Skip to main content

Corporate Crime

Voluntary Self Disclosure and Monitor Selection Policies

Voluntary Self-Disclosure Policies:

All DOJ components and offices that prosecute corporate crime now have a voluntary self-disclosure policy that is publicly available on their websites. These policies set forth the component’s expectations of what constitutes a voluntary self-disclosure, including with regard to the timing of the disclosure, the need for the disclosure to be accompanied by timely preservation, collection, and production of relevant documents and/or information, and a description of the types of information and facts that should be provided as part of the disclosure process.  The policies also lay out the benefits that corporations can expect to receive if they meet the standards for voluntary self-disclosure under that component’s policy, and what circumstances constitute aggravating factors under the component’s policy.

Specifically, all Department components must adhere to the following three principles regarding voluntary self-disclosure. 

  • First, absent aggravating factors, the Department will not seek a guilty plea where a corporation is determined to have met the requirements of the applicable voluntary self-disclosure policy, fully cooperated, and timely and appropriately remediated the criminal conduct. Each Department component shall define such aggravating factors in their written policies.
  • Second, the Department will not require the imposition of an independent compliance monitor for a cooperating corporation that is determined to have met the requirements of the applicable voluntary self-disclosure policy and, at the time of resolution, demonstrates it has implemented and tested an effective compliance program.  Such decisions about the imposition of a monitor will continue to be made on a case-by-case basis and at the sole discretion of the Department. See JM 9-28.1700.
  • Third, the Department will apply a presumption in favor of declining prosecution of a corporation that voluntarily self-disclosed, fully cooperated, and timely and appropriately remediated misconduct uncovered as a result of due diligence conducted shortly before or shortly after a lawful, bona fide acquisition of another corporate entity, subject to the requirements described in Section 9-28.900(A)(3) of the Justice Manual.

Policies

Monitor Selection Policies:

All DOJ components and offices that prosecute corporate crime now have each has a published, publicly-accessible policy on monitor selection process.

All policies incorporate elements that promote consistency, predictability, and transparency. 

  • First, the consideration of monitor candidates are done by a standing or ad hoc committee within the office or component where the case originated.  Every monitorship committee includes as a member an ethics official or professional responsibility officer from that office or component, who shall ensure that the other members of the committee do not have any conflicts of interest in selection of the monitor.  There must be a written memorandum to file confirming that no conflicts exist in the committee prior to the selection process or as to the monitor prior to the commencement of the monitor’s work. 
  • Second, monitor selection processes are conducted in keeping with the Department’s commitment to diversity and inclusion. 
  • Third, prosecutors must notify the appropriate United States Attorney or Department Component Head of their decision regarding whether to require an independent compliance monitor.  In order to promote greater transparency, any agreement imposing a monitorship should describe the reasoning for requiring a monitor.  

Policies

Updated March 8, 2024