Outside of its Leniency Policy the Antitrust Division enters into corporate resolutions that include individual non-prosecution protections only in extraordinary circumstances, and any such releases must be personally approved in writing by the AAG. JM 9-28.210, 9-28.1600.

Outside of Type A Corporate Leniency, JM 7-3.310, decisions to include individual releases in a corporate resolution are made on an individualized basis in accord with the Principles of Federal Prosecution, JM 9-27.000, and under the standard for individual non-prosecution agreements, JM 9-27.600. Any individuals included in a corporate resolution’s non-prosecution protections shall also be included in the resolution’s cooperation requirements, and the resolution may obligate the corporate defendant to secure those individuals’ cooperation.

Consistent with JM 9-27.650, if individuals receive non-prosecution protection as part of a corporate resolution, the attorney for the government should ensure that the case file or court record contains a written record identifying the covered individuals. Those records should be signed or initialed by the individuals or their counsel. The government will move to seal any such records filed with the court as appropriate.

If additional individuals cooperate after the corporate resolution is entered, the Antitrust Division may consider entering into separate cooperation and non-prosecution agreements with them.

Individual releases are considered only for individuals who might otherwise be prosecuted. If the person reasonably is viewed only as a potential witness rather than a potential defendant, and the person is willing to cooperate, there is no need to consult JM 9-27.600 et seq.

[updated June 2022]