Monitorships

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Monitorships

Serving as government-appointed independent compliance monitors and providing trusted guidance to clients on monitor-related compliance matters.

WilmerHale’s practical and efficient approach to monitorships is built upon our deep understanding of the process, informed by our experience serving as an independent monitor under varied circumstances as well as our experience counseling multinational companies that are subject to independent compliance monitorships, and our broad experience helping companies of various sizes across industries build effective compliance programs. WilmerHale is currently leading one active US Department of Justice (DOJ) monitorship and was previously the only law firm leading two separate DOJ monitorships while simultaneously serving as lead counsel for two companies under active DOJ monitorships. 

Our lawyers have served as DOJ and US Securities and Exchange Commission (SEC) appointed independent compliance monitors for two healthcare companies. These multi-year monitorships involve numerous rounds of review and regular reporting to the DOJ and SEC. In addition to our active federal monitorships, we regularly represent companies under monitorships working to build successful compliance programs while minimizing the burdens and inefficiencies of the monitorship process and advocating for our clients’ interests in successfully completing monitorships in a timely manner.

Indeed, a number of our partners have experience in selecting and interacting with monitors in the financial services, accounting, manufacturing, construction and other sectors. Our experience as insiders in the monitorship process from every perspective allows our team to approach monitorships with a strong understanding of what is required and enables us to execute efficient, successful monitorships.

Our approach to monitorships and compliance enhancements typically includes gathering information concerning business operations, assessing a company’s commitment to achieving a culture of compliance, understanding policies and procedures, evaluating and testing controls and monitoring mechanisms, preparing reports, and providing recommendations concerning oversight, reporting, testing and other activities. We make these determinations and identify improvements to existing systems that are necessary for certification of compliance.

Our work spans six continents and stretches across our offices in the United States, the United Kingdom, Belgium, Germany and China. Over the past few years alone, our lawyers have conducted investigations-related work in more than 100 countries, and our monitorships team has the ability to draw upon lawyers across the firm fluent in 29 languages.

Additionally, our lawyers work alongside companies’ existing legal, compliance and internal audit functions and in conjunction with outside counsel to enhance existing controls and processes and to detect and deter future rogue actors. Our ability to craft work plans appropriately tailored to the business and risks at issue is bolstered by the deep bench of our team, which includes numerous former senior DOJ and SEC enforcement officials. 

We also have significant experience serving as independent compliance monitors for numerous public companies in connection with the resolution of criminal and civil charges:

  • In 2017, Partners David Ogden and Ronald Machen were chosen to share independent compliance monitorship duties for Tenet Healthcare Corporation. Tenet and the DOJ jointly selected these WilmerHale partners for a three-year engagement, pursuant to the terms of the non-prosecution agreement the healthcare giant reached with the DOJ, to settle kickback allegations. At the time, The National Law Journal stated: “Tenet Healthcare Corp. has tapped two of Washington's most well-known lawyers to monitor its compliance under a non-prosecution agreement with the federal government.”
  • In 2019, Partner Erin Sloane was appointed by the DOJ and SEC as the independent Foreign Corrupt Practices Act (FCPA) compliance monitor for a German-based supplier of global dialysis products and services in connection with the company’s $231 million resolution of charges that it violated the FCPA. Sloane’s appointment was only the second FCPA monitorship awarded in 2019. Global Investigations Review observed that the role of FCPA monitor is one that has traditionally been characterized by a gender and racial imbalance, with past monitorships typically going to white male lawyers with senior government experience. Sloane is not only one of the few women selected as an FCPA monitor, but also one of the youngest lawyers to take on the role.
  • In 2016, Retired Partner Robert S. Mueller III was appointed by Judge Charles R. Breyer of the US District Court for the Northern District of California as settlement master to facilitate settlement discussions for the multibillion-dollar, multi-district consumer class action and regulatory enforcement actions against Volkswagen for excess diesel emissions. In 2017, one month before Mueller’s appointment as special counsel, Judge George C. Steeh of the US District Court for the Eastern District of Michigan issued a notice of intent to select Mueller as special master to administer the multimillion-dollar restitution funds paid by Takata Corporation in connection with its February 2017 guilty plea. The courts cited Mueller’s well-known reputation for integrity in making the appointments. 

Key Contacts

Meet Our Team

Experience

  • Represented an avionics manufacturer in its resolution with DOJ for violations of the Foreign Corrupt Practices Act, as well as in the monitorship that was imposed pursuant to the resolution.
  • Advised a large aerospace company in connection with meeting compliance obligations following a DOJ resolution.
  • On appointment by the DOJ and SEC, serving as the independent compliance monitor for a German-based supplier of global dialysis products and services in connection with the company’s $231 million resolution of charges that it violated the FCPA.
  • Serving as independent compliance monitors selected by Tenet Healthcare Corporation and the DOJ to conduct a three-year independent compliance monitorship for Tenet, part of a settlement of kickback allegations. 
  • Managing settlement discussions for the multibillion-dollar, multi-district consumer class action and regulatory enforcement actions against Volkswagen for excess diesel emissions.
  • Advising Bilfinger SE with regard to the development, implementation and testing of a third-party management system as a requirement under its DOJ compliance monitorship, including conducting due diligence of over 1,000 business partners globally.
  • Helping a major foreign technology conglomerate achieve a settlement with the DOJ and SEC that resolved federal allegations that the company violated the FCPA, and advised regarding compliance enhancements during the post-settlement reporting period.
  • Representing a Fortune 100 company in connection with its ongoing efforts to successfully implement a DOJ-imposed monitor's compliance recommendations.
  • Negotiating Corporate Integrity Agreements (CIAs) with the Office of the Inspector General of the Department of Health and Human Services on behalf of pharmaceutical and medical device manufacturers and representing clients in government investigations subject to CIAs.
  • Advising Latam Airlines in connection with its monitorship resulting from its 2016 FCPA settlement with the DOJ and SEC.
  • Representing Johnson Controls in connection with the monitorship of its then-newly acquired subsidiary York International, including extensive coordination with the monitor on the implementation of recommendations and reporting to the DOJ.
  • Negotiating the first settlement in which the DOJ permitted Helmerich & Payne to self-monitor.
  • Assisting State Street in providing documents and information to the compliance and business ethics monitor.
  • Being appointed by the Federal Trade Commission to monitor the compliance of a large defense-aerospace company pursuant to a consent decree.
  • Working with a monitor in support of firm client HSBC.

Recognition

  • The American Lawyer named WilmerHale the 2020 Law Firm of the Year, recognizing the firm’s exceptional year across service offerings, including wins on behalf of clients.
  • Global Investigations Review – Named WilmerHale the winner of its 2022 “Most Impressive Investigations Practice of the Year Award” for our representation of Glencore, culminating in the unprecedented four-agency agreements with authorities in the US, UK and Brazil. WilmerHale was also a finalist in its 2021 “Most Impressive Investigations Practice of the Year,” “Most Important Court Case of the Year” and “Most Important Development of the Year” contests. Since 2015, the firm has been ranked at the top of GIR’s list of the world’s most accomplished investigations practices. GIR also gave WilmerHale a 2016 nod as “Most Impressive Investigations Practice of the Year” for its cross-border work in both high-profile internal and government-led investigations.
  • Global Investigations Review Just Anti-Corruption gave WilmerHale’s Washington DC office an “elite” ranking for its FCPA Practice, placing the firm among the top in the nation’s capital.
  • Chambers USA: America’s Leading Lawyers for Business recognized the firm’s FCPA Practice among the best in the nation again in 2023 and recognized Partner Erin Sloane, Jay Holtmeier, Kimberly Parker and Christopher Cestaro in the FCPA space. Partners Ron Machen and David Ogden have also been recognized as national leaders in their respective practice areas. Chambers cited clients and commentators who said, "WilmerHale is phenomenal in the FCPA space" and who praise the firm’s "exceptional practice," adding that "they're very knowledgeable about how to handle investigations."
  • Chambers Global recognized WilmerHale as a leading law firm for corporate crime and investigations in the United States and globally in its 2023 edition.
  • The National Law Journal named Partners Ronald Machen, Erin Sloane and Anjan Sahni to its annual list of Criminal Law Trailblazers in 2020. It was the first time the publication recognized lawyers in this category. The profile mentions Sloane’s recent appointment by the DOJ to serve as the independent FCPA compliance monitor for a global company. 
  • Partner Erin Sloane was recognized as a 2021 Notable Woman in Law by Crain’s New York Business. Crain’s noted that when she was tapped by the DOJ and SEC to serve as an independent FCPA compliance monitor for a German healthcare company in 2019, Sloane become only the fourth woman named as an FCPA monitor in the past decade. Crain’s also highlights Sloane’s extensive experience in government and internal investigations, white-collar criminal matters, and FCPA and international anti-corruption issues.
  • The Ethisphere Institute has twice named Partner David Ogden to its list of Attorneys Who Matter in Compliance in the Private Practice and Consulting category. 
  • Mr. Ogden is regularly selected by his peers for inclusion in Best Lawyers in America for Litigation - Regulatory Enforcement (SEC, Telecom, Energy), and in 2017 he was named Washington DC "Lawyer of the Year" in Litigation - Regulatory Enforcement.
  • Partner Ron Machen has repeatedly been recognized for his professional accomplishments, including as a 2020 Rainmaker by the Minority Corporate Counsel Association, as a Visionary by the Legal Times for his work during his tenure as the US Attorney for the District of Columbia, and as one of the 50 Most Influential Minority Lawyers in America by The National Law Journal.

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