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RESOLUTIONS
What Are the Different Types of
Resolutions with DOJ?
Criminal Complaints, Informations, and Indictments
Charges against individuals and companies are
brought in three different ways under the Federal Rules of
Criminal Procedure: criminal complaints, criminal infor-
mations, and indictments.
DOJ may agree to resolve criminal FCPA mat-
ters against companies either through a declination or, in
appropriate cases, a negotiated resolution resulting in a plea
agreement, deferred prosecution agreement, or non-prose-
cution agreement. For individuals, a negotiated resolution
will generally take the form of a plea agreement, which may
include language regarding cooperation, or a non-prosecu-
tion cooperation agreement. When negotiated resolutions
cannot be reached with companies or individuals, the mat-
ter may proceed to trial.
Plea Agreements
Plea agreements—whether with companies or
individuals—are governed by Rule 11 of the Federal
Rules of Criminal Procedure. The defendant gener-
ally admits to the facts supporting the charges, admits
guilt, and is convicted of the charged crimes when the
plea agreement is presented to and accepted by a court.
Resolutions
The plea agreement may jointly recommend a sentence
or fine, jointly recommend an analysis under the USS.
Sentencing Guidelines, or leave such items open for
argument at the time of sentencing.
Deferred Prosecution Agreements
Under a deferred prosecution agreement, or a DPA
as it is commonly known, DOJ files a charging document
with the court,” but it simultaneously requests that the
prosecution be deferred, that is, postponed for the pur-
pose of allowing the company to demonstrate its good
conduct. DPAs generally require a defendant to agree to
pay a monetary penalty, waive the statute of limitations,
cooperate with the government, admit the relevant facts,
and enter into certain compliance and remediation com-
mitments, potentially including a corporate compliance
monitor. DPAs describe the company’s conduct, coopera-
tion, and remediation, if any, and provide a calculation of
the penalty pursuant to the US. Sentencing Guidelines.
In addition to being publicly filed, DOJ places all of its
DPAs on its website. If the company successfully com-
pletes the term of the agreement (typically two or three
years), DOJ will then move to dismiss the filed charges. A
company’s successful completion of a DPA is not treated
as a criminal conviction.
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