The Department of Justice Criminal Division recently issued a Guidance Document for prosecutors: Evaluation of Corporate Compliance Programs.
In this document, the DOJ outlines three questions prosecutors should ask when making an "individualized determination of a corporate compliance program's effectiveness:
- "Is the corporation's compliance program well designed?"
- "Is the program being applied earnestly and in good faith?" In other words, is the program being implemented effectively?
- "Does the corporation's compliance program work" in practice?