2014 Survey of State Attorneys General

Usern
ame
Passw
ord
OMB No.__________ Approval Expires__________

Bureau of Justice Statistics
U.S. Department of Justice
2014 Survey of State Attorneys General

This survey is being conducted by the National White Collar Crime Center (NW3C) and the National Association of
Attorneys General (NAAG) under the direction of the Bureau of Justice Statistics.
The purpose of this survey is to obtain information regarding your office's cases involving white collar offenses. The data
collected will be used to assess the prevalence of white collar cases handled by the Attorneys Generals' Offices and to
inform future data collection activities. Although this survey is voluntary (i.e., a person is not required to respond to a
collection of information), we urgently need and appreciate your cooperation to make the results comprehensive,
accurate, and timely.
In this survey, the term "white collar offenses" refers to "any violation of law committed through non-violent means,
involving lies, omissions, deceit, misrepresentation or violation of a position of trust, by an individual or organization for
personal or organizational benefit." When answering the survey questions, please keep this definition in mind and be
inclusive with your answers.
We are interested in criminal prosecutions of white collar crime and civil cases that involve similar activity.
While this is not a complete list of all white collar offenses, some specific examples include:

Consumer Fraud
Securities Fraud
Insurance Fraud
Tax Fraud
False Claims and Statements
Workplace Related Offenses (e.g., unsafe working conditions)
Environmental Offenses
Illegal Payments to Government Officials (giving or receiving)
Unfair Trade Practices
Bank Fraud
Medical Fraud

Information Supplied By:
Name
Title
Telepho
ne
Fax
Email

Instructions
1. For all questions, the phrase "During 2014” refers to January 1, 2014 through December 31, 2014.
2. Some questions will ask for specific counts (e.g., cases or offenses). In these questions, we are interested only in
instances where charges were filed with a court. A case is defined as a set of all charges against a single defendant that
are handled by the court as a single matter. A case with three defendants should be recorded as three cases, but a case
with one defendant with multiple charges should be counted as one case.
3. For the purpose of this survey, we are interested in cases that were closed during 2014. A case is closed when the
court has made a decision to convict the defendants or find the defendants liable or to dismiss the case.
4. If you need to come back to the survey at a later time, simply click the “Save” button located at the bottom of the
survey. You may log back in to the survey using the original email sent to you. If you need to send the survey to another
person to complete, please forward them the original email containing the survey link.
5. Do not click “Submit” until the survey is complete. You will not be able to return to the survey once it is officially
submitted.
6. If you have questions or need assistance, please contact the NW3C at [email protected] or
call (toll-free) 877-628-7674.

Burden Statement
Federal Agencies may not conduct or sponsor an information collection, unless it displays a currently valid OMB Control
Number. Public reporting burden for this collection of information is estimated to average 36 minutes per response,
including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information.
Send comments regarding the burden estimate, or any other aspects of this collection of information, including
suggestions for reducing this burden, to the Director, Bureau of Justice Statistics, 810 Seventh Street, NW, Washington,
DC 20531. The Omnibus Crime Control and Safe Streets Act of 1968, as amended (42 USC 3732), authorizes this
information collection.

1.

What is the position of the person filling out this survey?

2.

What types of white collar cases does your office handle, including criminal prosecutions and civil
complaints? Select One.

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Criminal prosecutions only (You will skip the civil section and be advanced to Q13 upon completion of the criminal
section)
Civil complaints only (You will be advanced to Q8)
Both criminal prosecutions and civil complaints
Our office does not handle white collar cases (You will be advanced to Q21)

During 2014, what types of criminal white collar cases did your office prosecute? Check either "yes" or "
no" for each case type. If you are not able to determine "yes" or "no," please click the "not able to determine"
button.

Consumer Fraud
Securities Fraud
Insurance Fraud
Tax Fraud
False Claims and Statements
Workplace Related Offenses (e.g.,
unsafe working conditions)
Environmental Offenses
Illegal Payments to Government
Officials
Unfair Trade Practices
Bank Fraud
Medical Fraud
Other Please specify.

Yes

No

Not Able to Determine

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4.

During 2014, how many criminal white collar cases in total did your office prosecute? If this number is
an estimate, please click the estimate button. If you are not able to determine this, please click the "not able to
determine" button. A case is defined as a set of all charges against a single defendant that are handled by the
court as a single matter. A case with three defendants should be recorded as three cases, but a case with one
defendant with multiple charges should be counted as one case.

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Estimate
Not Able to
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Number of Closed Cases

You may provide additional comments pertaining to the "Number of Closed Cases" listed above, if needed.

5.

During 2014, how many criminal white collar cases involved the prosecution of businesses (i.e.,
corporations or partnerships)? If this number is an estimate, please click the estimate button. If you are not
able to determine this, please click the "not able to determine" button. A case is defined as a set of all charges
against a single defendant that are handled by the court as a single matter. A case with three defendants
should be recorded as three cases, but a case with one defendant with multiple charges should be counted as
one case.

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Estimate
Not Able to
Determine
Number of Closed Cases

You may provide additional comments pertaining to the "Number of Closed Cases" listed above, if needed.

6.

During 2014, how many criminal white collar cases involved the prosecution of individuals or sole
proprietorships? If this number is an estimate, please click the estimate button. If you are not able to
determine this, please click the "not able to determine" button. A case is defined as a set of all charges against
a single defendant that are handled by the court as a single matter. A case with three defendants should be
recorded as three cases, but a case with one defendant with multiple charges should be counted as one case.

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Estimate
Not Able to
Determine
Number of Closed Cases

You may provide additional comments pertaining to the "Number of Closed Cases" listed above, if needed.

7.

Of the cases closed during 2014, what criminal sanctions were imposed on individuals that were found
guilty, pleaded no contest, or pleaded to lesser charges? Check either "yes" or "no" for each type of
criminal sanction.

Probation
Restitution and/or Fines
Community Service
Imprisonment
Suspended Sentence
Suspension of Business or
Professional License
Revocation of Business or
Professional License
Court Costs

Yes

No

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8.

If 'yes'During 2014, what types of civil offenses did your office handle that involved behavior
referenced in the white collar offense definition? Check either "yes" or "no" for each case type. If you are
not able to determine "yes" or "no," please click the "not able to determine" button.
Yes

No

Not Able to Determine

False Claims and Statements
Workplace Related Offenses (e.g.,
unsafe working conditions)

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Environmental Offenses
Illegal Payments to Government
Officials (giving or receiving)

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Consumer Fraud
Securities Fraud
Insurance Fraud
Tax Fraud

Unfair Trade Practices
Bank Fraud
Medical Fraud
If 'yes'Other Please specify.

9.

If 'yes'During 2014, how many types of civil offenses, in total, did your office handle that involved
behavior referenced in the white collar offense definition? If this number is an estimate, please click the
estimate button. If you are not able to determine this, please click the "not able to determine" button. A case is
defined as a set of all charges against a single defendant that are handled by the court as a single matter. A
case with three defendants should be recorded as three cases, but a case with one defendant with multiple
charges should be counted as one case.

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Estimate
Not Able to
Determine
If 'yes'Number of Closed Cases

If 'yes'You may provide additional comments pertaining to the "Number of Closed Cases" listed above, if
needed.

10.

If 'yes'How many civil white collar offenses involved the prosecution of businesses (i.e., corporations
or partnerships)? If this number is an estimate, please click the estimate button. If you are not able to
determine this, please click the "not able to determine" button. A case is defined as a set of all charges against
a single defendant that are handled by the court as a single matter. A case with three defendants should be
recorded as three cases, but a case with one defendant with multiple charges should be counted as one case.

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Estimate
Not Able to
Determine
If 'yes'Number of Closed Cases

If 'yes'You may provide additional comments pertaining to the "Number of Closed Cases" listed above, if
needed.

11.

If 'yes'How many civil white collar offenses involved the prosecution of individuals and/or sole
proprietorships? If this number is an estimate, please click the estimate button. If you are not able to
determine this, please click the "not able to determine" button. A case is defined as a set of all charges against
a single defendant that are handled by the court as a single matter. A case with three defendants should be
recorded as three cases, but a case with one defendant with multiple charges should be counted as one case.

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Estimate
Not Able to
Determine
If 'yes'Number of Closed Cases

If 'yes'You may provide additional comments pertaining to the "Number of Closed Cases" listed above, if
needed.

12.

If 'yes'Of those cases closed during 2014, what civil sanctions were imposed on those found liable?
Check either "yes" or "no" for each type of civil sanction. If you are not able to determine this, please click the "
not able to determine" button.

Restitution and/or Fines
Suspension of Business or
Professional License
Revocation of Business or
Professional License
Dissolution of Business

Yes

No

Not Able to Determine

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If 'yes'Other Please specify.

13.

During 2014, which of the following sources referred white collar offenses to your office for either
criminal or civil enforcement for investigation or prosecution? Check either "yes" or "no" for each type of
source. If you are not able to determine this, please click the "not able to determine" button.

Local Law Enforcement
State Law Enforcement
State Regulatory Agencies
Federal Regulatory Agencies
U.S. Attorney's Office
FBI
DHS
Business Victims
Citizen Victims
Public Interest Groups
Other Please specify.

Yes

No

Not Able to Determine

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14.

During 2014, did your office participate in a federal or state white collar crime task force or working
group? Check One.

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15.

State Task Force or Working Group
Both Federal and State Task Force(s) or Working Group(s)
My office did not participate in a task force or working group.

Does your office have a specialized unit (or dedicated staff) that deals exclusively with white collar
crime cases?

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16.

Federal Task Force or Working Group

Yes
No
Don't Know

We are interested in your office’s decision making process for white collar offense referrals. Under
what circumstances would you refer a case to the federal level for prosecution? Check all that apply.

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Conflict of interest in office
Deconflict with on-going federal investigation
More significant penalties from federal prosecution
Case has national/international links
Our office does not have necessary resources to investigate/prosecute
Our office does not refer cases to the federal level for prosecution

Other Please specify.

17.

We are interested in your office’s decision making process for white collar offense referrals. Under
what circumstances would you refer a case to local prosecutors for prosecution? Check all that apply.

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Does not meet our dollar threshold.
Current caseload is too high
Case requires criminal authority
Conflict of interest in office
Our office does not refer cases to the local level for prosecution

Other Please specify.

18.

We are interested in your office’s decision making process for white collar offense referrals. Under
what circumstances would you refer a case to state agencies for regulatory action? Check all that apply.

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Case more suitable for regulatory adjudication
Current caseload is too high
Our office does not refer cases to state agencies for regulatory action

Other Please specify.

19.

Does your office have an automated case management system?

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19.a

No

Can your case management system differentiate between businesses and individuals with regard to
white collar offenses that have been pursued?

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19.b

Yes

Yes
No
Don't Know

For which of these categories would your office be able to provide additional statistics for future data
collections?

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Businesses Only
Individuals Only
Businesses and Individuals
Don't Know

20.

For what years does your office have data/statistics on either criminal or civil white collar crime cases?
Check all that apply.

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21.

2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
No available data/statistics

Do you provide agencies within your state or territory legal aid with regard to white collar offenses?

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21.a

Pre-2000

Yes
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Don't Know

If 'yes'Please list the agencies for which you provide legal aid.

22.

In the event that there are follow-up questions regarding this survey, please provide the contact
information (name, phone number, email address) of the person most appropriate to answer questions
related to the following within your agency:
Criminal White Collar Crime
Prosecutions

Civil White Collar Crime Cases

Thank you for participating in the survey.