1-14.000 - Notice To DAG Required For Certain Criminal and Affirmative Civil Resolutions
Notwithstanding any other delegation of authority, notice of a proposed resolution in any criminal or affirmative civil matter shall be provided to the Deputy Attorney General prior to final agreement by the Department where the proposed resolution:
(1) contains a monetary component or components totaling $200 million or more;
(2) involves a corporate or organizational entity and will require the filing of an urgent report as (a) a major development in a significant investigation or litigation, (b) an event likely to generate national media or Congressional attention, or (c) a development with significant implications on foreign relations, see JM 1-13.000 et seq. on Urgent Reports;
(3) raises legal issues or policy questions that are non-routine and either sensitive, important, or novel;
(4) imposes a novel, sensitive, or unusually extensive conduct remedy or injunctive measure; or
(5) would result in a successive or multiple non-prosecution or deferred prosecution agreement for a corporate or organizational entity (including affiliated entities), see JM 9-28.600.
In all circumstances, notice shall be provided far enough in advance to allow the Deputy Attorney General the opportunity for meaningful consultation on the proposed resolution and shall include a memorandum detailing the terms of the proposed resolution and the analysis supporting it. Except in extraordinary circumstances, notice shall be provided at least 10 business days before it is anticipated that the Department will enter the resolution. For components that report to the Deputy Attorney General through the Associate Attorney General, notice shall be provided to the Associate Attorney General at least 15 business days before it is anticipated that the Department will enter the resolution.
In any matter in which a joint criminal and civil resolution is anticipated, the above notice requirement applies if the anticipated cumulative total of the civil and criminal monetary components of the resolution is $200 million or more. In addition, the above notice requirement applies regardless of whether the monetary component of the proposed resolution will be remitted by the defendant to, or otherwise recouped by, one or more agencies of the federal government or one or more entities other than the federal government, such as state governmental authorities or other third-party victims. The above notice requirement also applies regardless of whether the monetary component is incurred by multiple parties.
The above notice requirement does not supersede any existing notice or approval requirements. Any such existing requirements shall continue to apply in addition to the above notice requirement.
[updated April 2023]