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DOJ issues new guidance: Evaluation of Corporate Compliance Programs

Posted by Margaret Scavotto, JD, CHC on 6/26/19 8:51 AM

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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:

  1. "Is the corporation's compliance program well designed?"
  2. "Is the program being applied earnestly and in good faith?" In other words, is the program being implemented effectively?
  3. "Does the corporation's compliance program work" in practice?

The answers to these questions help prosecutors decide if they should prosecute a corporation; if monetary penalties should be imposed (and if so, how much); and what compliance obligations should be incorporated into a corporate integrity agreement.

The DOJ's new guidance includes a multitude of considerations prosecutors can use to evaluate how well a corporation's compliance program satisfies these three questions.

MPA recommends including these three questions in your own compliance program effectiveness review.

MCS Signature November 2018

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Topics: Compliance Basics, guidance

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