo end lhe Exploitation of Children Today Acr ("PROTECT Act") instrucls the Sentencing Commission lo promulgate, hy Octoher 27. 2003. a poli9 statement authorizing a downward departure of not mon:: than 4 levels "pursu::ml to an early disposition program authorized by rile Auoniey General and the United St:i1e:; t\ttomey." Pub. L. No. 108-2 J. § 401(m)(2)(B). 117 Stal. 650. 675 (2003). Allhough the PROTECT Ac! requirement of Attorney General aulhorizalion only applies by its tcm1s lo fast-track programs that rely on Jownw;ird departures, the Memorandum I have issued on ''Dcpanment Policy Concerning Charging Criminal Offenses, Disposition of Charges, and Sentencing·· likewise requires Attorney Gencr:ll approv3J for any "fast-track" progr~m that relies upon "charge bargaining"~ i.e., a program whereby the Government agrees to charge less lhan the most serious. readily pro,•ablc offense. This memorandum sets forth the general criteria that must he satisfied in onkr to obtain Attorney General authorization for "fast-track" programs and the procedures hy v.'hich U.S. Attorneys may seek 5uch il\llhoriLation. 1 I. REQUIRED CRITERIA FOR ATTORNEY GENERAL AUTHORIZA1'10N OF A "FAST-TRACK'' PROGR..\.1\:1. Early disposition or "fast-track" programs are based on the premise that a defendant who promptly agrees to participale in such a program has saved the government significant and scarce resources 1hat can be used in prosecuLing other defendants and has demonstrated an acceptance of responsibility above and beyond what is already taken into account by the adjustrncnts contained in ll.S.S.G. § 3El. l. These programs are properly reserved for exceptional circumstances. such as where the resources of a district would otherwise be significantly strained by the large volume of a particular category of cases. Such programs arc not to be used simply to avoi\I the onhnary application of tbe Guidelines to a particular class of cases. 1 The req11ircment 1h:11 a fas1-1ra.ck prngrarn be ai1proved by 1he .. Atwmey G..:neral" un<.le1 the PROTEl.1 Act or under 1hc>e Principles may .1Jso he s;i1isficd by oht:iining the approval of the Deputy Attorney General. Set! 28 U.S.C. * 510; 28 C.FK ~ 0.15(a). In order co obtain J\nomey General aulhorirnlion to implement a "fast track" program, the United States ALtomey must submit a proposal that demonstrates that (A) ( J) the district cunfronts an e:xccptionally large number of a specific class of offenses within [he district, and failure to handle such cases on an expedited or "fast-track" basis would significantly strai11 prosecutorial and judicial resources available in the district; or ~onfronts some other exceptional local circumstance with respect to a specific class of cases that justifies expedited disposition of such cases; (2) [he district (13) declination uf such cases in favor of state prosecution is either unavailable or clearly \lllW<"lrrnnted: (C) the specific class of cases consists of ones tliat arc highly repetitive and present substant.ially similar fact scenarios; and (D) the cases do not involve an offense that has been designated by the Attorney General as a "crime of violence." See 28 C.F.R. § 28.2 (listing offenses designated by the Attorney General as "crimes of violence" for purposes of the DNA collection provisions of the USA PATRIOT Act). These criteria will ensure that "fast-track" programs arc implemented only when warranted. Thus, these criteria specify more clearly the circumstances under which a fast-track program could properly he implemented based on the high incidence of a particular type of offense within a district - one of the rnost commonly cited reasons for justifying fast-track programs. Paragraph (A)(2), however, does not foreclose the possibility that there may be .some other exceptional local circumstam:e, other than the high incidence of a particular type of offense, that could ~onceivahly warrant "fast-track" treatment. II. REQUIREMENTS GOVERNING UNITED STATES ATTORNEY IMPLEMENTATION OF FAST-TRACK PROGRAMS. Once a United States Attorney has obtained authorization from the Attorney General to implement a fast-track program with respect to a particular specified class of offenses, the United States Attorney rnay implement such program in the manner he or she deems appropriate for that district, provided thal the program is otherwise consistent with the law, the Sentencing Guidelines, and Department regulations and policy. Any such program must include the following elements: A. Expedi1ed disposition. Within a reasonably prompt period after the filing of federal charges. to he tletenni11cd based on the practice in the district, che Defendant must agree to plead guilty to an offense covered by the fast-track program. -2- B. Minimum requiremenlsfor "fast-track" plea agre<~ment. The Ddcndant must enter imo a written plea agreement thal includes at least lhe following tcm1s: i. The Jefcndanl agrees tu a factual basis that accurately reflects his or her offense conduct; ii. The. defendant agrees not to file any of lbc motions described in Rule 12(b){3), Fed. R. Crim. P. 111. The defendant agrees to waive appeal; and iv. The defendant agrees to waive th<:: opportunity lo challenge his or her conviction under 28 U.S.C. § 2255, except on the issue of ineffective assistance of counsel. c~f plea agreement. In exchange for the above, the attorney for the Government may agree to move at sentencing for a downward departure from the adjusted b;~se offense level found by the District Court (after application of the adjustment for acceptance of responsibility) of a specific number of levels, not to exceed 4 levels. The plea agreement may conunit the departure \o the discretion of the district court, or the parties rnay agree to bind the district court to a specific number of levels, up to four levels, pursuant tu Rule l l(c)(I )(C), Fed. R. Crim. P. A "charge bargaining" fasttrnck program should provide for sentencing reductions that are commensurate with the foregoing. The parties may otherwise agree to the application of the Sentr;;ncing Guidelines consistently with the provisions of the Sentencing Guidelines and Rule 11. C. Additional provisions Ill. PROCEDURES WlTH RESPECT TO IMPLEMENTATION OF FAST-TRACK PROGRAMS. Procedures for Attorney General approwil. Before implementing a fast-track program. a district must submit to the Director of the Executive Office for United States Attorneys (EOUSA), for Attorney General approval, its proposal to implement a fast-track program. Likewise. any such program in existence on the date of this Memorandum may not be continued after October 27, 2003. unless a fast-track proposal h::is been submitted and approved. Any fastlrack proposal must contain the following clements: A. An identification of the specific Crnrral llas~ington. 'ID.~. 20.5.30 April 4, 2003 MEMORANDUM FOR HEADS OF ALL FEDERAL DEP.ARTMENTS A?\D AGENCIES, lNCLUDll\G THE FEDERAL BUREAU OF INVESTIGATION (see attached distribution list) FROM: THE ATTORNEY GENE Sl.J3JECT: Implementation of Section 586 of the Foreign Operations, Export Financing, and Related Programs Appropriations Act, Pub. L. No. 108-7, 117 Stat. 11, 215-16 (February 20, 2003), Concerning Information Relevant to Murders of American Churchwomen and Other American Citizens in El Salvador and Guatemala Section 586 of Public Law l 08-7 provides in pertinent part that ..the President shall order all Federal agencies and departments, including the Federal Bureau of Investigation, that possess relevant information" concerning certain murders that occurred in El Salvador and Guatemala, "to expeditiously declassify and release to the viccims' families such infonnation, consistent with existing standards and procedures on classification." Section 586 further provides that "[i]n making detenninations concerning declassification and release of relevant information, all Federal agencies and departments should use the discretion contained within such existing standards and procedures on classification in support of releasing, rather than withholding, such information." A copy of section 586 is attached to chis memorandum al Tab 1. The President's signing statement on Public Law l 08- 7 provides that "the duty of the President under section 586 * * * to issue and provide copies of an order relating to consideration of th1; release of information is assigned to the Attorney General, who shall ensure that the section is implemented in a manner consistent with the President's constitutional authority to withhold infom1ation, the disclosure of which could impair foreign relations, national security, the deliberative processes of the Executive, or the pcrfom1ance of the Executive's constitutional duties." A copy of the President's signing statement is attached to this memorandum at Tab 2. This memorandum implements the stah1tory directive set forth in section 586 in accordance with the President's signing statement. Section 586 identifies three categories of murders to which it applies: "the December 2, 1980, murders of four American churchwomen in El Salvador"; "the May 5, 2001, murder of Sister Barbara Ann Ford"; and "the murders of other American citizens in Guatemala since December 1999." On or before 30 days from the date of this memorandum, the Department of State shall submit to me, through the Department of Justice point of contact specified below, a list of the names and other identifying information concerning any American citizens murdered in Guatemala between December l, 1999, and February 20, 2003 (the date of enactment of section 586); the Department of State shall also submit a list of the names and other identifying information concerning the four American churchwomen murdered in El Salvador on December 2, 1980. This infomrntion will be used to assist other departments and agencies in conducting searches for relevant information. Also within 30 days from the date of this memorandum, all departments and agencies shall submit to me, through the Department of Justice point of contact specified below, the names, telephone and fax numbers, e-mail addresses, and mailing addresses of their points of contact on this matter. The Department of Justice point of contact is Melanie Ann Pustay, Deputy Director, Office oflnfonnation and Privacy. Ms. Pustay can be reached by telephone at 202-514-3642, by fax at 202-514-1009, and by e-mail at <>. Her mailing address is Department of Justice, Flag Building, Suite 570, Washington, D.C. 20530. On or before 120 days from the date of this memorandum, the heads of all Federal departments and agencies, as well as the Director of the FBI, shall report to me in writing, through Ms. Pustay, on whether each such government entity possesses information relevant to the murders specified in section 586 and identified by the State Department. For any department or agency that does possess such information, the report shall also set forth a written plan for expeditious review of the information for possible release to the victims' families. The plan shall include an estimate of the date by which the review and possible release of infomiation to the victims' families is expected to be completed, and a statement that supports and justifies the estimate. If any plan estimates that this review process will not be completed by 210 days from the date of this memorandum, the plan shall provide for submission of a written progress report to me through Ms. Pustay on or before 210 days from the date of this memorandum. As indicated in the President's signing statement, the review process shall be conducted in a manner consistent with the President's constitutional authority to withhold information, the disclosure of which could impair foreign relations, national security, the deliberative processes of the Executive, or the performance of the Executive's constitutional duties. In that regard, please note that Executive Order 12958, governing classification and declassification of national security information, was amended on March 25, 2003. A copy of this memorandum is being provided to the Committees on Appropriations of the House of Representatives and the Senate. 2 Distribution List: Department of Agriculture Department of Conunerce Department of Defense Department of Education Department of Energy Department of Health and Human Services Department of Homeland Security Department of Housing and Urban Development Department of the Interior Department of Labor Department of State Department of Transportation Department of the Treasury Department of Veterans Affairs Federal Bureau of Investigation Broadcasting Board of Governors Central lntclligence Agency Corrunission on Civil Rights Commodity Futures Trading Commission Consumer Product Safety Commission Corporation for National and Community Service Defense Nuclear Facilities Safety Board Environmental Protection Agency Equal Employment Opportunity Commission Export-Import Bank of the United States Farm Credit Administration Federal Communications Commission Federal Deposit Insurance Corporation Federal Election Commission Federal Emergency Management Agency Federal Housing Finance Board Federal Labor Relations Authority Federal Maritime Commission Federal Mediation and Conciliation Service Federal Mine Safety and Health Review Commission Federal Reserve System Federal Retirement Thrift Investment Board Federal Trade Commission General Services Administration 3 Institute of Museum and Library Services Inter-American Foundation Jntemational Broadcasting Bureau Merit Systems Protection Board National Aeronautics and Space Administration National Archives and Records Administration National Capital Planning Commission National Council on Disability National Credit Union Administration National Endowment for the Arts National EndO\vment for the Humanities National Labor Relations Board National Mediation Board National Railroad Passenger Corporation National Science Foundation National Transportation Safety Board Nuclear Regulatory Commission Occupational Safety and Health Review Commission Office of Compliance Office of Government Ethics Office of Personnel Management Oftlce of Special Counsel Overseas Private Investment Corporation Panama Canal Commission Peace Corps Pension Benefit Guaranty Corporation Postal Rate Commission Railroad Retirement Board Securities and Exchange Commission Selective Service System Small Business Administration Social Security Administration Tennessee VaJley Authority Trade and Development Agency United States Agency for International Development United States International Trade Commission United States Postal Service 4 Tab 1: Section 586 of the Foreign Operations, Export Financing, and Related Programs Appropriations Act, Pub. L. No. 108-7, 117 Stat. 11, 215-16 (February 20, 2003) AMERICAN CHURCHWOMEN AND OTHER CITIZENS IN EL SALVADOR AND GUATEMALA Sec. 586 (a) Information relevant to the December 2, 1980, murders of four American churchwomen in El Salvador, and the May 5, 2001, murder of Sister Barbara Ann Ford and the murders of other American citizens in Guatemala since December 1999, should be investigated and made public. (b) Not later than 45 days after enactment of this Act, the President shall order all Federal agencies and departments, including the Federal Bureau of Investigation, that possess relevant information, to expeditiously declassify and release to the victims' families such information, consistent with existing standards and procedures on classification, and shall provide a copy of such order to the Committees on Appropriations. (c) In making determinations concerning declassification and release of relevant information, all Federal agencies and departments should use the discretion contained within such existing standards and procedures on classification in support of releasing, rather than withholding, such information. (d) All reasonable efforts should be taken by the American Embassy in Guatemala to work with relevant agencies of the Guatemalan Government to protect the safety of American citizens in Guatemala, and to assist in the investigations of violations of human rights. This division may be cited as the "Foreign Operations, Export Financing, and Related Programs Appropriations Act, 2003". Tab 2: President's signing statement on Section 586 of the Foreign Operations, Export Financing, and Related Programs Appropriations Act, Pub. L. No. I 08-7, 117 Stat. 11, 215-16 (February 20, 2003) Today I have signed into law H.J. Res. 2, the "Consolidated Appropriations Resolution, 2003," which contains the remaining 11 annual appropriations acts for fiscal year 2003. The funds appropriated by this bill will provide valuable resources for priorities such as homeland security, military operations, and education. * * * * In addition, a number of provisions of H.J. Res. 2 are inconsistent with the constitutional authority of the President to conduct foreign affairs, command the Armed Forces, supervise the unitary executive branch, protect sensitive information, and make recommendations to the Congress. Other provisions unconstitutionally condition execution of the laws by the executive branch upon approval by congressional committees. * * * * Furthermore, the duty of the President under section 586 of the Foreign Operations Appropriations Act to issue and provide copies of an order relating to consideration of the release of information is assigned to the Attorney General, who shull ensure that the section is implemented in a manner consistent with the President's constitutional authority to withhold information, the disclosure of which could impair foreign relations, national security, the deliberative processes of the Executive, or the performance of the Executive's constitutional duties. * * * * George w. Bush The White House, February 20, 2003. Q!)ffice of tlte }.ttornr~ ~enrral ll1Jas qingtou. ID. ~. 20.5:30 March 12, 2003 MEMORA~DUM FOR HEADS OF DEPARTMENT COMPONENTS FROM: THE ATTORNEY GE~ SURJECT: ".':atiunal Women's Historv Month, March 2003 March 2003 commemorates National Women's History Month. During this month, the Department of Justice will be sponsoring and presenting a wide variety of programs that formally recognize the substantial contributions women have made to the Department and to America. This annual observance was originally inspired by female textile and gam1ent workers in New York who went on strike on March 8, 1857, to protest their low wages and poor working conditions. Soon thereafter, March 8 was celebrated each year as American Women's Day. In the 1970s, the tribute was expanded to a full week, and since 1987, the entire month of March has been proclaimed as Women's History Month. This year, as Wt! honor the integml role that women have consistently played in the development and sustained progress of our great nation, we will be highlighting many of their most important achievements and contributions through a series of exhibits, programs, and other activities. I invite your staff, managers, and employees to join in studying this rich history. In view of the special significance of".':ational Women's History Month. please infom1 your employees in the Washington Metropolitan area of scheduled activities and grant them reasonable, official time to participate. ~ttomep (.(9eneral Wasbington, }).~. 20530 ®ff ice of tbe January 29, 2003 MEMORANDUM FOR ALL UNLTED STATES ATTORNEYS, Tiffi ACTING DIRECTOR or THE BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES (ATF), ALL ATF SPECIAL AGENTS [N CHARGE, AND THE DIRECTOR OF THE EXECUTIVE OFFICE FOR UNITED STATES ATI'OR.""IEYS FROM: nm ATTORNEY GENERA~ SUBJECT Coordinating Department of Justice Efforts to Combat Gun Crime Reducing gun crime is a top priority uf the Department of Justice. Vigorous enforcement of existing gun laws reduces gun crime and provides greater safety and security for Americans in their homes and neighborhoods. Through Project Sate Neighborhoods, the Administration is pursuing a comprehensive national strategy to enforce vigorously Federal and state gun laws. A central element to the success of Project Safe Neighborhood-; is the coordination of the efforts of Federal, state, and local investigators and prosecutors in responding to evel)' crime involving a gun, ensuring that criminals violating gun laws receive the toughest possible pwtish~nt. On January 24, 2003, the law enforcement functions and missions of the Treasury Department's Bureau of Alcohol, Tobacco, and Firearms were transferred to the Department of Justice (Department) as the new Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF). ATF takes its place along side the Department's other lav·1 enforcement components, reporting to me through the Deputy Attorney General. ATF is unique among Federal law enforcement agencies in its focus on the enforcement of Federal firearms and explosives laws For that reason, ATF plays a key role in Project Safe Neighborhoods. A TF's integration into the Department allows for increased coordination of ftreanns investigations :md prosecutions l>t:twcen ATF and Dcpartrm:nt prosecutors and law enforcement components. To take immediate advantage of these new opportunities, I am hereby directing you to undertake forther action to coordinate and enhance the Department's efforts to combat gun crime. 1. Coordinating ATF Investigations with US. Attorney Referral Criteria As part of Project Safe :-.Jeighborhoods, all United States Attorneys have developed a plan individually tailored to the gun crime problem of each of their districts. An important part of those plans is the rcfcmtl criteria established by each U.S Attorney's Office for the types of gun Memorandum for All U.S. Attorneys; Acting Director, ATF, All ATF Special Agents In Charge and the Director, EOUSA Page2 cases that should be referred by investigators for Federal prosecution. To make the most of ATF's investigative resources, it is crucial that the U.S. Attorneys and ATF have a clear understanding of the guidelines for cases to be referred for Federal prosecution and cases that should be referred for state prosecution. Accordingly, I hereby direct all United States Attorneys and corresponding ATF Special Agents in Charge to meet within the next 30 days and confer on prosecution referral guidelines and criteria to ensure that prosecutors and A TF investigators are fully coordinated on the investigation and prosecution of gw1 cases. United States Attorneys shall also coordinate with local prosecutors to ensure that a case developed by ATF that does not meet the criteria for Federal prosecution, is immediately referred to state prosecutors when it satisfies standards for state prosecution. 2. Coordinating the ATF and US Attorney Referral Systems Keeping accurate and integrated infom1ation on gun case investigations, referrals, and prosecutions is critical to identifying the nature of gun crime in particular districts, making possible connections to other cases, and measuring the success of our enforcement efforts. The Executive Office of United States Attorneys will implement by the end of this year its new Enterprise Case Management System and the A TF has its own system for case management and tracking. Historically, the Department and ATF referral systems have had different ways of counting cases. These systems must be made compatible and coordinated so that infonnatiou on gun cases investigated and refeITed corresponds to information on declinations and prosecutions. Doing so will allow us to make tht: most of the infonnation as an analytical tool supporting our enforcement goals Therefore, I hereby direct the Executive Office for United States Attorneys and ATF to integrate their case referral systems so that the Department has a fully coordinated system for tracking and recording fireaim case referrals and prosecutions. @ff ice of tlJe £lttornep 4?eneral Wasbington, Jll.QI:. 20530 January 29, 2003 MEMORANDUM FOR THE ASSISTANT AITORNEY GENER.AL FOR ll IE CRIMINAL DIVISION, THE ASSISTANT ATTORNEY GENERAL FOR LEGAL POLICY, ALL UNJTED STATES ATTORNEYS, THE ACTING DIRECTOR OF THE BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES, THE DIRECTOR 01-' THE FEDERAL BUREAU OF 11'-l'VESTIGATION, THE ACTfNG ADMINISTRATOR OF THE DRUG ENfORCEl\.lENT ADMlNISTRA TION, TliE DIR.ECTOR OF THE EXECUTIVE OFFICE OF UNITED STATES ATTORNEYS, AND THE CIIAIRM.A.N OF THE ATTORNEY GENERAL'S ADVJSORY COMMITTEE GENERAL~ FROM: THE ATTORNEY SUBJECT: Strengthening Department Efforts t9 Combat Gun Trafficking The illegal diversion of guns into the handi; of criminals and or her prohibited persons is a major cause of gun crime and a threat to public safety. The investigation and prosecution of illegal gun trafficking is a priority for Project Safe Neighborhoods, the Department of Justice's comprehensive national strategy to enforce vigurously Federal and state gun laws. To better coordinate these cfforts and strengthen the tools available to combat gun trafficking, I am directing you to take the following actions. 1. Prosecuting Those Who Lie to Avoid Brady Checks Preventing gw1 crime starts with keeping guns out of the hands of criminals and other prohibited persons. The: Brauy Act plays an imponant role in such prevention by requiring Federally licensed fireanns dealers to obtain a background check on gun buyers prior to tnmsferring a fireann, and that system has resulted in approximately 600,000 denials to date. To deter effmts by prohibited persons from obtaining guns, on JWle 28, 200 l, I directed all United States Attorneys to make it a priority to prosecute persons who illegally attempt to circumvent the background check system by 1ying on the required fonns l hereby direct all United States Attorneys, in consultation with the Bureau of Alcohol, Tobacco, Fireanns, and Explosives (ATF} and the Executive Office of United States Attorneys, to audit and report to me on the cases being brought pursuant to my directive of June 28, 2001. Memorandum for the AAG, Criminal Division; AAG, OLP; All U.S. Attorneys; Acting Director, ATF; Director, FBI; Acting Administrator, DEA; Director, EOUSA; Chaimlail of the AGAC Page 2 2 Tougher Penalties for Gun Traffickers Gun trafficking occurs notwithstanding Brady background checks through persons who circumvent the law and unlawfully divert guns from conunerce. An example is the "straw purchase." A straw purchase occurs when the actual buyer of a fireann, frequently a prohibited person such as a felon, uses another person without a prohibiting record to execute the paperwork to buy a gun from a gun dealer. Straw purchasers often profit from the resale of guns to criminals on the street, including violent gang members. While the penalties for gun trafficking in the Federal Sentencing Guidelines were increased effective November 2001, the sentences available for violations involving smaller numbers of guns are still relatively low. For example, the enforcement tool used for straw purchases cases, 18 U.S.C. 922{a)(6) (making it unlawful to lie to a gun dealer about the lawfulness of the sale), carries a maximum penalty of I 0 years imprisonment Under the Sentencing Guidelines, sections 2K2.1 and 3 El. l, however, in cases involving three to seven guns, a gun trafficker with a minimal criminal record who accepts responsibility by pleading gui1ty is subject to a sentence range from 10 to 16 months. Even at the high end of the guidelines the sentenc~s may not provide adequate deterrence to large scale gun trafficking - in cases involving 200 or more guns, a similar offender is subject to a sentence range of 33-4 l months. Given the fact that trafficking even a few guns into the hands of a criminal can cause serious violence in our neighborhoods, the punislunent for such crime should be sufficient to deliver the message of deterrence that makes Project Safe Neighborhoods a success. These cases should not all be viewed as mere paper offenses. I am therefore directing the Criminal Division, in consultation with the Office of Legal Policy, ATF, the Federal Bureau oflnvestigation (FBI), the Drug Enforcement Administration (DEA) and the Attorney General's Advisory Committee, to re-view the experience under existing Federal Sentencing Guidelines for firearms trafficking cases and to make appropriate recommendations for seeking an increase in the Guidelines. 3. Coordinating Gun Trafficking Cases That Cross Stale and District Boundaries Trafficking in fireanns frequently crosses state and district boundaries. Such cases benefit from close coordination. Last sununer's arrest of dozens of college students purchasing guns in southern states for illegal resale on the streets of New York City and elsewhere demonstrates the success that can be achieved from the coordination of interstate trafficking cases. I therefore direct the Crimina1 Division, the Executive Office of United States Attorneys, ATF, DEA, and the FBI to establish procedures for coordinating the investigation and prosecution of illegal gun trafficking cases that cross state and district boundaries. QMficl' ltf tli~ .!ttl.lrnl'l! <.19.cner'll Bas~ingtun. ID. Q1. 211.5.:lJ.l January 24, 2003 MEMORANDUM FOR ALL BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND EXPLOSIVES EMPLOYEES Ge~ FROM: The Attorney SUBJECT: Welcome to the Department of Justice On be ha If of the Department of Justice, allow me to be the first to welcome you to our team. Your reputation as highly skilled law enforcement professionals is well recognized among your peers in the law enforcement community, and by the public in general. 1 am pleased for the oppotiunity lo work with you. I recently spent time with Director Buckles at the annual Department of Justice Leadership Retreat. It was an excellent opportunity to discuss our shared goals as ATF joins the Department of Justice. lhe partnership between Justice and ATF will strt:ngthen America's ability to tight gun crime, the illegal use of explosives, and arson. 011 our shoulders rests the responsibility of upholding the American justice tradition that strives lll bring protection lo the weak, freedom to the restrained, lib.C. \o\'crnbcr 2002 Dear DOJ Frnnily, As Americans prepare to cclcbmtc Th:mksgi\'ing, I am reminded of the many blessings made possibk by 1hc sacrifa:c of g.i:ner:11ions 1hat have gone before us. In their lirst ycJri; in thi: l\cw World. the Pilgrims suffered anJ sacritkcd. paving the ''ay li.lr the America that l\O\\ c:-. isl:-. I >uring one particul<1rly harsh time, known as ''The Stan·ing." c:ich Pilgrim was for 20% of all violent crimes against women, and over one million women arc stalked each year. Domestic violence harms children, as well; in addition to the psychological hann suffered by children living in violent environments, it is estimated that in 30-60% of domestic violence cases, children are actively maltreated. Clearly, we have much more work to do. As Attorney General, I remain committed strongly to acting with the full force of the law to crndicatc this crime. With continued collaboration within communities, we can build effective, responsive criminal and civil justice systems. All domestic violence crimes, whether assault with a deadly weapon or violation of a protection order, must be taken seriously and responded to as threats to the safety of the entire community. We must continue to develop and share successful methods of keeping victims safe and holding perpetrators accountable. Together, we can work to ensure that the legal system provides victims of domestic violence with equal and safe access to justice and protection. There are many resources available for victims, including the U.S. Office of Personnel Management's guidebook online entitled ''Responding to Domestic Violence: Where Federal Employees Can Find Help" at: http://www.oprn.gov/chs/workplac/htrnl/domcstic.html, and the National Domestic Violence Hotline, 1-800-799-SAFE (voice) or 1-800-787-3224 (TTY). ®ffirr nf tl1e AttorntJ! l6rnrral Bas~ington. ID. tnrral Ba.al,ingh1n, ID. lo !!•1thcr wirh our families and fricnJs ana~. kt· s join together In rcdcdic:1tc oursd\cs to our critical rni->sion: 111 !lrnt,·ct .-\rnaicans a~ainsl futmc acts of h:rrorism and to hrin,:. r.:n-orio;!s (() jmric.:. l"ulfrllirrg our mis~ion mean.~ 1m.:s<.•n.·it1!! for future g.<.:11cratio11s the frccdlllll'> \\C hold s(I dc:ir. \la:- you .:njo:- a happy. -;af.: and m.::111ingful lmlqx:ndl!lll'.<..' Day. t•ll. and GoJ blt·ss .-\mi:rii:n. --------------------...---..........____________ (l~ffice llf tl!t !ttcrnrl_! ~rnrral llJag~\ngton. ID. QI. 20530 June 7, 2002 MEMORANDUM FOR ALL DEPARTMENT EMPLOYEES THE ATTORNEY GE~ FROM: Last night, President Bush announced his proposal for the creation of a new cabinet agency: the Department of Homeland Security. I applaud the President for seizing this historic moment and I stand firmly by him as he reorganizes the federal government to win the War on Terrorism and protect Americans from future attacks. We are facing the greatest threat to our nation and our way of life since World War II. The President's plan recognizes that, when terrorists threaten the very ground beneath our feet, we must build even stronger foundations for freedom's defense. This plan rcpresenlc; the most extensive reorganization of the federal government since the 1940s. When enacted by Congress, the proposal will charge the Department of Homeland Security with four primary tasks. • • • • Border and Transportation Security; Emergency Preparedness and Response; Chemical, Biological, Radiological and Nuclear Countermeasures; and Information Analysis and Infrastructure Protection. As the proposal develops and is finalized by Congress, we will communicate further details to you regarding the changes to be made here at the Department of Justice. In the interim, I ask you to remain focused daily on our critical mission: to protect Americans against future acts of terrorism and to bring terrorists to justice. Jn the months since September l l°', we have been vigilant in our mission, dctennined in our resolve, and confident in America's victory. As the President stated last night, America is leading the civilized world in a titanic struggle against terror. Freedom and fear are at war -and freedom is winning. I join each of you with confidence as we continue to fight this war with every measure of our strength, our resources and our commitment. Thank you for your continued service to America. 11 11 <.Officr of t~e !ttornrt! (~rnrral lla11J1ingtan. ID. QI. 20.530 May 17, 2002 MEMORANDUM FOR HEADS OF DEPARTMENT COMPOI\ENTS FROM: THE ATI'ORNEY GENERAL ,~f~..... SUBJECT: The Attorney General's Advisory Committee on Disability Employment Issues _ On February I, 2001, President Bush announced the New Freedom Initiative to tear down barriers to equality facing many people with disabilities. Among its goals, the initiative will assist Americans with disabilities to increase their access to assistive technologies and improve their opportunities to integrate into the workforce. Subsequently, on November 8, 2001, a series of goals and management initiatives contained in the Comprehensive Review and Reorganization of the Department of Justice (Comprehensive Review) were announced reflecting the changed priorities of the Department of Justice (Department) in the wake of the September 11, 2001 tragedy. Goal 9 of the Comprehensive Review seeks to "strengthen policies to attract a highly qualified, diverse workforce." The Attorney General's Advisory Committee on Disability Employment Issues (Committee) has a well-established history of working with the Department's management to hire, promote, and accommodate employees and applicants with disabilities. The Committee will help implement President Bush's New Freedom Initiative and assist the Department in meeting its goals of diversifying its workforce by developing and helping implement initiatives to hire, successfully employ, and promote increased numbers of qualified Americans with disabilities at the Department. In addition, the Committee helped develop the recently implemented program plan for ensuring accessibility of the Department's electronic and information technology under Section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794(d), and helped prepare the proposed reasonable accommodation policies and procedures for the Department required by the Equal Employment Opportunity Commission. The Committee will monitor implementation of the plans to assist the Department in meeting its legal obligations and avoiding law suits and administrative complaints. Page 2 Memorandum for the Attorney General The Attorney General's Advisory Committee on Disability Employment Issues The Committee is mostly comprised of Departmental attorneys with disabilities from several components, primarily legal divisions. It is Co-chaired by Fred Pannenter, a Senior Trial Attorney in the Antitrust Division. Advisors to the Committee include representatives of the Justice Management Division's Equal Employment Opportunity Staff (EEOS), the Office of Attorney Recruitment and Management, and the Executive Office for United States Attorneys. To enable the Committee to carry out its work and better address the issues involving all occupations and components, additional Committee members need to be appointed. In doing this, we want to broaden the Committee's membership to include non-attorneys and all Department components. The Committee's second co-chair position is vacant. Today, I am appointing Minh Vu, a Counselor to the Assistant Altorney General for Civil Rights, to that position. In addition, I would like each component to identify individuals who can make a valuable contribution to the Committee and submit their nomination within 30 days to Ted McBurrows, Director, EEOS, Room 7543, Main Building, 950 Pennsylvania Avenue, N.W., Washington D.C. 20530-0001. .. _..._ .. -. - ·-------- (@ffice of t~e l\ttarnrl! <.irnrrnl 1'as~ington. 'ID. Ql. 20530 May 14, 2002 ? MEMORANDUM FOR ROBERTS MUELLER. lll DIRECTOR FEDERAL BUREAU OF INVESTIGATION FROM SUBJECT: THEATTORNEYG~ FINANCIAL ST ATEMENTS CLEAN OPfNION AND APPRECIATION FOR FINANCIAL MANAGEMENT STAFF The recently concluded audit of the Department's Fiscal Year (FY) 200 I financial statements resulted in a Dcpartmcntwide unqualified ("clean") opinion on all our financial statements. This is the first time we have earned a clean opinion on all the required federal statements. I am extremely pleased with this important achievement, and it would not have been possible without the hard work and dedication of your financial managers and other supporting staffs. The clean audit opinion was the direct result of the sustained effort made by each Department component to improve their accounting practices and produce timely and accurate financial reports. This took tremendous work and a year long effort, but it was clear from the beginning that we had the total commitment of the financial managers at the Federal Bureau of Investigation Our success was made possible because of their dedication, and I want to extend my personal appreciation to several individuals on your staff for their work during the FY 2001 financial statement process. In panicular, the efforts of James G. Cole, James E. Reynolds, Katie M. Southern-Kelley, Steven H. Gumenick, Martha A. Russ, Rhonda L. Meyer and Steven W. McPeak stood out when it came time for the consolidated Depanmentwide statements to be prepared. Our goal for FY 2002 is to see each component move beyond their clean opinions and eliminate the financial management material weaknesses and other findings which were cited in the reports of the Inspector General and the independent auditors In addition, we also face greatly accelerated governmentwide audit due dates this year. While we continue to have significant challenges ahead, your financial managers have created a strong foundation for the Department's financial reporting future. I greatly appreciate what your team has accomplished, and 1 look forward to seeing the progress we make this coming year. ------- ----- c.@ffite of t~e Attarntt? ~tneral Basqington. 'ID. The clean audit opinion was the direct result of the sustained effort made by each Department component to improve their accounting practices and produce timely and accurate financial reports. This took tremendous work and a year long effort, but it was clear from the beginning that we had the total commitment of the financial managers at the United States Marshals Service. Our success was made possible because of their dedication, and I want to extend my personal appreciation to several individuals on your staff for their work during the FY 200 I financial statement process. In particular, the efforts o stood out when it came time for the consolidated Dcpartmentwide statements to be prepared. Our goal for FY 2002 is to see each component move beyond their clean opinions and eliminate the financial management material weaknesses and other findings which were cited in the reports of the inspector General and the independent auditors. In addition, we also face greatly accelerated governmentwide audit due dates this year While we continue to have significant challenges ahead, your financial managers have created a strong foundation for the Department's financial reporting future. I greatly appreciate what your team has accomplished, and l look forward to seeing the progress we make this coming year. (@Hice of t~t !ttarnrl? ~enernl lllasqington. ID. QI. 20.5:3U May 14, 2002 MEMORANDUM FOR ROBERT F. DIEGELMAN ACTING CHIEF FINANCIAL OFFICER JUSTICE MANAGEMENT DIVISION GEN~ FROM: THE ATTORNEY SUBJECT. FINAJ'1CIAL STATEMENTS CLEAN OPINION AND APPRECIATION FOR FINANCIAL MANAGEMENT STAFF The recently concluded audit of the Department's Fiscal Year (FY) 2001 financial statements resulted in a Departmentwide unqualified ("clean") opinion on all our financial statements This is the first time we have earned a clean opinion on all the required federal statements. I am extremely pleased with this important achievement, and it would not have been possible without the hard work and dedication of your financial managers and other supporting staffs The dean audit opinion was the direct result of the sustained effort made by each Department component to improve their accounting practices and produce timely and accurate financial repo11s. This took tremendous work and a year long effort, but it was clear from the beginning that we had the total commitment of the financial managers at the Justice Management Division. Our success was made possible because of their dedication, and l want to extend my personal appreciation to several individuals on your staff for their work during the FY 200 I financial statement process In particular, the efforts of Gail Jenkins, Christopher C. Alvarez, Katherine M. Drew, Florence F. Liu, Lynn B. Poyner, Valerie D. Grant, David M. Bethea, Marcia K Paull, Letitia Bing, Angela Wood, Amanda Byrd, Lorine Alston, Kevin Derouin, llollcy O'Brien, Valeria Dungee, Chester Buster and Mary DeaVone stood out when it came time for the consolidated Departmentwide statements to be prepared. Our goal for FY 2002 is to sec each component move beyond their clean opinions and eliminate the financial management material weaknesses and other findings which were cited in the reports of the Inspector General and the independent auditors. In addition, we also face Memorandum for Robert F. Diegelman Subject: Financial Statements Clean Opinion and Appreciation for Financial Managen~nt Staff Page2 greatly accelerated governmentwidc audit due dates this year. While we continue to have significant challenges ahead, your financial managers have created a strong foundation for the Depanment's financial reporting future. I greatly appreciate what your team has accomplished, and I look forward to seeing the progress we make this coming year. cc: Eugene H. Schied Deputy Chief Financial Officer Lee J. Lofthus Director, Finance Staff ---·-----------·---. (@fficl' of tl1r 1\ttorntt! lllla.s~tngtan. ~tnrral m. Qt. 20.5.'.30 May 14, 2002 MEMORANDUM FOR JAMES W. ZIGLAR COMMISSIONER IMMIGRATION AND NATURALIZATION SERVICE FRO~: TllEATTORNEYGENE~ SUBJECT: FINANCIAL STATEMENTS CLEAN OPINION AND APPRECIATION FOR FINANClAL MANAGEMENT STAFF The recently concluded audit of the Department's Fiscal Year (FY) 2001 financial statements resulted in a Depanmentwide unqualified ("clean") opinion on all our financial statements. This is the first time we have earned a clean opinion on all the required federal statements. I am extremely pleased with this important achievement, and it would not have been possible without the hard work and dedication of your financial managers and other supporting staffs. The clean audit opinion was the direct result of the sustained effort made by each Department component to improve their accounting practices and produce timely and accurate financial reports. This took tremendous work and a year long effort, hut it was clear from the beginning that we had the total commitment of the financial managers at the Immigration and Naturalization Service Our success was made possible because of their dedication, and I want to extend my personal appreciation to several individuals on your staff for their work during the FY 200 I financial statement process. In particular, the efforts of George H Bohlinger 111, Judy Harrison, Bud Rubenstein, Patrick Martinez, Edward Bain, John McNamara, Don Lowry, Tommy Dodson, Robert Bevilacqua, Anita Parent, Billy Stimmel, Angela Winstead, Georgia Mayers, Carlene Mackey, Nancy Kennedy, David Yonce, Cindy Cole, Larry Stoller, Peter VanDcventer, Ken Hass, Annie Lopez, Alicia Saars, Cathaleen Moore, Michael Mattice, Rochelle McPhaul, Katherine Ripley-French, David Yentzer, Lisa Tremblay, Rhonda Mueller, Christopher Quimby, Joel Alvarey, Kathy A. Hill, Gary Zaleski, Rufus Johnson and Gene Kupferer stood out when it came time for the consolidated Departmentwide statements to be prepared. Memorandum for James W. Ziglar Subject: Financial Statements Clean Opinion and Appreciation for Financial Management Staff Page 2 Our goal for FY 2002 is to see each component move beyond their clean opinions and eliminate the financial management material weaknesses and other findings which were cited in the reports of the Inspector General and the independent auditors. In addition, we also face greatly accelerated govemmentwide audit due dates this year. While we continue to have significant challenges ahead, your financial managers have created a strong foundation for the Department's financial reporting future. I greatly appreciate what your team has accomplished, and I look forward to seeing the progress we make this conling year. ·-··--·-···------· ·-· ----·--- <.@fficr of t~t .!ttornt{! Oitneral lllas ~ington. ll. ive and destructive clement in our socictv I am cummitt1:d fullv to dedicating the resources necessarv to combat this burgeoning problem - - ...... ,,I To that end. I am pleased to announce an initiati\·e aimed at devl'loping a natio11al obscenity strategy fsist in the performance of their duties. The officials receiving such information may use it only as necessary in the conduct of their official duties and subject to any limitations on the unauthorized disclosure of such information. The Criminal Division has developed and distributed model forms to be used to notify the supervising court when grand jury information has been shared pursuant to section 203. Section 905 of the USA PA TRiOT Act requires the Department and other Federal agencies with law enforcement responsibilities ta share expeditiously foreign intelligence obtained in the course of a criminal investigation with the Director of Central Intelligence, subject to limitations otherwise provided by law and exceptions delineated in regulations to be issued by the Department. In the types of criminal cases in which foreign intelligence information is commonly encountered-- including terrorism, drug trafficking, and organized crime investigations -- strong relationships for information-sharing and coordination with the Intelligence Community arc already in place. 4 ·--------·--·--- ..• - I hereby direct the Assistant Attorney General for Legal Policy, in consultation with the Criminal Division, FBI, and other relevant components, to draft, for my consideration and promulgation. procedures, guidelines. and regulations to implement sections 203 and 905 of the USA PATRIOT Act in a manner that makes consistent and effective the standards for sharing of information, including sensitive or legally restricted information, with other Federal agencies. Those standards should be directed toward, consistent with law. the dissemination of all relevant information to Federal officials who need such information in order to prevent and disrupt terrorist activity and other activities affecting our national security. At the same time, the procedures. guidelines, and regulations should seek to ensure that shared infonnation is not misused for unauthorized purposes, disclosed to unauthorized personnel. or otherwise handled in a manner that jeopardizes the rights of U.S. persons, and that its use does not unnecessarily affect criminal investigations and prosecutions. The standards adopted will govern the coordination of information directed by this memorandum. and well as other voluntary or mandated sharing of criminal investigative information. *** The September 11 attacks demonstrate that the war on terrorism must be fought and won at home as well as abroad. To meet this continuing threat, law enforcement officials at all levels of government -- federal. state, and local -- must work together, coordinating information and leveraging resources in the joint effort to prevent and disrupt terrorist activity. You have worked hard and accomplished much in this common fight, but more remains to be done to help secure America and protect her people. I thank you for your continued service, dedication, and cooperative spirit in this time of continuing national need. 5 - ·------·------- ------- ®Hice of tlye ~ttornell Oieneral ;IDai'i~ingtou, ,JiU1L ZOS30 April 10, 2002 MEMORANDUM FOR ALL DEPARTMENT OF JUSTICE EMPLOYEES IN THE METROPOUT AN WASHINGTON AREA THEATIORNEYGE~ FROM· SUBJECT: Observance of the Days of Remembrance for the Victims of the Holocaust, April 8-13. 2002 The week of April 8-13, 2002, has been designated as the annual observance of the Days of Remembrance for the Victims· of the Holocaust. The International Day of Remembrance known as Yom Hashoah and the National Day of Remembrance Ceremony will be observed on April 9, 2002, in the United States Capitol Rotunda. Throughout this annual observance, we, as citizens of this nation, should remember the many victims, the survivors, rescuers, and liberators; and should strive to overcome intolerance and indifference through learning and recognizing the need for respect of all peoples. The United States Holocaust Memorial Museum theme for this year is "Memories of Courage." The intcragency committee's theme is "Escape from Turkey." Since the events of September I I, 200 I, Americans have become acutely aware of the senselessness that drives hatred and violence. We know that we can defy hatred by seeking justice and building solidarity. These themes reflect our convictions that without a call to conscience, remembrance is incomplete. The Department is a co-sponsor of an interagency program, which will be held on Thursday, April 11, 2002, at 12 noon, at the Lincoln Theater, 12 l 5 U Street, NW (U St/Cardoza Metro Stop), Washington, DC. The keynote speaker is Bernard Turiel, from the island of Rhodes. Mr. Turiel is one of 42 Jews saved by the Turkish Consul from deportation to one of the death camps by the Nazis who controlled the island. Managers and supervisors arc encouraged to allow employees administrative time to attend these events. For additional information, please contact Linda Sackie, Equal Employment Opportunity Staf( Justice \1anagement Division, on 616-4807 or by e-mail to Linda.P.Sackie@usdoj.gov. ----------- ----------- ___ ,, ___ -·· --· ..... ci&ff tce of tbe ~ttornep ~eneral Wasbington, 13.~. 20530 MEMORANDUM FOR ROBERT F. DIEGELMAN ACTING ASSISTANT ATTORKEY GENERAL FOR ADMINISTRATION GENE~ FROM: THE ATIORNEY SUBJECT: Selection for the Chief [nfonnation Officer Based upon the unique managerial and technical qualifications possessed by Vance E. Hitch, I have selected him as the superior candidate to fill the career Senior Executive Service position of Chief Information Officer in the Justice Management Division at the ES-5 pay level (S 138,200 per annum). Please take the necessary action to obtain Office of Personnel Management Qualification Review Board approval of Mr. Hitch' s executive qualifications and effect his appointment to the Chi cf lnfom1ation Officer position as soon as possible. -·-· -···---- ®ffire of tbe ~ttornep ®eneral Wasbin~ton, za.~. 20530 April 1, 2002 MEMORANDUM FOR DIRECTOR, FEDERAL BUREAU OF INVESTIGATION DIRECTOR, FEDERAL BUREAU OF PRISONS DIRECTOR, EXECUTIVE OFFICE FOR UNITED ST ATES ATTORNEYS ALL UNITED STATES ATTORNEYS FROM: Sl:BJECT: 'he Victim Notification System (VNS) After several years of planning and hard work by everyone involved, the Department's Victim Notification System (VNS) is now fully operational. Pursuant to the At1omey General Guidelines for Victim and Witness Assistance 2000 and statute (42 U.S.C. §§ 10606, 10607), the Federal Bureau of Investigation (FBI), the United States Attorneys' offices (USAOs), and the Federal Bureau of Prisons (BOP) arc each responsible for notifying victims at various stages of the criminal justice process. VNS significantly enhances our ability to comply with these statutory obligations. In addition, VNS will be the primary method for notifying the victims in the prosecution of United States v. Moussaoui and the events of September 11. As a result. VNS is and will continue to he a priority program for the Department. Now that the VNS is up and running, I urge all United States Attorneys (US As), FBISpeeial Agents in Charge (SACs), and BOP managers to personally ensure it is being used effectively. As with any new endeavor, some procedural change will likely be required within each component in order to fully use the new notification system. Management from each of the participating components should provide their staff with the necessary support to ensure victims are receiving the appropriate notifications from VNS in a timely fashion. VNS reinforces the Department's strong commitment to victims of crime. With the combined efforts of the FBI, USAOs, and BOP, I am confident VNS will be a success and will increase victims' confidence in the federal criminal justice system. @Hice nf ±~e J\ttortte~ !DUM FOR HEADS OF DEPARTMENT COMPONE1\TS ATTORNEY~ FROM: Tl IE SUBJECT: National Womcn's~on.--M-onth, March 2002 March 2002 commemorates National Women's History Month. During this month. the Department will sponsor and present various programs and activities that recognize the contributions women have made to this nation and to the Department of Justice. "Women Sustaining the American Spirit" is the National Women's History Month theme. This observance was inspired by women textile and garment workers in New York who went on strike on March 8, 1857, to protest thc:ir low wages and poor working conditions. As a result. March 8 was celebrated annually as American Women's Day. In the I 970's, the celebration was expanded to a full \veek. and since 1987 the entire month of March has been proclaimed as l\ational Women's History :vtonth. Women continue to make vital contributions to American society and we are honored to recognize their achievements. These achievements and contributions will be highlighted through programs and other activities. I invite your staff. managers. and employees to join in studying this rich history which has played a vital role in the development of our nation. In view of the special significance of National Women's I Ii story Month, please inform your employees in the Washington metropolitan area of scheduled activities and grant them reasonable official time to participate. -----~----·--------------·-·--··-·-··- ®fficc of tqc J\ttornct? Oi>eneral ~us~iugton, Jtl.QI. 20530 March 1, 2002 MEMORANDUM FOR ALL UNITED STATES ATTORNEYS ALL FlRST ASSISTANT UNITED STATES ATTORNEYS ALL CRIMINAL CHIEFS ALL CRIMfNAL DIVISION SECTION CHIEFS AND OFFICE DIRECTORS SUBJECT: Renewal of Approval Requirement Under The Economic Espionage Act of 1996 Recognizing the increasingly important role of intellectual property in ensuring national security and the well-being of our economy, Congress enacted the Economic Espionage Act of 1996 ("EEA") Codified at 18 US C. §§ 1831-1839, the EEA criminalizes the theft or misappropriation of trade secrets for the benefit of a foreign government. instrumentality or agent (~ 1831) or for commercial or economic gain(§ 1832). Pursuant to 28 C.F.R. § 0.64-5. all prosecutions brought under §§ 1831 and 1832 must be approved by the Attorney General, the Deputy Attorney General, or the Assistant Attorney General of the Criminal Division for 5 years after the enactment of the EEA. This requirement expired on October 11, 200 I. I am pleased to report that since the pac;sage of the EEA, federal prosecutors have effectively used the statute to protect against the criminal misappropriation of trade secrets while avoiding intervening in commercial disputes best handled through civil litigation Federal criminal charges have been filed in 29 cases of commercial trade secret theft, resulting in guilty pleas or verdicts in 25 cases Sentences of ac; much a" 77 months imprisonment have been imposed. There have been two EEA trials under § 1832, both leading to guilty verdicts against all the defendants. The remaining § 1832 cases are currently pending trial. This year, the first indictment charging foreign economic espionage in violation of* 1831 was returned. As one indication of the measured and thorough approach the Department has taken with n:spect to investigating and charging theft of trade secrets, there has not been an acquittal under the EEA since passage of the legislation. Additional information about EEA prosecutions may be found at CCIPS' website, www cybercrimc.gov. --·----- ---- Memorandum for all United States Attorneys Page 2 All First Assistant United States Attorneys All Criminal Chiefs All Criminal Division Section Chiefs and Office Directors I have decided to revive the prior approval requirement for initiating prosecutions under § 183 l, and thus, such approval should be obtained from the Assistant Attorney General for the Criminal Division, through the Internal Security Section (ISS). I have decided not to extend the approval requirement for cases under § 1832. Nevertheless, l strongly urge prosecutors to consult with the Computer Crime and Intellectual Property Section (CCIPS) regarding § 1832 prosecutions prior to filing charges. lSS can be reached at 202-514-1187 and CCIPS can be reached at 202-514-1026. Both sections have developed an expertise in handling these complex cases and would be a valuable source of information to any office seeking charges under the EEA. The United States Attorneys' Manual(§ 9-59.000) will be amended to reflect this change. ~·----·-··------ ®ffice of tqe c:Attorneu ing the NJCS Immediate Determination Rate On June 28. 2001, 1 directed the Federal Bureau oflnvestigation (FBI) to increase, to the fullest extent practicable. the percentage oNational lnst~ml C1iminal Background Check System (\llCS) checks resulting 111 an immediate response of "'proceed'" or ''denied"' to Federal Fiream1s Licensees (FFLs) You have reponed that such an improvement can be cffected through two possible options. The tirst. the Transfer Option. would allow the contract call centers, which cunently receive all FFL inquiries, to transft!r to a NICS Legal Instruments Examiner (Examiner) those calls that would, under cutTent procedun:s, rt:1.:civcadclay The Examiner would review the record'> immediately and advise the FFL whetherthctransactionc:.m proceed. is denied. or must still be delayed for li.111herreview or research. 111e second uptiLin. the f Liil In-House Call Center option. would discontinue the contract call centers and require that al I FFL inquiries gn din:ctly to the NICS You recommended that the Transfer Option be 11npl em en ted I hereby direct you to implement as soon as practicable the Transfer Option in order to increase the immcdiatedetenninatinn ratcofNICS checks. The Transfer Option immediately routes to an Examiner any calls to the contracted call centers that receive a delay. The Examiner who receives this call will be able torctiieve thetr:.u1saction from the delay queue and review the infonnation while still on the phone with the ff L to make adetem1ination about the potential fireanns purchase. l11c Examiner can issue a proceed or deny response while on the phone, and if the Examiner believes additional review or research is needed, he or she wi 11 advise the FF!. that thetrans:iction remains delayed. TheTransferOption is recommended because it can be implemented at base level funding while increasing the immediate dete1mination rate to approximately 90 1!/u I fu11her direct you to analyze in detail and rcpoi1 tome the sh011- and long-tem1 costs and benefits nfbringing all NICS calls directly to a Full In-I louse Call Center The rcprnt should be submitted tome as soon as practicable and should assess the viability of the In-House Call Center Option as a long-tc1m solution for increasing the NJCS immediate dete1mination rate. Your analysis and rep011 may serve as the basis for compliance wnh O:vtB Circular/\ 76. which St'ts fo1th the procedures to be followed when the governrn.:nt proposes to pcrfonn a service cum:ntly contral:ted tu an uutsi<..k vendor. l@ffiu of t~t l\ttnrne\! litntral lilasqingfon, JD.