REPORT OF INVESTIGATION 

DATEOFREPORT I 

SYNOPSIS 

REPORT STATUS 

CASE NUMBER 

CASE TITLE 

AUJEGA?XIN(S) 

This investigation ori,&ated upon receipt of a referral from the Department of the Treasury's 

(Treasury) Chief of Staff, Chris Smith (Exhibits 1,2), on Janw 12,2004. The referral was 

predicated by Treasury's disclosure of records to former Secretary Pad H. OWeill. On January 

11,2004, former Treasury Secretary O'Neill was interviewed on the news program 60 Minutes. 

During the inthew, an image of a Treasury Department mernorandUm written to the former 

Secretary was displayed on television. This memormdu.m contained the word 'Y3ecret" - an 

apparent reference to classified documents contained in the attachments of the memorandum (per 

O'Neill, at no time were any attachments or-other documents shown during the interview). 

The hvestigation revealed that the Office of International Affairs (OM) authored the 

memorandum that was disclosed during O'Neill's interview on 60 Minutes, and that the 

memorandum was not marked classified by OLA even though it contained classified information. 

Final 

2004-0121 

Paul H. O'Neill - former Treasuw Secretary 

18 USC 798 - Disclosure of Classified Information 

5~37~ - Use of Non-Public Information i 

The investigation determined that on or about March 26,2003, O'Neill made a verbal request to 

Treasury's General Counsel for official records during his tenure as Secretary. In. or about April 

2003, O'Neill received the records fiorn Treasury, which had been produced on a single CD and 

two DVDs, The investigation revealed that the General Counsel and the Executive Secxew did 

not review thcc~ and DVDs prior to their release to O'Neill. 

Distribution: Reported By: Approved By: 

Samuel Bodmaxi 

Deputy Secretary 

~epart&ent of the Treasury 1 

Special Amt - 

Arnold Havens 

General Counsel i 

Department of the Treasury v 

Specid --bar Agent in C ge 

This report is the property of the Off~ce of Inspector General, and is For Official Use Only. It contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. Ij 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. 4 552. Any unauthorized or 

unoficiai use or dissemination of this informatian will be pemlized. 

~~~in~rd. JII'IIW Office of Inspector General - Investigations 

01 Fd8 flOlP1) Depairbmt of the 'I'rea~ury 

Page 1 of 12 
REPORT OF TNVESTIGATION 

The Principal Deputy Chief for public Integrity, Department of Justice (Exhibit 3), was 

collsulted regarding this investigation and determined that no crjmind statutes were violated. 

Additionally, the investigation revealed that among the materials Treasury released to O'Neill, 

were 140 documents not marked classified even though these documents contained National 

Security or Sensitive But Unclassified (SBU) inibrmation, Had these 140.documents been 

properly marked as classified, the docu'ments would not have been entered into Treasury7 s 

unclassified computer system and 07Neill would not have received them. 

DETAILS 

1. Allegation: Disclosure of Classified Information 

A. 0'NeilIys request for records. , , 

Former Secretary O'Neill (Exhibit 4) stated that, in late February or early Mach (20031, he 

called David Aufbauser, then General Counsel, and requested records/documents that were 

available to him during his tenure as Secretary. 

Aufhauser (Exhibit 5) recalled that O'Neill might have called him directly to request the records, 

but Aufhauser could not be certain as to who made the request or how the request was made. 

Aufhauser stated either Tim Adm (Exhibit 6), then Chief-of-Stafc or Jeff Kupfer, Deputy 

Chief of Staff and Executive Secretary, contacted him. to determine if 07Neill was permitted to 

have these records. 

Dhg a review of selected Treasury employees' email accounts (Exhibit 7), a message was 

located itom Ken Schmalzbach to George Wolfe with a carbon copy to David Aufhauser, dated 

December 20,2002 (Exhibit 8). Schmalzbach advised Wolfe of various issues that should be 

considered regarding records removal for former Secretary O'Neill. Attached to this ernail 

message was a draft memorandum (Exhibit 9) fi-om Schmalzbach to Aufhauser regarding 

"Records To Be Removed By Secretary O'Neill". The memorandum cited the National 

Archives and Records Administration's -rmidelines (Exhibit 10) for agencies to follow when a 

departing employee requests extra copies of records. The email further stated, "'In the past, the 

Executive Secretary, in conjunction with the General Counsel, have acted as the approving 

oEcials with respect to determining what records may be provided to a departing Secretary." 

Agent Note: Reference is made to a statement made by Aufhauser (Exhibit 5) admitting 

that he did not review the contents of the discs. 

This report is the property of the Office of Inspector Generaf, and is For Qff~cial Use Only. It contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. (j 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. 8 552. Any unantborized or 

unofficial use or dissemination of this information will be penalized. 

~u~~imcb 3ll7KM Office of Inspector General - Investigations 

01 WUI~~ (I(uD~) Department of the Treasury 

Page 2 of 12 
WPORT OF INVESTIGATION 

B. Treasury's fulfillment of O'NeiIi9s request. 

JeEKupfer (Exhibits 1 1,32,33) stated that since the previous two Treasury Secretaries 

requested records of their tenure in office, he believed O'NeilI 

- Upon O'Neifl's resignation (December 6,2002), Kupfer tasked 

the Executive Secretary, to work with the Information 

CD/DVD. 

OYNeill's documents. h was decided that, if possible, OYNeill's records would be copied to a 

was an email fiom 

December 13,200 

departure, this document provides useful guidance regarding removing personal gles and 

copies of records." The email continued with specific guidance on removing "personal 

files and extra copies of records'' for a departing official. 

= (Exhibits 13,34,35) stated that upon O'Neill's resign fa tasked hkn to 

determine the best way to provide O'Neill with the records. stated that these records 

would have been recorded and scanned into the Tre Assignment and Correspondence 

Tracking (TACT) system. with* IT 

(Treasury contractor), the to research, obtaia, and produce the records for 

O'Neill. requested that two sets be produced: one set for O'Neill and one set for 

Executive Secretary's fileslrecords. 

Agent Note: Upon final production, a "set" consisted of a single CD and two DWs. .A 

total of four sets were produced: one set for O'Neill; one set retained bv the Executive 

Secretary's office; one set retained b's supervisor - and one 

set retained in IT'S offiial file. 

number was automatically assigned by the TACT systern; ~OWSV:~, her department manually 

entered the author, addressee, date, and subject into the appropriate fields. stated 

classified documents were indexed and assigned a correspondence number; however, were not 

scanned into the TACT system since Treasury had a separate computer system to handle 

classified documents. 

-(Exhibit 15) stated that in Decernber 2002, he was contacted bywho requested 

the unclassified records for former Secretary ~'~eill. stated he was told to use the same 

This report is the property of the Office of Inspector General, and is For Official Use Only. It contains sensitive law 

enforcement information, the use and dissemination of which iis subject to the Prhracy Act, 5 U.S.C. 8 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. 8 552. Any unauthorized or 

unofficial use or dissemination of this information will be penaiized. 

D= wed. 3f17rn OEce of inspector General - Investigations 01 baa war) Department of the Treasury 

Page 3 of 12 
REPORT OF INVESTIGATION 

. search rritaia/paraxneters.that were used when the previous two Secretaries (Rubin and 

Summers) requested records of their tenure. ed that the basic search consisted oE 1) 

all correspondence addressed to or from "Paul H. O'Neill"; 2) document(s) entered into the 

TACT system by the Executive Secretary's office; and 3) no documents to or fiom the White 

House. ' t' 

w&ated that after several test runs were done to insure dl a propriate documents were 

included, the final production occurred on January 24,2003. btated that the ha1 release 

of O'Neill's records was produced on a single CD and two DVDs. The single CD consisted of 

speeches, statements, and testimony that were listed on Treasury's website. The two DVDs 

consisted of all unclassifhd correspondence to or from 

: 

the 

two 

Secretary 

sets he hand-carried 

for 2001 and 

to 

2002. 

the Executive 

- 

or, (Exhibit 16))- 

e two sets Ultimately went to O'Neill); 

David Auihauser (Exhibit 5) stated he did not review the contents of the discs, and unless Ken 

Sc-bach reviewed the discs prior to Aufhauser receiving them, no review occurred prior to 

releasing the .discs to O'Neill. Aufhauser stated he assumed full responsibility for the lack of 

review. 

Ken Sch.ma3zbach (Exhibit 17), Assistant General Counsel, stated there was no defined process 

that vetted the release of the documents. Schmalzbach stated he did not review the CD/DVDs 

that O'Neill received, and was unaware of anyone in the General Cou.nsel's office that reviewed 

the CD/DVDs. 

Agent Note: Reference is made to the previously mentioned draft memorandum of 

Schmalzbach, dated December 20,2002. Schmdzbach stated that a finsll version of the 

memorandum was never issued, thus the General Counsel's office had no defined process 

for reviewing the records to be removed. 

During a review of selected Treasury employees' email accounts (Exhibit 7), a message was 

located from Ken Schmalzbach to George Wolfe, dated January 11,2004. Schmalzbach notified 

Wolfe that he did not review the records prior to them being released to O'NeiIl. 

C. B9Neill's receipt of the requested records 

During the review of selected Treasury employees' emails (Exhibit 7)' it was noted that David 

Aufhauser requested the CDs (containing the O'Neill records) fiom Jeff Kupfer on April 1,2003. 

In this same email, Aufhauser stated that he would do a "sampling" of the CDs. 

This report is the property of the Office of Inspector General, and is For Official Use Only. It contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. 8 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U3.C. 5 552. Any unauthorized or 

unofficial use or dissemination of this information wW be penalized. 

W~3/17R14 Office of Inspector General - Investigations 

01 ~mn-08 (~m) Department of the Treasury 

rl Page 4 of 12 
Agent Note: Reference is made to a previously cited statement made by Aufhauser 

(Exhibit 5) admitting that he did not review the contents of the discs. 

In a response to this same mail thread, -notified Kupfer that he provided the CDs 

(containing the requested records) toavid Aufhausa (via 

she had no records or recollection of 

ght have provided the discs to 

esently assisting the General 

for O'NeiU, and did not mail 

d not know how the CDiDVDs were mailed/shipped to O'Neill. 

advised that no records were kept of outgoing packages from the General Counsel's office. 

Bill Fox (Exhibit 19), former Assistant Deputy Counsel, stated he was at a meeting with David 

Aufhauser (date unknown) and noticed a CD in Aufhauser's possession. Fox inquired as to the 

contents and Aufhauser responded by saying it contained the O'Neill documents. Fox further 

recded Aufhauser stating that he had to get the CD to O'Neill. 

Adhauser (Exhibit 5) stated someone (uncenain as to who) &om the Executive Secretary's 

office provided one set of discs (one CD and two DVDs) to him to give to O'NeiU. Auffiauser 

stated he then shipped one set to O'Neill via Federal Express (FedEx) or regular mail. 

Aufhauser codinned that only one set was sent to O'Neill. 

Aaent Ndte: Reference is made to the previously mentioned ernail thread in w&cf 

O'Neill (Exhibit 4) stated that about three weeks after verbally requesting the records (late 

February or early March, 2003), Aufhauser notified him. (O'Neill) that the records were available 

and woAd be sent to hi&. 09Nei~ stated he did not recall what shipping method (i.e. FedEx, 

postal service, UPS, etc.) was ussd to deliver the package to him or who actually sent the 

package. 

(Exhibit 20), Treasury Mailroom Operations, advised that Mailroom 

Operations records/logs all incoming packages, but that it was incumbent upon each individual - or departmental oEce to maintain records of outgoing packages. 

Agent Note: During the investigation, no logs or records were found in the General 

Counsel's or Executive Secretary's offices. 

This report is the property of the Office of Inspector General, and is For Official Use Only. It contains sensitive iaw 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. 3 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. 3 552. .Any unauthorized or 

unofficial use or disseminafion of this information will be penalized. 

~l~ftatcd. 3/I7M4 Office of Inspector General - Investigations 

01 F~-08 (IDMI) Depamnent of the Treasury 

Page 5 of 12 
Responding to an administrative subpoena for records (Exhibit 21), FedEx indicated that two 

packages were shipped irom Treasury to Paul H: O'Neill during December 1,2002 through April 

21,2003 : 1) Airbill #7921 79768940 f?om with a ship date of Jmuary 30,2003; 

and 2) Airbill X8 161 8407374S tom-Rhip date of April 1 0,2003. 

xhibit 22), General Counse (d&g O'NeiIl's tenure), 

stated she did not see or send the CDDVDs ds to him (oweill). 

the package he sent to O'Neill contained portraits 

from various artists 

Agent Note: Due to Treasury's lack of records, lack of information found on FedEx's 

airbills, and lack of information obtained deg interviews, it could not be established 

who sent or if the CDDVDs containing the O'Neill records were included in one of these 

two shipments or if they were delivered via another method. 

D. O'Neill's release of records to author Ron Suskind and the subsequent 

publishing of The Price of Lovaltv: George W. Bush, the White House, and the 

Education of Paul-O'NeilI 

Upon receipt of the package containing the CDDVDs, O'Neill (Ekbibit 4) stated he called 

author Ron Suskind and subsequently provided the entire package to Suskind. O'Neill stated he 

never opened the package or reviewed its contents. 

O'Neill stated that in early January (2003), he was the guest speaker at a dinner where Suskind 

was attending. 02Neill stated that after his speech, Suskind approached him about writing a 

book. O'Neill stated this was the first time he met Suskind. O'Neill further stated that over the 

course of the next several weeks, O'Neill and Suskind had numerous discussions about writing a 

book, and finally, O'Neill agreed to assist Suskind in this endeavor. Oweill stated it was shortly 

after he agreed to assist Suskind that he (OYNeill) made the request of Aufhauser to obtain the 

records. 

Continuing, 07Neill stated that after he agreed to assist Sushd, they spent a tremendous amount 

of time together. O'Neill stated that while traveling between Pittsburgh (O'Neill's primary - 

residence) and Washington D.C. (O'Neill's apartment in D.C.), Suskind would usdy sit in the 

back seat of O'Neill's car and they would discuss material for the book. O'Neill stated he . 

provided no documents to Suskind except those documents contained on the discs from 

Treasury. 

This report is the property of the Office of Inspector GeneraL and is For Official Use Oniy. It contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. § 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. § 552. Any un~uthorized or 

unofficial use or dissemination of this information will be penalized. 

~t~ftrmclt ~IIWM Office of Inspector General -Investigations 

OIFW~-OS~I'J~ Department of the Treasury 

Page 6 of 12 
REPORT OF IMVESTIGATION 

0 'Neil1 advised he did not know if Aufbuser or anyone else conducted a, "review" of the discs 

prior to their release, but was convinced that the discs contained only unclassified material since 

he knew classified information wodd not and should not be released to him. O'Neill stated that 

based on this premise, he had no reservations about releasing the discs to Suskind. 

O'Neill further advised that upon his resignation from Treasury, he had not removed any 

documents (classified or unclassified) or received a. additional documents (except those on the 

discs) pertaining to his time as Secretary. 

attorney-at-law, stated that Ron Suskind (Exhibit 24) and his assistanbit 25), declined the Office of Inspector General's (OIG) request for an 

E. OSNeill's interview on 60 Minutes and possible disclosure of a classified 

document on national television 

Exhibit 15), Computer Specialist - Applications, advised that the 

wn on 60 Minutes was located on the TACT system under profile #2001-SE00132. The memorandum was located in a folder titled "'Daybook for February 1,2001 - 

Secretary ~'~eill." -er advised the memorandum was part of a twenty-two (22) 

page folder and that no attachments listed on the memorandum were included on the TACT 

system. 

An Office of Inspector General's (OIG) review (Exhibit 26) of a duplicate copy of the CDlDVDs 

provided to former Secretary O'Neill, confirmed the profde number and the document's - 

existence on the DVD for the year 2001. 

Office of Middle East and South Asian Nations, stated 

ce of Middle East and South Asian Nations during 

that while serving in this capacity, he was 

various documents and ultimately authored the 

as shown the original memorandum. with the attachments 

(recovered fiom the Federal Records Center) and was asked to review the classification. -- 

stated that the memorandum was classified improperly due to specific classified language 

included on the memorandum that was transcribed fiom one of the attachments. =stated that 

he ador Reviewing OEcial, should have caught the mistake at the time it was 

created. 

This report is the property of the Office of Inspector General, and is For Official Use Only. It contains sensitive iaw 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. Ij 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S;C. 8 552. Any unauthorized or 

unofficial use or dissemination of this information will be penabed. 

~tls~o~ cdi17m4 Office of Inspector General - investigations 01~~8 WOI) Department of the Treasury 

Page 7 of 12 
REPORT OF INVESnGATION 

on a year-long sabbatical fiom Treasury and is out of the country 

of time. As a result, attempts to locate and interview -mae unsuccessful. 

bit 14) advised that all unclassified correspondence, both internal and external, 

was scanned into the TACT system. stated that the procedures followed at that he 

12001 '1 dictated that classified doc indexed and assigned a conespondmce number; 

how&er, were not scanned into the TACT system since ~reas6 had a separate computer 

system. to handle classified documents. 

Former Secretary O'Neill (Exhibit 4) stated that no classified information or material was 

disclosed dhg the 60 Minutes interview. O'Neill stated he believed that the memorandurn 

displayed on tefevision was unclassified. 

The Principal Deputy Chief for Public Integrity, Department of Justice (Exhibit 3), was 

consulted regarding this investigation and determined that no criminal statutes were violated. 

? 

F. Ofher Significant Information 

Treasury' s Records and Wormation Management Program is detailed in Trearmry Directive 80- 

05 Gxhibit 28), dated June 26,2002. Treasury Directive 80-OSe(3) required departing officials 

to obtain appropriate written authorization prior to removing documentary materials. Further, 

Treasury Directive 80-05e(4) required that nonrecord material being removed by a departing 

official be examined by a bureau-reviewing official prior to its release. 

Additionally, Treasury Directive 80-05e(5) required O'Neill to sign Treasury Department Form 

(TD I?) 80-05*6 ("Removal of Documentary Materials by Presidential Appointees with Senate 

Confirmation") (Exhibit 29); however, he signed TD F 80-05.5 (Document 

Removalrlu'onremoval Certification") (Exhibit 30) on December 20, 2002. 

Reviewing Official, reviewed the signed 'I'D F 80-05.5 on January 6,2003. 

Treasury's Office of General Counsel, in consultation with other senior officials (Review Panel), 

conducted a review of the material (CD and DVDS) released to O'Neill. The Review Panel, lead 

by Tom McGivem (Exhibit 31)' Assistant General Counsel for Legislation, Litigation, and 

Financial Edorcement, initially identified three docments included on the CD/DVDs-released 

to O'Neill that contained classified information, which were not marked classified. These 

documents were not properly classified by their author (or author's supervisor) causing them to 

be entered into the TACT system, and ultimately released to 07Neill. Upon a more 

comprehensive review of the CDiDVDs released to O'Neill, the Review Panel discovered 

approximately 140 documents containing classified information, which were ultimately released 

to O'Neill (via the CD/DVDs). 

This report is the property of the Office of Inspector General, and is For Official Use Only. It contains sensitive iaw 

enforcement information, the use and dissemination of which is subject to the Privacy Acf, 5 U.S.C. 5 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. 5 552. Any unauthorized or 1 unofficial use or dissemination of this information will be penalized. 

w ~iarcd: 3fl7M4 Office of Inspector General - Investigations 

01 (lam) Department of the Treasury 

Page &of 12 
WORT OF INVESTIGATION 

Agent Note: The Review Panel also conducted a review of the TACT system for the 

purpose of identifying and removing any classified information. 

On January 14,2004, January 16, 2004, and January 20,2004 the Office of Investigations 

obtained possession (Exhibit 36) of thee of the four sets of discs produced by IT, which 

contained the records released to O'NeilJ. 

This report is the property of the Office of lnspector General, and is For Official Use Only. Jt contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. § 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted only 

in accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.C. $ 552. Any unauthorized or 

unofficial use or dissemination of this information will be penalized. 

htc~tat 3118nul Office of Inspector General - Investigations 01 Fonn-08 IIWOI) Department of the Treasury 

Page 9 of 12 
REPORT OF INVESTIGATION 

Number 

Referral Memorandum fi-om Chris Smith, Chief of StaEF, dated January 12, 2004 

Memorandum of Activity for Chris Smith, dated January 13,2004 

Memorandum of Activity for Stuart Goldberg, dated January 30,2004 

Memorandum of Activity for Paul H. O'Neill, dated January 30,2004 

Memorandum of Activity for David Aufhauser, dated January 14,2004 

Memorandum of Activity for Tim Adms, dated January 14,2004 

Memorandum of Activity for OIG's review of selected employees' email 

accounts, dated February 25,2004 

Email message from Kenneth Schrnalzbach to George Wolfe with a carbon copy 

to David Aufhauser, dated December 20,2002 

Draft Memorandum from Ken SchrnaLibach to David Aufhauser, dated December 

20,2002 

2000 Web Edition of Documenting Your Public Service, National Archives and 

Records Administration Management Guide Series 

Memomdzull of Activity for Jeff Kupfer, dated January 13,2004 

Memorandum of Activity for-, dated January 1 3,2004 

Memorandum of Activiry for- dated January 13,2004 

Memorandum of Activity fo- , dated January 15,2004 

Memorandum of Activity for 

dated January 14,2004 

This report is the property of the Office of inspector General, and is For Official Use Only. It contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. 8 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which wiIl be granted only 

in 

... accordance with the Privacy Act and the Freedom of Information Act, 5 U.S.G. 1 552. Any unauthorized or 1 unofficial use or dissemination of this information will be penalized. 

lmtc Frm$1/17/04 Office of inspector General - hvestigations 

01 ~orm-08 (10101) Department of the Treasury 

Page 10 of 12 
Number Descrixltion 

Memorandum of Activity for dated January 13,2004 - 

Memordum of Activity for Ken Schmalzbach, dated January1 3,2004 

Memorandum of Activity for dated January 13, 2 004 

Memorandum of Activity for Bill Fox, dated January 1 3,2004 

Memorandum of Activity forldated January 20,2004 

Memorandum of Activity for FedEx subpoena information, dated March 16,2004 

Memorandum of Activity forded February 2,2004 

Memorandum of Activity for- dated March 17,2004 

Memorandum of Activity for Ron Suskind, dated February 24,2004 

Memorandum of Activity for m dated February 25,2004. 

Memorandum of Activity for Review of Discs, dated March 1,2004 

Memorandum of Activity for - dated January 21,2004 

Treasury Directive 80L05 - Records and Infomation Management Program, dated 

June 26,2002 

Treasury Directive Form 80-05.6, dated October, 1999 

Treasury Directive Form 80-05.5 - signed by former Secretary O'Neill, dated 

December 20,2002 

Memorandum-of Activity for Tom McGivern, dated March 17,2004 

Memorandum of ~ctivity for Jeff Kupfer, dated January 20,2004 

Sworn statement of Jeff Kupfer, dated January 28,2004 

This report is the property of the Office of Inspector General, and is For Off~cial Use Only. It contains sensitive law 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. 8 552a. This 

information may not be copied or disseminated without the written permission of the OIG, which will be granted onIy 

in accordance with the Privacy Act and the Freedom of Enformation Act, 5 U.S.C. (j 552. Any unauthorized or 

unofficial use or dissemination of this information will be penaiied. 

~as~.~l7m Office of Inspector General - Investigations 

01 ksrn-08 (IOIOI) Department of the Treasury 

Page 1 I of 12 
Number Description 

34. Memorandum of Activity fored Jmuary 22,2004 

35. Sworn statement o dated January 22,2004 

36. Mernormdm of Activity for Recovery of Discs, dated March 17,2004 

This report is the property of the Office of Inspector General, and is For Official Use Only. It contains sensitive iaw ' 

enforcement information, the use and dissemination of which is subject to the Privacy Act, 5 U.S.C. 8 552a. This 

information may not he copied or disseminated without the written permission of the OIG, which will be granted only 

in --- accordance with the Privacy Act and the Freedom of Information Bet, 5 U.S.C. $ 552. Any unauthorized or 1 unofil&d use or discmination &this information win be penalized. 1 DIURWC~. Y17M Office of Inspector General -hvestigations 

01 YO~I-OB (10101) Department of the Treasury 

Page .12 of 12 
DEPARTMENT OF THE TREASURY

WASHINGTON

GENERAL COUNSEL 

MAR 3 1 2004 

MEMORANDUM FOR NICK D. SWANSTROM 

ASSISTANT INSPECTOR GENERAL FOR 

INVESTIGATIONS 

FROM: ARNOLD 1. HAVENS -'_

SUBJECT: Case Number: 2004-0012

Thank you for the opportunity to review the Report of Investigation (ROI) on the 

above referenced matter. After carefully reviewing the report and discussing the matter 

with Assistant Secretary Wayne A. Abernathy, we do not believe that further action is 

warranted based on the RO1. 

Accordingly, as instructed in your memorandum to me dated March 18, 2004, I 

am returning the original ROI and the Investigative Record Review/Copy Log to your 

office. We did not make any copies of the original RO1.

If you have any questions regarding this matter, please feel free to contact me at 

(202) 622-0283 or Roberta McInerney at (202)622-1988.

Enclosure. 

Cc: Wayne A. Abernathy