DOJ’s Updated Guidance for Evaluating Corporate Compliance Programs

DOJ’s Updated Guidance for Evaluating Corporate Compliance Programs

In early June, the Department of Justice Criminal Division released without fanfare updated guidance to be used by federal prosecutors in the evaluation of corporate compliance programs. The new guidance, "Evaluation of Corporate Compliance Programs“ ("2020 Guidance“), which revised guidance issued in 2017 and 2019, retains much of the substance of the 2019 document, and according to Assistant Attorney General Brian Benczkowski, "reflects additions based on our own experience and important feedback from the business and compliance communities.“



A panel of experts at the virtual ABA White Collar Institute on June 24 discussed some  of the key takeaways from the 2020 Guidance on a panel titled "Compliance, Cooperation and Monitorships:  Current DOJ Policy.“ Two aspects of the 2020 Guidance were given particular emphasis.



First, corporate compliance programs, to be deemed genuine and effective by DOJ, must be examined, tested and updated on a continual basis, including (and perhaps especially) during a government investigation. Compliance efforts should integrate current data analytics capabilities wherever possible. If deficiencies are found, then changes should be made, and the 2020 Guidance makes clear that DOJ expects regular review of compliance efforts.



Second, the quality of a company's compliance program continues to be a major factor