Page 83 - U.S. FOREIGN CORRUPT PRACTICES ACT

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

Chapter 7
Resolutions

RESOLUTIONS

What Are the Different Types of Federal Rules of Criminal Procedure. The defendant
Resolutions with DOJ? generally admits to the facts supporting the charges,
admits guilt, and is convicted of the charged crimes
Criminal Complaints, Informations, and when the plea agreement is presented to and
Indictments accepted by a court.
Charges against individuals and companies are The plea agreement may jointly recommend
brought in three different ways under the Federal a sentence or fine, jointly recommend an analysis

Rules of Criminal Procedure: criminal complaints, under the U.S. Sentencing Guidelines, or leave such
criminal informations, and indictments. items open for argument at the time of sentencing.
DOJ may agree to resolve criminal FCPA matters
against companies either through a declination Deferred Prosecution Agreements
Under a deferred prosecution agreement, or a
or, in appropriate cases, a negotiated resolution
resulting in a plea agreement, deferred prosecution DPA as it is commonly known, DOJ files a charging
document with the court, 405 but it simultaneously
agreement, or non-prosecution agreement. For
individuals, a negotiated resolution will generally requests that the prosecution be deferred, that is,
postponed for the purpose of allowing the company
take the form of a plea agreement, which may
include language regarding cooperation, or a to demonstrate its good conduct. DPAs generally
require a defendant to agree to pay a monetary
non-prosecution cooperation agreement. When
negotiated resolutions cannot be reached with penalty, waive the statute of limitations, cooperate
with the government, admit the relevant facts, and
companies or individuals, the matter may proceed
to trial. enter into certain compliance and remediation
commitments, potentially including a corporate

Plea Agreements compliance monitor. DPAs describe the company’s
Plea agreements—whether with companies conduct, cooperation, and remediation, if any,
or individuals—are governed by Rule 11 of the and provide a calculation of the penalty pursuant
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