New Attorney General Issues First Formal Guidance on the Evaluation of Corporate Compliance Programs in Federal Fraud Investigations

On February 8th, the U.S. Department of Justice (DOJ) issued new guidance on how the DOJ will evaluate corporate compliance programs during fraud investigations in determining whether to bring charges or negotiate settlements. The new guidance, which can be found on agency’s website as the “Evaluation of Corporate Compliance Programs,” lists 119 “sample questions” that the DOJ Fraud Section finds relevant to its analysis.  

The questions are organized into the following categories:

  1. Analysis and Remediation of Underlying Conduct

  2. Senior and Middle Management

  3. Autonomy and Resources

  4. Policies and Procedures

  5. Risk Assessment

  6. Training and Communications

  7. Confidential Reporting and Investigation

  8. Incentives and Disciplinary Measures

  9. Continuous Improvement, Periodic Testing and Review

  10. Third Party Management

  11. Mergers & Acquisitions


Posted on March 6, 2017 .