Our Services
Independent Monitoring
We serve as an independent compliance monitor or consultant to clients as part of their efforts to resolve a government settlement agreement.
Challenges
Government enforcement agencies are increasingly using pre-trial settlement agreements — in the form of non-prosecution or deferred prosecution agreements — to resolve instances of corporate wrongdoing. One of the goals of these agreements is to ensure that a company that has engaged in misconduct makes agreed-upon reforms to prevent future offenses. Whether those reforms are being effectively implemented can be the subject of reporting requirements between a company and the government, or subject to the opinion of an independent monitor that the government requires a company to appoint.
When required, an independent monitor can be a fair and neutral resource in helping to ensure a settlement agreement is being upheld. However, a monitor without the right experience and perspective can expose a company to activities that are arbitrary, wasteful and ineffective. This is why DOJ policy on selecting a monitor calls for the consideration of a proposed monitor’s:
Overall credentials and experience, including past experience as a monitor.
Experience and expertise with the particular area(s) at issue in the case under consideration.
Degree of objectivity and independence from the company.
Resources to carry out the monitor’s responsibilities.
Other factors based on the circumstances.
Benefits
We help clients who are seeking the following types of benefits:
Successful prior history of serving as a monitor with multiple agencies.
Credibility with the government on corporate compliance.
An approach that is reasonable, measured and cost-conscious.
A philosophy that is constructive, fair and balanced — and informed by actual in-house experience.
A strong network of relationships with other specialists and subject matter experts that can be leveraged, if needed.
Outcomes that are effective and defensible.