Appendix C: USAM Chapter 9-28.000 Principles of Federal Prosecution of Business Organizations

• Author: Miriam Weismann
• Pages: 201-224

201

A C

USAM CHAPTER 9-28.000

PRINCIPLES OF FEDERAL

PROSECUTION OF BUSINESS

ORGANIZATIONS

9-28.000 PRINCIPLES OF FEDERAL PROSECUTION OF

BUSINESS ORGANIZATIONS [FN1]

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  e Corporation’s Past History

9-28.700  e 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

Source: http://www.justice.gov/usao/eousa/foia_reading_room/usam/title/mcrm.htmFN

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202 USAM Chapter 9-28.000

9-28.740 O ering Cooperation: No Entitlement to Immunity

9-28.750 Qualifying for Immunity, Amnesty, or Reduced Sanctions  rough Volun-

tary Disclosures

9-28.760 Oversight Concerning Demands for Waivers of Attorney-Client Privilege

or Work Product By Corporations Contrary to  is 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

-8.100 Duties of Federal Prosecutors and Duties of Corporate

Leaders

The prosecution of corporate crime is a hig h priority for the Department of Justice.

By investigating al legations of wrongdoing and by bringing charges where appropri-

ate for criminal mi sconduct, the Department promotes critical publ ic interests. These

interests include, to take just a few exa mples: () protecting the integr ity of our free

economic and capital markets; () protecting consumers , investors, and business enti-

ties that compete only t hrough lawful means; a nd () protecting the American people

from misconduct that would v iolate criminal laws safegu arding the environment.

In this regard, federa l prosecutors and corporate leaders typically sha re com-

mon goals. For example, direc tors and officers owe a fiduciary duty to a c orporation’s

shareholders, the corporation’s true owners, and t hey owe duties of honest dealing to

the investing public i n connection with the corporation’s regulatory f ilings and pub-

lic statements. The faith ful execution of these duties by corporate leadership ser ves

the same values i n promoting public trust and confidence t hat our criminal cases a re

designed to serve.

A prosecutor’s duty to enforce the law requires the investigation and prosec u-

tion of criminal w rongdoing if it is discovered. In ca rrying out this mission with t he

diligence and resolve neces sary to vindicate the impor tant public interests discussed

above, prosecutors should be mindful of the common caus e we share with respon-

sible corporate leaders. Prosecutors should als o be mindful that conf idence in the

Department is af fected both by the results we ach ieve and by the real and perceived

ways in which we achieve them. Thus, t he manner in which we do our job as prose-

cutors—including the professional ism we demonstrate, our willin gness to secure the

facts in a manner t hat encourages corporate compliance and self-regulation, and a lso

our appreciation that corporate prosecutions ca n potentially harm blameless inves-

tors, employees, and others—af fects public perception of our mission. Federal prose-

cutors recognize t hat they must maintain public confidence i n the way in which they

exercise their charg ing discretion. This endeavor requires the thoug htful ana lysis of

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