[Congressional Bills 113th Congress]
[From the U.S. Government Publishing Office]
[H.R. 4540 Introduced in House (IH)]
113th CONGRESS
2d Session
H. R. 4540
To regulate certain deferred prosecution agreements and nonprosecution
agreements in Federal criminal cases.
_______________________________________________________________________
IN THE HOUSE OF REPRESENTATIVES
May 1, 2014
Mr. Pascrell (for himself, Mr. Pallone, Mr. Cohen, and Mr. Conyers)
introduced the following bill; which was referred to the Committee on
the Judiciary
_______________________________________________________________________
A BILL
To regulate certain deferred prosecution agreements and nonprosecution
agreements in Federal criminal cases.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled,
SECTION 1. SHORT TITLE.
This Act may be cited as the ``Accountability in Deferred
Prosecution Act of 2014''.
SEC. 2. DEFINITIONS.
In this Act--
(1) the term ``deferred prosecution agreement'' means an
agreement between a Federal prosecutor and an organization to
conditionally defer prosecution of that organization in a
criminal case in which charges are filed;
(2) the term ``nonprosecution agreement'' means an
agreement between a Federal prosecutor and an organization to
conditionally decide not to file criminal charges against the
organization;
(3) the term ``organization'' means a person or entity
other than an individual; and
(4) the term ``independent monitor'' means a person or
entity outside the Department of Justice that is selected to
oversee the implementation of a deferred prosecution agreement
or nonprosecution agreement.
SEC. 3. LEGAL EQUIVALENCE OF NONPROSECUTION AGREEMENT AND DEFERRED
PROSECUTION AGREEMENT.
A nonprosecution agreement shall be subject to all the requirements
this Act and other law imposes on deferred prosecution agreements.
SEC. 4. ADMINISTRATIVE GUIDELINES ON AGREEMENTS.
(a) In General.--In order to promote uniformity and to assist
prosecutors and organizations as they negotiate and implement deferred
prosecution agreements and nonprosecution agreements, the Attorney
General shall, not later than 90 days after the date of the enactment
of this Act, issue public written guidelines for deferred prosecution
agreements and nonprosecution agreements.
(b) Matters Guidelines To Cover.--The guidelines issued under this
section shall provide direction in the following areas:
(1) The circumstances in which an independent monitor is
warranted for the agreement, the duties and authority of such a
monitor, and to whom the monitor owes those duties.
(2) What terms and conditions are appropriate in the
agreement, including when, whether, and the degree to which
Federal prosecutors should seek monetary penalties,
restitution, civil settlements, and post-monitoring conditions.
(3) Whether the agreement should include some or all of the
requirements of section 8B2.1 of the United States Sentencing
Guidelines for compliance and ethics programs.
(4) The process by which the Department of Justice decides
that the organization has successfully satisfied the terms of
the agreement.
(5) The manner and method for determining a breach of the
agreement.
(6) The extent of joint involvement of regulatory agencies
in connection with the agreement and the division of
responsibilities with those agencies.
(7) The period during which the agreement should remain in
effect.
(8) What constitutes the cooperation, if any, required by
the agreement from the organization and its employees with
respect to any ongoing criminal investigations, including the
length of the obligation to cooperate.
(9) When and why it would be appropriate for Federal
prosecutors to enter into a nonprosecution agreement rather
than a deferred prosecution agreement.
SEC. 5. SELECTION AND COMPENSATION OF INDEPENDENT MONITORS OF
AGREEMENTS.
(a) Rules for Selection of Monitors.--The Attorney General shall
establish rules for the selection of independent monitors in connection
with deferred prosecution agreements.
(b) National List of Possible Monitors.--Such rules shall provide
for the creation of a national list of organizations and individuals
who have the expertise and specialized skills necessary to serve as
independent monitors. The Attorney General shall place the list on the
public website of the Department of Justice.
(c) Open Selection Process.--Such rules shall also provide for an
open, public, and competitive process for the selection of such
monitors. The Department of Justice shall, subject to the approval of
the court, appoint the independent monitor from the national list
created under this section.
(d) Compensation.--The Attorney General shall establish a fee
schedule for the compensation of independent monitors and their support
staff, and place that fee schedule on the public website of the
Department of Justice. Before a deferred prosecution agreement that
entails monitoring is entered into, this schedule shall also be
provided to each organization that is to be monitored pursuant to that
agreement.
SEC. 6. RESTRICTIONS RELATING TO AGREEMENTS.
(a) Payments to Unrelated Third Parties.--A deferred prosecution
agreement shall not require an organization to pay money to a third
party, other than a monitor or the monitor's staff, if the payment is
unrelated to the harm caused by the defendant's conduct that is the
basis for the agreement.
(b) Impartiality in Selection of Independent Monitors.--Attorneys
who are or might participate in the prosecution of the case against an
organization to be monitored shall have no role in the selection of the
independent monitor, other than suggesting qualifications for the
monitor.
(c) Treatment of Violations as Conflicts of Interest.--The Attorney
General shall take appropriate steps to treat a violation of this
section as a conflict of interest and to remedy any such conflicts of
interest.
SEC. 7. JUDICIAL OVERSIGHT OF AGREEMENTS.
(a) Court Approval of Agreement.--The Government shall file each
deferred prosecution agreement in an appropriate United States district
court. The court shall approve the agreement if the court determines
the agreement is consistent with the guidelines for such agreements and
is in the interests of justice. The agreement shall take effect on the
approval of the court.
(b) Quarterly Reports.--Each party to the agreement and any
independent monitor required under the agreement shall submit to the
court in which the agreement is filed quarterly reports on the progress
made toward the completion of the agreement, and describing any concern
the filer has about the implementation of the agreement. In the final
quarterly report, the independent monitor shall include a full and
itemized statement of the work done and the compensation earned for
that work.
(c) Court Review.--The court shall, on motion of any party or the
independent monitor if there is one, review the implementation or
termination of the agreement, and take any appropriate action, to
assure that the implementation or termination is consistent with the
interests of justice.
SEC. 8. PUBLIC DISCLOSURE RELATING TO DEFERRED PROSECUTION AGREEMENTS.
(a) Disclosure on Department of Justice Website.--Upon the taking
effect of a deferred prosecution agreement, the Attorney General shall
place the text of the agreement on the public website of the Department
of Justice, together with all the terms and conditions of any agreement
or understanding between an independent monitor appointed pursuant to
that agreement and the organization monitored.
(b) Exceptions Approved by Court.--Subject to the limitation in
subsection (c), the court may, upon petition of any interested party,
approve an exception to the requirements of this section for good cause
shown. Good cause includes that the information proposed to be excepted
from the requirements is proprietary, confidential, or a trade secret.
(c) Minimum Disclosure.--The court may not approve an exception
from the requirements of this section for the fact that the deferred
prosecution agreement has been filed with the court, the name of the
organization to which it pertains, or the identity and financial terms
agreed upon with respect to any independent monitor chosen in
connection with the agreement.
<all>