DOJ Corporation Prosecution Principles: Nine Factors

While there have different versions of the Corporation Prosecution Principles since 1999, the most recent principles apply the following nine factors:

”In conducting an investigation, determining whether to bring charges, and negotiating plea or other agreements, prosecutors should consider the following factors in reaching a decision as to the proper treatment of a corporate target:

  1. The nature and seriousness of the offense, including the risk of harm to the public, and applicable policies and priorities, if any, governing the prosecution of corporations for particular categories of crime;
  2. The pervasiveness of wrongdoing within the corporation, including the complicity in, or the condoning of, the wrongdoing by corporate management;
  3. The corporation's history of similar misconduct, including prior criminal, civil, and regulatory enforcement actions against it;
  4. The corporation's timely and voluntary disclosure of wrongdoing and its willingness to cooperate in the investigation of its agents;
  5. The existence and effectiveness of the corporation's pre-existing compliance program;
  6. The corporation's remedial actions, including any efforts to implement an effective corporate compliance program or to improve an existing one, replace responsible management, to discipline or terminate wrongdoers, to pay restitution, and to cooperate with the relevant government agencies;
  7. Collateral consequences, including whether there is disproportionate harm to shareholders, pension holders, employees, and others not proven personally culpable, as well as impact on the public arising from the prosecution;
  8. The adequacy of the prosecution of individuals responsible for the Corporation's malfeasance; and
  9. The adequacy of remedies such as civil or regulatory enforcement actions."

See U.S. Attorney’s Manual §§ 9-28.000 to 9-28.1300 (Corporation Prosecution Principles). Return to the Corporation Prosecution Principles Resource Page.

Federal Rules of Evidence