4.1 United States

DPAs in the US can be agreed with the DoJ in respect of criminal liability, or with the Securities and Exchange Commission (“SEC”) in respect of civil liability.1 Though the DoJ has various divisions spanning both criminal and civil liability, and its guidance on DPAs (Sections 4.1.1 and 4.1.2) provides for civil use,2 use of DPAs is focussed almost entirely on criminal cases. Unlike the UK, DPAs can be agreed with individuals as well as corporations. In order to assess the availability of DPAs for individuals implicated in corporate crime and/or the impact of corporate DPAs on individual defendants in the US, DPA use within the criminal context must first be explored alongside a brief history of the provision (with a focus on the position of individuals).