Appendix F: FCPA Enforcement Statistics (1998-2010)

• Author: Miriam Weismann
• Pages: 315-333

315

A F

U.S. Self-Reported FCPA Enforcement Statistics to the OECD (1998-

2010), as reported in RESPONSE OF THE UNITED STATES QUESTIONS

CONCERNING PHASE 3 OECD WORKING GROUP ON BRIBERY MAY 3,

2010 (Appendix B)

The charts in this report will display as “Appendix B”

Sour ce: http://ww w.justice.gov/crim inal/fraud/fcpa/docs /response3-appx-b.pd f

wei85073_16_apF_p315-334.indd 315wei85073_16_apF_p315-334.indd 315 4/9/12 1:34 PM4/9/12 1:34 PM

316 Appendix F

APPENDIX B – CHART 1A

FCPA Criminal Enforcement Statistics (1998-2010)

Natural Persons

Prosecutions of Natural Persons

Total No.

Charged1

No. Charged

with: 2

Pending as of end

of calendar year 3

Discontinued

without

Sanctions

4

Guilty Pleas

Trial Convictions Acquittals No. Sentenced

Year FB AM ML FB AM ML FB AM ML FB AM ML FB AM ML FB AM ML FB AM ML

1998 4 4 0 0 7 1 2 0 0 0 2 0 0 1 0 0 0 0 0 0 0 0

1999 1 1 0 0 4 1 2 0 0 0 1 0 0 0 0 0 0 0 0 4 0 0

2000 0 0 0 0 4 1 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

2001 7 6 2 0 10 2 2 0 0 0 3 2 0 0 0 0 0 0 0 0 1 0

2002 4 4 0 0 11 2 2 0 0 0 3 0 0 1 0 0 0 0 0 4 0 0

2003 4 4 0 3 15 2 5 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0

2004 2 0 2 0 14 4 5 0 0 0 2 0 2 2 0 0 0 0 0 0 0 0

2005 5 5 0 3 19 2 8 0 0 0 0 0 0 0 0 0 0 2 0 2 0 0

2006 4 3 1 1 21 3 9 0 0 0 4 1 0 0 0 0 0 0 0 1 0 0

2007 9 9 0 6 28 2 15 0 0 0 5 0 2 0 0 0 0 0 0 2 1 0

2008 12 12 1 5 30 3 18 1 0 1 4 0 0 0 0 0 0 0 0 7 0 1

2009 44 40 0 33 70 3 51 0 0 0 9 0 5 4 0 4 0 0 0 3 0 2

201055

3 1 3 62 4 45 0 0 0 8 2 6 0 0 0 0 0 0 11 0 9

Total 101 91 7 54 -- -- -- 1 0 1 42 5 15 8 0 4 0 2 0 34 2 12

1 In this column, each natural person was only counted once, so the numbers represent the actual number of natural persons charged with FCPA violations in each year.

2 For the purposes of this chart, the Department counted a natural person in each applicable column according to the conduct with which the defendant was charged. For instance, if a

defendant was charged with both foreign bribery (FB) and foreign bribery related accounting misconduct (AM), the person was counted in both the applicable FB and AM columns.

3 For the purposes of this column, cases were deemed to still be pending if any of the following was true: (1) the defendant was charged, but not yet convicted; (2) the defendant was

convicted, but not yet sentenced; (3) the defendant was sentenced, but had filed an appeal, which was still open; or, (4) the defendant was a fugitive, as of the end of the calendar year.

4 Since 1998, there has not been a case in which the Department discontinued the prosecution of a natural person for foreign bribery or a related offense while imposing sanctions.

Therefore, this category was excluded from this table.

5 For 2010, the numbers in this chart are current through September 30, 2010.

wei85073_16_apF_p315-334.indd 316wei85073_16_apF_p315-334.indd 316 4/9/12 1:34 PM4/9/12 1:34 PM