DOJ's New Guidance Centers on Three Important Questions

    

Is your organization’s corporate compliance program an effective one? The U.S. Department of Justice (DOJ) has three important questions for you to help determine that as part of the regulator’s expanded guidance released on April 30. 

  1. Is the corporation’s compliance program well designed? 
  1. Is the program being applied earnestly, in good faith, and effectively? 
  1. Does the corporation’s compliance program work in practice? 

The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organizations compliance program is having a definite impact. In other words, the DOJ expects results. 

A recent FCPA Blog article outlines further examples. The article explains how the DOJ expects you will go beyond ensuring your compliance program is up-to-date by today’s conduct risk management standards. In its new guidance, the regulator says prosecutors must examine whether a program is “disseminated to, and understood by, employees in practice in order to decide whether the compliance program is truly effective.” 

The DOJ also expects a corporation will continually measure and strengthen its culture of compliance, asking questions like: 

  • Does the company seek input from all levels of employees to determine whether they perceive senior and middle management’s commitment to compliance?  
  • What steps has the company taken in response to its measurement of the compliance culture? 

To learn more about the DOJ’s expanded guidance and how to make sure your organization can clearly answer the regulator’s three important questions about your compliance program, consider reading Susan Frank Drivers  FCPA Blog article or join our Corporate Compliance focused webinar on Tuesday, July 30th when Susan will expand on the recent DOJ changes and the potential impact to your program. Click here to register.

 

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