12345678910111213141516171819202122232425262728ANDRÉ BIROTTE JR.United States AttorneyDENNISE D. WILLETTAssistant United States AttorneyChief, Santa Ana Branch OfficeDOUGLAS F. McCORMICK (180415)Assistant United States Attorney411 West Fourth Street, Suite 8000Santa Ana, California 92701Telephone: (714) 338-3541Facsimile: (714) 338-3564E-mail: doug.mccormick@usdoj.gov KATHLEEN McGOVERN, Acting ChiefCHARLES G. LA BELLA, Deputy ChiefNATHANIEL B. EDMONDS, Assistant ChiefANDREW GENTIN, Trial AttorneyFraud SectionCriminal Division, U.S. Department of Justice1400 New York Avenue, N.W.Washington, DC 20005Telephone: (202) 353-3551Facsimile: (202) 514-0152E-mail: andrew.gentin@usdoj.gov Attorneys for PlaintiffUnited States of AmericaUNITED STATES DISTRICT COURTFOR THE CENTRAL DISTRICT OF CALIFORNIASOUTHERN DIVISIONUNITED STATES OF AMERICA,Plaintiff,v.STUART CARSON et al.,Defendants.)))))))))))NO. SA CR 09-00077-JVSGOVERNMENT’S OPPOSITION TODEFENDANTS’ AMENDED MOTION TODISMISS COUNTS ONE THROUGH TEN OFTHE INDICTMENT; MEMORANDUM OFPOINTS AND AUTHORITIESHearing Date & Time:May 9, 20113:00 p.m.Plaintiff United States of America, by and through itsattorneys of record, the United States Department of Justice,Criminal Division, Fraud Section, and the United States Attorneyfor the Central District of California (collectively, “the
Case 8:09-cr-00077-JVS Document 332 Filed 04/18/11 Page 1 of 59 Page ID #:3836
12345678910111213141516171819202122232425262728government”), hereby files its Opposition to Defendants’ AmendedMotion to Dismiss Counts One through Ten of the Indictment. Thegovernment’s Opposition is based upon the attached memorandum ofpoints and authorities, the declaration of Assistant UnitedStates Attorney Douglas F. McCormick and accompanying exhibits,the declaration of FBI Special Agent Brian Smith and accompanyingexhibits, the declaration of Clifton M. Johnson, the files andrecords in this matter, as well as any evidence or argumentpresented at any hearing on this matter.DATED: April 18, 2011Respectfully submitted,ANDRÉ BIROTTE JR.United States AttorneyDENNISE D. WILLETTAssistant United States AttorneyChief, Santa Ana Branch OfficeDOUGLAS F. McCORMICKAssistant United States AttorneyDeputy Chief, Santa Ana OfficeKATHLEEN McGOVERN, Acting ChiefCHARLES G. LA BELLA, Deputy ChiefNATHANIEL B. EDMONDS, Assistant ChiefANDREW GENTIN, Trial AttorneyFraud Section, Criminal DivisionUnited States Department of Justice/s/ DOUGLAS F. McCORMICKAssistant United States AttorneyAttorneys for PlaintiffUnited States of America2
Case 8:09-cr-00077-JVS Document 332 Filed 04/18/11 Page 2 of 59 Page ID #:3837
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TABLE OF CONTENTS
DESCRIPTIONPAGETABLE OF AUTHORITIES....................iii
MEMORANDUM OF POINTS AND AUTHORITIES
.............1
I.FACTUAL AND LEGAL BACKGROUND
...............1A.The Foreign Corrupt Practices Act..........1B.Elements of the FCPA................3C.The Indictment and the Relevant State Owned Entities4
II.LEGAL ARGUMENT
......................7A. Summary of Argument.................7B.The Defendants’ Motion Is Premature.........81.Legal Standard for a Motion to Dismiss.....92.The Foreign Officials Are Properly Alleged..113. The Determination Of What Qualifies As an AgencyOr Instrumentality Is a Fact-SpecificQuestion...................12C.Interpretations of Instrumentality MayInclude SOEs...................141.Statutory Construction Begins With the PlainMeaning...................152.Courts Should Interpret the FCPA Broadly...193.Courts Interpret Statutes to Give Meaning toAll Parts..................204.Agency and Instrumentality Should Be DefinedSimilarly In Similar Contexts........23(a)FSIA and EEA’s definition of ForeignGovernment Agency and InstrumentalityIncludes SOEs..............24(b)U.S. Instrumentalities DemonstrateThat Foreign Agencies andInstrumentalities Could IncludeSOEs..................265.Agency and Instrumentality Should Be InterpretedTo Comport with U.S. Treaty Obligations...28
Case 8:09-cr-00077-JVS Document 332 Filed 04/18/11 Page 3 of 59 Page ID #:3838
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