DOJ Updates Guidance On Evaluating Corporate Compliance Programs

Earlier this month, the Criminal Division of the United States Department of Justice (DOJ) updated its Evaluation of Corporate Compliance Programs guidance.  In considering enforcement actions against companies, prosecutors use the guidance to assist in evaluating (1) the form of any resolution or prosecution, (2) the amount of a monetary penalty, if any, and (3) whether to impose compliance obligations, such as a monitor or reporting requirements.  The guidance thus provides valuable insight into the factors prosecutors consider when making these decisions.

This is the third iteration of the guidance; it was first published in 2017, and updated in 2019.  (We reported on the 2019 guidance here.)  Overall, the new guidance reaffirms the DOJ's previous emphasis on the importance of re-evaluating, testing, and revising compliance programs on a continuous basis in light of changing risks, testing results, and lessons learned.  The guidance also provides more