28 U.S.C. § 591 — Applicability of provisions of this chapter

Page 255 TITLE 28—JUDICIARY AND JUDICIAL PROCEDURE § 591 use by trustees under subchapter V of chapter 11 and chapters 7, 12, and 13 of title 11 shall, in ad- dition to such other matters as are required by law or as the Attorney General in the discretion of the Attorney General shall propose, include with respect to a case under such title— (1) information about the length of time the case was pending; (2) assets abandoned; (3) assets exempted; (4) receipts and disbursements of the estate; (5) expenses of administration, including for use under section 707(b), actual costs of admin- istering cases under chapter 13 of title 11; (6) claims asserted; (7) claims allowed; and (8) distributions to claimants and claims dis- charged without payment, in each case by appropriate category and, in cases under subchapter V of chapter 11 and chap- ters 12 and 13 of title 11, date of confirmation of the plan, each modification thereto, and de- faults by the debtor in performance under the plan. (e) PERIODIC REPORTS.—The uniform forms for periodic reports required under subsection (a) for use by trustees or debtors in possession under chapter 11 of title 11 shall, in addition to such other matters as are required by law or as the Attorney General in the discretion of the Attorney General shall propose, include— (1) information about the industry classi- fication, published by the Department of Com- merce, for the businesses conducted by the debtor; (2) length of time the case has been pending; (3) number of full-time employees as of the date of the order for relief and at the end of each reporting period since the case was filed; (4) cash receipts, cash disbursements and profitability of the debtor for the most recent period and cumulatively since the date of the order for relief; (5) compliance with title 11, whether or not tax returns and tax payments since the date of the order for relief have been timely filed and made; (6) all professional fees approved by the court in the case for the most recent period and cumulatively since the date of the order for relief (separately reported, for the profes- sional fees incurred by or on behalf of the debtor, between those that would have been incurred absent a bankruptcy case and those not); and (7) plans of reorganization filed and con- firmed and, with respect thereto, by class, the recoveries of the holders, expressed in aggre- gate dollar values and, in the case of claims, as a percentage of total claims of the class al- lowed. (Added Pub. L. 109–8, title VI, § 602(a), Apr. 20, 2005, 119 Stat. 120; amended Pub. L. 116–54, § 4(b)(2), Aug. 23, 2019, 133 Stat. 1086.) Editorial Notes REFERENCES IN TEXT For the effective date of this section, referred to in subsec. (a), see Effective Date note set out below. AMENDMENTS 2019—Subsec. (a)(1). Pub. L. 116–54, § 4(b)(2)(A), in- serted ‘‘subchapter V of chapter 11 and’’ after ‘‘cases under’’. Subsec. (d). Pub. L. 116–54, § 4(b)(2)(B), inserted ‘‘sub- chapter V of chapter 11 and’’ after ‘‘trustees under’’ in introductory provisions and ‘‘subchapter V of chapter 11 and’’ after ‘‘cases under’’ in concluding provisions. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2019 AMENDMENT Amendment by Pub. L. 116–54 effective 180 days after Aug. 23, 2019, see section 5 of Pub. L. 116–54, set out as a note under section 101 of Title 11, Bankruptcy. EFFECTIVE DATE Section effective 180 days after Apr. 20, 2005, and not applicable with respect to cases commenced under Title 11, Bankruptcy, before such effective date, except as otherwise provided, see section 1501 of Pub. L. 109–8, set out as an Effective Date of 2005 Amendment note under section 101 of Title 11. CHAPTER 40—INDEPENDENT COUNSEL Sec. 591. Applicability of provisions of this chapter. 592. Preliminary investigation and application for appointment of an independent counsel. 593. Duties of the division of the court. 594. Authority and duties of an independent coun- sel. 595. Congressional oversight. 596. Removal of an independent counsel; termi- nation of office. 597. Relationship with Department of Justice. 598. Severability. 599. Termination of effect of chapter. Editorial Notes AMENDMENTS 1987—Pub. L. 100–191, § 2, Dec. 15, 1987, 101 Stat. 1293, amended chapter 40 heading and analysis generally, substituting items 591 to 599 for former items 591 to 598. 1986—Pub. L. 99–554, title I, § 144(g)(1), Oct. 27, 1986, 100 Stat. 3097, substituted ‘‘40’’ for ‘‘39’’ as chapter designa- tion. 1983—Pub. L. 97–409, § 2(a)(1)(A), Jan. 3, 1983, 96 Stat. 2039, substituted ‘‘independent counsel’’ for ‘‘special prosecutor’’ in chapter heading and in items 592, 594, and 596. § 591. Applicability of provisions of this chapter (a) PRELIMINARY INVESTIGATION WITH RESPECT TO CERTAIN COVERED PERSONS.—The Attorney General shall conduct a preliminary investiga- tion in accordance with section 592 whenever the Attorney General receives information suffi- cient to constitute grounds to investigate whether any person described in subsection (b) may have violated any Federal criminal law other than a violation classified as a Class B or C misdemeanor or an infraction. (b) PERSONS TO WHOM SUBSECTION (a) AP- PLIES.—The persons referred to in subsection (a) are— (1) the President and Vice President; (2) any individual serving in a position listed in section 5312 of title 5; (3) any individual working in the Executive Office of the President who is compensated at a rate of pay at or above level II of the Execu- tive Schedule under section 5313 of title 5; Page 256 TITLE 28—JUDICIARY AND JUDICIAL PROCEDURE § 591 (4) any Assistant Attorney General and any individual working in the Department of Jus- tice who is compensated at a rate of pay at or above level III of the Executive Schedule under section 5314 of title 5; (5) the Director of Central Intelligence, the Deputy Director of Central Intelligence, and the Commissioner of Internal Revenue; (6) the chairman and treasurer of the prin- cipal national campaign committee seeking the election or reelection of the President, and any officer of that committee exercising au- thority at the national level, during the in- cumbency of the President; and (7) any individual who held an office or posi- tion described in paragraph (1), (2), (3), (4), or (5) for 1 year after leaving the office or posi- tion. (c) PRELIMINARY INVESTIGATION WITH RESPECT TO OTHER PERSONS.— (1) IN GENERAL.—When the Attorney General determines that an investigation or prosecu- tion of a person by the Department of Justice may result in a personal, financial, or political conflict of interest, the Attorney General may conduct a preliminary investigation of such person in accordance with section 592 if the Attorney General receives information suffi- cient to constitute grounds to investigate whether that person may have violated Fed- eral criminal law other than a violation classi- fied as a Class B or C misdemeanor or an in- fraction. (2) MEMBERS OF CONGRESS.—When the Attor- ney General determines that it would be in the public interest, the Attorney General may conduct a preliminary investigation in accord- ance with section 592 if the Attorney General receives information sufficient to constitute grounds to investigate whether a Member of Congress may have violated any Federal criminal law other than a violation classified as a Class B or C misdemeanor or an infrac- tion. (d) EXAMINATION OF INFORMATION TO DETER- MINE NEED FOR PRELIMINARY INVESTIGATION.— (1) FACTORS TO BE CONSIDERED.—In deter- mining under subsection (a) or (c) (or section 592(c)(2)) whether grounds to investigate exist, the Attorney General shall consider only— (A) the specificity of the information re- ceived; and (B) the credibility of the source of the in- formation. (2) TIME PERIOD FOR MAKING DETERMINA- TION.—The Attorney General shall determine whether grounds to investigate exist not later than 30 days after the information is first re- ceived. If within that 30-day period the Attor- ney General determines that the information is not specific or is not from a credible source, then the Attorney General shall close the mat- ter. If within that 30-day period the Attorney General determines that the information is specific and from a credible source, the Attor- ney General shall, upon making that deter- mination, commence a preliminary investiga- tion with respect to that information. If the Attorney General is unable to determine, within that 30-day period, whether the infor- mation is specific and from a credible source, the Attorney General shall, at the end of that 30-day period, commence a preliminary inves- tigation with respect to that information. (e) RECUSAL OF ATTORNEY GENERAL.— (1) WHEN RECUSAL IS REQUIRED.—(A) If infor- mation received under this chapter involves the Attorney General, the next most senior of- ficial in the Department of Justice who is not also recused shall perform the duties assigned under this chapter to the Attorney General. (B) If information received under this chap- ter involves a person with whom the Attorney General has a personal or financial relation- ship, the Attorney General shall recuse him- self or herself by designating the next most senior official in the Department of Justice who is not also recused to perform the duties assigned under this chapter to the Attorney General. (2) REQUIREMENTS FOR RECUSAL DETERMINA- TION.—Before personally making any other de- termination under this chapter with respect to information received under this chapter, the Attorney General shall determine under para- graph (1)(B) whether recusal is necessary. The Attorney General shall set forth this deter- mination in writing, identify the facts consid- ered by the Attorney General, and set forth the reasons for the recusal. The Attorney Gen- eral shall file this determination with any no- tification or application submitted to the divi- sion of the court under this chapter with re- spect to such information. (Added Pub. L. 95–521, title VI, § 601(a), Oct. 26, 1978, 92 Stat. 1867; amended Pub. L. 97–409, §§ 3, 4(a), Jan. 3, 1983, 96 Stat. 2039, 2040; Pub. L. 98–473, title II, § 228(b), Oct. 12, 1984, 98 Stat. 2030; Pub. L. 100–191, § 2, Dec. 15, 1987, 101 Stat. 1293; Pub. L. 103–270, §§ 3(j), (k), 4, June 30, 1994, 108 Stat. 735, 736.) Editorial Notes AMENDMENTS 1994—Subsec. (b)(6) to (8). Pub. L. 103–270, § 4(b), redes- ignated par. (8) as (6) and substituted ‘‘; and’’ for the period at end, added par. (7), and struck out former pars. (6) and (7) which read as follows: ‘‘(6) any individual who leaves any office or position described in any of paragraphs (1) through (5) of this subsection, during the incumbency of the President under whom such individual served in the office or posi- tion plus one year after such incumbency, but in no event longer than a period of three years after the indi- vidual leaves the office or position; ‘‘(7) any individual who held an office or position de- scribed in any of paragraphs (1) through (5) of this sub- section during the incumbency of one President and who continued to hold the office or position for not more than 90 days into the term of the next President, during the 1-year period after the individual leaves the office or position; and’’. Subsec. (c). Pub. L. 103–270, § 4(a), amended subsec. (c) generally. Prior to amendment, subsec. (c) read as fol- lows: ‘‘PRELIMINARY INVESTIGATION WITH RESPECT TO PERSONS NOT LISTED IN SUBSECTION (b).—The Attorney General may conduct a preliminary investigation in ac- cordance with section 592 if— ‘‘(1) the Attorney General receives information suf- ficient to constitute grounds to investigate whether any person other than a person described in sub- section (b) may have violated any Federal criminal Page 257 TITLE 28—JUDICIARY AND JUDICIAL PROCEDURE § 591 law other than a violation classified as a Class B or C misdemeanor or an infraction; and ‘‘(2) the Attorney General determines that an inves- tigation or prosecution of the person, with respect to the information received, by the Attorney General or other officer of the Department of Justice may result in a personal, financial, or political conflict of inter- est.’’ Subsec. (d)(2). Pub. L. 103–270, § 3(j), substituted ‘‘30’’ for ‘‘15’’ wherever appearing. Subsec. (e). Pub. L. 103–270, § 3(k), amended subsec. (e) generally. Prior to amendment, subsec. (e) read as fol- lows: ‘‘(e) RECUSAL OF ATTORNEY GENERAL.— ‘‘(1) WHEN RECUSAL IS REQUIRED.—If information re- ceived under this chapter involves the Attorney Gen- eral or a person with whom the Attorney General has a current or recent personal or financial relationship, the Attorney General shall recuse himself or herself by designating the next most senior officer in the De- partment of Justice whom that information does not involve and who does not have a current or recent personal or financial relationship with such person to perform the duties assigned under this chapter to the Attorney General with respect to that information. ‘‘(2) REQUIREMENTS FOR RECUSAL DETERMINATION.— The Attorney General shall, before personally mak- ing any other determination under this chapter with respect to information received under this chapter, determine under paragraph (1) whether to recuse him- self or herself with respect to that information. A de- termination to recuse shall be in writing, shall iden- tify the facts considered by the Attorney General, and shall set forth the reasons for the recusal. The Attorney General shall file this determination with any notification or application submitted to the divi- sion of the court under this chapter with respect to the information involved.’’ 1987—Pub. L. 100–191 amended section generally, sub- stituting subsecs. (a) to (e) relating to applicability of chapter for former subsecs. (a) to (c) relating to similar subject. 1984—Subsec. (a). Pub. L. 98–473 substituted ‘‘Class B or C misdemeanor or an infraction’’ for ‘‘petty of- fense’’. 1983—Subsec. (a). Pub. L. 97–409, § 4(a)(1), substituted ‘‘information sufficient to constitute grounds to inves- tigate’’ for ‘‘specific information’’ after ‘‘the Attorney General receives’’. Subsec. (b)(3). Pub. L. 97–409, § 3, substituted ‘‘who is compensated at or above a rate equivalent to level II’’ for ‘‘and compensated at a rate not less than the an- nual rate of basic pay provided for level IV’’. Subsec. (b)(4), (5). Pub. L. 97–409, § 3, redesignated as par. (5) ‘‘the Director of Central Intelligence’’ and all that followed through end of par. (4). Former par. (5) re- designated (6). Subsec. (b)(6). Pub. L. 97–409, § 3, redesignated former par. (5) as (6) and substituted ‘‘through (5) of this sub- section during the period consisting of the incumbency of the President such individual serves plus one year after such incumbency, but in no event longer than two years after the individual leaves office;’’ for ‘‘through (4) of this subsection during the incumbency of the President or during the period the last preceding Presi- dent held office, if such preceding President was of the same political party as the incumbent President; and’’. Former par. (6) redesignated (8). Subsec. (b)(7). Pub. L. 97–409, § 3, added par. (7). Subsec. (b)(8). Pub. L. 97–409, § 3, redesignated former par. (6) as (8) and substituted ‘‘the chairman and treas- urer of the principal national campaign committee seeking the election or reelection of the President, and any officer of the campaign exercising authority at the national level, such as the campaign manager or direc- tor, during the incumbency of the President’’ for ‘‘any officer of the principal national campaign committee seeking the election or reelection of the President’’. Subsec. (c). Pub. L. 97–409, § 4(a)(2), added subsec. (c). Statutory Notes and Related Subsidiaries CHANGE OF NAME Reference to the Director of Central Intelligence or the Director of the Central Intelligence Agency in the Director’s capacity as the head of the intelligence com- munity deemed to be a reference to the Director of Na- tional Intelligence. Reference to the Director of Cen- tral Intelligence or the Director of the Central Intel- ligence Agency in the Director’s capacity as the head of the Central Intelligence Agency deemed to be a ref- erence to the Director of the Central Intelligence Agen- cy. See section 1081(a), (b) of Pub. L. 108–458, set out as a note under section 3001 of Title 50, War and National Defense. EFFECTIVE DATE OF 1994 AMENDMENT; TRANSITION PROVISIONS Pub. L. 103–270, § 7, June 30, 1994, 108 Stat. 737, pro- vided that: ‘‘(a) IN GENERAL.—Except as provided in this section, the amendments made by this Act [amending this sec- tion and sections 592 to 596 and 599 of this title] shall apply with respect to independent counsels appointed before, on, or after the date of enactment of this Act [June 30, 1994]. ‘‘(b) ASSIGNMENT OF EMPLOYEE TO CERTIFY EXPENDI- TURES.—An independent counsel appointed prior to the date of enactment of this Act shall assign to an em- ployee the duty of certifying expenditures, as required by section 594(l) of title 28, United States Code, as added by section 3(a), by the date that is 30 days after the date of enactment of this Act. ‘‘(c) OFFICE SPACE.—The Administrator of General Services, in applying section 594(l)(3) of title 28, United States Code, as added by section 3(a), to determine whether the office of an independent counsel appointed prior to the date of enactment of this Act should be moved to a Federal building, shall take into account the moving, legal, and other expenses that might arise if the office were moved. ‘‘(d) TRAVEL AND SUBSISTENCE EXPENSES.—For pur- poses of the restrictions on reimbursement of travel and subsistence expenses of an independent counsel and employees of an office of independent counsel con- tained in paragraph (3) of section 594(b) of title 28, United States Code, as amended by section 3(b), as ap- plied to the office of an independent counsel appointed before the date of enactment of this Act, the 1-year service period shall begin on the date of enactment of this Act. ‘‘(e) RATES OF COMPENSATION.—The limitation on rates of compensation of employees of an office of inde- pendent counsel contained in the last sentence of sec- tion 594(c) of title 28, United States Code, as amended by section 3(c), shall not be applied to cause a reduc- tion in the rate of compensation of an employee ap- pointed before the date of enactment of this Act. ‘‘(f) PERIODIC REAPPOINTMENT.—The determinations by the division of the court contained in the last sen- tence of section 596(b)(2) of title 28, United States Code, as amended by section 3(h), shall, for the office of an independent counsel appointed before the date of enact- ment of this Act, be required no later than 1 year after the date of enactment of this Act and at the end of each succeeding 1-year period. ‘‘(g) REPORTING REQUIREMENTS.—No amendment made by this Act that establishes or modifies a requirement that any person submit a report to any other person with respect to an activity occurring during any time period shall be construed to require that a report sub- mitted prior to the date of enactment of this Act, with respect to that time period be supplemented to include information with respect to such activity. ‘‘(h) REGULATORY INDEPENDENT COUNSEL.—Notwith- standing the restriction in section 593(b)(2) of title 28, United States Code, the division of the court described in section 49 of that title may appoint as an inde- pendent counsel any individual who, on the date of en- Page 258 TITLE 28—JUDICIARY AND JUDICIAL PROCEDURE § 592 actment of this Act, is serving as a regulatory inde- pendent counsel under parts 600 and 603 of title 28, Code of Federal Regulations. If such an individual is so ap- pointed, such an independent counsel shall comply with chapter 40 of title 28, United States Code, as amended by this Act, in the same manner and to the same extent as an independent counsel appointed before the date of enactment of this Act is required to comply with that chapter, except that subsection (f) of this section shall not apply to such an independent counsel. ‘‘(i) WHITE HOUSE PERSONNEL REPORT.—Section 6 [en- acting provisions set out as a note under section 113 of Title 3, The President] shall take effect on January 1, 1995.’’ EFFECTIVE DATE OF 1987 AMENDMENT Pub. L. 100–191, § 6, Dec. 15, 1987, 101 Stat. 1307, pro- vided that: ‘‘(a) IN GENERAL.—Subject to subsection (b), the amendments made by this Act [enacting section 599 of this title, amending this section, sections 49 and 592 to 598 of this title, sections 203 and 205 of Pub. L. 95–521 set out in the Appendix to Title 5, Government Organiza- tion and Employees, and section 202 of Title 18, Crimes and Criminal Procedure, enacting provisions set out as a note under section 1 of this title, and amending provi- sions set out below] take effect on the date of the en- actment of this Act [Dec. 15, 1987]. ‘‘(b) PENDING PROCEEDINGS.—With respect to any pro- ceeding under chapter 39 of title 28, United States Code (before the redesignation of such chapter as chapter 40 by section 144(g) of Public Law 99–554), or under chapter 40 of such title (after such redesignation), which is pending on the date of the enactment of this Act [Dec. 15, 1987], the following shall apply: ‘‘(1) Except as provided in paragraphs (2) and (3), the provisions of chapter 40 of such title as in effect on the day before such date of enactment shall, in lieu of the amendments made by this Act, continue to apply on or after such date to such proceeding until such proceeding is terminated in accordance with such chapter. ‘‘(2) The following provisions shall apply to such proceeding on or after such date of enactment: ‘‘(A) Section 593(f) of title 28, United States Code, as amended by section 2 of this Act, relating to the award of attorneys’ fees. ‘‘(B) Section 594(d)(2) of such title, as added by section 2 of this Act, to the extent that such sec- tion 594(d)(2) relates to reports by the Attorney General on expenditures by independent counsel, except that the first such report shall be made only with respect to expenditures on or after the date of the enactment of this Act. ‘‘(C) Section 594(h)(1)(A) of such title, as added by section 2 of this Act, relating to reports by inde- pendent counsel, except that the 6-month periods described in such section 594(h)(1)(A) shall be cal- culated from the date of the enactment of this Act. ‘‘(D) Section 594(i) of such title, as added by sec- tion 2 of this Act, relating to the independence of the office of independent counsel for certain pur- poses. ‘‘(E) Section 594(k) of such title, as added by sec- tion 2 of this Act, relating to custody of records of independent counsel. ‘‘(F) Section 596(a)(3) of such title, as amended by section 2 of this Act, relating to judicial review of the removal of an independent counsel from office. ‘‘(G) Section 596(c) of such title, as added by sec- tion 2 of this Act, relating to audits of expenditures of independent counsel. ‘‘(H) The amendments made by section 3 of this Act [amending sections 203 and 205 of Pub. L. 95–521, set out in Appendix to Title 5, and section 202 of Title 18], relating to the status of independent counsel and their appointees as special government employees and to their financial disclosure require- ments. ‘‘(3) Section 594(j) of title 28, United States Code, as added by section 2 of this Act, relating to certain standards of conduct shall, 90 days after the date of the enactment of this Act, apply to a pending pro- ceeding described in this subsection.’’ EFFECTIVE DATE OF 1984 AMENDMENT Pub. L. 98–473, title II, § 235(a)(1)(B)(ii)(IV), Oct. 12, 1984, 98 Stat. 2032, provided that the amendment made by Pub. L. 98–473 is effective Oct. 12, 1984. EFFECTIVE DATE Pub. L. 95–521, title VI, § 604, Oct. 26, 1978, 92 Stat. 1875, provided that: ‘‘Except as provided in this section, the amendments made by this title [enacting this chap- ter and sections 49, 528, and 529 of this title] shall take effect on the date of the enactment of this Act [Oct. 26, 1978]. The provisions of chapter 39 of title 28 of the United States Code, as added by section 601 of this Act, shall not apply to specific information received by the Attorney General pursuant to section 591 of such title 28, if the Attorney General determines that— ‘‘(1) such specific information is directly related to a prosecution pending at the time such specific infor- mation is received by the Attorney General; ‘‘(2) such specific information is related to a matter which has been presented to a grand jury and is re- ceived by the Attorney General within one hundred and eighty days of the date of the enactment of this Act; or ‘‘(3) such specific information is related to an inves- tigation that is pending at the time such specific in- formation is received by the Attorney General, and such specific information is received by the Attorney General within ninety days of the date of the enact- ment of this Act.’’ PERMANENT APPROPRIATION FOR EXPENSES OF INDEPENDENT COUNSELS Pub. L. 100–202, § 101(a) [title II], Dec. 22, 1987, 101 Stat. 1329, 1329–9, as amended by Pub. L. 111–68, div. A, title I, § 1501(d), Oct. 1, 2009, 123 Stat. 2041, provided: ‘‘That a permanent indefinite appropriation is estab- lished within the Department of Justice to pay all nec- essary expenses of investigations and prosecutions by independent counsel appointed pursuant to the provi- sions of 28 U.S.C. 591 et seq. or other law’’. CONTINGENCY FUND FOR INDEPENDENT COUNSELS Pub. L. 95–521, title VI, § 601(c), Oct. 26, 1978, 92 Stat. 1873, as amended by Pub. L. 97–409, § 2(c)(2), Jan. 3, 1983, 96 Stat. 2039; Pub. L. 100–191, § 5(b), Dec. 15, 1987, 101 Stat. 1307, provided that: ‘‘There are authorized to be appropriated for each fiscal year such sums as may be necessary, to be held by the Department of Justice as a contingent fund for the use of any independent coun- sels appointed under chapter 40 (relating to inde- pendent counsels) of title 28 of the United States Code in the carrying out of functions under such chapter.’’ § 592. Preliminary investigation and application for appointment of an independent counsel (a) CONDUCT OF PRELIMINARY INVESTIGATION.— (1) IN GENERAL.—A preliminary investigation conducted under this chapter shall be of such matters as the Attorney General considers ap- propriate in order to make a determination, under subsection (b) or (c), on whether further investigation is warranted, with respect to each potential violation, or allegation of a vio- lation, of criminal law. The Attorney General shall make such determination not later than 90 days after the preliminary investigation is commenced, except that, in the case of a pre- liminary investigation commenced after a congressional request under subsection (g), the Attorney General shall make such determina- tion not later than 90 days after the request is