Skip to main content
SpringerLink
Log in
Book cover

International Handbook of White-Collar and Corporate Crime pp 279–306Cite as

Preventive Fault and Corporate Criminal Liability: Transforming Corporate Organizations into Private Policing Entities

  • Chapter

Abstract

Since 1990, federal officials in the United States have used increasingly so- phisticated preventive fault standards for assessing corporate criminal liability. Under these standards, the scope of corporate efforts to prevent offenses, usually as reflected in the presence of substantial corporate law compliance programs, is considered in determining whether corporations should be charged with of- fenses undertaken by employees for corporate gain and, if they are so charged and convicted, in determining what sorts of penalties and compelled reforms the corporations should bear.

This is a preview of subscription content, log in via an institution.

Chapter
USD   29.95
Price excludes VAT (USA)
  • Available as PDF
  • Read on any device
  • Instant download
  • Own it forever
eBook
USD   129.00
Price excludes VAT (USA)
  • Available as PDF
  • Read on any device
  • Instant download
  • Own it forever
Softcover Book
USD   169.99
Price excludes VAT (USA)
  • Compact, lightweight edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info
Hardcover Book
USD   169.99
Price excludes VAT (USA)
  • Durable hardcover edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info

Tax calculation will be finalised at checkout

Purchases are for personal use only

Learn about institutional subscriptions

Preview

Unable to display preview. Download preview PDF.

Unable to display preview. Download preview PDF.

References

  • Advisory Group on the Organizational Sentencing Guidelines, United States Sentencing Commission (2003) Final Report. Washington: Sentencing Commission (available at http://www.ussc.gov/corp/advgrprpt/advgrprpt.htm).

    Google Scholar 

  • Alexander, Cindy R., Jennifer H. Arien, and Mark Cohen ( 1999a) “The Effect of Federal Sentencing Guidelines on Penalties for Public Corporations.” Federal Sentencing Reporter 12:20.

    Google Scholar 

  • Alexander, Cindy R., Jennifer H. Arlen, and Mark A. Cohen (1999b) “Regulating Corporate Criminal Sanctions: Federal Guidelines and the Sentencing of Public Finns.” J. of Law & Economics 42:393.

    Article  Google Scholar 

  • Alschuler, Alan (1992) “Ancient Law and the Punishment of Corporations: Of Frankpledge and Deodand.” B.U. L. Rev. 71:307, 312.

    Google Scholar 

  • Arkin, Stanley S. (1991) “Corporate Sentencing Guidelines.” New York Law Journal, June 13, p. 3.

    Google Scholar 

  • Black, Donald (1980) The Manners and Customs of the Police. Orlando: Academic Press.

    Google Scholar 

  • Braithwaite, John (1984) Corporate Crime in the Pharmaceutical Industry. London: Routledge and Kegan Paul.

    Google Scholar 

  • Braithwaite, John (1982) “Enforced S elf-Regulation: A New Strategy for Corporate Crime Control.” Michigan Law Rev. 80:1466.

    Article  Google Scholar 

  • Braithwaite, John, and Gilbert Geis (1982) “On Theory and Action for Corporate Crime Control.” Crime and Delinquency 28:292.

    Article  Google Scholar 

  • Brown, H. Lowell (1995) “Vicarious Criminal Liability of Corporations for the Acts of Their Employees and Agents.” Loyola Law Rev. 41:279.

    Google Scholar 

  • Bucy, Pamela H. (1991) “Corporate Ethos: A S tandard for Imposing Corporate Criminal Liability.” Minnesota Law Rev. 75:1095.

    Google Scholar 

  • Cohen, Mark A. (1996) “Theories of Punishment and Empirical Trends in Corporate Criminal Sanctions.” Managerial and Decision Economics 17:399.

    Article  Google Scholar 

  • Cohen, Mark A. (1991) “Corporate Crime and Punishment: An Update on Sentencing Practice in the Federal Courts, 1988–90.” Boston University Law Rev. 71:247.

    Google Scholar 

  • Coffee, John C.(1981) “’No Soul to Damn: No Body to Kick’: An Unscandalizedinquiry into the Problem of Corporate Punishment.” Michigan Law Rev. 79:356.

    Article  Google Scholar 

  • DiMento, Joseph F.C., Gilbert Geis, and Julia M. Gelfand (2001) “Corporate Criminal Liability: A Bibliography.” Western State University Law Rev. 28:1.

    Google Scholar 

  • Fisse, Brent (1983) “Reconstructing Corporate Criminal Law: Deterrence, Retribution, Fault and Sanctions.” Southern California Law Rev. 56:1141.

    Google Scholar 

  • Fiorelli, Paul E. (1992) “Fine Reductions Through Effective Ethics Programs.” Alabama Law Rev. 56:403.

    Google Scholar 

  • Foerschler, Ann (1990) “Corporate Criminal Intent: Toward a Better Understanding of Corporate Misconduct.” California Law Rev. 18:1287.

    Article  Google Scholar 

  • French, Peter (1984) Collective and Corporate Responsibility. New York: Columbia University Press.

    Google Scholar 

  • Goldsmith, Michael and Chad W. King (1997) “Policing Corporate Crime: The Dilemma of Internal Compliance Programs.” Vanderbilt Law Rev. 50:1.

    Google Scholar 

  • Gruner, Richard (2004) Corporate Criminal Liability and Prevention. New York: Law Journal Press.

    Google Scholar 

  • Gruner, Richard S. (2000) “How Compliance Program’s Fail: Lessons from the Con Edison Probation Sentence.” PL1/CORP 1177:495.

    Google Scholar 

  • Gruner, Richard S. (1994) “Towards an Organizational Jurisprudence: Transforming Corporate Criminal Law Through Federal Sentencing Reform.” Arizona Law Rev. 36:407.

    Google Scholar 

  • Gruner, Richard S. (1992) “Just Punishment and Adequate Deterrence for Organizational Misconduct: Scaling Economic Penalties Under the New Corporate Sentencing Guidelines.” Southern California Law Rev. 66:225.

    Google Scholar 

  • Gruner, Richard S., and Louis M. Brown (1996) “Organizational Justice: Recognizing and Rewarding the Good Citizen Corporation.” J. of Corporate Law 21:731.

    Google Scholar 

  • ICR Haulage Ltd. (1944) 30 Cr. App. Rep. 31.

    Google Scholar 

  • Jordan, Kirk S., and Joseph E. Murphy (2000) “Compliance Programs: What the Government Really Wants.” PLI/CORP 1177:529.

    Google Scholar 

  • Kaplan, Jeffrey M., Joseph E. Murphy and Winthrop M. Swenson, eds. (1998) Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability. St. Paul: West Group.

    Google Scholar 

  • Kent and Sussex Contractors, Ltd. (1944) K.B. 146, 155–156.

    Google Scholar 

  • Laufer, William (1999) “Corporate Liability, Risk Shifting, and the Paradox of Compliance.” Vanderbilt Law Rev. 52:1343.

    Google Scholar 

  • Laufer, William (1994) “Corporate Bodies and Guilty Minds.” Emory Law J. 43:647.

    Google Scholar 

  • Lederman, Eliezer (1985) “Criminal Law, Perpetrator and Corporation: Rethinking a Complex Triangle.” J. Crim. Law 76:285.

    Article  Google Scholar 

  • Moore, Jennifer (1992) Corporate Culpability Under the Federal Sentencing Guidelines.” Ariz. L. Rev. 34:743.

    Google Scholar 

  • Moore v. Bresler (1944) 2 All ER 515.

    Google Scholar 

  • Mueller, Gerhard (1957) “Mens Rea and the Corporation.” U. Pitt. L. Rev. 19:21.

    Google Scholar 

  • Murphy, Diana E. (2002) “The Federal Sentencing Guidelines for Organizations: A Decade of Promoting Compliance and Ethics.” Iowa Law Rev. 87:697.

    Google Scholar 

  • Nagel, Ilene H., and Winthrop M. Swenson (1993) “The Federal Sentencing Guidelines for Corporations: Their Development, Theoretical Underpinnings, and Some Thoughts About Their Future.” Washington University Law Quarterly 71:205.

    Google Scholar 

  • New South Wales (NSW) Law Reform Commission (2003) Report 102: Sentencing: Corporate Offenders. New South Wales: Law Reform Commission.

    Google Scholar 

  • Obermaier, Otto (1992) “Drafting Companies to Fight Crime” New York Times, May 24, p. C11.

    Google Scholar 

  • Obermaier, Otto (1991) “A Practical Partnership.” National Law Journal, November 11, p. 13.

    Google Scholar 

  • Office of the Inspector General, United States Department of Health and Human Services (2005) “Compliance Program Guidance,” www.oig.hhs.gov/fraud/ complianceguidance.html.

    Google Scholar 

  • Parker, Jeffrey S. (1993) “Rules Without…: Some Critical Reflections on the Federal Corporate Sentencing Guidelines.” Washington University Law Quarterly 71:397.

    Google Scholar 

  • Peikin, Steven R. (2005) “Deferred Prosecution Agreements: Standard for Corporate Probes.” New York Law Journal, Jan. 31, p. 4.

    Google Scholar 

  • Rakoff, Jed S. (1992) “The Corporation as Policeman: At What Price?” New York Law Journal, Jan 9, p. 3.

    Google Scholar 

  • Sigler, Jay, and Joseph E. Murphy (1991) “Corporate Conduct in the 1990s.” In Corporate Lawbreaking and Interactive Compliance, Editors Jay A. Sigler and Joseph E. Murphy. New York: Quorum Books.

    Google Scholar 

  • Tesco Supermarkets Ltd. v. Nattrass (1971) 2 W.L.R. 1166, 1196.

    Google Scholar 

  • United States Department of Justice (2003) Principles of Federal Prosecution of Business Organizations (Jan. 20, 2003), http://www.usdoj.gov/dag/cftf/corporate_guidelines.htm (memorandum from Larry D. Thompson, Deputy Attorney General, to Heads of Department Components and United States Attorneys).

    Google Scholar 

  • United States Environmental Protection Agency (1995) “Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations.” Fed. Reg. 60:66706 (Dec. 22, 1995).

    Google Scholar 

  • United States Sentencing Commission (1995) Corporate Crime in America: Strengthening the “Good Citizen” Corporation: Proceedings of the Second Symposium on Crime and Punishment in the United States. Washington: United States Sentencing Commission (available at www.ussc.gov/sympo/wcsympo.pdf)

    Google Scholar 

  • United States Sentencing Commission (2004) Sentencing Guidelines Manual. Washington: Sentencing Commission.

    Google Scholar 

  • Webb, Dan K., and Steven F. Molo, “Some Practical Considerations in Developing Effective Compliance Programs: A Framework for Meeting the Requirements of The Sentencing Guidelines.” Washington University Law Quarterly 375:71.

    Google Scholar 

  • Wells, Celia (2001) Corporations and Criminal Responsibility. Oxford: Oxford University Press.

    Google Scholar 

  • Wells, Celia (2001) “Corporate Criminal Developments in Europe.” Law Society J. 39(7):62.

    Google Scholar 

  • Weintraub, Benson B., and Alan J. Chaset (1992) “Federal Sentencing Guidelines for Organizations.” The Champion, May, p. 4.

    Google Scholar 

  • Ziegenhagen, Eduard A., and Dolores Brosnan (1991) “Citizen Orientations Toward State and Non-State Policing.rd Law & Policy 13:245.

    Article  Google Scholar 

  • Zornow, David M., and Benjamin B. Klubes (1992) “The New Organizational Sentencing Guidelines.” American Lawyer, March, p. 8.

    Google Scholar 

Download references

Author information

Authors and Affiliations

  1. Whittier Law School, Costa Mesa, California

    Richard S. Gruner (Professor of Law)

Authors
  1. Richard S. Gruner
    View author publications

    You can also search for this author in PubMed Google Scholar

Editor information

Editors and Affiliations

  1. Department of Criminology, Law and Society School of Social Ecology, University of California, Irvine, Irvine, CA, 92697-7080, USA

    Henry N. Pontell  & Gilbert Geis  & 

Rights and permissions

Reprints and permissions

Copyright information

© 2007 Springer Science+Business Media, LLC

About this chapter

Cite this chapter

Gruner, R.S. (2007). Preventive Fault and Corporate Criminal Liability: Transforming Corporate Organizations into Private Policing Entities. In: Pontell, H.N., Geis, G. (eds) International Handbook of White-Collar and Corporate Crime. Springer, Boston, MA. https://doi.org/10.1007/978-0-387-34111-8_13

Download citation

Publish with us

Policies and ethics

Search

Navigation