Guidance: SFO Cooperation Guidance

This guidance outlines the SFO’s key considerations under the public interest stage of the Full Code Test for Crown Prosecutors[1] when deciding whether or not to charge a corporate or invite it to Deferred Prosecution Agreement (“DPA”) negotiations.[2] It is supplementary to, and should be read alongside, the DPA Code of Practice[3] and Joint SFO-CPS Corporate Prosecution Guidance.[4]

Each case will turn on its own facts, but a factor which always weighs heavily in favour of a DPA over prosecution is a prompt self-report. If a corporate self-reports promptly to the SFO and co-operates fully, we will invite it to negotiate a DPA rather than prosecute unless exceptional circumstances apply.

We will consider inviting to DPA negotiations a corporate that has not self-reported if it has provided exemplary co-operation with our investigation (see examples at paragraph 23).

Contact a self-reporting corporate within 48 business hours of a self-report or other initial contact.

Inform a corporate promptly if we think another agency would be better placed to receive the referral and in the event of multi-agency interest, work proactively with the other agencies to identify who is best placed to take the referral forward.

Regularly update a self-reporting corporate throughout the process.

Decide whether or not the SFO will open an investigation within six months of a self-report.

Conclude our investigation within a reasonably prompt time frame.

Wherever possible, conclude DPA negotiations within six months of an invitation to negotiate being accepted.

Whether, when and how a corporate self-reports suspected offending is a key consideration when assessing the public interest in favour of a DPA.[5]