APPENDIX 9. Morford memorandum on monitors

• Author: Robert W. Tarun
• Pages: 603-609

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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