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:
Analysis and Remediation of Underlying Conduct
Senior and Middle Management
Autonomy and Resources
Policies and Procedures
Risk Assessment
Training and Communications
Confidential Reporting and Investigation
Incentives and Disciplinary Measures
Continuous Improvement, Periodic Testing and Review
Third Party Management
Mergers & Acquisitions
