Declinations, Aggravating Circumstances and Individual Liability Under the New DOJ Enforcement Policy: Disclosures, Cooperation and Remediation Now Required

June 26, 2018 8:45am

Ryan Rohlfsen
Ropes & Gray

  • What is required for a company to sufficiently “voluntarily self-disclose misconduct and “fully cooperate”
  • When there could be favorable treatment under the policy vs “aggravating circumstances”
  • What is “voluntary self-disclosure” within a “reasonably prompt time”?
  • Defining “full cooperation”
  • How “criminal recidivism” is defined
  • How the elements of the policy are being interpreted and applied:
    • disclosure of all relevant facts
    • proactive rather than reactive cooperation
    • timely preservation, collection, and disclosure of relevant documents and information
    • de-confliction of witnesses interviews and other investigative steps
    • making company officers and employees who possess relevant information available for interviews by DOJ personnel.
  • What is expected for “timely and appropriate remediation?”
  • Messaging Apps: What is expected to prevent “employees from using software that generates, but does not appropriately retain business records or communications”