CORPORATE PROSECUTION REGISTRY

DATA DICTIONARY


VARIABLE APPLICABLE TO TYPE DESCRIPTION
ACCEPTS_RESPONSIBILITY DP/NP Boolean Indicates whether organization accepted responsibility. See "ACCEPTS_RESPONSIBILITY_DESC" for details.
ACCEPTS_RESPONSIBILITY_DESC DP/NP String Describes how the firm was credited with having accepted responsibility for the relevant crimes.
ADDITIONAL_REGULATORY_FINE_OR_PAYMENT DP/NP/plea/trial conviction Integer
AGREEMENT_LENGTH DP/NP Integer Length of agreement in months.
AGREEMENT_REQUIRED_NEW_POSITIONS DP/NP Boolean Indicates whether or not the agreement stated new positions be created at a firm, typically related to compliance. See "AGREEMENT_REQUIRED_NEW_POSITIONS_DESC" for details.
AGREEMENT_REQUIRED_NEW_POSITIONS_DESC DP/NP String Description of new positions to be created at a firm, typically related to compliance.
AGREEMENT_REQUIRED_OUTSIDE_AUDITORS_OR_EXPERTS DP/NP Boolean Indicates if the agreement required outisde auditors or experts. See "AGREEMENT_REQUIRED_OUTSIDE_AUDITORS_OR_EXPERTS_DESC" for details.
AGREEMENT_REQUIRED_OUTSIDE_AUDITORS_OR_EXPERTS_DESC DP/NP String Describes how firm must retain outsiders to examine books and records or to provide other assistance, typically in implementing compliance provisions.
CASE_ID All except NP String Case id as given in PACER. Takes the form of: 1:09-cr-12345
CASE_NAME acquittal/dismissal/DP/plea/trial conviction String Name of case (e.g. "U.S.A. v. Walmart").
CITATION_AND_DESCRIPTION DP/NP String Additional citation to the agreement and description of its contents
CIVIL_JUDGMENT_OR_SETTLEMENT DP/NP Boolean Indicates whether there was a civil judgment or settlement. See "CIVIL_JUDGMENT_OR_SETTLEMENT_AMT" and "CIVIL_JUDGMENT_OR_SETTLEMENT_DESC" for details.
CIVIL_JUDGMENT_OR_SETTLEMENT_AMT DP/NP Integer Amount of civil judgment or settlement.
CIVIL_JUDGMENT_OR_SETTLEMENT_DESC DP/NP String Description of civil judgment or settlement.
COMPANY All String Name of company.
COMMUNITY_SERVICE_OR_OTHER DP/NP/plea/trial conviction Integer Amount of community service or other punishment, in dollars.
COMPLIANCE_PROGRAM_DESC DP/NP String Description of compliance program.
COMPLIANCE_PROGRAM_REQUIRED_BY_AGREEMENT DP/NP Boolean Indicates if agreement required a compliance program.
COMPLIANCE_REQUIRED_BY_REGULATORS DP/NP Boolean Indicates if a regulatory agency required a compliance program.
COMPLIANCE_REQUIRED_BY_REGULATORS_DESC DP/NP String Description of compliance program required by regulators.
COUNTRY All String Country where company is headquartered. If a subsidiary, this indicates where the subsidiary is headquartered.
DATE All Date (YYYY-MM-DD) For deferred and non-prosecution agreements, this field reflects the date of the agreement. For acquittals, dismissals, plea agreements, and trial convictions this field reflects the date of the judgement or dismissal. For declinations, this field reflects the date of the declination.
DESCRIPTION_OF_PAYMENTS DP/NP String Additional description of the different types of payments required by the agreement.
DISPOSITION_TYPE All String Describes how the dispute with an organization was resolved. Can take on the following values: Acquittal, declination, dismissal, DP, NP, plea, trial convication.
DOJ_CAN_UNILATERALLY_TERMINATE DP/NP Boolean Indicates if the DOJ can unilaterally terminate the agreement. See "DOJ_CAN_UNILATERALLY_TERMINATE_DESC" for details.
DOJ_CAN_UNILATERALLY_TERMINATE_DESC DP/NP Describes the provision specifying that prosecutors can determine, without being subject to additional review, that a firm is in breach of an agreement, in which case the agreement is no longer effective and prosecutors have the option to proceed with a criminal prosecution.
FINANCIAL_INSTITUTION All Boolean Indicates whether or not a company is a financial insitution.
FINE DP/NP/plea/trial conviction Integer Amount of fine in U.S. dollars.
FINE_CALCULATION_INCLUDED DP/NP Boolean Indicates if the agreement included a fine calculation. See "FINE_CALCULATION_INCLUDED_DESC" for more details.
FINE_CALCULATION_INCLUDED_DESC DP/NP String Describes calculations under the U.S. Sentencing Guidelines for the fine amount.
FINE_DESCRIPTION DP/NP String Describes how fine was apportioned.
FORFEITURE_DISGORGEMENT DP/NP/plea/trial conviction Integer Amount of forfeiture and/or disgorgement in U.S. dollars.
INDEP_MONITOR_REQ DP/NP Boolean Indicates whether or not an independent monitor was required. See "INDEP_MONITOR_REQ_DESC" for more details.
INDEP_MONITOR_REQ_DESC DP/NP String Describes requirements that an independent actor be retained to supervise implementation of a compliance program.
JUDGMENT_DATE acquittal/dismissal/plea/trial conviction Date (YYYY-MM-DD) Date of judgment.
JURISDICTION All String The U.S. Attorney's Office(s) involved.
MONITOR_FORMER_PROSECUTOR DP/NP Boolean Indicates whether or not the monitor was a former prosecutor.
MONITOR_LENGTH DP/NP Integer Number of months agreement requires monitorship.
MONITOR_NAME DP/NP String Name of the monitor.
MONITOR_SELECTOR DP/NP String Describes who selected the monitor.
MUST_COMPORT_WITH_USSG_OR_AUDIT_COMPLIANCE DP/NP Boolean Indicates whether or not compliance programs by audited/assessed/review. See "MUST_COMPORT_WITH_USSG_OR_AUDIT_COMPLIANCE_DESC" for more details.
MUST_COMPORT_WITH_USSG_OR_AUDIT_COMPLIANCE_DESC DP/NP String Describes provisions in agreement requiring compliance programs be audited for their effectiveness or periodically assessed or reviewed.
NAICS All Integer Six digit integer describing the industry to which the company belongs. There is some degree of interpretation here so these may not always fit. More on NAICS codes can be found here
OTHER_AGREEMENT_REQUIRED_GOVERNANCE_CHANGES DP/NP Boolean Indicates presence of other required governance changes. See "OTHER_AGREEMENT_REQUIRED_GOVERNANCE_CHANGES_DESC" for more details.
OTHER_AGREEMENT_REQUIRED_GOVERNANCE_CHANGES_DESC DP/NP String Provides details on any parallel agreements involving the same conduct but with another enforcer who also imposes changes on a firm's governance, such as compliance program changes.
OTHER_COMPLIANCE_OFFICER_OR_CONSULTANT_REQUIRED DP/NP Boolean Indicates whether another compliance officer or consultant was required. See "OTHER_COMPLIANCE_OFFICER_OR_CONSULTANT_REQUIRED_DESC" for more details.
OTHER_COMPLIANCE_OFFICER_OR_CONSULTANT_REQUIRED_DESC DP/NP String Describes any requirement that the firm retain a compliance consult or create a position for a compliance officer that is not a third party or wholly independent monitor, but a person working as an agent of the firm tasked with compliance work.
PARALLEL_CIVIL_SUIT DP/NP Boolean Indicates presence of a private action filed against the firm arising from the same conduct.
PARALLEL_REGULATORY_ACTION_OR_LOCAL_PROSECUTOR DP/NP Boolean Indicates presence of parallel regulatory action or local prosecutor. See "PARALLEL_REGULATORY_ACTION_OR_LOCAL_PROSECUTOR_DESC" for details.
PARALLEL_REGULATORY_ACTION_OR_LOCAL_PROSECUTOR_DESC DP/NP String Describes any action filed by civil enforcement authorities or a state or local prosecutor arising from the same conduct.
PLEA_DATE plea Date (YYYY-MM-DD) Date of plea agreement.
PRE_AGREEMENT_COMPLIANCE DP/NP Boolean Indicates presence of pre-agreement compliance. See "PRE_AGREEMENT_COMPLIANCE_DESC" for details.
PRE_AGREEMENT_COMPLIANCE_DESC DP/NP String Description of pre-agreement compliance measures that the firm undertook.
PRIMARY_CRIME_CODE All String

Can take on the following values:

Accounting Fraud: Federal crimes relating to false statements or entries, such as under 18 U.S.C. § 1001 (a)(3).
Antitrust: Prosecutions brought under the Sherman Antitrust Act's criminal provisions.
Act to Prevent Pollution from Ships (APPS): Violations of the Act to Prevent Pollution from Ships (APPS), 33 U.S.C. §§ 1905-1915.
Bank Secrecy Act Prosecutors brought under the Bank Secrecy Act, including 18 U.S.C. § 5331-5332 regarding failure to file reports of financial transactions or lack of adequate controls to prevent money laundering.
Bribery Violations of federal bribery and gratuities statutes such as 18 U.S.C. § 201.
Controlled Substances These include violations of the Controlled Substances Act (CSA).
Environmental These include prosecutions brought under any of the range of federal environmental statutes, including the Clean Air Act, the Clear Water Act, the Resource Conversation and Recovery Act, and statutes regulating marine pollution, handling of hazardous waste, and others.

FCPA (Foreign Corrupt Practices Act) These include criminal prosecutions brought under the FCPA's bribery provisions and willful violations of the internal controls and books and records provisions, 15 U.S.C. §§ 78dd-1, et seq. A useful federal resource guide explaining these provisions is available at: https://www.justice.gov/sites/default/files/criminal-fraud/legacy/2015/01/16/guide.pdf
False Statements These include prosecutions for making false statements to federal authorities under statutes including 18 U.S.C. § 1001.
Firearms Violations of federal criminal firearms registration and sales statutes.
Food Criminal violations of federal food safety laws including for adulterating or misbranding under the Federal Food, Drug, and Cosmetic Act (FDCA).
Fraud These include mail fraud and wire fraud prosecutions brought under 18 U.S.C. § 1341 and 1343, as well as other fraud crimes, such as conspiracy to defraud the federal government, 18 U.S.C. §371. However, health care fraud, securities fraud, and tax fraud cases are listed separately.
Gambling Illegal gambling business under 18 U.S. Code § 1955 or violations of other federal gambling laws.
Health Care Fraud These include prosecutions brought under 18 U.S.C. § 1347.
Immigration These include prosecutions brought for violating immigration rules concerning employment of noncitizens and unlawful employment practices under 8 U.S.C. §1324a and b, as well as crimes concerning bringing in and harboring illegal aliens under 8 U.S.C. §1324.
Import / Export These include violations of U.S. customs regulations concerning imports and exports as well as violations of U.S. sanctions regarding international trade and financial transactions, including violations of the International Emergency Economic Powers Act (IEEPA).
Kickbacks Violation of the federal anti-kickback statutes, including 42 U.S. Code § 1320a-7b.
Money Laundering These include prosecutions brought under 18 U.S.C.§1956-1957 and under 18 U.S.C. §5324 regarding structuring transactions to evade reporting requirements.
Obstruction of Justice These include prosecutions brought under 18 U.S.C. § 1503 and companion statutes.
OSHA Workplace safety crimes, involving the willful violation of a worker safety standard in the Occupational Safety and Health Act, as well as other workplace safety statutes such as and the Federal Mine Safety and Health Act.
Other Additional federal crimes, of which there are many, that do not fall within the categories described here.
Pharmaceutical These include prosecutions brought under the Federal Food, Drug, and Cosmetic Act (FDCA) as well as anti-kickback and other related claims involving pharmaceutical sales and branding.
Securities Fraud These include prosecutions brought under 18 U.S.C. § 1348.
Tax Fraud These include prosecutions brought under 26 U.S.C. § 7201 and 7201 regarding attempted federal tax evasion and fraud and false statements to tax authorities.
Wildlife Prosecutions under wildlife conversation laws including under Endangered Species Act and the Lacey Act.
PRIVACY_WAIVER DP/NP Boolean Indicates presence of privacy waiver in agreement. See "PRIVACY_WAIVER_DESC" for more details.
PRIVACY_WAIVER_DESC DP/NP String Describes provisions regardings company's waiver of attorney client privilege or confidential communications.
PROBATION_LENGTH plea/trial conviction Integer Lenght of probation, in months.
REASONS_OR_RELEVANT_CONSIDERATIONS_FOR_LENIENCY DP/NP Boolean Indicates presence of reasons or relevant considerations in agreement. See "REASONS_OR_RELEVANT_CONSIDERATIONS_FOR_LENIENCY_DESC" for more details.
REASONS_OR_RELEVANT_CONSIDERATIONS_FOR_LENIENCY_DESC DP/NP String Describes why a deferred or non-prosecution agreement was entered with the firm.
REG_AGENCY DP/NP String Describes civil administrative agency involved in the resolution of the enforcement actions involving the same conduct.
REGULATORY_DISGORGEMENT_RESTITUTION_FORFEITURE DP/NP Integer Describes payments imposed by civil enforcers as disgorgement, or return of net proceeds from a crime, or a civil forfeiture of amounts related to a crime.
REGULATORY_FINE DP/NP Integer Amount of penalty imposed by civil enforcers.
RESTITUTION DP/NP/plea/trial conviction Integer Amount of restitution in U.S. dollars.
STATEMENT_OF_FACTS DP/NP Boolean Indicates presence of statement of facts in agreement. See "STATEMENT_OF_FACTS_DESC" for more details.
STATEMENT_OF_FACTS_DESC DP/NP String Describes if the agreement includes a statement detailing the events and activities leading to the criminal prosecution.
SWISS_BANK_PROGRAM DP/NP Boolean Indicates whether or not agreement was part of the DOJ's Swiss Bank Program.
TICKER All String Ticker symbol for company, if public.
TOTAL_PAYMENT DP/NP/plea/trial conviction Integer Sum of fine, forfeiture, restitution, etc. amounts.
TOTAL_REGULATORY DP/NP Integer The total payment to civil enforcers by the firm.
UNRELATED_TERMS DP/NP Boolean Indicates presence of unrelated terms. See "UNRELATED_TERMS_DESC" for description.
UNRELATED_TERMS_DESC DP/NP String Describes whether any terms in the agreement not relate to the criminal activity itself or a penalty for engaging in that activity, but instead imposed an additional consequences on the firm not designed to remediate that criminal activity or compensation victims.
US_PUBLIC_CO All Boolean Indicates whether or not entity was a U.S. public company.