INDEX OF CASE STUDIES, DIAGRAMS, AND TABLES

EXECUTIVE SUMMARY

1. Overview
2. Background
3. The Scope and Methodology of the OIG Review
4. OIG Findings
   1. The Attorney General’s Guidelines Regarding the Use of Confidential Informants
   2. The Attorney General’s Guidelines on Federal Bureau of Investigation Undercover Operations
   3. The Attorney General’s Guidelines on General Crimes, Racketeering Enterprise and Terrorism Enterprise Investigations
   4. Procedures for Lawful, Warrantless Monitoring of Verbal Communications (Consensual Monitoring Guidelines)
   5. FBI Compliance Oversight Mechanisms
   6. The FBI’s Implementation Process for the Revised Guidelines
5. Recommendations

CHAPTER ONE: INTRODUCTION

1. Background
2. Scope and Methodology of the OIG Review
   1. Scope of the Review
   2. Methodology of the Review
3. Organization of the Report

CHAPTER TWO: HISTORICAL BACKGROUND OF THE ATTORNEY GENERAL’S INVESTIGATIVE GUIDELINES

1. Introduction
2. The Pre-Guidelines Period
3. Establishment of the Attorney General Guidelines
   1. The Levi Guidelines - 1976
   2. The Civiletti Guidelines - 1980-1981
   3. The Smith Guidelines - 1983
   4. The Thornburgh Guidelines - 1989
   5. The Reno Guidelines - 2001
4. Conclusion

CHAPTER THREE: THE ATTORNEY GENERAL’S GUIDELINES REGARDING THE USE OF CONFIDENTIAL INFORMANTS

1. Role of Confidential Informants
2. The Benefits and Risks of Using Confidential Informants in FBI Investigations
3. Significant Requirements of the Guidelines
   1. Suitability Reviews
   2. Instructions
   3. Authority to Engage in Otherwise Illegal Activity (OIA)
   4. Unauthorized Illegal Activity (UIA)
   5. Deactivation of Confiential Informants
4. Major Revisions to the Guidelines
5. The OIG Review of the FBI’s Compliance with the Confidential Informant Guidelines
6. Compliance Findings

1. 1. Initial and Continuing Suitability Reviews
   2. Instructions
   3. Authority to Engage in Otherwise Illegal Activity (OIA)
   4. Unauthorized Illegal Activity (UIA)
   5. Deactivation of Confidential Informants
   6. Seeking Approval or Concurrence from, and Providing Notification to, the United States Attorney’s Office
2. OIG Analysis
3. Recommendations

CHAPTER FOUR: THE ATTORNEY GENERAL’S GUIDELINES ON FBI UNDERCOVER OPERATIONS

1. Role of FBI Undercover Operations
   1. The Need for Undercover Operations
   2. The Benefits and Risks of the Undercover Technique in FBI Investigations
2. Significant Requirements of the Undercover Guidelines

1. 1. Group I Undercover Operations
   2. Group II Undercover Operations
2. Major Revisions to the Guidelines
3. The OIG Review of the FBI’s Compliance with the Undercover Guidelines
4. Compliance Findings
5. OIG Analysis
6. OIG Recommendations

CHAPTER FIVE: ATTORNEY GENERAL’S GUIDELINES ON GENERAL CRIMES, RACKETEERING ENTERPRISE AND TERRORISM ENTERPRISE INVESTIGATIONS

1. Levels of Investigative Activities
2. Preliminary Inquiries
   1. Significant Requirements
   2. Major Revisions to the Guidelines
   3. The OIG Review of Preliminary Inquiries
   4. Compliance Findings
   5. OIG Analysis and Recommendations
3. General Crimes Investigations

1. 1. Role of General Crimes Investigations
   2. Significant Requirements
   3. Major Revisions to the Guidelines
   4. The OIG Review of General Crimes Investigations
   5. Compliance Findings
   6. OIG Analysis and Recommendations
2. Criminal Intelligence Investigations

1. 1. Role of Criminal Intelligence Investigations
   2. Significant Requiremtns
   3. Major Revisions to the Guidelines
   4. The OIG Review of Criminal Intelligence Investigations
   5. Compliance Findings
   6. OIG Analysis and Recommendations
2. Part VI of the General Crimes Guidelines: Counterterrorism Activities and Other Authorizations

1. 1. Rationale for the New Part VI Authorities
   2. New Authorities Added to the General Crimes Guidelines
   3. The OIG Review of the FBI’s Use of Part VI Authorities
   4. Compliance Findings
      1. The FBI’s Use of Part VI Authorities Since May 30, 2002, and the FI’s Implementing Guidance
      2. Internal Controls Regarding Predication for the Exercise of Part VI.A.2 Authorities
      3. Internal Controls for Record Retention Relating to the Exercise of Part VI.A.2 Authorities
   5. OIG Analysis and Recommendations

CHAPTER SIX: PROCEDURES FOR LAWFUL, WARRANTLESS MONITORING OF VERBAL COMMUNICATIONS (CONSENSUAL MONITORING)

1. Role of Consensual Monitoring
2. Significant Requirements
3. Major Revisions to the Consensual Monitoring Guidelines
4. The OIG Review of the FBI’s Compliance with the Consensual Monitoring Guidelines
5. Compliance Findings
6. OIG Analysis and Recommendations

CHAPTER SEVEN: FBI AND DOJ COMPLIANCE OVERSIGHT AND ENFORCEMENT MECHANISMS

1. FBI-DOJ Committees that Approve and Monitor Certain Undercover Operations and Confidential Informants
   1. Criminal Undercover Operations Review Committee (CUORC)
      1. The CUORC Review Process
      2. The CUORC’s Activities from October 2003 to March 2005
      3. FBI Undercover Coordinator Survey Responses
      4. OIG Analysis and Recommendations
   2. Confidential Informant Review Committee (CIRC)

1. 1. 1. The CIRC Review Process
      2. The CIRC’s Activities from August 2003 to April 2005
      3. OIG Survey of Confidential Informant Coordinators Regarding the CIRC
   2. OIG Analysis and Recommendations
2. Inspection Division

1. 1. Background on the Inspection Function

1. 1. 1. Organization of the Inspection Division
      2. How Inspections are Conducted
      3. What is Inspected
   2. Changes in the Inspections Process After the May 2002 Revisions of the Attorney General Guidelines
   3. Inspection Division Findings Regarding Attorney General Guidelines Compliance

1. 1. 1. Criminal Informant Program
      2. Inspection Division Audits of Undercover Operations and Consensual Monitoring
      3. General Crimes, REIs, and TEIs
   2. OIG Analysis

1. 1. 1. Scope of On-site Inspections
      2. Promoting Accountability
      3. The Timing of Inspections and Better Use of Technology
   2. Recommendations
2. On-site Reviews by Program Offices

1. 1. Undercover & Sensitive Operations Unit On-site Reviews
   2. Asset/Informant Unit Reinspections
   3. OIG Analysis and Recommendations
2. FBI Disciplinary Process

1. 1. Investigative Guidelines Issues Addressed by the FBI Disciplinary Process

1. 1. 1. Classification of Offenses
      2. Investigative Guidelines Violations Adjudicated by OPR from 1999 to 2004
   2. OIG Analysis

1. 1. 1. Standards for Referral to the FBI Disciplinary Process
      2. Additional Offense Codes
      3. Technology and Information Dissemination
   2. Recommendations

CHAPTER EIGHT: HOW THE FBI IMPLEMENTED THE MAY 30, 2002, REVISIONS TO THE ATTORNEY GENERAL’S INVESTIGATIVE GUIDELINES

1. The FBI’s Implementation Process for the Revised Investigative Guidelines
   1. Planning for Implementation
   2. Communication and Guidance
   3. Training
   4. Administrative Support, Including Mechanisms to Promote Accountability
2. OIG Analysis and Recommendations

CHAPTER NINE: CONCLUSION

* The full version of this report includes a limited amount of information that the Federal Bureau of Investigation (FBI) considered to be law enforcement sensitive and therefore could not be publicly released. To create this public version of the report, the OIG redacted (deleted) the portions of the full report that were considered sensitive by the FBI, and we indicated where those redactions were made.