Legal Compliance

Corporate Compliance Programs Evaluation. New Guidance Document from the US D.O.J.

On April 30th 2019 the United States Department of Justice has issued a press release (see here) announcing the publication of an updated version (the latest one being of  Feb. 2017) of the Criminal Division guidelines for prosecutors on “Evaluation of Corporate Compliance Programs”.

Although its main purpose (as the 2017 document was) is ensuring that public prosecutors “evaluate the effectiveness of compliance in a rigorous and transparent manner”, there is no doubt that this new updated version will also be reviewed and used by companies, especially by those doing business with the US or with US companies (suppliers, third party vendors, etc.).

According to the US D.O.J. this document and the topics addressed, should not be seen as checklist or a formula, but rather, attention should be paid to the relevant facts of every case.

From Legal Compliance, we would strongly recommend our clients, and their Compliance Officers, a thorough analysis of the updated document and the principles that these new guidelines laid down. You can download here the document.

We also believe it could prove extremely helpful for those companies based in Spain that are seeking to have their Criminal Compliance Management System certified under the UNE-ISO 19601 or ISO 37001 standards.

In a glimpse, this new reinforced 2019 Guidance on Corporate Compliance Evaluation addresses as always three relevant main issues connected with effectiveness:

1.- Is the corporation’s compliance program well designed?

2.- Is the program being applied earnestly and in good faith?

3.- Does, in practice, the compliance program work?

The 18 pages document, poses different questions addressed to understand when a compliance program is just a “paper compliance” or it is truly being implemented effectively.

We would just put our focus on some of the questions that we believe -and so we have been advocating for a long time- are those where companies should concentrate their efforts if they really wish to move forward the Compliance needle.

Ten tips based on the questions raised by the Criminal Division of the US D.O.J.:










What changes and disciplinary actions have the company undertaken after misconduct? What actions have been taken with Vendors if they were involved in the misconduct?
Legal Compliance have a longstanding expertise on reviewing, assessing and evaluating compliance programs and helping our clients to ensure they are effective.

Luis Ávila
Consult profile

Exit mobile version