APPENDIX 9. Morford memorandum on monitors

AuthorRobert W. Tarun
Pages603-609
APPENDIX 9
Morford Memorandum on Monitors
U.S. Department of Justice
Office of the Deputy Attorney General
The Deputy Attorney General Washington, D.C. 20530
March 7, 2008
MEMORANDUM FOR HEADS OF DEPARTMENT COMPONENTS
UNITED STATES ATTORNEYS
FROM: Craig S. Morford
SUBJECT: Acting Deputy Attorney General Initial of Craig S.
Morford Selection and Use of Monitors in Deferred
Prosecution Agreements and Non-Prosecution Agree-
ments with Corporations1
I. INTRODUCTION
The Department of Justice’s commitment to deterring and preventing corporate
crime remains a high priority. The Principles of Federal Prosecution of Business
Organizations set forth guidance to federal prosecutors regarding charges against
corporations. A careful consideration of those principles and the facts in a given
case may result in a decision to negotiate an agreement to resolve a criminal case
against a corporation without a formal conviction—either a deferred prosecution
agreement or a non-prosecution agreement.2 As part of some negotiated corporate
1. As used in these Principles, the terms “corporate” and “corporation” refer to all types of business orga-
nizations, including partnerships, sole proprietorships, government entities, and unincorporated associations.
2. The terms “deferred prosecution agreement” and “non-prosecution agreement” have often been used
loosely by prosecutors, defense counsel, courts and commentators. As the terms are used in these Principles, a
deferred prosecution agreement is typically predicated upon the fi ling of a formal charging document by the gov-
ernment, and the agreement is fi led with the appropr iate court. In the non-prosecution agreement context, formal
charges are not fi led and the agreement is maintained by the parties rather than being fi led with a court. Clear and
consistent use of these terms will enable the Department to more effectively identify and share best practices and
to track the use of such agreements. These Principles do not apply to plea agreements, which involve the formal
conviction of a corporation in a court proceeding.
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