Appendix 9 Title 9, Chapter 9-28.000 Principles Of Federal Prosecution Of Business Organizations (U.S. Department Of Justice)

AuthorRobert W. Tarun
ProfessionFormer Executive Assistant U.S. Attorney in Chicago
Pages957-978
APPENDIX 9
Title 9, Chapter 9-28.000
Principles of Federal
Prosecution of Business
Organizations (U.S.
Department of Justice)1
9-28.100 Duties of Federal Prosecutors and Duties of Corporate Leaders
9-28.200 General Considerations of Corporate Liability
9-28.300 Factors to Be Considered
9-28.400 Special Policy Concerns
9-28.500 Pervasiveness of Wrongdoing Within the Corporation
9-28.600 The Corporation’s Past History
9-28.700 The Value of Cooperation
9-28.710 Attorney-Client and Work Product Protections
9-28.720 Cooperation: Disclosing the Relevant Facts
9-28.730 Obstructing the Investigation
9-28.740 Offering Cooperation: No Entitlement to Immunity
9-28.750 Qualifying for Immunity, Amnesty, or Reduced Sanctions Through
Voluntary Disclosures
1. While these guidelines refer to corporations, they apply to the consideration of the prosecution of all
types of business organizations, including partnerships, sole proprietorships, government entities, and unincor-
porated associations.
957
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958 APPENDIX 9
9-28.760 Oversight Concerning Demands for Waivers of Attorney-Client
Privilege or Work Product By Corporations Contrary to This Policy
9-28.800 Corporate Compliance Programs
9-28.900 Restitution and Remediation
9-28.1000 Collateral Consequences
9-28.1100 Other Civil or Regulatory Alternatives
9-28.1200 Selecting Charges
9-28.1300 Plea Agreements with Corporations
9-28.001 DUTIES OF FEDERAL PROSECUTORS AND
DUTIES OF CORPORATE LEADERS
The prosecution of corporate crime is a high priority for the Department of Justice.
By investigating allegations of wrongdoing and by bringing charges where appro-
priate for criminal misconduct, the Department promotes critical public interests.
These interests include, to take just a few examples: (1) protecting the integrity of
our free economic and capital markets; (2) protecting consumers, investors, and
business entities that compete only through lawful means; and (3) protecting the
American people from misconduct that would violate criminal laws safeguarding
the environment.
In this regard, federal prosecutors and corporate leaders typically share com-
mon goals. For example, directors and officers owe a fiduciary duty to a corpora-
tion’s shareholders, the corporation’s true owners, and they owe duties of honest
dealing to the investing public in connection with the corporation’s regulatory
filings and public statements. The faithful execution of these duties by corporate
leadership serves the same values in promoting public trust and confidence that
our criminal cases are designed to serve.
A prosecutor’s duty to enforce the law requires the investigation and prosecu-
tion of criminal wrongdoing if it is discovered. In carrying out this mission with
the diligence and resolve necessary to vindicate the important public interests dis-
cussed above, prosecutors should be mindful of the common cause we share with
responsible corporate leaders. Prosecutors should also be mindful that confidence
in the Department is affected both by the results we achieve and by the real and
perceived ways in which we achieve them. Thus, the manner in which we do our
job as prosecutors—including the professionalism we demonstrate, our willingness
to secure the facts in a manner that encourages corporate compliance and self-
regulation, and also our appreciation that corporate prosecutions can potentially
harm blameless investors, employees, and others—affects public perception of our
mission. Federal prosecutors recognize that they must maintain public confidence
in the way in which they exercise their charging discretion. This endeavor requires
the thoughtful analysis of all facts and circumstances presented in a given case. As
always, professionalism and civility play an important part in the Department’s
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