Benjamin Tymann Ethan Davis Michael Duffy Juliana Mishkin Jacqueline Johansen Patrick Yerby
Trusted. Connected. Effective.
 
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Compliance & Investigations

For companies doing business with the government, a careful focus on compliance is an absolute necessity. Whether grappling with complicated federal contracting rules or keeping up with industry-specific regulations, government contractors know that standards are only getting more onerous, enforcement more vigorous, and the consequences for non-compliance more serious. Penalties imposed by government agencies in many highly-regulated industries run from steep fines to suspension or debarment from participation in public contracts.

The implementation of an effective compliance program that deters and detects wrongdoing, with sufficient company resources devoted to run the program, is mandatory under federal law for most contractors – and for the companies for whom such programs are still voluntary, they are a wise investment of risk mitigation dollars. Still, for many smaller contractors it is difficult to spend the money on a full-time Chief Compliance Officer (CCO) to administer an adequate compliance program. Even for companies large enough to have a dedicated compliance department, resources frequently are stretched to the limit in the face of ever-expanding regulatory requirements.

At Tymann, Davis & Duffy, we have the expertise in designing, implementing and monitoring comprehensive and effective compliance programs, enabling us to serve as your “outside CCO” or simply to supplement your compliance department’s capabilities on an as-needed basis when demands become too intense. From setting up programs, to training employees and compliance officers, to conducting targeted compliance assessments, the depth and breadth of our experience, across many regulated industries, is hard to match.

 
 

We have significant expertise implementing programs that focus on compliance with the following statutes and regulations:

  • False Claims Act

  • Disadvantaged Business Enterprise (DBE) regulations

  • Foreign Corrupt Practices Act (FCPA)

  • Gifts & Gratuities laws

  • Antitrust laws/bidding practices

  • DOT Hours of Service rules

Among the outside compliance services we provide:

  • Program Design & Implementation

  • Compliance Assessments

  • Monitoring

  • Investigations

  • Analysis of Disclosure Obligations

  • Whistleblower issues

  • Training of Employees & Compliance Officers

 
 

Examples of our compliance and investigations successes include:

 

  • Represented major materials supplier on the $15 billion "Big Dig" project in Boston, negotiating global settlement with federal and state agencies that avoided suspension or debarment for the company.

  • Co-led year-long comprehensive FCPA compliance and training project in Africa for Fortune 50 global retailer.

  • Led comprehensive compliance audits and internal investigations for government contractors in the construction, construction materials and manufacturing industries, on issues ranging from False Claims Act risks to gift and gratuities practices to drivers’ hours of service.

  • Advised on antitrust "gun jumping" compliance for global company's $40 billion merger with competitor.

  • Defended major construction contractor against allegations brought by qui tam whistleblowers under False Claims Act.

  • Trained personnel at major international airport on compliance with U.S. D.O.T. and FAA regulations on administering, monitoring, and preventing fraud in Disadvantaged Business Enterprise (DBE) and Airport Concessions Disadvantaged Business Enterprise (ACDBE) programs.

  • Implemented DBE compliance programs at government contracting companies in manufacturing and construction sectors.

  • Advised Central African nation in pursuing candidacy and compliance certification under Extractive Industries Transparency Initiative (EITI).

  • Managed internal investigation at Texas manufacturing headquarters of international construction company, resulting in identification of individuals responsible for theft of millions of dollars of materials.

  • Wrote and implemented corporate compliance programs for variety of government contractors, and provided training on such programs for their employees.

  • Reached resolutions for two construction materials clients in debarment proceedings with the FHWA.

  • Achieved low-dollar civil settlement with the Massachusetts Attorney General’s Office and Massachusetts DOT on investigation involving submission of bidder pre-qualification applications.

  • Assisted in reviewing and drafting a hedge fund compliance policy in light of SEC's implementation of the Investment Advisors Act.

 

TDD's lawyers regularly write and speak on a wide range of compliance topics

 
 
 

Publications:

  • "The Seven Marks of Effective Government Contractor Compliance Programmes," Concrete Trends (Africa), February 2014

  • "The Big Dig: 7 Lessons Learned," Concrete International, February 2011

  • "Contractors Should Review Compliance Programs," Federal Times, January 2011

  • "Lessons for Contractors After GTSI Suspension," Law360, October 2010

  • "The Importance of Compliance Audits in Today’s Intensive Enforcement Environment and Whistleblower Culture," Corporate Compliance Insights, October 2010

  • "The Federal Acquisition Regulations’ Forthcoming ‘Integrity Reporting’ Disclosure Requirement Should Have Federal Contractors on Their Guard, but Not Running for the Hills," Massachusetts Bar Association Section Review, Fall 2008

  • "Decision of Massachusetts Superior Court Underscores That Timely, Thorough and Independent Internal Investigations Are Essential to Corporate Well-Being," Massachusetts Bar Institute Section Review, 2007

 
 
 

Presentations:

  • "Avoiding False Claims Act Liability and Other Federal Enforcement Pitfalls," American Concrete Institute Fall Convention, Washington, D.C., October 28, 2014

  • "Getting in Front of Emerging Industry Risks: Latest Developments in Regulations, Government Investigations, and Civil Litigation Affecting Concrete Contractors," American Society of Concrete Contractors (ASCC) Concrete Executive Leadership Forum, Santa Fe, NM, July 18, 2014

  • "Winning the Risk & Compliance Battle on Public Infrastructure Projects," African Construction Expo, Johannesburg, South Africa, May 27-28, 2014

  • "Rising Legal Risks in the Global Construction Industry – and Designing an Effective Compliance Programme to Address Them," University of the Witwatersrand School of Construction Economics and Management, Johannesburg, South Africa, July 2013

  • "Designing Effective Anti-Corruption Compliance Programs," Totally Concrete Expo, Johannesburg, South Africa, June 2013

  • "Navigating the Legal Obstacles on Your Road to Sustainability: Recent Developments in the Law," International Concrete Sustainability Conference, San Francisco, CA, May 2013

  • "Today’s Rising International Legal Risks and Designing a Compliance Program to Prevent Them," CBI Africa – Cement Summit, Johannesburg, South Africa, March 2013

  • "DBE Fraud: What You Better Know," American Society of Concrete Contractors webinar, February 2012

  • "The Big Dig: Seven Lessons Learned," American Concrete Institute convention, Pittsburgh, PA, October 2010

  • "Internal Investigations in the Face of Government Investigations – An Intersection Requiring Caution," Massachusetts Bar Association, Boston, MA, September 2008