Below are links to various documents associated with and relevant to Corporate Monitors. IAICM is presently working to make available .pdf versions of many documents which we have in our library, but cannot be made publicly available at this time. Please check this site frequently for updates.
If you are seeking specific documents or wish to contribute a document, please email us at Repository@IAICM.org.
Articles, Blogs and Other Press
- “Deferred Prosecution of Corporations” – New York Law Journal; October 2003
- “The Deferred-Prosecution Jigsaw Puzzle: A Modest Proposal for Reform” – Andrews Litigation Reporter; September 2005
- “Monitors & IPSIGS: Emergence of a New Criminal Justice Role” – Criminal Law Bulleting; August 2007
- “Corporate Deferred Prosecutions Through the Looking Glass of Contract Policing” – Kentucky Law Journal; November 2007
- “Deferred Prosecution Agreements: A Better Option Than Indictment?” – The Metropolitan Corporate Counsel; May 2008
- “The Rise of Deferred Prosecution Agreements: What We Can Learn from the Government’s Increasing Use of DPAs” – Health Lawyers News; July 2008
- “New Principles Can Help Advance Independent Corporate Monitoring” – Health Care Compliance Association; October 2008
- “DPAs In SEC Enforcement Investigations” – Law360; September 2009
- “Proposal Seeks More Oversight Of Justice Department’s Pre-Trial Diversion Agreements” – Washington Legal Foundation; September 2009
- “Proposed Changes to Organizational Sentencing Guidelines” – Sullivan & Cromwell; February 2010
- “Use of Independent Consultants as a Remedy in Securities Enforcement Actions” – BNA Inc., Securities Regulation & Law; April 2010
- “Federal Contractors Should Expect Increased Use of Monitors” – BNA. Inc.; April 2010
- “Monitoring the Monitors” – Law360; October 2010
- “The Expanding Role of Deferred and Nonprosecution Agreements: The New Normal for Handling Corporate Misconduct” – BNA Inc., White Collar Crime Report; February 2011
- “A Rare Sight: DOJ Antitrust Division Uses Non-Prosecution Agreement To Resolve Bid Rigging Allegations Against UBS” – Perkins Coie; May 2011
- "Post-Traumatic Settlement Disorder: Two Key Things an Organization Can Do to Avoid Disorder - Part I" - Corporate Compliance Insights; August 2011
- "Post-Traumatic Settlement Disorder: Two Key Things an Organization Can Do to Avoid Disorder - Part II" - Corporate Compliance Insights; August 2011
- "Lessons from an Independent Corporate Monitor" - I-Sight; November 1, 2011
- “An Independent Corporate Monitor’s Perspective on Pre-Trial Diversion/Government Settlement Agreements” – John Hanson, 2012
- “Data Show Trend Away from Monitors for Voluntary Disclosure” – Just Anti-Corruption; May 2012
- “The DOJ Antitrust Division’s Policy on Independent Compliance Monitors: Is It Misguided?” – Mlex; July 2013
- “Independent Corporate Monitor Tradecraft: Ongoing Compliance and Ethics Risk Monitoring” – Corporate Compliance Insights, October 1, 2013
- “Independent Corporate Monitors: A Company’s Friend or Foe?” – American Bar Association White Collar Crime Committee Newsletter; Winter 2013
- “The Corporate Compliance Monitor’s Role in Regulatory Settlement Agreements” – Stout Risius Ross – 2014
- “Minding the Monitor: Disclosure of Corporate Monitor Reports to Third Parties” – Bloomberg BNA; March 2014
- “GAO Confirms Suspension and Debarment on the Rise” – Arnold & Porter; May 2014
- “DOJ Warning About Corporate Compliance Programs, Probation, and External Compliance Monitors” – The National Law Review; November 2014
- “Improving Corporate Settlement Agreements” – John Hanson, November 18, 2014
- “The Secret Life of Corporate Monitors” – California Lawyer; December 2014
- “Deferred Prosecution Agreements: Working with the Independent Monitor” – Thomson Reuters; May 2015
- “Why You Should Love Your Antitrust Compliance Monitor” – Competition Policy International; June 2015
- "DPA Corporate Monitorships in the UK" - Global Investigations Review; September 2015
- "Is the Opaque Word of Corporate Monitors Becoming More Transparent?" - American Bar Association, Business Law Today; December 2015.
- “Justice Deferred is Justice Denied: We Must End Our Failed Experiment in Deferring Corporate Criminal Prosecutions” – BYU Law Review; January 2016
- “Working with External Compliance Monitors” – Compliance Week; February 2016
- "Hiring the Right Monitor to Help Your Company and Not Hurt It" - Corporate Counsel; August 2016
- "Corporate Monitors: Looking Back and Looking Forward" - American Bar Association; Chaka Patterson and Erica Jaffe; August 2016
- "What Does It Mean to be a Monitor?" - Veronica Root; NYU Compliance & Enforcement Blog; September 21, 2016
- "The Practitioner's Guide to Global Investigations: Ch. 28 Monitorships" - Global Investigations Review; January 2017
- "What Does It Mean to be a Monitor? (Revisited)" - Daniel R. Alonso; NYU Compliance & Enforcement Blog; January 2017
- "Analysis: Cyber-Monitoring: The Next Frontier" - Dickinson Wright (Jacob Frenkel and Justin Root); March 8, 2017
- "Guidepost Solutions Chair Bart Schwartz on Corporate Monitors" - Corporate Crime Reporter; March 22, 2017
- "Corporate Monitors: Make the Most of the Appointment" - The Bureau of National Affairs, Bloomberg Law; Eleanor Tyler; March 2017
- "Five Ways to Eliminate the Need for a Corporate Monitor" - New York Law Journal; December 11, 2017
- "Compliance Monitoring and State Attorney General Investigations: Issues in Appointment and Operation" - National Association of Attorneys General; February 2018 NAGTRI Journal; Robert Cooper and Todd Leatherman
- "Monitoring Practice CFIUS and FIRRMA" - White Paper; August 2018; Steven Siemborski
- "Deferred Prosecution Agreements Are Coming to Canada" - September 18, 2018; Milos Barutciski, Graeme Hamilton and Julia Webster
- "Risk and Compliance Mgt - DOJ Policy and ISO 19600 - 2018" - 2018; Risk & Compliance Management; Daniel Lucien Buhr
- "Anti Corruption Regulation 2018 - Risk and Compliance Management Systems - 2018" - 2018; Anti-Corruption Regulation 2018; Daniel Lucien Buhr
- "Selecting a Corporate Monitor" - June 2021; International Banker; John Carey
- "Evolution of the Monitor's Role in Identifying Problems and Implementing Change" - June 2021; Guidepost Blog; Bart Schwartz
Government Publications/Guidance
- General
- US Federal Sentencing Guidelines (2016) – Effective Compliance and Ethics Program (§8B2.1)
- SEC Enforcement Manual (see pages 101 – 104 for Deferred and Non-Prosecution Agreements)
- Summary of World Bank Group Integrity Compliance Guidelines
- ICC Antitrust Compliance Toolkit
- OECD – Good Practice Guidance on Internal Controls, Ethics, and Compliance
- UK Ministry of Justice – The Bribery Act 2010 Guidance
- HHS OIG Guidance on IRO Independence and Objectivity
- UK SFO – Deferred Prosecution Agreements Code of Practice – Crime and Courts Act 2013
- UK Ministry of Justice – Consultation on New Enforcement Tool to Deal with Economic Crime Committed by Commercial Organisations: Deferred Prosecution Agreements – August 2012
- England and Wales Sentencing Council – Fraud, Bribery and Money Laundering Offences: Definitive Guideline – October 2014
- DANY Memo – Considerations in Charging Organizations – May 27, 2010
- PCAOB Policy Statement Regarding Credit for Extraordinary Cooperation in Connection with Board Investigations – April 24, 2013
- Police Assessment Resource Center – National Guidance for Police Monitors - 2008
- American Bar Association Standards on Corporate Monitors
- CFTC Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies - January 2017
- Department of Labor, Occupational Safety and Health Administration's Guidelines for Administering Corporate-Wide Settlement Agreements - June 2011
- Australian Government - Deferred Prosecution Agreements, Public Consultation - March 2016
- Australian Government AG Office, Proposed Model for DPAs - March 2017
- US v HSBC - Appellate Court Decision - US Court of Appeals for the 2nd Circuit; July 2017
- Singapore Criminal Justice Reform Bill; March 19, 2018 (DPA Section at Page 41)
- UK Corporate Cooperation Guidance; August 6, 2019
- Department of Justice
- US Attorneys Manual - 9-28.000 Principles of Federal Prosecution of Business Organizations
- DOJ Memo – “Holder Memo” – Bringing Criminal Charges Against Corporations – June 16, 1999
- DOJ Memo – “Thompson Memo” – Principles of Federal Prosecution of Business Organizations – January 20, 2003
- DOJ Memo – “McCallum Memo” – Waiver of Corporate Attorney-Client and Work Product Protection – October 21, 2005
- DOJ Memo – “McNulty Memo” – Principles of Federal Prosecution of Business Organizations – December 12, 2006
- DOJ Memo – “Morford Memo” – Selection and Use of Monitors in Deferred Prosecution Agreements and Non-Prosecution Agreements with Corporations – March 7, 2008
- DOJ Memo – “Breuer Memo” – Selection of Monitors in Criminal Division Matters – June 24, 2009
- DOJ Memo – “Grindler Memo” – Additional Guidance on the Use of Monitors in Deferred Prosecution Agreements and Non-Prosecution Agreements with Corporations – May 25, 2010
- DOJ Memo – “Yates Memo” – September 9, 2015
- "Evaluation of Corporate Compliance Programs" - DOJ Fraud Section - February 8, 2017
- DOJ Memo - "Policy on Coordination of Corporate Resolution Policies" - May 9, 2018
- DOJ Memo - "Benczkowski Memo" - Selection of Monitors in Criminal Division Matters - October 11, 2018
- DOJ - Evaluation of Corporate Compliance Programs - April 2019
- GAO
- March 17, 2006 GAO Report (GAO-06-469R Pigford Settlement) – The Role of the Court-Appointed Monitor
- June 25, 2009 GAO Testimony Before the Subcommittee on Commercial and Administrative Law (GAO-09-636T) – Preliminary Observations on DOJ’s Use and Oversight of Deferred Prosecution and Non-Prosecution Agreements
- November 19, 2009 GAO Testimony Before the Subcommittee on Commercial and Administrative Law (GAO-10-260T) – Prosecutors Adhered to Guidance in Selecting Monitors for Deferred Prosecution and Non-Prosecution Agreements, but DOJ Could Better Communicate Its Role in Resolving Conflicts
- December 2009 GAO Report to Congressional Requesters (GAO-10-110) – DOJ Has Taken Steps to Better Track Its Use of Deferred and Non-Prosecution Agreements, but Should Evaluate Effectiveness
- August 2011 GAO Report to Congressional Committees (GAO-11-739) – Some Agency Programs Need Greater Attention, and Governmentwide Oversight Could Be Improved
- May 2014 GAO Report to Committee on Oversight and Government Reform, House of Representatives (GAO-14-513) – Federal Contracts and Grants: Agencies Have Taken Steps to Improve Suspension and Debarment Programs
- May 2018 GAO Report on HHS OIG Use of Agreements to Protect the Integrity of Federal Health Care Programs
- Uncategorized
- March 11, 2008 Hearing before the Subcommittee on Commercial and Administrative Law – Deferred Prosecution: Should Corporate Settlement Agreements Be Without Guidelines?
- June 2008 Amicus Brief (Jenner & Block) on Limiting Corporate Liability
- July 2008 “Don’t Let This Happen to You” - Bureau of Industry and Security, US Department of Commerce – Nine Principles for an Effective Compliance Program (p. 6)
- April 2, 2009 H.R. 1947 – A Bill to regulate certain deferred prosecution agreements and nonprosecution agreements in Federal criminal cases
- November 19, 2009 Hearing before the Subcommittee on Commercial and Administrative Law – Transparency and Integrity in Corporate Monitoring
- March 18, 2010 HHS Letter to USSC regarding proposed amendments to the federal sentencing guidelines
- Securities and Exchange Commission – “Seaboard Report” – October 23, 2001
- March 6, 2014 DOJ Letter to USSC regarding proposed amendments to the federal sentencing guidelines
- August 2014 Amicus Brief (Professor Brandon L. Garrett) on the use of Deferred Prosecution Agreements (US v. Saena Tech Corporation)
- Fokker DPA Appeal Decision – April 5, 2016
- Memorandum Opinion - US District Court for the District of Columbia - Dylan Tokar V. USDOJ - March 29, 2018
Presentations & Training Materials
- “Inside the Mind of an Independent Corporate Monitor” – SCCE Compliance & Ethics Institute 2011
- “Deferred Prosecution Agreements, Working with an Independent Monitor and Getting Beneficial Results” – Global Compliance Symposium – April 2011
- “Independent Review Organization: A Contract with the HHS Office of Inspector General” – HCCA Compliance Institute; April 12, 2011
- “Federal Government Suspension & Debarment” – SCCE Compliance & Ethics Institute 2012
- “Suspension, Administrative Agreements and Recovery” – SCCE Compliance & Ethics Institute 2013
- "Corporate Monitors and U.S. Antitrust Enforcement" - 2014 ICN Cartel Workshop; 10/03/2014
- ISDC Presentation - 12Apr2017 - IAICM Overview Presentation to the Interagency Suspension and Debarment Committee on April 12, 2017 in Washington, DC
White Papers, Studies, and Academic
- “Devolution of Authority: The Department of Justice’s Corporate Charging Policies” – Saint Louis University School of Law; Lawrence D. Finder and Ryan D. McConnell; December 5, 2006
- “The Corporate Monitor: The New Corporate Czar?” – Vikramaditya Khanna & Timothy L. Dickinson, 105 Michigan Law Review 1713 (2007)
- “Structural Reform Prosecution” – Brandon L. Garrett; May 17, 2007
- “The Use of the Corporate Monitor in SEC Enforcement Actions” – Villanova University School of Law, Paper 106; Jennifer O’Hare; 2008
- “Betting the Corporation: Compliance or Defiance? Compliance Programs in the Context of Deferred and Non-Prosecution Agreements” - Finder, Lawrence D. and McConnell, Ryan D. and Mitchell, Scott L. - Corporate Pre-Trial Agreement Update - 2008 (January 23, 2009)
- “Can Corporate Monitorships Improve Corporate Compliance?” – The Journal of Corporation Law Vol 34:3; Cristie Ford and David Hess, March 31, 2009
- “2010 Mid-Year Update on Corporate Deferred Prosecution and Non-Prosecution Agreements” – Gibson Dunn & Crutcher, August 5, 2010
- “2010 Year-End Update on Corporate Deferred Prosecution and Non-Prosecution Agreements” – Gibson, Dunn & Crutcher, January 4, 2011
- “2011 Mid-Year Update on Corporate Deferred Prosecution Agreements and Non-Prosecution Agreements” – Gibson, Dunn & Crutcher, July 12, 2011
- “Somebody’s Watching Me: FCPA Monitorships and How They Can Work Better” – Notre Dame Law School, Winter 2011; F. Joseph Warin, Michael S. Diamant and Veronica S. Root; Winter 2011
- “Globalized Corporate Prosecutions” – Virginia Law Review, December 2011 – Volume 97 – Issue 8; Brandon L. Garrett
- “2011 Year-End Update on Corporate Deferred Prosecution Agreements and Non-Prosecution Agreements” – Gibson, Dunn & Crutcher, January 4, 2012
- “2012 Mid-Year Update on Corporate Deferred Prosecution Agreements and Non-Prosecution Agreements” – Gibson, Dunn & Crutcher, July 10, 2012
- “2012 Year-End Update on Corporate Deferred Prosecution Agreements (DPAS) and Non-Prosecution Agreements (NPAS)” – Gibson, Dunn & Crutcher, January 3, 2013
- “2013 Mid-Year Update on Corporate Deferred Prosecution Agreements (DPAS) and Non-Prosecution Agreements (NPAS)” – Gibson, Dunn & Crutcher, July 9, 2013
- "Corporate Monitors: Overcoming the Classification Failure of Targeted Monitoring Systems" - Sharon Oded, Berkeley Business Law Journal, Volume 10, Issue 2, 2013
- “2013 Year-End Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, January 7, 2014
- “The Monitor-‘Client’ Relationship” – Journal Articles Paper 1060; Veronica Root; April 15, 2014
- “2014 Mid-Year Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, July 8, 2014
- Memorandum of Law of Amicus Curiae Law Professor - US District Court for the District of Columbia, Brandon L. Garrett, August 22, 2014
- “2014 Year-End Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, January 6, 2015
- “2015 Mid-Year Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, July 8, 2015
- “2015 Year-End Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, January 5, 2016
- “2016 Mid-Year Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, July 6, 2016
- "The Shadow Regulatory State at the Crossroads - Federal Deferred Prosecution Agreements Face an Uncertain Future" - Manhattan Institute, June 2017
- "2017 Mid-Year Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)" - Gibson, Dunn & Crutcher, July 11, 2017
- “2017 Year-End Update on Corporate Non-Prosecution Agreements (NPAS) and Deferred Prosecution Agreements (DPAS)” – Gibson, Dunn & Crutcher, January 4, 2018
- "Risk & Compliance Management 2018" - 2018; Risk & Compliance Management; Daniel Lucien Buhr