Credit: EtiAmmos/Shutterstock.com Belt and Suspenders? DOJ Adds New Certification Requirement to Corporate Plea Agreements
The DOJ's certification requirement amounts to a hybrid of corporate and individual responsibility.
July 05, 2022 at 12:00 PM
10 minute read
The prosecution of corporations has become a mainstay of federal white-collar criminal enforcement. Why is that? Corporations cannot be sent to prison, and they act only through individuals. The Department of Justice (DOJ) routinely emphasizes that the key to deterring corporate misconduct is the prosecution of individuals.
The theory seems to be that a company should be prosecuted chiefly as a means of improving corporate conduct—notably, by strengthening compliance programs and, more broadly, reforming company culture. Consistent with this objective, DOJ ordinarily gives credit for robust compliance programs (together with voluntary reporting and remediation of misconduct). Likewise, DOJ commonly makes specific compliance enhancements a part of plea and deferred and non-prosecution agreements (DPAs and NPAs).
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