Monitorship

Monitor Appointments

• Served as Independent Compliance Monitor following a global bank’s settlement with the SEC over violations of SEC rules relating to employees’ use of certain electronic communications platforms.
• Served as the Independent Compliance Monitor for SNC-Lavalin, Inc., an engineering, procurement and construction services company, with a mandate to review and evaluate that company’s global anti-corruption compliance program on behalf of the World Bank. The matter involved overseeing and assessing the design, implementation, and operation of the company’s compliance program from the initial building blocks to a “best in class” program. SNC-Lavalin successfully completed its sanctions and was able to obtain an early release from what had been a 10-year debarment.
• Served as the independent monitor of Walmart, reviewing the policies, training, internal investigations, and accountability systems related to the company’s ethics program in the US. The monitoring included a wide range of activities, from interviewing members of the company’s top leadership to visiting individual stores throughout the country to determine the extent to which the company’s policies had been implemented and were understood by its personnel. 
• Appointed by the US District Court for the Southern District of New York, to serve as Apple’s external monitor following a trial on antitrust charges arising from e-book pricing. At the end of the two-year term, the monitor assessed that Apple had put in place a meaningful antitrust compliance program and the court noted "The monitor has ably performed a significant public service in a difficult environment."
• Appointed by the US Department of State Directorate of Defense Trade Controls (DDTC) to serve a three-year period as the Special Compliance Officer (SCO) for Xe Services LLC (previously known as Blackwater, now known as Academi). Appointed by DOJ as the Export Compliance Monitor pursuant to a Deferred Prosecution Agreement (DPA), extending the total reporting period by an additional two years and requiring additional reports.
• Selected jointly by the Department of Justice and the City of Washington, DC, to serve as the independent monitor of the Metropolitan Police Department on a broad range of issues under a memorandum of agreement, including use of force, policy, training, supervision, and accountability/discipline.
• Selected jointly by the Department of Justice and the Government of the Virgin Islands to serve as the independent monitor of the Virgin Islands Police Department (VIPD) pursuant to a consent decree under federal court supervision designed to reform various aspects of VIPD.

Monitor Support

• Conducted a global audit of Airbus' primarily defense-related businesses as part of a requirement under a consent agreement with the DDTC to settle allegations of export control violations under the International Traffic in Arms Regulations (ITAR). Steptoe coordinated its audit efforts with the DDTC-appointed monitor.
• Served as US counsel to the Independent Compliance Monitor for a European company in a DOJ and SEC FCPA matter.
• Worked closely with the compliance monitor of a German company in post-sanctions dealings with the World Bank and other international financial institutions. The debarment term was reduced due, in part, to the company’s implementation of an effective compliance and disclosure program.
• Worked closely with the compliance monitor of a European client that was effectively blacklisted by the World Bank despite the lack of sanctions proceedings to secure that client’s reinstatement.

Counsel for Company Under a Monitorship

• Served as lead counsel for Volkswagen AG in the criminal investigation arising from the diesel emissions controversy. Steptoe advised Volkswagen through all phases of the monitorship required as part of Volkswagen’s plea agreement with the DOJ, including conducting internal investigations, helping design and implement enhancements to the internal investigative function and whistleblower programs, advising on disclosure obligations under the monitorship agreement, and interfacing with the monitor and the government. The monitor certified that the company had implemented a compliance program that was reasonably designed to prevent and detect violations of anti-fraud and environmental laws.
• Served as outside counsel to the State of Delaware during a DOJ Civil Rights Division investigation of its prison system, participated in the selection of an independent monitor, and continued to serve as outside counsel during the duration of the monitorship.
• Served as a consultant to the City of Chicago during a DOJ Civil Rights Division investigation of its police department, and advised the city during the monitor selection process.
• Acted as external counsel to a privately held construction/engineering firm in a World Bank/FCPA investigation; following resolution of the case, served as interface with Integrity Compliance Office and external monitor, and prepared and shepherded an application for release from sanction within the relevant period.
• Represented ZTE in a complex export control and economic sanctions prosecution included pre-selection and vetting of a compliance monitor prior to resolution with the various government agencies involved.
• Served as FCPA counsel to a medical device company that was required to appoint an independent monitor. The company determined that it needed counsel deeply steeped in compliance who had credibility with the enforcement agencies and who could work effectively with the monitor. We worked closely with the monitor, including reviewing and commenting on draft reports and recommendations, and discussing issues of concern as well as educating the monitor on our compliance work for the company.
• Acted as external counsel, including during a period of secondment to the client, for a large US defense contractor, by providing regulatory guidance to the company during the period of monitorship; performing dozens of internal investigations and disclosures that were subject to review and input by the monitor; and assisting in establishing and implementing compliance enhancements.
• Served as external compliance counsel for DHL following imposition of a three-year monitorship on its US operations, to help the company transition to a sustainable and practical global compliance program, without compromising the trust it had built with the government. Served in that role for over a decade, helping the company avoid any further monitors, or penalties for export violations.
• Acted as external counsel to a Fortune 10 company while under a DOJ monitorship, conducting internal investigations and advising on disclosure obligations under the monitorship agreement.
• Served as external counsel to a Chinese state-owned enterprise in an Asian Development Bank anti-corruption investigation; following resolution of the case, served as interface with ADB’s Office of Anti-Corruption and the independent compliance monitor. 
• Served as external counsel to a Spanish engineering services firm in a World Bank anti-corruption investigation; following resolution of the case, served as interface with the Integrity Compliance Office and the independent compliance monitor.