JM 9-2.400
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-2.031 | Approval is required to continue and/or initiate a federal prosecution affected by Petite policy (dual and successive prosecution). | Assistant Attorney General, Criminal Division, through the Policy and Statutory Enforcement Unit of the Office of Enforcement Operations. |
| 9-2.032 | Notification to Criminal Division of certain prosecutions of attorneys, see 9-2.032. | AAG/Criminal Division through Policy and Statutory Enforcement Unit, Office of Enforcement Operations. |
| 9-2.136(D) | The USAO shall notify CTS of the opening of any international terrorism matter. The notification should include the names and identifiers, if known, of subjects of the investigation and a general overview of the investigation, so that CTS may attempt to identify linkages to, and deconflict the investigation with, investigations that may be ongoing in other districts or within CTS and may raise any concerns about the proposed investigation. To allow this process, notification should be made in advance where practicable and otherwise as soon as possible, but the USAO should not delay in taking necessary investigative action, particularly where such action is covert. Notification may be made by email or telephone; or, as necessary to protect classified and sensitive information, by secure fax or telephone; and may utilize the standard Case Notification Form available from CTS if preferred. If after notification, CTS determines that there are related matters pending in other districts that could be affected by investigative action in the new matter, CTS will so inform the USAO and will advise the other districts of the new matter. | Regional ATAC Coordinator in the Counterterrorism Section. |
| 9-2.136(D) | In all international terrorism matters, the USAO shall notify CTS of significant developments in the investigation and prosecution, including the filing of search warrants; the filing of material witness warrants; the application for electronic surveillance; the declination of the matter without filing of charges; the filing and dismissal of criminal or immigration charges; the entering of plea agreements; the initiation and results of trials; and the results of sentencings and appeals. CTS will be responsible for reporting to the Department's leadership on such developments, although the USAO should also send Urgent Reports on such matters as required by JM Chapter 1-13.000. Regional ATAC Coordinator in the Counterterrorism Section. | |
| 9-2.136(E) | Where a USAO is aware that another USAO or CTS has a related international terrorism matter opened, the USAO shall not issue grand jury subpoenas or apply for a pen register or trap and trace order that may impact such related matters without first consulting with CTS and the other district. | Regional ATAC Coordinator in the Counterterrorism Section, and the ATAC Coordinator or other designated AUSAs in the other district. |
| 9-2.136(F) | When CTS becomes aware of information that may be relevant to an international terrorism matter pending in a USAO, including relevant investigative action that may be planned in another district and issues regarding FISA searches or electronic surveillance, CTS shall share that information directly with the USAO as soon as practicable and to the extent authorized by the originator of the information. Where relevant information is known to CTS but cannot be shared with a USAO due to originator requirements, CTS shall request that the originator authorize such sharing. | The ATAC Coordinator or other designated AUSAs in the other district. |
| 9-2.136(H) | Prior express approval of the Assistant Attorney General of the National Security Division (AAG) or his designee is presumptively required for certain court actions involving the international terrorism-focused (Category 1) statutes:Filing an application for a search warrant.Filing an application for a material witness warrant.Filing a criminal complaint or information or seeking the return of an indictment.Filing a superseding complaint or information, or seeking the return of a superseding indictment.Dismissing a charge for which AAG approval was initially required, including as part of a plea agreement.Other specific court filings as requested by the AAG.Prior approval is required in other (Category 2) international terrorism matters only upon AAG request. As noted above, even court actions that do not require prior approval will qualify as significant developments with notification requirements. | AAG of the National Security Division or his/her designee. |
| 9-2.136(H) | Before entering into a plea agreement in a case in which court documents utilize one of the Category 1 statutes (or cases using Category 2 statutes in which the AAG makes a request), the USAO shall notify and seek the concurrence of the AAG, with any disagreement to be resolved by the Deputy Attorney General. | AAG of the National Security Division. |
| 9-2.136(I) | If exigent circumstances require a USAO to take immediate action in an international terrorism matter without complying with the consultation or prior approval requirements set forth above, the USAO must notify CTS of any action taken as soon as practicable thereafter and the exigent circumstances that precluded obtaining prior approval. The USAO shall provide copies of any court filings made. | Regional ATAC Coordinator in the Counterterrorism Section. |
| 9-2.136(J) | The written certification of the Attorney General is required to allege a violation of 18 U.S.C. § 2332. | Regional ATAC Coordinator in the Counterterrorism Section. |
| 9-2.137 | The USAO shall notify CTS, through its CTS Regional Coordinator, the CTS Domestic Terrorism Coordinator, or the National ATAC Coordinator, of the initiation and significant developments in domestic terrorism investigations (i.e., a terrorism investigation that does not involve foreign nationals, foreign locations, or connections to foreign countries or groups). | Regional ATAC Coordinator, the CTS Domestic Terrorism Coordinator, or the National ATAC Coordinator in the Counterterrorism Section. |
| 9-2.137 | When CTS becomes aware of information that may be relevant to a domestic terrorism matter pending in a USAO, including relevant investigative action that may be planned in another district, CTS shall share that information directly with the USAO as soon as practicable and to the extent authorized by the originator of the information. Where relevant information is known to CTS but cannot be shared with a USAO due to originator requirements, CTS shall request that the originator authorize such sharing. | The ATAC Coordinator or other designated AUSAs in the other district. |
| 9-2.138(C) | Notifying CTS of routine hoax or threat matters is not required, but is encouraged. | Counterterrorism Section |
| 9-2.138(D) | USAOs must promptly notify CTS when the USAO opens any WMD matter. | Counterterrorism Section |
| 9-2.138(D) | Where a USAO is aware that another USAO or CTS has opened a related matter, the USAO shall not issue a grand jury subpoena or apply for a pen register or trap and trace order that may affect the related matter without first consulting with CTS and the other district. | Counterterrorism Section and the other district |
| 9-2.138(D) | The USAO shall notify CTS of any significant development in the investigation and prosecution of the matter, including the filing of a search warrant; the filing of a material witness warrant; the application for electronic surveillance; the declination of the matter without filing of charges; the filing and dismissal of criminal or immigration charges; the entering of a plea agreement; the initiation and results of trials; and the results of sentencings and appeals. | Counterterrorism Section |
| 9-2.138(E) | Prior, express approval of the Assistant Attorney General (AAG) of the National Security Division (or his or her designee) is required for the following court actions involving a WMD matter: filing an application for a search warrant; filing an application for a material witness warrant; filing a criminal complaint or information or seeking the return of an indictment; filing a superseding complaint or information, or seeking the return of a superseding indictment; dismissing a charge for which AAG approval was initially required, including as part of a plea agreement; and other specific court filings as requested by the AAG. | Assistant Attorney General (AAG) of the National Security Division, through the Counterterrorism Section |
| 9-2.138(F) | The USAO must seek the prior concurrence of the AAG before entering into a plea agreement in a WMD matter. | Assistant Attorney General (AAG) of the National Security Division |
| 9-2.138(G) | If exigent circumstances require a USAO to take immediate action in a WMD matter without complying with the notification, consultation, concurrence, or prior approval requirements set forth above, the USAO must promptly notify CTS of any action taken and of the exigent circumstances that precluded obtaining prior approval. | Counterterrorism Section |
| 9-2.139(C) | When the USAO opens any torture, war crimes, genocide, child soldiers matter, or female genital mutilation the USAO shall promptly notify the Human Rights and Special Prosecutions Section (HRSP) of the Criminal Division. | Human Rights and Special Prosecutions Section (HRSP). |
| 9-2.139(C) | HRSP shall immediately notify CTS of all notifications made by a USAO under 9-2.139(C) | Counterterrorism Section. |
| 9-2.139(D) | Where a USAO is aware that another USAO or HRSP has opened a related matter, the USAO shall not issue a grand jury subpoena or apply for a pen register or trap and trace order that may affect the related matter without first consulting with HRSP and the other district. | Human Rights and Special Prosecutions Section (HRSP) and the other district. |
| 9-2.139(D) | The USAO shall notify HRSP of any significant development in the investigation and prosecution of the matter, including the filing of a search warrant; the filing of a material witness warrant; the application for electronic surveillance; the declination of the matter without filing of charges; the filing and dismissal of criminal or immigration charges; the entering of a plea agreement; the initiation and results of trials; and the results of sentencings and appeals. | Human Rights and Special Prosecutions Section (HRSP). |
| 9-2.139(E) | Prior, express approval of the Assistant Attorney General (AAG) of the Criminal Division (or his or her designee) is required for the following court actions involving a torture, war crimes, genocide, female genital mutilation, or child soldiers matter: filing an application for a search warrant; filing an application for a material witness warrant; filing a criminal complaint or information or seeking the return of an indictment; filing a superseding complaint or information, or seeking the return of a superseding indictment; dismissing a charge for which AAG approval was initially required, including as part of a plea agreement; and other specific court filings as requested by the AAG. | Assistant Attorney General (AAG) of the Criminal Division, through the Human Rights and Special Prosecutions Section (HRSP). |
| 9-2.139(F) | The USAO must seek the prior concurrence of the AAG before entering into a plea agreement in a torture, war crimes, or genocide matter. | Assistant Attorney General (AAG) of the Criminal Division. |
| 9-2.139(G) | If exigent circumstances require a USAO to take immediate action in a torture, war crimes, genocide, child soldiers matter without complying with the notification, consultation, concurrence, or prior approval requirements set forth above, the USAO must promptly notify HRSP of any action taken and of the exigent circumstances that precluded obtaining prior approval. | Human Rights and Special Prosecutions Section (HRSP). |
| 9-2.145 | Approval to dismiss any charge or reduce any charge for which approval was necessary to through the Section indict or file an information or complaint. | Assistant Attorney General, Criminal Division having jurisdiction of the Offense. |
| 9-2.154 | Legislative proposals should be forwarded for consultation. | Office of Policy and Legislation. |
| 9-2.159 | Approval to dismiss case based on agency refusal to produce documents. | Assistant Attorney General, Criminal Division. |
| 9-2.170 | Prior approval is required of the following appeals, requests, or petitions: 1) Any appeal of a decision adverse to the government, including an appeal of an order releasing a charged or convicted defendant or a request to seek a stay of a decision adverse to the government. 2) A petition for rehearing that suggests rehearing en banc—and any rare appeal in which the government wishes to suggest that it be heard initially en banc. See Fed. R. App. P. 35(c). Although a petition for panel rehearing does not require the approval of the Solicitor General, one should not be filed until the Solicitor General has been given the opportunity to decide whether the case merits en banc review. 3) A petition for mandamus or other extraordinary relief. 4) In a government appeal, a request that the case be assigned to a different district court judge on remand. 5) A request for recusal of a court of appeals judge. 6) A petition for certiorari (only the Solicitor General may file petitions for certiorari). | Solicitor General, through Appellate Section, Criminal Division. |
| 9-2.170 | Notification is required of all adverse, appealable district court decisions (including adverse 28 U.S.C. § 2255 habeas rulings, coram nobis rulings, and forfeiture rulings). USAOs need only report adverse district court Sentencing Guidelines decisions if they wish to obtain authorization to appeal that decision. Other adverse sentencing decisions should be reported. | Appellate Section, Criminal Division. |
| 9-2.170 | Notification is required of every published court of appeals' decision that is adverse to the government in any respect. | Appellate Section, Criminal Division. |
| 9-2.170 | Consultation is required before confessing error in a court of appeals, or before taking a position that may be inconsistent with the government's position in another case. | Appellate Section, Criminal Division. |
| 9-2.173 | Under some treaties, prosecutors are required to notify the consular official when a foreign national is arrested in the United States on federal criminal charges. | Consular Officials of foreign countries. Contact the Office of International Affairs, Criminal Division, to determine whether a treaty requires contact with a consular official. |
| 9-2.181 | Approval is required for Organized Crime Strike Force matters. Every significant action in the investigation and prosecution, from case initiation, court authorized electronic surveillance, witness immunities, witness protection requests, undercover proposals, case indictment, disposition by plea, and other important events must be approved in advance by Violent Crime and Racketeering Section. All significant dispositions, including indictments and verdicts, must be reported to Violent Crime and Racketeering Section in writing. | Violent Crime and Racketeering Section, Criminal Division. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-5.150 | Approval is required to move for or consent to closure of judicial proceedings. 28 C.F.R. § 50.9. | Deputy Attorney General (through the Division having supervisory authority over the offense charged; the Office of Enforcement Operations, through the Policy and Statutory Enforcement Unit, handles these approvals for the Criminal Division). |
| 9-7.110 | Approval is required for applications for court orders authorizing the interception of oral, wire or electronic communications (except for applications involving electronic communications to digital-display paging device-which may be approved by a United States Attorney). Approval is also required for extension requests. | Assistant Attorney General, Criminal Division or Deputy Assistant Attorney General, through the Office of Enforcement Operations. |
| 9-7.111 | Approval is required for roving interception of wire and oral communications. | Attorney General, Deputy Attorney General, Associate Attorney General, Assistant Attorney General, or Acting Assistant Attorney General, through Office of Enforcement Operations, Criminal Division. |
| 9-7.112 | Approval is required for emergency interceptions under 18 U.S.C. § 2518(7) without a court order. | Attorney General, Deputy Attorney General, Associate Attorney General (after obtaining oral approval of AAG or DAAG of Criminal Division, through Office of Enforcement Operations). |
| 9-7.200 | Approval is required to use video surveillance for law enforcement purposes when there is a constitutionally protected expectation of privacy requiring judicial authorization. | Assistant Attorney General, Deputy Assistant Attorney General, Director and Associate Directors of the Office of Enforcement Operations, Criminal Division. |
| 9-7.302 | Investigations Where Written Department of Justice Approval is Required.A request for authorization to monitor an oral communication without the consent of all parties to the communication must be approved in writing by a Deputy Assistant Attorney General, Criminal Division, U.S. Department of Justice, when it is known that the monitoring concerns an investigation into an allegation of misconduct committed by a Member of Congress, a federal judge, a member of the Executive Branch at Executive Level IV or above (as defined in 5 U.S.C. §§ 5312-5315), or a person who has served in such capacity within the previous two years. In all other investigations involving a Member of Congress or congressional staff, prosecutors must consult with the Public Integrity Section, Criminal Division, U.S. Department of Justice. See JM 9-85.100. A request for authorization to monitor an oral communication without the consent of all parties to the communication must be approved in writing by the Director of the Office of Enforcement Operations, Criminal Division, U.S. Department of Justice, when it is known that:(a) 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;(b) any party to the communication is a member of the diplomatic corps of a foreign country;(c) any party to the communication is a current or former participant in the Federal Witness Security Program and that fact is known to the agency involved or its officers;[1](d) the consenting or nonconsenting person is in the custody of the Bureau of Prisons or the United States Marshals Service; or(e) 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.In all other cases, approval of consensual monitoring will be in accordance with the procedures set forth in part V. below.B.Monitoring Not Within Scope of This Section. Even if the interception falls within one of the six categories above, the procedures and rules in this Section do not apply to:(1) extraterritorial interceptions;(2) foreign intelligence interceptions, including interceptions pursuant to the Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. §1801, et seq.);(3) interceptions pursuant to the court-authorization procedures of Title III of the Omnibus Crime Control and Safe Streets Act of 1968, as amended (18 U.S.C. §2510, et seq.);(4) routine Bureau of Prisons (BOP) monitoring of oral communications that are not attended by a justifiable expectation of privacy, to include monitoring of conversations on existing BOP systems;[2](5) interceptions of radio communications;(6) interceptions of telephone communications;(7) monitoring of communications during an interview conducted by a law enforcement officer in the course of his or her official duties, provided that the law enforcement officer consented to the monitoring; and(8) monitoring of communications during a Group One Undercover Operation approved by the Criminal Undercover Operations Review Committee (CUORC), pursuant to The Attorney General’s Guidelines on Federal Bureau of Investigation Undercover Operations, § IV.C(2).[1] See JM 9-21.800 (requiring authorization from the Criminal Division’s Office of Enforcement Operations to use a current or former participant in the Federal Witness Security Program as an informant). [2] Monitoring of wire and electronic communications over contraband telephones inside federal prisons must be authorized pursuant to Title III of the Omnibus Crime Control and Safe Streets Act of 1968, as amended (18 U.S.C. §2510, et seq.). See Part II.B.(3) above. | Deputy Assistant Attorney General or the Director of the Office of Enforcement Operations, Criminal Division |
| 9-7.500 | The use of pen registers to collect all or part of a URL is prohibited without prior consultation with CCIPS. This policy does not apply to applications for pen register orders that would merely authorize collection of Internet Protocol (IP) addresses, even if such IP addresses can be readily translated into URLs or portions of URLs. Similarly, this policy does not apply to the collection, at a web server, of tracing information indicating the source of requests to view a particular URL using a trap and trace order. | Computer Crime and Intellectual Property Section, Criminal Division. |
| 9-8.130 | Notification must be provided prior to filing any motion to transfer a juvenile proceeding to an adult prosecution. | Violent Crime and Racketeering Section, Criminal Division. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-10.020 | A district indicting a Title 21 capital offense that occurred before March 6, 2006, should consult with the Capital Case Unit of the Criminal Division regarding indictment and procedure. | Capital Case Section, Criminal Division. |
| 9-10.040 | In all cases subject to the provisions of JM Chapter 9-10.000, the Attorney General will make the final decision about whether to seek the death penalty. The Attorney General will convey the final decision to the United States Attorney in a letter authorizing him or her to seek or not to seek the death penalty. | Attorney General. |
| 9-10.050 | In no event may the information identified in the second paragraph of JM 9-10.050 be disclosed outside the Department and its investigative agencies without prior approval of the Attorney General. The United States Attorneys may exercise their discretion, however, to place additional limits on the scope of confidentiality in capital cases prosecuted in their Districts. | Attorney General. |
| 9-10.060 | Absent extenuating circumstances, prior to seeking an indictment for a capital-eligible offense, the United States Attorney or Assistant Attorney General shall submit the case to the Capital Case Section for review. | Capital Case Section, Criminal Division. |
| 9-10.180 | The United States Attorney must immediately notify the Capital Case Section when a capital offense is charged and provide the Section with a copy of the indictment and cause number, even if the materials described in JM 9-10.080 are not yet ready for submission. | Capital Case Section, Criminal Division. |
| 9-10.060 through 9-10.080 | The United States Attorney must submit to the Assistant Attorney General for the Criminal Division every case in which an indictment has been or will be obtained that charges an offense punishable by death or alleges conduct that could be charged as an offense punishable by death. The submissions to the Assistant Attorney General must be done as expeditiously as possible following indictment, but no fewer than 90 days before the Government is required, by an order of the court, to file a notice that it intends to seek the death penalty. In the absence of a court established deadline for the Attorney General's death penalty decision, the United States Attorney must make the submission sufficiently in advance of trial to allow for both the 90 day time period encompassed by the review process plus any additional time necessary to ensure that a notice of intent to seek the death penalty is timely filed under 18 U.S.C. § 3593(a). If a case is not submitted 90 days in advance of a deadline for the Attorney General's decision or 150 days in advance of a scheduled trial date, the prosecution memorandum should include an explanation of why the submission is untimely. | Assistant Attorney General, Criminal Division. |
| 9-10.120 | Absent the authorization of the Attorney General, the United States Attorney may not enter into a binding plea agreement that precludes the United States from seeking the death penalty with respect to any defendant falling within the scope of JM Chapter 9-10.000. | Attorney General |
| 9-10.120 | For proposed plea agreements that precede a decision by the Attorney General to seek or not to seek the death penalty, the United States Attorney should send a request for approval to the Assistant Attorney General for the Criminal Division as early as possible, absent unavoidable circumstances, no later than 90 days prior to the date on which the Government would be required, by an order of the court or by the requirements of 18 U.S.C. § 3593(a), to file a notice that it intends to seek the death penalty. | Assistant Attorney General, Criminal Division. |
| 9-10.160 | Once the Attorney General has authorized the United States Attorney to seek the death penalty, the United States Attorney may not withdraw a notice of intention to seek the death penalty filed with the district court unless authorized by the Attorney General. | Attorney General. |
| 9-11.101 | Consultation is required before any grand jury report is initiated, whether by a regular or special grand jury. See also 9-11.330. | Chief of the Violent Crime and Racketeering Section, Criminal Division. |
| 9-11.120 | Approval is required to resubmit matter to a grand jury after no bill. | United States Attorney. |
| 9-11.140 | See 9-13.525 for DOJ policy regarding issuing subpoenas to obtain evidence or testimony from other countries. | Office of International Affairs, Criminal Division. |
| 9-11.140 | "Forthwith" subpoenas should be used only when an immediate response is justified and then may be used only with prior approval. | United States Attorney. |
| 9-11.150 | Prior approval is required to subpoena a target to the grand jury. | United States Attorney or Assistant Attorney General. |
| 9-11.160 | Prior approval is required to resubpoena a contumacious witness before successive grand juries and to seek civil contempt sanctions if the witness refuses to testify. | Assistant Attorney General, Criminal Division, through the Office of Enforcement Operations. |
| 9-11.242 | Requests for appointments of Non-Department of Justice Government Attorneys as Special Assistant United States Attorneys or Special Assistant to the Attorney General so that they may appear before the grand jury must be made in writing. | Executive Office for United States Attorneys (or Office of Enforcement Operations, Criminal Division, if the less common Special Assistant or Special Assistant to the Attorney General appointment is to be used in cases or matters within the jurisdiction of the Criminal Division.). |
| 9-11.260 | Prior written approval is required to request a court for permission to disclose grand jury materials under Federal Rules of Criminal Procedure 6(e)(3)(E)(iv) (disclosure of 6(e) material to State and Local Law Enforcement Officials). | Assistant Attorney General for the Division having supervisory responsibility for the principal offenses being investigated. (If the Criminal Division has supervisory responsibility, such requests for approval should be sent to the Policy and Statutory Enforcement Unit of the Office of Enforcement Operations.). In a matter being handled by a United States Attorney’s Office, Assistant United States Attorneys must seek prior authorization from the United States Attorney (or a delegated Supervisory Assistant United States Attorney). |
| 9-11.300 | Prior certification is required to empanel a special grand jury under 18 U.S.C. § 3331(a). | Policy and Statutory Enforcement Unit of the Office of Enforcement Operations, Criminal Division. |
| 9-11.330 | Notification is requested when a special grand jury (empaneled under 18 U.S.C. § 3331—grand juries for organized crime) will be considering the issuance of a report, or will be preparing a report which the United States Attorney has not requested. | Chief of the Violent Crime and Racketeering Section, Criminal Division. |
| 9-11.330 | Approval of draft special grand jury (18 U.S.C. § 3331—organized crime) reports is required before the draft report may be furnished to the special grand jury. | Chief of the Violent Crime and Racketeering Section, Criminal Division. |
| 9-13.400 | Approval is required to: subpoena, interrogate, arrest or indict members of the news media, or to subpoena the telephone toll records of the news media. | Attorney General, through the Division having supervisory authority over the offense charged. If the Criminal Division has supervisory authority, requests should be sent to the Policy and Statutory Enforcement Unit of the Office of Operations. |
| 9-13.410 | Approval is required to issue grand jury or trial subpoena to attorneys for information relating to the representation of client. | Assistant Attorney General, Criminal Division, through the Office of Enforcement Operations. |
| 9-13.420 | No application for a search warrant for a subject attorney's office may be made to a court without the express approval of the United States Attorney or pertinent Assistant Attorney General. In addition to obtaining approval from the United States Attorney or the pertinent Assistant Attorney judicial authorization for the search warrant, the federal prosecutor must consult with the Criminal Division. | Assistant Attorney General, Criminal Division, through the Office of Enforcement Operations. |
| 9-13.500 | Consultation is required before contacting any foreign or U.S. State Department official in matters relating to extradition of a fugitive or the obtaining of evidence through compulsory process from a foreign authority in a criminal investigation, prosecution, or ancillary criminal matter. Consultation is required before any proposed contact with foreign officials, other than United States investigative agents, in a foreign country for the purpose of obtaining the extradition of a fugitive or evidence through compulsory process. Prior approval is required before attempting to do any unilateral investigative act outside the United States relating to a criminal investigation or prosecution, including contacting a witness by telephone or mail. | Office of International Affairs, Criminal Division. |
| See Criminal Resource Manual 276 | Consultation is required to determine whether the United States has a Mutual Legal Assistance Treaty with the country from which the evidence is sought. | Office of International Affairs, Criminal Division. |
| 9-13.525 | Prosecutors must obtain written approval before issuing any unilateral compulsory measure to persons or entities located in a foreign country. Written approval is required prior to initiating enforcement proceedings relating to such process.Prosecutors must obtain written approval before issuing any unilateral compulsory measure to persons or entities in the United States for records located abroad, where the prosecutor or investigator seeking the evidence or information has been notified that it is located in a foreign country. Prosecutors must obtain written approval prior to initiating enforcement proceedings relating to such process. | Office of International Affairs, Criminal Division. |
| 9-13.525 | Prosecutors must obtain prior approval to serve a subpoena ad testificandum on an officer or attorney of a foreign bank or corporation who is temporarily in United States when in connection with the operation of the foreign bank or corporation. | Office of International Affairs, Criminal Division. |
| 9-13.525 | Prosecutors must obtain written approval to seek or issue a 28 U.S.C. §1783 subpoena requiring the appearance of national or resident of the United States who is in a foreign country or requiring the production of a specified document or other thing by that person. | Office of International Affairs, Criminal Division. |
| 9-13.526 | Notification is required before filing civil forfeiture action pursuant to extraterritorial jurisdictional provision contained in 28 U.S.C. § 1355(b)(2) against assets in foreign country. Coordination is required in order to present a foreign government, for enforcement or recognition, any civil or criminal forfeiture order entered in the United States for property located within the foreign jurisdiction. | Office of International Affairs, which will consult with Money Laundering and Asset Recovery Section. |
| 9-13.534 | Approval is required for travel to a foreign country in connection with criminal matters and with international criminal justice sector capacity building and assistance efforts, including prosecutorial, law enforcement and judicial workshops and symposia. | EOUSA, the Office of International Affairs, and/or the Office of Overseas Prosecutorial Development, Assistance and Training, which will consult with the International Criminal Investigative Training Assistance Program as necessary. |
| 9-13.540 | Foreign legal assistance requests that have not been routed through Office of International Affairs (OIA) should be submitted to OIA for evaluation. (This does not apply when a foreign law enforcement authority provides information to U.S. authorities, a Department component opens its own investigation based on that information, and U.S. authorities share information generated from their own investigation with those foreign law enforcement authorities.) | Office of International Affairs, Criminal Division. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-15.610 | Prosecutors may not take steps to secure custody over persons outside the United States (by government agents or the use of private persons, like bounty hunters or private investigators) by means of Alvarez-Machain type returns without advance approval by the Department of Justice. Prosecutors must consult with the Office of International Affairs (OIA) before they undertake any such operation. If a prosecutor anticipates that a defendant may raise a claim that his return was illegal, the prosecutor must consult with OIA before such return. | Office of International Affairs, Criminal Division. |
| 9-15.630 | Prosecutors must consult with the Office of International Affairs and secure approval from the Criminal Division before undertaking a lure to the United States or a third country. | Office of International Affairs, Criminal Division. |
| 9-15.700 | Prosecutors may not act on any foreign extradition or provisional arrest request that comes from a source other than OIA. | Office of International Affairs, Assistant Attorney General, Criminal Division. |
| 9-15.800 | Written approval is required before prosecutors may agree, formally or informally, to prevent or delay extradition or removal of cooperating alien defendants or witnesses. | Office of International Affairs, Criminal Division. |
| 9-15.800 | Prosecutors must obtain prior approval before agreeing, formally or informally, not to share evidence with a foreign government. | Office of International Affairs, Criminal Division. |
| 9-16.010 | Prior Approval is required for consent to a plea of nolo contendere. See also JM 9-27.520. | Attorney General, Associate Attorney General, Deputy Attorney General, or Assistant Attorney General with supervisory responsibility for the subject matter. (If the Criminal Division has supervisory responsibility, such requests for approval should be sent to the Policy and Statutory Enforcement Unit of the Office of Enforcement Operations.) |
| 9-16.015 | Prior Approval is required for consent to an Alford plea. See also JM 9-27.400. | Attorney General, Associate Attorney General, Deputy Attorney General, or Assistant Attorney General with supervisory responsibility for the subject matter. |
| 9-16.030 | Consultation with investigative agencies and victims is necessary before entering into a plea agreement. | Relevant Investigative Agencies, and any known victim. |
| 9-16.110 | Prior approval is required for plea agreements with defendants who are candidates or members of Congress or federal judges. | Public Integrity Section, Criminal Division. |
| 9-19.220 | Prior Approval is required for search warrant applications for documentary materials in possession of third parties, such as physicians, attorneys, or clergymen. | United States Attorney or supervising DOJ attorney AND Deputy Assistant Attorney General for the division which supervises the underlying offense being investigated or prosecuted. With respect to offenses supervised by the Criminal Division, contact the Office of Enforcement Operations. |
| 9-19.240 | Approval is needed before a warrant is sought for seizure of any work product materials or other documentary materials possessed by a person reasonably believed to have a purpose to disseminate to the public a newspaper, book, broadcast, or other similar public communications that are governed by Title I of the Privacy Protection Act of 1980. | Deputy Assistant Attorney General, Criminal Division, through the Office of Enforcement Operations's Policy and Statutory Enforcement Unit, and the Computer Crime and Intellectual Property Section. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-21.050 | Prior Approval is required to use, for investigative purposes, persons who are in the custody of the USMS or BOP, or who are under BOP supervision. This approval requirement applies whether the individual is sentenced or unsentenced, but it does not apply if the person in Federal custody has not yet been arraigned, unless 72 hours have passed. | Special Operations Unit, Office of Enforcement Operations, Criminal Division. |
| 9-21.200 | Approval is required of applications for Witness Security Program/Protection of Witnesses. | Attorney General; Deputy Attorney General; Associate Attorney General; Assistant Attorney General, Civil Rights Division (if a criminal civil rights matter is involved); Assistant Attorney General, Criminal Division; or the Director or Senior the Office of Enforcement Operations, Criminal Division. |
| 9-21.400 | Prior Approval is required for public disclosure of a witness's pending or actual participation in the Witness Security Program. | Witness Security Unit of the Office of Enforcement Operations, Criminal Division. |
| 9-21.800 | Prior approval is required to use as an informant a currently protected witness or anyone relocated because of a witness’s cooperation. Consultation is required before using as an informant any former protected witness. | Witness Security Program, Special Operations Unit of the Office of Enforcement Operations, Criminal Division. |
| 9-23.130 | Authorization is required before requesting immunity. | Assistant Attorney General, Criminal Division, through Office of Enforcement Operations; (Antitrust AAG, Civil Rights AAG, Civil AAG, ENRD AAG, and Tax AAG may authorize compulsion orders also, but must obtain Criminal Division clearance.). |
| 9-23.400 | Prior written approval is required to initiate or recommend prosecution of an immunized person for an offense or offenses first disclosed in, or closely related to, immunized testimony or information. | Attorney General, through the Assistant Attorney General for the division that issued the letter of authority for requesting the original compulsion order. Through the Office of Enforcement Operations, Criminal Division. |
| 9-24.000 | See 9-24.000 for procedures for requesting special confinement conditions for BOP inmates whose communications pose a substantial risk of death or serious bodily injury to persons. | Attorney General through Office of Enforcement Operations, Criminal Division. |
| 9-27.140 | Approval is required for any significant modification of or departure from the principles of Federal Prosecution, if the modification or departure will be a matter of policy or regular practice. | Assistant Attorney General, Deputy Attorney General. |
| 9-27.300 | Approval is required not to file a sentencing enhancement under 21 U.S.C. § 851 (unless the failure to file the sentencing enhancement would not affect the applicable guideline range). | United States Attorney, Chief AUSA, or senior supervisory criminal AUSA. |
| 9-27.400 | Prior approval is required to dismiss readily provable charges. | United States Attorney, or other designated supervisory level attorney. |
| 9-27.400 | Prior approval is required to seek a departure other than one listed in Chapter 5, Part X of the United States Sentencing Guidelines. | United States Attorney, or other designated supervisory level attorney. |
| 9-27.400 | Prior approval to file a 5K1.1 motion for downward departure based upon substantial assistance. | United States Attorney, Chief AUSA, or senior supervisory criminal AUSA. |
| 9-27.640 | Prior Approval is required to enter into a nonprosecution agreement in exchange for cooperation when: 1) consultation or approval is required (by a statute or DOJ policy) for a declination of prosecution or dismissal of a charge with regard to which the agreement is to be made; or, 2) the person is a) a level federal, state, or local official, b) an official or agent of a federal investigative or law enforcement agency, or c) a person who is, or likely to become, of major public interest. | Assistant Attorney General, Criminal Division. |
| 9-27.641 | Prior written approval is required to enter into multi-district (global) plea agreements. | The United States Attorney in each affected district and/or Assistant Attorney General, Criminal Division, through the Policy and Statutory Enforcement Unit (AAG approval is needed only when there is a dispute between the USA's involved or when DOJ Criminal Division is involved in the case.). |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-41.010 | When a matter referred to the United States Attorney pursuant to 18 U.S.C. 3057(a) (report of bankruptcy fraud) by a judge, receiver or trustee is declined, 18 U.S.C. Section 3057(b) requires that the United States Attorney report the facts of the case to the Attorney General for his direction. This statutory directive is satisfied by providing the United States Trustee Program with a concise summary of the facts of the case and the reasons for declining it. Concurrence with the decision to decline may be presumed if no disagreement is expressed by the United States Trustee Program. | Attorney General through United States Trustee Program. |
| 9-42.430 | Consultation is required regarding prosecution or declination of a volunteer corporation under the Dept. of Defense Voluntary Disclosure Program. | Federal Procurement Fraud Unit of the Fraud Section, Criminal Division. |
| 9-42.451 | Express approval is required before prosecutors enter into any plea bargains involving Health and Human Services (HHS) programs that would attempt to include a commitment to forgo or restrict administrative remedies of HHS. | Health and Human Services. |
| 9-47.110 | Prior approval is required to institute an investigation or prosecution of cases involving alleged violations of Sections 103, 104, and 104A, and related violations of Section 102, of the Foreign Corrupt Practices Act (FCPA) of 1977 (15 U.S.C. (15 U.S.C. §§ 78m(b), 78dd-1, 78dd-2, 78dd-3). | Fraud Section, Criminal Division. |
| 9-59.000 | Prior approval is required to file charges under the Economic Espionage Act, 18 U.S.C. § 1831 | Assistant Attorney through the Counterintelligence and Export Control Section of the National Security Division. |
| 9-60.700 | Consultation is required before initiating prosecution relating to a hostage taking occurring within United States. Approval is required if the hostage taking occurred outside the United States. | Assistant Attorney General, National Security Division, Counterterrorism Section. |
| 9-60.1200 | Consultation is required before instituting grand jury proceedings, filing an information, or seeking an indictment of a violation of 18 U.S.C. §§ 231-233, 2101, 2102 (civil disturbances and riots). | Counterterrorism Section, National Security Division. |
| 9-63.135 | Air Piracy within the special aircraft jurisdiction of the United States: Consultation is required before dismissing, in whole or in part, an indictment, information, or complaint containing air piracy charges or entering into any agreement to forego an air piracy prosecution that occurred within the special aircraft jurisdiction of the United States. 49 U.S.C. § 46502(a) in whole or in part, an indictment, information, or complaint containing air piracy charges or entering into any agreement to forego an air piracy prosecution that occurred within the special aircraft jurisdiction of the United States. 49 U.S.C. § 46502(a). | Counterterrorism Section, National Security Division. |
| 9-63.181 | Air Piracy outside the special aircraft jurisdiction of the United States: Approval is required to initiate a criminal investigation, commence grand jury proceedings, file an information or complaint, or seek the return of an indictment in matters involving overseas terrorism, including air piracy that occurs outside the special aircraft jurisdiction of the United States. Consultation is required before dismissing, in whole or in part, an indictment, information, or complaint containing air piracy charges or entering into any agreement to forego an air piracy prosecution that occurred outside the special aircraft jurisdiction of the United States. | Counterterrorism Section, National Security Division. |
| 9-63.221 | Prior approval is required for indictments alleging a violation of 18 U.S.C. § 32(b) (Aircraft Sabotage). | Assistant Attorney General, Criminal Division. |
| 9-65.110 | Telephonic notification is required immediately upon the initiation of any investigation under 18 U.S.C. § 1751. | Counterterrorism Section, National Security Division. |
| 9-65.200 | Prosecutors are encouraged to consult when in doubt of the prosecutive merit of a case when relating to the security of the persons protected by 18 U.S.C. § 871 (President, Vice-President, etc). | Counterterrorism Section, National Security Division. |
| 9-65.200 | Prior approval is required to dismiss complaints under 18 U.S.C. § 871, when the defendant is in custody under the Mental Incompetency Statutes. In all other § 871 cases, consultation is required prior to dismissing a count involving, or entering into any sentence commitment or other case settlement. | Counterterrorism Section, National Security Division. |
| 9-65.700 | Notification is required immediately upon the initiation of an investigation under 18 U.S.C. § 351. | Conterterrorism Section, Criminal Division. |
| 9-65.811 | Notification is required prior to arrest to indictment of members of Taiwan’s Taipei Economic and Cultural Representative Office (TECRO). | Conterterrorism Section, Criminal Division. |
| 9-69.200 | Prior approval is required for investigations or prosecutions of perjury before Congress and contempt of Congress. See also JM 9-90.550. (additional approval requirement regarding contempt of Congress relating to national security). | Fraud Section, Criminal Division. |
| 9-69.200 | Consultation is required before prosecuting an individual for perjury committed during a trial that resulted in acquittal. | Criminal Division through the Section having supervisory responsibility for the original offense charged. |
| 9-69.460 | Written approval is required before initiating a prosecution for a violation of 18 U.S.C. § 1073 (Flight to Avoid Prosecution, Custody, Confinement, or Giving Testimony). | Attorney General, Deputy Attorney General, Associate Attorney General, or Assistant Attorney General, through Policy and Statutory Enforcement Unit, Office of Enforcement Operations. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-72.100 | Approval is required of applications for S nonimmigrant visa classification. | Assistant Attorney General, Criminal Division, through the Office of Enforcement Operations, and the Department of Homeland Security. |
| 9-73.801 | Prior consultation is required to institute proceedings to revoke naturalization under 8 U.S.C. § 1451. | Office of Immigration Litigation, Civil Division. |
| 9-75.030 | Prior to initiating any activity in a district related to an investigation or prosecution, CEOS shall notify the United States Attorney for that District. If the United States Attorney objects to CEOS initiating the activity, the matter shall be resolved by the Deputy Attorney General. USAOs shall inform CEOS of all significant investigations and cases being prosecuted in the district as well as all significant judicial decisions issued in such cases. | Child Exploitation and Obscenity Section; Violent Crime and Racketeering Section. |
| 9-75.030 | Notify CEOS regarding criminal investigations of sex trafficking of minors under 18 U.S.C. § 1591. See JM 8-3.120. | Child Exploitation and Obscenity Sections, Criminal Division. |
| 9-75.100 | In cases in which the target commits criminal conduct in more than one district or there are multiple targets who may be located in different districts, all districts implicated in a multiple district investigation shall consult with each other to determine how best to proceed. Coordination with the Child Exploitation and Obscenity Coordinator in each district is encouraged. In multi-district investigations that are likely to generate leads and prosecutions in numerous districts (but are not national investigations under JM 9-75-110 involving more than 15 districts), USAOs should notify CEOS as early as possible in the investigative stage to permit coordination and early resolution of venue issues, if any. | Child Exploitation and Obscenity Section, Criminal Division. |
| 9-75.110 | CEOS shall be consulted during the development of a nationwide investigation (i.e., an investigation likely to have an impact in all or most of the districts) that will be supervised by a USAO attorney. The supervising attorney, whether from CEOS or USAO, shall notify all United States Attorneys of the nationwide investigation prior to its implementation. The supervising attorney conducting a nationwide investigation shall notify the Child Exploitation and Obscenity Coordinator in each district where a potential defendant is located as soon as that information is developed, and keep CEOS and the involved Coordinators apprised as to the progress of the investigation. | Child Exploitation and Obscenity Section, Criminal Division. |
| 9-76.110 | Consultation is required regarding settlement proposals under the Federal Aviation Act of 1958. | Federal Aviation Administration. |
| 9-79.400 | Notification is required before declining to prosecute failure to register with the Selective Service. 18 U.S.C. App. § 462 Consultation is required prior to dismissing a count involving, or entering into any sentence commitment or other case settlement in a case involving failure to register with the Selective Service. 50 U.S.C. App. § 462. | Policy and Statutory Enforcement Unit, Office of Enforcement Operations, Criminal Division. |
| 9-79.420 | Consultation is required before instituting grand jury proceedings, filing an information, or seeking an indictment of disclosure violations under 18 U.S.C. § 7213. | Public Integrity Section, Criminal Division. |
| 9-85.100 | Consultation with the Public Integrity Section is required in all investigations involving a Member of Congress or congressional staff member. In particular, the Public Integrity Section must be consulted prior to taking any of the following steps: (1) interviewing a Member of Congress or congressional staff member; (2) subpoenaing a Member of Congress or congressional staff member; or (3) applying for a search warrant for a location or device in which legislative materials are likely to be found. | Public Integrity Section, Criminal Division. |
| 9-85.200 | Prior approval (certification) is required for a prosecution of an offense under 18 U.S.C. § 245. Consultation is required before an investigation beyond a preliminary inquiry is requested, and before instituting grand jury proceedings based upon a federally protected activity identified in 18 U.S.C. § 245. For required authorizations in civil rights cases, including offenses under 18 U.S.C. §§ 247 and 249, see JM Sections 8-1.010 to 8-3.300. | Attorney General or Deputy Attorney General, through the Public Integrity Section, Criminal Division or the Criminal Section of the Civil Rights Division. |
| 9-85.210 | Consultation is required in all federal criminal matters that focus on violations of federal or state campaign financing laws, federal patronage crimes, and corruption of the electoral process. These offenses include, but are not limited to, offenses described in: 18 U.S.C. §§ 241 to 242, 245, 592 to 611; 42 U.S.C. §§ 1973i(c), 1973i(e), and 1973gg-10; 2 U.S.C. §§ 431 to 455; and prosecutive theories that focus on corruption of electoral processes or campaign fundraising violations using 18 U.S.C. §§ 1341, 1343, and 1346; 18 U.S.C. § 1952; 18 U.S.C. §§ 1956 and 1957. With regard to federal campaign matters arising under 2 U.S.C. §§ 431-455, consultation is required before any inquiry is requested or conducted. With regard to all other election-related investigations (other than those described in 9-85.200(Federally Protected Activities)), consultation is required before an investigation beyond a preliminary inquiry is requested, and before instituting grand jury proceedings, filing an information, or seeking an indictment. See also JM 9-90.020, which requires consultation with the Internal Security Section before prosecuting 2 U.S.C. § 441e offenses. | Public Integrity Section, Criminal Division. |
| 9-85.220 | Consultation is required before instituting grand jury proceedings, filing an information, or seeking an indictment for violations of 18 U.S.C. §§ 210 and 211 (Purchase and Sale of Public Office). | Public Integrity Section, Criminal Division. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-90.020 | Express prior approval is required for prosecution of offenses involving national security. Consultation is required before an arrest is made, search warrant is obtained, grand jury investigation is commenced, immunity is offered, indictment is presented, a prosecution is declined or an adverse ruling or decision is appealed in cases affecting national security. The following statutes are encompassed by these prior approval and consultation requirements when they relate to national security. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 1) 2 U.S.C. § 192, Contempt of Congress Related to National Security. See also 9-69.200 regarding other contempts of Congress. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 2) 2 U.S.C. § 261 et seq. Federal Regulation of Lobbying Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 3) 8 U.S.C. § 1185(b) and 18 U.S.C. §§ 1542-1544, Travel Controls of Citizens. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 4) 18 U.S.C. § 219 et seq., Officers and employees of United States Acting as Foreign Agents; and Conflicts of Interest. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 5) 18 U.S.C. § 791 et seq., Espionage; Unauthorized Disclosure of Classified Information. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 6) 18 U.S.C. § 952 et seq., Neutrality Laws. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 7) 18 U.S.C. § 1001, False Statements concerning membership in organizations advocating violent overthrow of government. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 8) 18 U.S.C. § 1030(a)(1), Computer Espionage. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 9) 18 U.S.C. § 1071 et seq., Harboring. | Assistant Attorney General, Criminal Division, through Violent Crime and Racketeering Section. |
| 9-90.020 | 10) 18 U.S.C. § 1073, Flight to Avoid Prosecution or Giving Testimony. | Assistant Attorney General, Criminal Division, through Violent Crime and Racketeering Section. |
| 9-90.020 | 11) 18 U.S.C. § 1501 et seq., Obstruction of Justice. | Assistant Attorney General, Criminal Division, through Violent Crime and Racketeering Section. |
| 9-90.020 | 12) 18 U.S.C. § 1542 et seq., Passport Violations Related to National Security. | Assistant Attorney General, Criminal Division, through Human Rights and Special Prosecutions Section (HRSP). |
| 9-90.020 | 13) 18 U.S.C. § 2151 et seq., Sabotage. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 14) 18 U.S.C. § 2381 et seq., Treason, Sedition and Subversive Activities. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 15) 18 U.S.C. § 2383, Inciting, Assisting or Engaging in Rebellion or Insurrection. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 16) 18 U.S.C. § 2385, Smith Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 17) 18 U.S.C. § 2386, Voorhis Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 18) 18 U.S.C. § 3150, Jumping Bail. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 19) 22 U.S.C. § 611 et seq, Foreign Agents Registration Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 20) 22 U.SC. § 2778, Arms Export Control Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 21) 42 U.S.C. § 2273 et seq, Atomic Energy Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 22) 50 U.S.C. § 783 et seq, Communication of Classified Information by Government Officer or Employee. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 23) 50 U.S.C. § 851-857, Registration of persons who have knowledge and received training in espionage. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 24) 50 U.S.C. § 421, Intelligence Identities Protection Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 25) 50 U.S.C. § 1701 et seq, International Emergency Economic Powers Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 26) 50 U.S.C. §§ 4801-4852, Export Control Reform Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | 27) 50 U.S.C. App. § 5(b), Trading with the enemy. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | Consultation is required in cases in which classified information plays a role in the prosecutive decision and for use of the Classified Information Procedures Act. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section. |
| 9-90.020 | Consultation is required before initiating a prosecution under 2 U.S.C. § 441e, § 441e, Campaign Contributions by Foreign Nationals. See also JM 9-85.210, which requires consultation with the Public Integrity Section before initiating any investigation under this section. | Assistant Attorney General, National Security Division, through Counterintelligence and Export Control Section, Registration Unit. |
| 9-90.100 | The USAO National Security Coordinator must notify the Internal Security Section when national security issues arise in the course of prosecutions of offenses not related to the national security. | Attorney General, Deputy Attorney General, Assistant Attorney General, National Security Division, through Chief, Counterintelligence and Export Control Section. |
| 9-90.210 | Approval is required to request to search an Intelligence Community (IC) file in connection with a National Security investigation or prosecution. | United States Attorney or a senior designee AND the Counterintelligence and Export Control Section, National Security Division. |
| 9-90.230 | Prior to any grand jury appearance by a target who is an intelligence officer, asset, or other employee of the intelligence community, consultation with the intelligence agency whose information may be disclosed by the target's testimony is required. | Relevant Intelligence Agency through the Counterintelligence and Export Control Section, National Security Division. |
| 9-90.240 | Notification is required if a district court or appellate court will not accept a substitution proposed by the government under CIPA section 6(c). | Counterintelligence and Export Control Section, National Security Division. |
| 9-90.240 | Approval is required to file an interlocutory appeal under section 7(a) of CIPA. | Counterintelligence and Export Control Section, National Security Division. |
| 9-90.240 | Notification is required if it becomes likely that an intelligence agency employee will testify in any criminal case. | Counterintelligence and Export Control Section, National Security Division. |
| 9-99.0004-8.200 | Notification and consultation are required upon opening any criminal investigation involving a possible violation of the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. § 301, et seq. | Consumer Protection Branch, Civil Division |
| 9-99.0004-8.200 | Notification and consultation are required 15 business days prior to filing criminal charges for a violation of the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. § 301, et seq. | Consumer Protection Branch, Civil Division |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-105.300 | Prior approval is required before commencement of investigation where jurisdiction to prosecute is based solely on extraterritorial jurisdiction provisions of 18 U.S.C. §§ 1956 and 1957. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.300 | Prior approval is required to prosecute under 18 U.S.C. § 1956(a)(1)(A)(ii) when the sole or principal purpose of the financial transaction was to evade the payment of taxes. See also 9-105.750. | Assistant Attorney General, Tax Division. |
| 9-105.300 | Prior approval is required to prosecute attorneys under 18 U.S.C. § 1956 or § 1957 when the financial transaction is one involving attorneys' fees. See also 9-105.600 et seq. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.320 | Notification is required of all convictions of financial institutions, or any officer, director, or employee of a financial institution, for the following offenses: 18 U.S.C. §§ 1957 or 1960, or 31 U.S.C. § 5322. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.330 | Consultation is required before filing a civil or criminal forfeiture action when forfeiture of a business is sought under the theory that business facilitated money laundering offenses. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.330 | Consultation is required before filing civil action under § 1956(b) against business entity. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.330Criminal Resource Manual 2187 | Consultation is required before filing an indictment or complaint when conduct to be charged as "specified unlawful activity" under 18 U.S.C. § 1956 and § 1957 consists primarily of one or more financial offenses or fraud offenses, and when the financial and money laundering offenses are so closely connected that there is no clear delineation between the underlying financial crime and the money laundering offense. Such prosecutions must be authorized by the district's United States Attorney and must be reported to MLARS. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.330Criminal Resource Manual 2187 | Consultation is required before filing an indictment or complaint when the conduct to be charged as money laundering under 18 U.S.C. § 1956(a)(1)(A)(i) consists of a financial transaction alleged to have promoted the "specified unlawful activity" that generated the proceeds, and where both money laundering and the "specified unlawful activity" itself are being charged as offenses. Such prosecutions must be authorized by the district's United States Attorney and must be reported to MLARS. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.330 | Consultation is required prior to filing an indictment or complaint when the conduct to be charged as money laundering under § 1956 or § 1957, or when the basis for a forfeiture action under § 981 consists of the deposit of proceeds of specified unlawful activity into a domestic financial institution account that is clearly identifiable as belonging to the person(s) who committed the specified unlawful activity. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-105.750 | Approval for use of specific intent language set forth in 18 U.S.C. § 1956(a)(1)(A)(ii) in proposed indictment when 1) indictment contains charges for which Tax Division authorization is required and 2) the intent to engage in conduct constituting a violation of 26 U.S.C. § 7201 or 26 U.S.C. § 7206 is the sole or principal purpose of the financial transaction which is the subject of the money laundering count. See also 9-105.300. | Assistant Attorney General, Criminal Section, Tax Division. |
| 9-110.101 | Prior approval is required to file a RICO criminal indictment or information or civil complaint, or to issue a civil investigative demand. | Violent Crime and Racketeering Section, Criminal Division. |
| Criminal Resource Manual 2084 | Prior approval is required to file a motion for a restraining order in a RICO prosecution. | Violent Crime and Racketeering Section, Criminal Division. |
| 9-110.801 | Prior approval is required before any criminal prosecution under 18 U.S.C. § 1959 may be initiated by indictment or information. | Violent Crime and Racketeering Section, Criminal Division. |
| 9-110.901 | Prior approval is required to file a Wire Act (18 U.S.C. § 1084) criminal indictment or information or complaint. | Violent Crime and Racketeering Section, Criminal Division. |
| 9-111.124 | The USAO must consult with the Money Laundering and Asset Recovery Section prior to filing an indictment, information, or complaint in any forfeiture action against, seeking the seizure of, or moving to restrain an ongoing business. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-111.600 | Approval is required to retain cash in the amount of $5,000 or more for evidentiary purposes. | Chief, Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-112.110 | Approval is required for the judicial forfeiture of property that would otherwise be forfeited administratively in cases that are not covered by the exception for compelling prosecutorial considerations or the exception for aggregation of seized property. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-112.240 | Prior approval is required for a pre-indictment ex parte application for a temporary restraining order in criminal forfeiture cases. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-113.103 | Consultation is required before entering into settlements or plea agreements that return property that is the subject of administrative forfeiture proceedings. | Seizing Agency and U.S. Marshals Service. |
| 9-113.107 | Approval is required for any settlement which provides for unsecured partial payments. | Money Laundering and Asset Recovery Section, Criminal Division, in consultation with the U.S. Marshals Service. |
| 9-113.200 | The Chief of the Money Laundering and Asset Recovery Section has authority to approve any forfeiture settlement where:(1) the amount involved exceeds $1,00,000 but does not exceed $5 million, and the amount to be released exceeds 15 percent of the amount involved, unless the amount to be released is more than $2 million; or(2) the amount involved exceeds $5 million, unless the amount to be released exceeds 15 percent of the amount involved and is more than $2 million. | Approval: Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-113.200 | The Deputy Attorney General must approve any forfeiture settlement where the amount to be released exceeds 15 percent of the amount involved and is more than $2 million. | Approval: Deputy Attorney General. |
| 9-113.800 | Written approval is required of any agreement to pay liens and mortgages to a lienholder prior to forfeiture under the Expedited Forfeiture Settlement Policy for Mortgage Holders. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-116.170 | Approval is required to adopt state or local seizures directly for judicial forfeiture. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-116.500 | Approval is required to transfer real property to state or local agencies for further transfer to other government agencies or non-profit agencies for use in the Weed and Seed Program. | Deputy Attorney General or designee, through Money Laundering and Asset Recovery Section. |
| 9-116.400 | Prior approval is required to share internationally. | Attorney General and Secretary of State through the Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-117.210 | Prior approval is required to use funds from the Assets Forfeiture Fund to pay Equal Access to Justice (EAJA) awards arising from actions related to the forfeiture of property. | Money Laundering Section and Asset Recovery Section, Criminal Division. |
| Chapter 9-118.000 and 9-116.210 | Approval is required of equitable sharing in the following circumstances: (1) in cases involving $1 million or more in forfeited assets; (2) in multi-district cases; and (3) in cases involving real property transfers to a state or local agency for law enforcement related use. | Deputy Attorney General or designee. |
| Chapter 9-118.000 | Approval is required for allocations from the Assets Forfeiture Fund to program participants for statutorily designated uses. | Deputy Attorney General or designee. |
| 9-118.400 | Approval is required of a seizing agency's decision to place property into the agency's own official use, if the liens on the property equal $25,000 or one-third of the value, whichever is greater. | Chief, Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-118.400 | Approval is required of the U.S. Marshals Service's decision to place personal property into official use by non-participating federal agencies, if: (1) the property is $25,000 or more in value; or (2) liens on the property equal or exceed $25,000, or one-third of the value, whichever is greater. | Chief, Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-118.400 | Approval is required for the placement of real property into official use by any federal agency. | Attorney General. |
| 9-119.010 and Chapter 9-120.000 | Prior approval to institute a criminal or civil forfeiture proceeding to forfeit an asset transferred to an attorney as fees for legal services. | Assistant Attorney General, Criminal Division, through the Money Laundering and Asset Recovery Section. |
| 9-119.010 and Chapter 9-120.000 | Prior approval to enter into a formal or informal, written or oral agreement to exempt an asset transferred to an attorney as fees for legal services from forfeiture, including the exemption of certain assets to pay attorneys' fees which are restrained as substitute assets. | Assistant Attorney General, Criminal Division, through the Money Laundering and Asset Recovery Section. |
| 9-119.010 | The USAO must notify the Money Laundering and Asset Recovery Section when it learns (or the U.S. Marshals Service learns) that a restrained or seized business is losing money, has insufficient equity, or will be sold at a loss. | Money Laundering and Asset Recovery Section, Criminal Division. |
| 9-119.010 | The Money Laundering and Asset Recovery Section must give approval before serving a restraining order, seizure warrant, or warrant of arrest on a correspondent bank account under 18 U.S.C. § 981(k) (the chief of the Money Laundering and Asset Recovery Section will get concurrence from the director of the Office of International Affairs). | Money Laundering and Asset Recovery, with concurrence from Office of International Affairs, Criminal Division. |
| 9-119.010 | The Office of International Affairs must give written approval before the USAO may issue summonses or subpoenas to foreign banks that maintain accounts with correspondent banks in the United States to obtain records. | Office of International Affairs, Criminal Division. |
| JM SECTION | TYPE & SCOPE OF REPORTING, CONSULTING OR APPROVAL | CONTACT |
| 9-131.030 | Consultation is required prior to criminal prosecution by filing an information or complaint, or seeking an indictment under 18 U.S.C. § 1951 (Hobbs Act) in cases involving labor-management disputes. | Violent Crime and Racketeering Section, Labor Management Unit, Criminal Division. |
| 9-138.030 | Consultation is required prior to instituting grand jury proceedings, filing an information, or seeking an indictment under either 29 U.S.C. § 504 or 29 U.S.C. § 1111. | Violent Crime and Racketeering Section, Labor Management Unit, Criminal Division. |
| 9-138.040 | Consultation is recommended with respect to convicted individuals who seek relief from the employment disabilities at 29 U.S.C. § 504 (labor union positions and labor relations consultants) and 29 U.S.C. § 1111 (employee pension and welfare benefit plan positions and consultants) which are imposed on individuals by operation of statute following sentencing. | Violent Crime and Racketeering Section, Labor Management Unit, Criminal Division. |
| 9-139.103 | Consultation is required prior to initiating prosecution under the Railway Labor Act. Consultation is recommended at the investigative stage because of the policy limiting prosecution. | Violent Crime and Racketeering Section, Labor Management Unit, Criminal Division. |
| 9-142.000 | A USAO must notify HRSP when the USAO opens any matter that involves the investigation or prosecution of a suspected human rights violator for offenses that do not fall within the confines of JM 9-2.139, and in any matter that the Assistant Attorney General for the Criminal Division determines is a matter of national significance. | HRSP, Criminal Division. |
[updated January 2021]