Das hier abrufbare Non Prosecution Agreement (NPA) aus dem Verfahren Department of Justice v. Universal gibt nicht nur ein Verständnis, was es mit einem NPA auf sich haben und wie es ausgestaltet werden kann, sondern es gibt auch nützliche Hinweise bzw. Empfehlungen, wie im Hinblick auf den allgegenwärtigen Foreign Corrupt Practices Act das Compliance Management eines Unternehmens ausländische Geschäftsbeziehungen „FCPA-verträglich“ managen kann: NPA Universal
August, 2010 the DOJ announced an enforcement action involving Universal Corporation. As reported by the FCPA Professor, Universal took specific remedial steps during the pendency of its FCPA investigation process which were incorporated into the company’s DPA as a best-practices going forward. As reported in its Non-Prosecution Agreement, one of the steps implemented by Universal involved the creation of a Compliance Committee comprised of the Chief Financial Officer; General Counsel; Head of Internal Audit; Treasurer; Controller and the Principle Sales Director, which m eets on a monthly basis to review and evaluate Universal’s compliance programs and training. Universal also revised and enhanced its payment approval policy which now requires an ‚approving officer‘ to review all supporting documentation for a payment and to understand the purpose of the payment prior to approval. The ‚approving officer‘ must certify that he or she has reviewed the existing documentation and obtained an understanding of the legitimate business purpose of the payment. The policy also requires that employees investigate any questionable payments and determine that they are legal, legitimate, and appropriate prior to approving the payment. Lastly Universal, created the position of “Relationship Officer” who was specifically tasked with managing the foreign business partner relationship both pre and post contract signing.
