The role of corporate compliance programs in determining corporate criminal liability: A suggested approach

Columbia Law Review

Volumn 96, Issue 5, 1996, Pages 1252-

  Huff, Kevin B ^a  

^a NONE

Author keywords

[No Author keywords available]

Indexed keywords

EID: 0041536912     PISSN: 00101958     EISSN: None     Source Type: Journal    
DOI: 10.2307/1123405     Document Type: Article

References (10)

1. See Samuel R. Miller, Corporate Criminal Liability: A Principle Extended to Its Limits, 38 Fed. B.J. 49, 49 (1979); Harvey L. Pitt & Karl A. Groskaufmanis, Minimizing Corporate Civil and Criminal Liability: A Second Look at Corporate Codes of Conduct, 78 Geo. L.J. 1559, 1573 (1990); David O. Stewart, Basics of Criminal Liability for Corporations and Their Officials, and Use of Compliance Programs and Internal Investigations, 22 Pub. Cont. L.J. 81, 81 (1992); CharlesJ. Walsh & Alissa Pyrich, Corporate Compliance Programs As a Defense to Criminal Liability: Can a Corporation Save Its Soul?, 47 Rutgers L. Rev. 605, 618 (1995); Dan K. Webb et al., Understanding and Avoiding Corporate and Executive Criminal Liability, 49 Bus. Law. 617, 617-18 (1994).
2. See Samuel R. Miller, Corporate Criminal Liability: A Principle Extended to Its Limits, 38 Fed. B.J. 49, 49 (1979); Harvey L. Pitt & Karl A. Groskaufmanis, Minimizing Corporate Civil and Criminal Liability: A Second Look at Corporate Codes of Conduct, 78 Geo. L.J. 1559, 1573 (1990); David O. Stewart, Basics of Criminal Liability for Corporations and Their Officials, and Use of Compliance Programs and Internal Investigations, 22 Pub. Cont. L.J. 81, 81 (1992); CharlesJ. Walsh & Alissa Pyrich, Corporate Compliance Programs As a Defense to Criminal Liability: Can a Corporation Save Its Soul?, 47 Rutgers L. Rev. 605, 618 (1995); Dan K. Webb et al., Understanding and Avoiding Corporate and Executive Criminal Liability, 49 Bus. Law. 617, 617-18 (1994).
3. See Samuel R. Miller, Corporate Criminal Liability: A Principle Extended to Its Limits, 38 Fed. B.J. 49, 49 (1979); Harvey L. Pitt & Karl A. Groskaufmanis, Minimizing Corporate Civil and Criminal Liability: A Second Look at Corporate Codes of Conduct, 78 Geo. L.J. 1559, 1573 (1990); David O. Stewart, Basics of Criminal Liability for Corporations and Their Officials, and Use of Compliance Programs and Internal Investigations, 22 Pub. Cont. L.J. 81, 81 (1992); CharlesJ. Walsh & Alissa Pyrich, Corporate Compliance Programs As a Defense to Criminal Liability: Can a Corporation Save Its Soul?, 47 Rutgers L. Rev. 605, 618 (1995); Dan K. Webb et al., Understanding and Avoiding Corporate and Executive Criminal Liability, 49 Bus. Law. 617, 617-18 (1994).
4. See Samuel R. Miller, Corporate Criminal Liability: A Principle Extended to Its Limits, 38 Fed. B.J. 49, 49 (1979); Harvey L. Pitt & Karl A. Groskaufmanis, Minimizing Corporate Civil and Criminal Liability: A Second Look at Corporate Codes of Conduct, 78 Geo. L.J. 1559, 1573 (1990); David O. Stewart, Basics of Criminal Liability for Corporations and Their Officials, and Use of Compliance Programs and Internal Investigations, 22 Pub. Cont. L.J. 81, 81 (1992); CharlesJ. Walsh & Alissa Pyrich, Corporate Compliance Programs As a Defense to Criminal Liability: Can a Corporation Save Its Soul?, 47 Rutgers L. Rev. 605, 618 (1995); Dan K. Webb et al., Understanding and Avoiding Corporate and Executive Criminal Liability, 49 Bus. Law. 617, 617-18 (1994).
5. See Samuel R. Miller, Corporate Criminal Liability: A Principle Extended to Its Limits, 38 Fed. B.J. 49, 49 (1979); Harvey L. Pitt & Karl A. Groskaufmanis, Minimizing Corporate Civil and Criminal Liability: A Second Look at Corporate Codes of Conduct, 78 Geo. L.J. 1559, 1573 (1990); David O. Stewart, Basics of Criminal Liability for Corporations and Their Officials, and Use of Compliance Programs and Internal Investigations, 22 Pub. Cont. L.J. 81, 81 (1992); CharlesJ. Walsh & Alissa Pyrich, Corporate Compliance Programs As a Defense to Criminal Liability: Can a Corporation Save Its Soul?, 47 Rutgers L. Rev. 605, 618 (1995); Dan K. Webb et al., Understanding and Avoiding Corporate and Executive Criminal Liability, 49 Bus. Law. 617, 617-18 (1994).
6. See, e.g., Note, Developments in the Law, Corporate Crime: Regulating Corporate Behavior Through Criminal Sanctions, 92 Harv. L. Rev. 1227, 1229 (1979) ("[T]here has been a dramatic increase in the efforts of the federal government to regulate [corporate] activity through the creation of multitudinous administrative agencies and volume upon volume of regulatory laws.").
7. See Jefferey M. Kaplan et al., Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability xxxiii (Jefferey M. Kaplan et al. eds., 1995); Pamela H. Bucy, Organizational Sentencing Guidelines: The Cart Before the Horse, 71 Wash. U. L.Q. 329, 352 (1993).
8. See Jefferey M. Kaplan et al., Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability xxxiii (Jefferey M. Kaplan et al. eds., 1995); Pamela H. Bucy, Organizational Sentencing Guidelines: The Cart Before the Horse, 71 Wash. U. L.Q. 329, 352 (1993).
9. See, e.g., U.S. Sentencing Comm'n, Guidelines Manual § 8A1.2, application note 3(k) (1995) [hereinafter Sentencing Guidelines] (defining an "effective" compliance program). The Guidelines give seven factors for determining what is required in order for a compliance program to be "effective." See id.; see also infra notes 72-81 and accompanying text (discussing corporate sentencing guidelines). Another proposed definition of compliance programs is "any written statement of ethics, law, or policy . . . delineating the obligations of one or more classes of corporate employees." Pitt & Groskaufmanis, supra note 1, at 1559 n.1.
10. For a general discussion of corporate codes of conduct, see Ronald E. Berenheim, Codes of Conduct, in Kaplan et al., supra note 3, §§ 7.01-7.14.