Page 58 - U.S. FOREIGN CORRUPT PRACTICES ACT

A Resource Guide to the U.S. Foreign Corrupt Practices Act. Second Edition.

Chapter 5
Guiding Principles
of Enforcement

GUIDING PRINCIPLES OF ENFORCEMENT

What Does DOJ Consider When adequate non-criminal alternative to prosecution
Deciding Whether to Open an exists. In assessing the existence of a substantial
Investigation or Bring Charges? federal interest, the prosecutor is advised to “weigh

Whether and how DOJ will commence, decline, all relevant considerations,” including the nature
or otherwise resolve an FCPA matter is guided by and seriousness of the offense; the deterrent
the Principles of Federal Prosecution in the case of effect of prosecution; the person’s culpability in
individuals, and the Principles of Federal Prosecution connection with the offense; the person’s history
of Business Organizations and FCPA Corporate with respect to criminal activity; the person’s
Enforcement Policy in the case of companies. willingness to cooperate in the investigation or
prosecution of others; and the probable sentence
DOJ Principles of Federal Prosecution or other consequences if the person is convicted.
The Principles of Federal Prosecution, set forth in The Principles of Federal Prosecution also set out

Chapter 9-27.000 of the Justice Manual, 295 provide the considerations to be weighed when deciding
guidance for DOJ prosecutors regarding initiating whether to enter into a plea agreement with an
or declining prosecution, selecting charges, and individual defendant, including the nature and
plea-bargaining. The Principles of Federal Prosecution seriousness of the offense and the person’s
provide that prosecutors should recommend or willingness to cooperate, as well as the desirability

commence federal prosecution if the putative of prompt and certain disposition of the case and
defendant’s conduct constitutes a federal offense the expense of trial and appeal. 296
and the admissible evidence will probably be
DOJ Principles of Federal Prosecution
sufficient to obtain and sustain a conviction unless:
(1) no substantial federal interest would be served of Business Organizations
by prosecution; (2) the person is subject to effective The Principles of Federal Prosecution of Business

prosecution in another jurisdiction; or (3) an Organizations, set forth in Chapter 9-28.000 of the
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