Non-trial resolutions, often referred to as settlements, have been the predominant means of enforcing foreign bribery and other related offences since the entry into force of the OECD Anti-Bribery Convention 20 years ago. This flyer presents the main findings of a study by the OECD on both the main features of non-trial resolutions and their use to resolve foreign bribery cases.

1. Resolving foreign bribery cases with
non-trial resolutions
Non-trial resolutions, also referred to as settlements,
have been the predominant means of enforcing foreign
bribery and other related offences since the entry into
force of the Anti-Bribery Convention 20 years ago.
The last decade has seen a steady increase in the use of
coordinated multi-jurisdictional non-trial resolutions,
which have permitted the highest global amount of
combined financial penalties in foreign bribery cases. To
date, in the countries Parties to the Convention, close to
80% of the foreign bribery cases have been concluded
through non-trial resolutions.
Non-trial resolutions are generally viewed as a pragmatic
and efficient way to resolve cases that would otherwise
require tremendous time and resources to investigate and
prosecute before reaching a court. Advocates for non-trial
resolutions argue that their compromising rather than
adversarial nature constitutes an incentive for wrongdoers
to self-report to prosecutors and increases the prospects
of corporate governance reforms. However, these
mechanisms also present legal, institutional and
procedural challenges. Some experts question their ability
to fairly and effectively deliver justice. Questions of
transparency, the deterrence of sanctions and oversight
generally are at the heart of these concerns.
Resolving Foreign Bribery Cases with Non-Trial Resolutions
is the first cross-country examination of the different types
of resolutions that can be used to resolve foreign bribery
cases. Covering 27 of the 44 Parties to the Anti-Bribery
Convention, the Study documents the non-trial resolution
mechanisms available to resolve foreign bribery cases with
individuals and/or legal persons with the imposition of
sanctions and/or confiscation.
Settlements and non-
trial agreements by
Parties to the Anti-
Bribery Convention

2.  All 27 countries in the Study have a least one non-trial
resolution system to resolve a foreign bribery case and 74%
of them have several applicable systems.
 68 resolution systems are available across the 27 countries
in the Study: 13 for legal persons, 16 for natural persons,
and 39 for both. This means a total of 52 systems for legal
persons and 55 systems for natural persons.
 Close to 80% of the almost 900 foreign bribery cases
successfully concluded over the 20 years since the Anti-
Bribery Convention came into force have been concluded
through non-trial resolutions.
 In the United States, one of the three biggest enforcers of
the foreign bribery offence along with Germany and the
United Kingdom, the percentage rises to 96%.
 Of the 23 enforcing countries Party to the Anti-Bribery
Convention, 15 have used a non-trial resolution mechanism
at least once to resolve a foreign bribery case with either a
legal or a natural person or both. For some of these
countries, non-trial resolutions provided the means to
obtain their first-ever foreign bribery resolution or the only
means for imposing corporate liability for foreign bribery
offences.
 A key feature of all non-trial resolution systems is the
potential for a reduced sanction but stark differences exist
in the level of sanctions imposed in practice.
 Non-trial resolutions were responsible for approximately
95% of the USD 14.9 billion collected from legal persons
sanctioned to date.
 The use of coordinated multi-jurisdictional non-trial
resolutions has been on the rise over the past decade. This
mechanism has permitted the highest global amount of
combined financial penalties in foreign bribery cases. Eight
of the top ten largest foreign bribery enforcement actions
involved coordinated or sequential non-trial resolutions
with at least two Parties to the Convention.
Key
findings

3. 5
The increasing use of
non-trial resolutions to
resolve foreign bribery
cases
Chapter 1 explores what
non-trial resolutions
encompass and what has
made them the main
driver of enforcement.
Resolutions and related
proceedings
This chapter examines
the impact of resolutions
on related domestic and
foreign proceedings. It
looks at whether evidence
gathered in an
unconclusive non-trial
resolution process can be
used in a separate trial or
investigation, and if
concluded resolutions can
be used against other
natural or legal persons.
Taking stock of the
various forms of
resolutions used across
countries
This chapter examines the
68 resolution systems
available grouped under
five main forms.
Oversight of non-trial
resolutions and public
access
This chapter looks at judicial
and other oversight over each
type of resolution. It explores
in particular the level of court
involvement in the various
resolution systems and how
they can be appealed or
challenged.
The process towards the
adoption of a resolution
This chapter analyses the
procedures and conditions
to adopt a resolution, i.e.
when a resolution can be
reached, and which
authority can conclude a
resolution.
Terms and obligations
of both parties under
a resolution
This chapter addresses how
sanctions and confiscation
are imposed and provides
data on the amounts
imposed in practice.
Monitorship and other forms
of control over the
implementation of the terms
of resolutions are examined.
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4. About the Study
The Study builds a typology of the different forms of non-trial
resolutions and sheds light on the underlying dynamics of these
instruments, their effectiveness in fighting foreign bribery, as
well as the challenges that they raise for law enforcement
authorities, companies and the functioning of justice more
generally.
Particular areas of focus include the availability of guidance to
enter into such resolutions, the access to information once they
are concluded, the nature and level of sanctions imposed
through resolutions and whether they are sufficiently deterrent,
as well as the procedural guarantees and the judicial or other
reviews over these resolutions. The Study also assesses whether
and how certain resolution rules and practices enable a steadier
enforcement of foreign bribery offences, both at domestic and
multi-jurisdictional levels.
The Study was undertaken by the OECD Working Group on
Bribery in International Business Transactions. It relies on
governmental data gathered through both its rigorous country
monitoring process, and a comprehensive survey circulated to
all Parties to the Convention. It also relies on the OECD database
of concluded foreign bribery cases and specific case studies of
the most prominent multi-jurisdictional cases.
www.oecd.org/corruption