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2020-111 – Number of DPAs

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Date Answered: 19 August 2020

The total number of Deferred Prosecution Agreements (DPAs) you have arranged since the inception of the programme till date.

The Serious Fraud Office (SFO) has entered into eight DPAs since they were introduced on 24 February 2014.

Could you also provide a list of the entities that have been put under this arrangement from inception till date and the reason why each entity has been placed under the arrangement.

A DPA is an agreement between a designated prosecutor and an organisation which is subject to court approval. In order to grant approval, the court must be satisfied that a DPA is in the interests of justice and that its terms are fair, reasonable and proportionate. Additionally, a declaration to this effect is required and the court must give reasons.

Further information on DPAs and their use by the SFO can be found here.

In practice, the court has provided a written judgment in relation to every DPA to date. It follows that you will find the court’s reasons for approving each DPA in the relevant judgment. In addition, these comments are summarised in the ‘In Consideration Of’ section of the DPAs. Links to the judgment documents and DPAs are provided in the below table.

Table One

Organisation

Link

Standard Bank PLC (Standard Bank)

Final judgment:

https://www.judiciary.uk/wp-content/uploads/2015/11/sfo-v-standard-bank_Final_1.pdf

 

DPA:

https://www.sfo.gov.uk/download/deferred-prosecution-agreement-sfo-v-icbc-sb-plc/?wpdmdl=7600

 

Sarclad Ltd. (Sarclad)

Final judgment: https://www.sfo.gov.uk/download/sarclad-ltd-and-sfo-deferred-prosecution-agreement-judgment/

 

DPA:

https://www.sfo.gov.uk/2016/07/08/sfo-secures-second-dpa/

Rolls-Royce PLC (Rolls-Royce)

Final judgment:

https://www.judiciary.uk/wp-content/uploads/2017/01/sfo-v-rolls-royce.pdf

 

DPA:

https://www.sfo.gov.uk/download/deferred-prosecution-agreement-sfo-v-rolls-royce-plc/?wpdmdl=14777&refresh=5f60bb621b6751600174946

 

Tesco Stores Ltd (Tesco)

Final judgment:

https://www.judiciary.uk/wp-content/uploads/2019/01/sfo-v-tesco-stores-ltd-2017-approved-final.pdf

 

DPA:

https://www.sfo.gov.uk/download/deferred-prosecution-agreement-sfo-v-tesco-stores-ltd/

 

Serco Geografix Ltd (SGL)

Final judgment:

https://www.judiciary.uk/wp-content/uploads/2019/07/serco-dpa-4.07.19-2.pdf

 

DPA:

https://www.sfo.gov.uk/download/deferred-prosecution-agreement-serco-geografix-ltd-sfo/

 

Güralp Systems Ltd (Güralp)

Final judgment and DPA: https://www.sfo.gov.uk/download/deferred-prosecution-agreement-statement-of-facts-approved-judgment-sfo-v-guralp-systems-ltd/

Airbus SE (Airbus)

Final judgment and DPA: https://www.sfo.gov.uk/download/airbus-se-deferred-prosecution-agreement-statement-of-facts/

 

G4S Care & Justice Services (UK) Ltd. (G4S C&J)

Final judgment and DPA:

https://www.judiciary.uk/judgments/sfo-v-g4s/

 

 Please also provide information relating to entities that have successfully complied with the arrangement and when.

Table Two

Organisation

Date

Link

Standard Bank

The terms of the DPA were met and the DPA concluded on 30 November 2018.

Details of Compliance:

https://www.sfo.gov.uk/download/serious-fraud-office-and-standard-bank-plc-details-of-compliance/

Sarclad

The terms of the DPA were met and the DPA concluded on 16 July 2019.

Details of Compliance:

https://www.sfo.gov.uk/download/serious-fraud-office-and-sarclad-ltd-deferred-prosecution-agreement-details-of-compliance/

 

Rolls-Royce

The DPA will be in force until the earlier of:

a. 17 January 2022; and

b. a date after 17 January 2021 on which the SFO, following a reasonable request from Rolls-Royce, confirms in writing to Rolls-Royce that the DPA has concluded.

 

DPA: https://www.sfo.gov.uk/download/deferred-prosecution-agreement-sfo-v-rolls-royce-plc/?wpdmdl=14777&refresh=5f5b5ea861f5a1599823528

Tesco

The terms of the DPA were met and on 7 April 2020, the SFO served a Notice of Discontinuance on the Court.

The three-year term of the DPA came to end on 10 April 2020.

 

Notice of DPA Discontinuance:

https://www.sfo.gov.uk/download/notice-of-dpa-discontinuance/

SGL

The three year term of the DPA will end on 4 July 2022.

 

The terms of the DPA are provided in link in Table One.

 

Güralp

The three year term of the DPA will end on 22 October 2024.

 

The terms of the DPA are provided in link in Table One.

 

Airbus

The three year term of the DPA will end 31 January 2023.

 

The terms of the DPA are provided in link in Table One.

 

G4S C&J

The three year term of the DPA will end 17 July 2023.

The terms of the DPA are provided in link in Table One.

 And finally, could you please provide a list of the fines imposed on all entities this arrangement has been offered.

Table Three

Organisation

Financial Penalty

Compensation

SFO Costs

Disgorgement of Profits

Standard Bank

US$16,800,000

 

US$ 6,000,000

Plus interest of US$ 1,046,196.58

 

£330,000

US$ 8,400,000

 

Sarclad

£352,000

N/A

N/A

£6,201,085

 

Rolls-Royce

£239,082,645

 

N/A

£13,000,000

 

£258,170,000

Tesco

£128,992,500

N/A

 

£3,069,951

N/A

SGL

£19,200,000

£12,800,0001

 

£3,723,679

£12,800,0002

 

Güralp

N/A

N/A

 

N/A

£2,069,861

Airbus

€398,034,571

N/A

 

€6,989,401

€585,939,740

G4S C&J

£38,513,277

£21,396,2653

 

£5,952,711

£21,396,2654

The SFO and SGL further agreed that Serco Group’s 2013 payment of £20 million, approximately £13.1 million of which addressed the time period described in the Indictment, shall be credited against that compensation amount, and that therefore no additional compensation for the offences alleged in the Indictment shall be sought from or paid by SGL or Serco Group to the MoJ.

The 2013 Settlement Agreement payment also represents disgorgement of Serco’s profits. Therefore no additional disgorgement based on the offences alleged in the Indictment shall be sought from or paid by SGL, Serco Group, or their affiliates.

The SFO and G4S C&J agree that G4S C&J’s 2014 payment of £22,115,505 shall be credited against that compensation amount, and that therefore no additional compensation for the offences alleged in the Indictment shall be sought from G4S C&J or paid by G4S C&J to the MoJ.

The SFO and G4S C&J agreed that G4S C&J’s 2014 payment of £22,115,505 shall be credited against that disgorgement amount, and that therefore no additional disgorgement based on the offences alleged in the Indictment shall be sought from or paid by G4S C&J.