II. Summary of Program Changes 18 III. Appropriations Language and Analysis of Appropriations Language 19 IV. Decision Unit Justification 21 A. Criminal 21
1. Program Description 21
2. Performance Tables 23
3. Performance, Resources, and Strategies 25
B. 1Civil 27
1. Program Description 27
2. Performance Tables 29
3. Performance, Resources, and Strategies 31
C. 1Legal Education 32
1. Program Description 32
2. Performance Table 36
3. Performance, Resources, and Strategies 37
V. Program Increases by Item . 39
VI. Program Offsets by Item……………………………………………….…………. 42
VII. Exhibits 45
Summary of Requirements
FY 2013 Program Increases/Offsets by Decision Unit
Resources by DOJ Strategic Goal and Strategic Objective
Justification for Base Adjustments
Crosswalk of FY 2011 Availability
Crosswalk of FY 2012 Availability
Summary of Reimbursable Resources
Detail of Permanent Positions by Category
Financial Analysis of Program Changes
Summary of Requirements by Grade
Summary of Requirements by Object Class
Status of Congressionally Requested Studies, Reports, and Evaluations
I. Overview for the United States Attorneys
A. Introduction The United States Attorneys’ mission supports two of the Department of Justice’s strategic
goals - (1) to prevent terrorism and promote the nation’s security consistent with the rule of law, and (2) to prevent crime, protect the rights of the American people, and enforce federal law. In FY 2013, the United States Attorneys’ request $1,974,378,000, 10,814 positions and 10,830 full time equivalents (FTE). Of the positions requested, 5,566 are attorneys. The budget request includes a program increase of 190 positions (including 120 attorneys), 95 FTE, and $26,500,000; and program offsets totaling $39,956,000.
Electronic copies of the Department of Justice’s Congressional Budget Justifications and Capital Asset Plan and Business Case exhibits can be viewed or downloaded from the internet using the Internet address: http://www.justice.gov/02organizations/bpp.htm.
The United States Attorneys serve as the nation’s principal litigators. In response to the mandates of the Constitution that required establishment of a system of federal courts, Congress enacted the Judiciary Act of 1789 directing the President to appoint, in each federal district, “a person learned in the law to act as an attorney for the United States.” Before 1870, the United States Attorneys acted independently, but since then they have worked under the direction of the U.S. Department of Justice.
There are 94 United States Attorneys’ Offices (USAOs) located throughout the United States, Puerto Rico, the Virgin Islands, Guam, and the Northern Mariana Islands. The 93 United States Attorneys (Guam and the Northern Mariana Islands are under the direction of a single U.S. Attorney) are appointed by, and serve at the discretion of, the President of the United States, with the advice and consent of the United States Senate. The map on page 3 depicts the United States Attorneys’ current district and branch office locations.
The United States Attorneys report to the Attorney General through the Deputy Attorney General. Each United States Attorney serves as the chief federal law enforcement officer within his or her judicial district and, as such, is responsible for the prosecution of criminal cases brought by the federal government; the litigation and defense of civil cases in which the United States is a party; and the handling of criminal and civil appellate cases before United States Courts of Appeals.
The United States Attorneys and their Assistant United States Attorneys (AUSAs) serve in small towns and big cities, representing the interests of the United States. Through their hard work and dedication, justice is served throughout the nation. The USAOs conduct most of the trial work in which the United States is a party. Although caseloads vary by districts, each USAO has a diverse docket of cases and a mix of simple and complex litigation. Each United States Attorney exercises wide discretion in the use of his or her resources to further local priorities and serve community needs.
United States Attorneys provide advice and counsel to the Attorney General and senior policy leadership through the Attorney General’s Advisory Committee (AGAC) and its various subcommittees and working groups. The AGAC was established in 1973 to give United States Attorneys a voice in Department policies and to advise the Attorney General. The Committee, comprised of approximately 20 United States Attorney members who represent various federal judicial districts, geographic locations, and different sized offices, meets regularly with the Deputy Attorney General and Attorney General. The AGAC has Subcommittees and working groups to address the Administration’s priorities.
The Subcommittees include:
In 1953, Attorney General Order No. 8-53 established the Executive Office for United States Attorneys (EOUSA) to “provide general executive assistance and supervision to the offices of the United States Attorneys.” One of the original directives instructed the Executive Office to “serve as liaison, coordinator, and expediter with respect to the Offices of the United States Attorneys, and between these offices and other elements of the Department [of Justice].” Under the guidance of the Director of EOUSA, EOUSA staffs provide the 94 United States Attorneys’ Offices with general executive assistance and supervision; policy development; administrative management direction and oversight; operational support; and coordination with other components of the Department and other federal agencies. These responsibilities include legal, budgetary, administrative, and personnel services, as well as continuing legal education. EOUSA provides support and assistance to over 11,500 employees in approximately 250 staffed offices throughout the country. See Exhibit A for an organization chart of EOUSA. As depicted in the organization chart, specific offices and functions of EOUSA fall under the Director of EOUSA. The Director has a Principle Deputy Director and Chief of Staff and three Deputy Directors.
The Principle Deputy Director and Chief of Staff has responsibility and oversight of the three Deputy Directors and the Office of Planning, Evaluation, and Performance (PEP). The PEP office comprises four staffs: the Evaluation and Review Staff (EARS); the Data Analysis Staff; the AUSA Detailee Program Staff; and the Planning and Performance Staff. Functions of these four staffs are outlined below:
Evaluation and Review Staff (EARS): The Director of EOUSA is required under 28 C.F.R. Part 0.22 to evaluate the performance of the USAOs, to make appropriate reports, and to take corrective actions if necessary. An evaluation program enables EOUSA to fulfill this responsibility. Important to meeting these regulatory and statutory requirements, the evaluation program provides on-site management assistance to United States Attorneys, as well as a forum for evaluators and the office being evaluated to share information and innovative ideas. The feedback provided to EOUSA and the Department assists in future planning on possible improvements, and provides information about the work being performed in offices around the country.
The Data Analysis Staff is the primary source of statistical information and analysis for EOUSA. The staff provides data and analysis to EOUSA components allowing them to respond to requests from, among others, the Department, the White House, Congress, and the public. The staff also provides the United States Attorney community comprehensive quarterly analysis of work-year, caseload and workload information and produces the United States Attorneys’ Annual Statistical Report. During FY 2011, the Data Analysis Staff responded to 5,088 requests for statistical, narrative and analytical information, an increase of 159 percent when compared to the previous fiscal year of 1,966. In FY 2013, the United States Attorneys community will continue to assess data analysis capabilities to identify cost-effective crime reduction strategies.
The Detailee Program Staff initiates and coordinates all detail assignments associated with EOUSA and USAO staff. Detailees provide temporary assistance in specific program areas to the USAOs, EOUSA and Department components in need of additional manpower for short periods of time.
The Planning and Performance Staff serves as both the forward-looking evaluator of USAO needs, as well as assessing USAO performance relative to allocated staffing resources. This unit’s work introduces into the decision-making process a metrics-based foundation which allows USAO management to evaluate the work of line AUSAs by utilizing objective data.
The Deputy Director for Administration and Management has responsibility over four program/functional areas; these include Financial Management and Planning, Information Technology, Operations, and Human Resources. Specific functions of these program areas are outlined below:
The Chief Financial Officer (CFO), through the Financial Management and Planning Staff (FMP), is responsible for budget formulation, budget execution, financial management, audit reviews, and long-range planning. The CFO is a key advisor to the Director of EOUSA. The CFO also provides the Director of EOUSA with expert advice on an annual budget of approximately $2 billion, full-time equivalent (FTE) allocations, and reimbursable agreements with the Department and other federal agencies. The FMP staff consolidates resource needs and formulates an annual budget submission for presentation to the Department, the Office of Management and Budget (OMB), and Congress. It also manages the day-to-day financial operations through daily contact with the USAOs and through review of regular accountability reports. An internal Audit and Review Staff participates with the EARS in evaluating internal controls in the USAOs and is also responsible for
preparing districts for the annual independent federal financial audit. The Financial Systems Support Group (FSSG) provides financial systems support and expertise to the USAOs on all Departmental and EOUSA automated financial and accounting systems. FMP also develops performance measures for the United States Attorneys in accordance with the Government Performance and Results Act (GPRA) and coordinates quarterly status reporting and program assessments.
The Chief Information Officer (CIO) is responsible for providing advice and assistance to the Director of EOUSA and the senior staff to ensure that Information Technology (IT) is acquired and managed according to Department and EOUSA policies and procedures. The CIO ensures the integration of IT into strategic planning, acquisition, and program management processes to support the mission of the United States Attorney community. The CIO directs and manages the following staffs: The Case Management Staff provides case management systems. The Office Automation Staff supports the purchase and installation of computer systems, equipment and software, maintenance of hardware and software, and end-user training. The Telecommunications and Technology Development Staff provides administrative and technical support to the USAOs in all telecommunications activities, including voice, data and video. The Information Security Staff ensures the confidentiality, integrity, and availability of information and information systems to best support the mission of the United States Attorneys. Currently, the Records Information Management Staff is developing an Enterprise Information Management (EIM) system to both expand and reorganize the electronic records and document management capabilities of all USAOs. The Enterprise Voice-over Internet Protocol (EVoIP) Staff implements and maintains the next generation telephone service/system that integrates into the computer system, creating a more effective method of communication to maximize return on investment and contribute to the mission statement of the United States Attorneys organization at over 250 sites worldwide.
The Operations Section is made up of four functional areas as follows: The Employee Assistance Program (EAP) provides free, confidential assessments, short-term counseling, and community referrals for EOUSA and USAO employees and their families. The Facilities and Support Services (FASS)Staff provides direct support and oversight of all USAOs in the areas of real property management, including space acquisition, relocation, design, repair, and management of rent payments. Support services include forms management, printing, and mail metering. The Acquisitions Staff supports both EOUSA and the USAOs by issuing contracts for supplies/services nationwide in compliance with applicable federal, departmental, and other regulations, polices, and procedures. The Security Programs Staff provides security program support for the USAOs, including policy and procedural assistance, training, education and awareness efforts, and emergency and contingency planning.
Human Resources assists EOUSA and the USAOs by providing employment services in such areas as position classifications, staffing, compensation, employee benefits, performance management, and pre-employment security. Staff members are responsible for policy, guidance, personnel actions, training, resources, and initiatives related to these programs and activities.
The Deputy Director and Counsel to the Director oversees the Legal and Victim ProgramsStaff as well as the Communications and Law Enforcement Coordination Staff.
The attorneys and support staff reporting to the Deputy Director and Counsel to the Director provide legal assistance and advice, management support, and policy guidance for EOUSA and the United States Attorneys on a variety of law enforcement initiatives. The staff members serve as liaisons between main justice and the USAO community and help to implement policy and coordinate Department efforts on a wide variety of legal areas, including terrorism and civil rights.
The Office of Legal and Victim Programs (OLVP) includes four staffs: Asset Recovery, White Collar and Civil Litigation,Victim-Witness and Indian, Violent and Cyber Crimes. The Asset Recovery Staff (ARS) supports the collection and enforcement efforts of district financial litigation programs, asset forfeiture programs and bankruptcy. ARS assists in the development of financial litigation policy, development and implementation of procedures and programs, and provides liaison functions within the Department and with outside agencies. The White Collar and Civil Litigation Staff(WCCL) provides guidance and support to the USAOs in the areas of health care fraud, and white collar crime and civil defensive litigation and assist in the development of national policies and initiatives. In addition, WCCL coordinates the activities of the Affirmative Civil Enforcement Program, which uses civil statutes for federal law enforcement efforts in fighting economic fraud. The Indian, Violent and Cyber Crimes Staff (IVCC) provides guidance and support to the USAOs in the areas of Native American issues, computer crime and intellectual property, immigration and border security, violent crime and gangs, and narcotics. The staff also provides management support for Project Safe Neighborhoods and Project Safe Childhood.
The Victim-Witness Staff provides guidance and support for personnel in the USAOs who handle victim notification, explain to victims the criminal justice process, prepare victims and witnesses for testimony and allocution, coordinate and accompany victims and witnesses to court proceedings, and provide victims with service referrals and emergency assistance. Victims’ rights have taken on new importance since the passage of the Crime Victims’ Rights Act of 2004, which provided victims with enumerated rights and, for the first time at the federal level, the mechanisms to enforce their rights. Victims are now playing a more central role in the criminal process and exercising their rights in greater numbers than ever before.
The Communications and Law Enforcement Coordination Staff(CLEC) supports EOUSA and the USAOs in the coordination of key initiatives with federal, state, local, and
tribal law enforcement partners, works closely with the Department’s Office of Public Affairs, handles external communication responsibilities, and conducts outreach to community groups. Community outreach activities and crime prevention and reduction efforts are examples of the many priorities within the United States Attorney community. In FY 2013, the United States Attorneys will continue to expand district community outreach and engagement efforts.
The CLEC also manages the Law Enforcement Coordination (LEC) Program in the USAOs. At the district level, LEC coordinators carry out the important role of coordination and liaison with federal, state, and local law enforcement, and with members of the community on various crime reduction programs. Each district’s LEC Committee is under the supervision of the United States Attorney, who serves as the committee chairperson or co-chairperson. Through the LEC program, training is provided to federal, state, and local law enforcement in areas such as anti-terrorism, gun crime, asset forfeiture, gang investigations, racial profiling, domestic violence, emerging drug trends, community policing, victim issues, and officer safety. The CLEC also manages the law Enforcement Coordination (LEC) Program in the USAOs. At the district level, LEC coordinators carry out the important role of coordination and liaison with federal, state, and local law enforcement, and with members of the community on various crime reduction programs.
The Deputy Director for Legal Management provides managerial guidance to the following offices and staffs:
The Office of Legal Education (OLE) develops, conducts, and authorizes the training of all federal legal personnel. OLE coordinates legal education and attorney training for the Department of Justice, other federal departments and agencies, as well as state and local law enforcement. OLE is a separate decision unit of the budget and its functions and mission, which are largely completed at the National Advocacy Center (NAC) in Columbia, South Carolina, are discussed in greater detail in Section IV.
The Freedom of Information and Privacy Act (FOIA)Staff processes all FOIA and Privacy Act requests for records located throughout EOUSA and the USAOs, provides legal guidance to the USAOs concerning FOIA/Privacy Act issues, represents them in administrative appeals, and assists AUSAs and Department of Justice attorneys in litigation in federal courts by providing draft pleadings and preparing legal documents.
The Equal Employment Opportunity (EEO) Staff which provides centralized leadership, coordination, and evaluation of all equal employment efforts within EOUSA and the USAOs is comprised of two components – Complaint Processing and Affirmative Employment/Special Emphasis Programs. The EEO mission supports the USAOs and EOUSA by providing timely and impartial customer service in the areas of conflict resolution; EEO complaint processing; civil rights policy development and training; language assistance plans; and by conducting proactive diversity initiatives through outreach and recruitment.
The General Counsel’sOffice(GCO) provides advice to the USAOs and EOUSA on a broad array of legal and ethical issues. It provides guidance to USAOs and EOUSA personnel regarding ethics and standards of conduct matters including conflicts of interest, recusals, outside activities, gifts and financial disclosures, allegations of misconduct, personnel legal issues, discovery requests and compliance with subpoenas. The GCO is also responsible for the employee relations programs of EOUSA and the USAOs.
••• United States Attorney Community at a Glance •••
93 United States Attorneys (Guam and the Northern Mariana Islands are under the direction of a single United States Attorney)
EOUSA provides general executive assistance and supervision to the United States Attorneys’ Offices.
CRIMINAL PROSECUTIONS The USAOs investigate and prosecute the vast majority of criminal cases brought by the federal government – representing a more diverse workload than ever before. The types of cases include international and domestic terrorism; immigration; child exploitation and obscenity; firearms and violent crime; identity theft; public corruption; procurement, securities and mortgage fraud; gangs and organized crime; drug enforcement; human trafficking; and criminal civil rights. Many of these cases involve multiple defendants and are extremely complex. The nature of
today’s crimes has required the United States Attorney community to become conversant in a wide range of fields, such as banking and health care, computer technology, securities, foreign cultures and languages, and manufacturing processes affected by environmental and other federal regulations.
The United States Attorneys receive most of their criminal referrals, or “matters,” from federal investigative agencies, including the Federal Bureau of Investigation (FBI), the Drug Enforcement Administration (DEA), the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), the United States Immigration and Customs Enforcement (ICE), the United States Secret Service, and the United States Postal Inspection Service. The USAOs also receive criminal matters from state and local investigative agencies, as well as violations reported by private citizens. Following careful consideration of each criminal matter, the United States Attorneys decide the appropriateness of bringing criminal charges and, when deemed appropriate, initiate prosecution. Except for misdemeanor offenses and instances in which an alleged offender waives the right to a grand jury indictment, the United States Attorneys present evidence against an alleged offender to a grand jury. The grand jury then decides whether to return an indictment and, if so, the United States Attorney then presents the criminal charges in open court at the defendant’s arraignment.
Federal Law Enforcement Partners
Although historically a large number of criminal defendants plead guilty prior to trial, a United States Attorney must always fully investigate the crime, prepare the charging document, and be ready to go to trial. Consistent preparation for trial minimizes the risk of dismissal for noncompliance with the Speedy Trial Act and strengthens the government’s position in negotiations with defense counsel for a guilty plea. Pre-trial discovery practice also strengthens the government’s position. When a defendant does not plead, a trial is necessary. The United States Attorney then presents factual evidence to the jury, or to the judge in a non-jury (bench) trial. If the defendant is convicted, the United States Attorney must prepare and present evidence at the defendant’s sentencing hearing and defend the conviction at post-trial hearings and on appeal. The USAOs handle most criminal appeals at the intermediate appellate level. After filing an appeal brief, the United States Attorney may be required to participate in oral argument before a United States Court of Appeals. If there is a further appeal, the United States Attorney
may be called upon to assist the Solicitor General in preparing the case for review by the United
States Supreme Court.
CIVIL LITIGATION The United States Attorneys initiate civil actions, referred to as affirmative litigation, to assert and protect the United States’ interests. They also defend the United States’ interests in lawsuits filed against the government, referred to as defensive civil litigation. In other civil cases, the United States is a third party, creditor, or intervener.
Examples of affirmative litigation include civil actions brought to: enforce the nation’s environmental, admiralty, and civil rights laws; represent the government’s interests in bankruptcy actions; recoup money and recover damages resulting from federal program and other fraud; enforce administrative summonses; and forfeit assets seized by federal, state, and local law enforcement.
Defensive litigation includes actions seeking monetary damages for alleged torts, contract violations, and discrimination by the United States, its agents and employees. It also includes defending: suits challenging government administrative actions, including Social Security disability determinations: habeas corpus petitions, and constitutional challenges to statutes and other federal policies. The USAOs represent and defend the government in its many roles – as employer, regulator, law enforcer, medical care provider, revenue collector, contractor, procurer, property owner, judicial and correctional systems managers, and administrator of federal benefits. When the United States is sued, the Department of Justice must be its legal representative.
Civil defensive work is unique because it is non-discretionary and non-delegable. Unlike criminal matters, civil defensive cases cannot be declined to manage or reduce an office’s caseload. All cases filed against the United States, its agencies, and employees in their official capacities must be defended.
CRIMINAL AND CIVIL APPEALS Appeals are generally time-consuming, requiring a thorough review of the entire record in the case, the filing of a brief and reply brief, and, in many cases, participation in oral argument before the Court of Appeals in the city where the circuit is based. Furthermore, the complexity of appellate work and the time required to handle that work increases when convictions are based on complex facts, such as those commonly found in cases involving drug trafficking, organized crime, financial fraud, and public corruption.
The appellate workload of the United States Attorneys fluctuates due to appeals and post-sentencing motions prompted by Supreme Court rulings, legislative changes, and amendments to the United States Sentencing Guidelines (Guidelines). For example, in FY 2008, the Guidelines were amended to increase the amount of crack cocaine needed to trigger offense levels under § 2D1.1. This modification to the drug quantity thresholds resulted in a 396 percent increase in post-sentencing motions filed by incarcerated defendants in FY 2008 over the prior fiscal year.
CRIMINAL AND CIVIL DEBT COLLECTION The USAOs are responsible for collecting both criminal and civil debt for the federal government. Each USAO has a Financial Litigation Unit (FLU) responsible for criminal and civil debt collection activities as well as an Affirmative Civil Enforcement staff devoted to civil debt collection.
Debts are ordered to be collected from a criminal defendant when the defendant is sentenced by the court. These debts may be in the form of restitution to crime victims, fines imposed by the court to penalize criminals, special assessments on each criminal conviction count, costs of prosecution and other costs, or forfeitures of appearance bonds. Interest may also be collected in certain cases. When restitution is ordered, the USAOs are involved in collecting federal restitution payments, or restitution which is owed to the United States, and in collecting non-federal restitution, or that which is owed to private individuals and entities. As a result of the Mandatory Victims Restitution Act (MVRA), courts must impose monetary restitution orders in all violent crimes and most property crimes. United States Attorneys are required to enforce restitution orders on behalf of all federal crime victims.
The United States Attorneys are also the legal representatives for other federal agencies to pursue repayment of debts. For example, when federal agencies lend money and the recipients default on repayment, or when federal agencies have paid on guaranteed loans that have not been repaid as provided for in the lending agreement, the United States Attorneys pursue repayment of the debt. The Departments of Agriculture, Education, Health and Human Services, Housing and
Urban Development, Transportation, Veterans Affairs, and the Small Business Administration are some of these client agencies. The United States Attorneys file suit to obtain judgments to collect debts, foreclose on real property, compel physicians to repay or fulfill their commitment to the Public Health Service in return for education grants, sue to set aside fraudulent transfers of property which could be used to satisfy defaulted loans, and manage debtor repayment schedules. The table below illustrates the significant amount of debts collected from FY 2004 through FY 2011.
Debt Collection Chart (in billions)
In FY 2011, the USAOs collected $6.50 billion of criminal and civil debts owed. Of the total debts collected, USAOs recovered: (1) $2.67 billion in criminal debts; and (2) $3.83 billion in
civil debts. The United States Attorneys’ FY 2011 collection efforts, handled by a very small percentage of the total workforce, returned to the Treasury over three times the $1.93 billion appropriated in the FY 2011 budget for the entire United States Attorney community.
B. Issues, Outcomes, and Strategies The following chart and descriptions are a brief summary of the Department’s Strategic Goals and Objectives in which the United States Attorneys play a role.
FY 2013 Total Request by DOJ Strategic Goal
DOJ Strategic Goal 1: Prevent Terrorism and Promote the Nation’s Security Consistent with the Rule of Law ($52,788,000) ● Prosecute those involved in terrorist acts (1.2).
DOJ Strategic Goal 2: Prevent Crime, Protect the Rights of the American People, and Enforce Federal Law ($1,921,590,000) ● Combat the threat, incidence, and prevalence of violent crime (2.1).
● Prevent and intervene in crimes against vulnerable populations; uphold the rights of, and improve services to, America’s crime victims (2.2).
● Combat the threat, trafficking, and use of illegal drugs and the diversion of licit drugs (2.3).
● Combat corruption, economic crimes, and international organized crime (2.4).
● Promote and protect Americans’ civil rights (2.5).
● Protect the federal fisc and defend the interests of the United States (2.6).
C. Full Program Costs The United States Attorneys’ $1,974,378,000 budget request for FY 2013 is divided into three decision units: criminal, civil, and legal education.
FY 2013 Budget Request by Decision Unit
Some programs, as well as management and administration costs, cross decision units. Both performance and resource tables within each decision unit define the total costs of achieving the strategies the United States Attorneys will employ in FY 2013. The various resource and performance charts incorporate the costs of lower level strategies which also contribute to the achievement of objectives, but which may not be highlighted in detail in order to provide a concise narrative. Also included are the indirect costs of continuing activities, which are central to the operations of each decision unit. This request will fund the United States Attorneys’ role in supporting the Department’s Strategic Plan. We will continue to provide federal leadership in preventing and controlling crime and seeking just punishment of those guilty of unlawful behavior.
D. Performance Challenges The challenges that impede progress toward the achievement of agency goals are complex and ever-changing. National priorities were shifted after September 11th as resources and personnel were redirected to prosecute the Global War on Terror, impacting everyone in the law enforcement and intelligence community. Illegal immigration and border security have also become key components of the Nation’s counterterrorism strategy. Federal prosecution of border crime is now a critical part of our Nation’s defense. Additionally, the current economic climate requires that the United States Attorney community focus attention on ever increasing mortgage and financial fraud. Internal agency dynamics, policy decisions, technological developments, and criminal behavior are factors that broadly impact law enforcement practices and pose challenges that demand attention.
External Challenges The United States Attorneys, as with other federal organizations throughout the entire Federal Government, continue to face external challenges. The current economic environment and the subsequent impact of tightened budgets have placed pressures on all federal agencies and organizations including the United States Attorneys. The United States Attorney community is committed to the Administration’s and Department of Justice’s effort to cut waste in Federal Government spending and to identify opportunities to promote efficient and effective spending. The United States Attorneys perform critical functions that support basic protections for Americans. In FY 2013, the United States Attorneys face the challenge of ensuring that justice is served throughout the nation while adhering to economic realities, tightened budgets and efforts to reduce overall government spending.
Coordination activities with federal, state, and local agencies involve non-traditional roles for AUSAs and present challenges as we continue to coordinate efforts in areas such as combating terrorism, border enforcement/prosecution, gun violence reduction, disrupting and dismantling drug organizations, and child exploitation. In FY 2013, expansion of the Community Engagement Officer (CEO) pilot project will continue in selected districts. This initiative will assist United States Attorneys by employing crime reduction strategies, engaging in work related to countering violent extremism, and by working with state and local partners, and other federal agencies.
In addition, the economy and emerging criminal activities, many of which are often driven by technology such as cybercrime, are external challenges beyond our control. Downturns in the economy often correlate with increases in criminal activity. As a result of the recent economic climate, the number of active FBI mortgage fraud investigations has more than tripled in the last four years. The reports document billions of dollars in losses. Inevitably, these investigations will result in more referrals for prosecution to the USAOs throughout the country.
We will continue to focus on areas within our spheres of influence and control, concentrating on coordination efforts with federal, state, and local agencies, and ensuring our workforce is trained for emerging and complex issues.
Internal Challenges One internal challenge to the United States Attorney community is keeping the workforce flexible and adaptable. Over the past few years, terrorism, corporate fraud, violent crime and gangs, immigration, internet-related crime, and child exploitation have emerged as important national priorities. The United States Attorney community needs to be able to shift resources to respond to changes in case type and case load. The United States Attorneys have developed an effective allocation process that distributes new positions and funding to districts with the greatest demonstrated need. Necessary training is provided through the NAC to ensure that
attorneys and support staff have the necessary expertise in these areas. Regular reviews and monitoring of case work and USAOs’ needs are essential to continued responsiveness.
II. Summary of Program Changes In FY 2013, the United States Attorneys’ budget request is $1,974,378,000, which includes a program increase of $26,500,000 and program offsets of ($39,956,000). The following program changes are outlined in the chart below:
These prosecutorial resources will enable the United States Attorney community to quickly address the increasing number of financial and mortgage fraud cases.
Achieve cost savings in all direct non-personnel IT expenditures. These savings will be generated through greater inter-component collaboration in IT contracting, and will support the Department’s cybersecurity, data center consolidation, and enterprise email systems.
The United States Attorneys will focus on reducing overhead costs in areas which include, but are not limited to: space, telecommunications, operations and maintenance of equipment, guard services, security investigations and centralized common administrative services.
The United States Attorneys will increase efficiencies and cost savings in areas such as information technology services, contractual services, printing and reproduction, publications, travel, conferences, supplies, and general equipment.
III. Appropriations Language and Analysis of Appropriations Language
SALARIES AND EXPENSES, UNITED STATES ATTORNEYS For necessary expenses of the Offices of the United States Attorneys, including inter-governmental and cooperative agreements, [$1,960,000,000] $1,974,378,000: Provided, That of the total amount appropriated, not to exceed $7,200 shall be available for official reception and representation expenses: Provided further, That not to exceed $25,000,000 shall remain available until expended [Provided further, That each United States Attorney shall establish or participate in a United States Attorney led task force on human trafficking].
(Department of Justice Appropriations Act, 2012)
Analysis of Appropriations Language The language underlined above is proposed for deletion from the FY 2012 appropriations language for FY 2013. The United States Attorneys will continue the efforts outlined in the FY 2012 language.
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IV. Decision Unit Justification
Adjustments to Base
2013 Current Services
2013 Program Increases
2013 Program Offsets
Total Change 2012-2013
1. Program Description–Criminal Decision Unit The USAOs investigate and prosecute the vast majority of criminal cases brought by the federal government—with a more diverse and complex workload than ever before. For example, criminal caseloads include: international and domestic terrorism, immigration and border security, firearms and gangs, child exploitation and obscenity, complex fraud schemes (including health care fraud, mortgage and financial fraud and computer fraud), environmental crime, public corruption, organized crime, drug enforcement, civil rights violations, human trafficking and cases involving multiple defendants and international organizations.
The USAOs receive most of their criminal referrals, or "matters," from federal investigative agencies or become aware of criminal activities in the course of investigating or prosecuting other cases. They also receive criminal matters from state and local investigative agencies, as well as those reported to the USAOs by citizens. After careful consideration of each criminal matter, the United States Attorney decides the appropriateness of bringing criminal charges and initiates prosecution.
FY 2011 Cases Filed – 68,926
During FY 2011, the USAOs filed 68,926 criminal cases against 93,920 defendants in United States District Court. The number of new cases filed increased by approximately 15 percent from FY 2005 to FY 2011 – rising from 60,062 cases to 68,926.
A total of 68,668 cases against 90,461 defendants were closed during FY 2011. Of the 90,461 defendants whose cases were closed, 93 percent or 83,860, either pled guilty or were found guilty. Of these, 66,955 received prison sentences, and 180 guilty defendants received sentences of life imprisonment. The rate of convicted defendants who received prison sentences has consistently exceeded 80 percent over the last 11 years.
3. Performance, Resources, and Strategies The Criminal Decision Unit contributes to the Department’s Strategic Goal I: Prevent Terrorism and Promote the Nation’s Security Consistent with the Rule of Law. Within this goal, the decision unit’s resources address the Department’s Strategic Objective: 1.2 - Prosecute those involved in terrorist acts.
The Criminal Decision Unit also contributes to Goal II: Prevent Crime, Protect the Rights of the American People, and Enforce Federal Law. Within this goal, the decision unit’s resources address six of the Department’s Strategic Objectives: 2.1 - Combat the threat, incidence, and prevalence of violent crime; 2.2 - Prevent, and intervene in crimes against vulnerable populations; uphold the rights of, and improve services to, America’s crime victims; 2.3 – Combat the threat, trafficking, and use of illegal drugs and the diversion of licit drugs; 2.4 - Combat corruption, economic crimes, and international organized crime; 2.5 – Promote and protect Americans’ civil rights; and 2.6 – Protect the federal fisc and defend the interests of the United States.
a. Performance Plan and Report for Outcomes In the criminal area, the performance measure for the United States Attorneys is the percentage of criminal cases favorably resolved.
The USAOs handle the majority of criminal cases prosecuted by the Department of Justice, most of which are received as criminal referrals from federal investigative agencies, including the FBI, DEA, ATF, ICE, and the United States Secret Service. Criminal referrals may also be received from state and local investigative agencies or United States Attorneys may become aware of criminal activities in the course of investigating or prosecuting other cases.
The United States Attorneys are called upon to respond to changing priorities and to become involved in specific crime reduction programs. After the events of September 11, 2001, the number one priority of the United States Attorneys became the prevention of terrorist acts and the investigation and prosecution of those involved in plotting and carrying out terrorist attacks. The United States Attorneys will also continue to vigorously prosecute high priority areas such as child exploitation cases, mortgage and other financial fraud cases and Southwest Border enforcement cases. 1The flow of narcotics and human trafficking north into the United States, along with the smuggling of illegal firearms and criminal monetary proceeds south out of the United States poses a significant threat to public safety. Consequently, the United States Attorneys are committed to 1increasing the security of United States citizens along the Southwest Border and throughout the country by combating the large transnational criminal organizations that engage in such criminal conduct.
The performance measure for criminal litigation relates to the percentage of criminal cases favorably resolved. In FY 2011, cases involving 83,860 defendants were favorably resolved, resulting in 92.7 percent criminal cases favorably resolved. This outcome surpassed the 90 percent goal by almost three percent.
b. Strategies to Accomplish Outcomes In FY 2013, the United States Attorneys will continue to place a high priority on prosecution and security efforts in the war on terror as well as addressing other important priorities such as mortgage and financial fraud, identity theft, immigration, child exploitation, violent crime and gangs, cybercrime and intellectual property, and drug trafficking. Other strategies include:
Ensuring sufficient resources are allocated to meet the caseloads, especially focusing on priority areas.
Restructuring the workforce by backfilling positions with lower salaried employees.
Regular reviews and monitoring of case and workload data.
Leveraging technology to improve efficiency and enhance information flow organization-wide and with our partners.
Expanded training at the NAC to address substantive new areas as well as leadership and management.
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1. Program Description–Civil Decision Unit Civil litigation pursued by the United States Attorneys falls into two basic categories: (1) affirmative civil litigation, in which the United States is the plaintiff; and (2) defensive civil litigation, in which the United States is the defendant. Affirmative civil litigation cases are actions taken by United States Attorneys to assert and protect the government’s interests. They include such issues as the enforcement of the nation’s environmental, admiralty, and civil rights laws, as well as the recovery of damages sustained by the government through fraud. United States Attorneys also use affirmative civil litigation to recoup money owed and recover damages sustained by the government. Defensive civil litigation includes actions seeking monetary damages for alleged torts, contract violations, and alleged discrimination by the United States, its agencies and employees. The United States Attorneys may also be called upon to represent the United States in cases which are not clearly defined as either affirmative or defensive civil litigation, but in which the government has an interest, such as bankruptcy cases in which the United States is a party. One key difference between affirmative and defensive civil litigation is that while United States Attorneys have some discretion in deciding which affirmative civil cases they will pursue, they must defend the government in all defensive civil litigation.
Affirmative civil cases can return substantial monies to the federal Treasury. In FY 2011, USAOs collected $3.9 billion in civil debts, which is almost double the United States Attorneys’ budget. For example, the USAO in the Eastern District of Virginia reached a settlement with
Nelnet, Inc. in which the company paid $57.7 million to settle allegations of fraud in connection with a government subsidy program for federal student loans. Nelnet fraudulently received a subsidy it was not entitled to, causing the government to pay double the applicable interest rate for subsidized student loans.
Civil matters and cases represent a significant part of the U.S. Attorneys’ workload. In FY 2011, U.S. Attorneys received 93,685 civil matters, which represented 37 percent of all of the 252,810 criminal and civil matters received during the fiscal year. Of the civil matters received, 69 percent or 64,888 were defensive matters, 11,395 or 12 percent were affirmative matters, and 17,402 or 19 percent were other civil matters. The United States Attorneys filed or responded to 83,964 civil cases in FY 2011, which represented 55 percent of the 152,890 criminal and civil cases filed during the fiscal year. Of the civil cases filed, 64,337 or 77 percent were defensive cases; 5,534 or 7 percent were affirmative cases; and 14,093 or 17 percent were other civil cases.
FY 2011 Cases Filed/Responded To – 83,964
Between FY 2004 and FY 2011, the number of civil cases filed or responded to increased by
8 percent or 6,161 - from 77,803 cases to 83,964, and the number of civil cases referred to United States Attorneys increased by 9 percent or 7,369 - from 86,316 in FY 2004 to 93,685 cases in FY 2011. The number of defensive civil cases filed increased by 24 percent or 12,455 - from 51,882 cases in FY 2004 to 64,337 in FY 2011. A change in the interpretation of the United States Sentencing Guidelines in January 2005 increased the number of defensive civil cases filed between FY 2006 and FY 2010.
In FY 2011, 96.7 percent of all judgments in affirmative civil cases were in favor of the United States, the highest favorable judgment rate of all case classes. Through affirmative litigation, the United States Attorneys collected $3.9 billion in civil debts owed to the United States, which is vastly more than the United States Attorneys’ entire FY 2011 budget.
3. Performance, Resources, and Strategies The Civil Decision Unit contributes to the Department’s Strategic Goal II: Prevent Crime, Protect the Rights of the American People, and Enforce Federal Law. Within this goal, the Civil Decision Unit’s resources specifically address two of the Department’s Strategic Objectives: 2.5 – Promote and protect American’ civil rights, and 2.6 – Protect the federal fisc and defend the interests of the United States.
a. Performance Plan and Report for Outcomes Prosecution of civil litigation is an essential and vital component of the mission of the United States Attorneys. Civil affirmative litigation seeks redress for fraud, waste, and abuse in federal programs and ensures that the government is fully compensated for the losses and damages caused by those who have enriched themselves at the government’s expense. In addition, all lawsuits filed against the federal government must be defended. United States Attorneys represented the federal government in 64,337 defensive civil cases that were filed in court during FY 2011. The United States Attorneys’ successes in civil litigation preserve taxpayer dollars and uphold the requirements and intent of federal laws and programs. The performance measure for civil litigation relates to the percentage of judgments and settlements resolved in favor of the government.
b. Strategies to Accomplish Outcomes The two biggest challenges for United States Attorneys are maintaining a high favorable resolution rate with existing resources and adjusting to the increased use of technology in the practice of law. While technology provides a means to increase productivity with existing resources, some USAO personnel have difficulty transitioning to new technological solutions. As civil cases are increasingly “electronic” – meaning that technology plays a major role in areas such as electronic case filing and e-discovery, technical training and hiring employees with the appropriate skill sets are critical to the successful furtherance of our mission.
C. 1LEGAL EDUCATION
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1. Program Description–Legal Education The Office of Legal Education (OLE) develops, conducts, and authorizes the training of all federal legal personnel [28 C.F.R. §0.22 (1990)]. OLE coordinates legal education and attorney training for the Department of Justice (DOJ) and other departments and agencies of the Executive Branch. Virtually all of OLE’s classroom training is conducted at the National Advocacy Center (NAC), a premier federal training facility in Columbia, South Carolina. The NAC features an integrated instructional and residential facility augmented by a conference and research center with student and support services on site.
In FY 2011, OLE was responsible for the management of 288 courses and events at the NAC, as well as offsite locations, including traditional advocacy skills training, seminars on substantive areas of the law, leadership training, and automated litigation support training. In FY 2011, OLE trained 24,627 individuals, including 17,219 who attended live training through courses or other events hosted by OLE and 7,408 individuals who received training through one of OLE’s distance education offerings, including continuing legal education (CLE) programs broadcast via satellite on OLE’s Justice Television (JTN), and CLE programs co-sponsored by OLE in USAOs using OLE training modules and materials. Eighty-one percent of the 24,627 individuals trained were DOJ employees, while the other 19 percent were non-DOJ employees with various federal agencies or state and local governments.
More than 9,292 individuals received training in areas covered in the Department’s Strategic Plan, including Mortgage and Financial Fraud and Cybercrime, Crimes Against Children, Anti-Terrorism, Violent Crime/GunViolence Reduction, Drug Enforcement, Official Corruption, Bankruptcy and Sound Management.
Recognizing the need to provide more distance learning opportunities, OLE continued to update and expand its Video on Demand (VOD) library, permitting USAO and DOJ litigating division employees to view OLE programming “on demand” at their desktop through OLE’s Learning Management System, JUSTLearn. There are currently more than 1,000 programs available, including programs on Brady/Giglio, E-Discovery, and a New Employee Orientation. In FY 2011, approximately 94,332 DOJ employees accessed the VOD library, viewing available videos more than 269,521 times, an increase from 230,497 in FY 2010. In FY 2011, OLE created a separate Mandatory Training category of shows that includes a chart showing mandatory training requirements for all DOJ employees. A feature of JUSTLearn allows users to add completed training to their training transcript. Training Officers are also able to record in JUSTLearn other in-house training events such as a group viewing of a JTN show or district-wide training. OLE also launched the Week Ahead, a weekly email to alert constituents about upcoming training opportunities and newly available resources.