DOJ updates its corporate compliance programs guidance

On September 23, 2024, the Criminal Division of the U.S. Department of Justice (DOJ) released revised Evaluation of Corporate Compliance Programs guidance, last updated in March 2023. The latest guidance covers three primary areas of on-going interest for the DOJ: (1) how companies are identifying and mitigating emerging risks related to new technologies, including artificial intelligence (AI); (2) how companies are encouraging employees to report misconduct; and (3) whether there are appropriate resources and access to data allowing companies to measure the effectiveness of their compliance programs.

Compliance roadmap

The Evaluation of Corporate Compliance Programs guidance serves as a roadmap for prosecutors and corporations, setting forth factors and questions for evaluating the effectiveness of a company’s compliance program. These considerations aid prosecutors in determining whether and to what extent a company should be penalized in connection with a resolution or criminal investigation. While the guidance is aimed at assisting DOJ prosecutors, the head of DOJ’s Criminal Division recently described the guidance as an “invaluable resource for companies,” providing a useful tool for developing, implementing, and reviewing their own compliance programs.

DOJ has identified the fundamental elements that it looks for when assessing whether a company’s compliance program is well designed, adequately resourced, and effective. These elements cover: