DOJ Issues Revised Guidance on Evaluation of Corporate Compliance Programs

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Friday, June 12, 2020
Bruce Zagaris

            On June 1, 2020, the Department of Justice (DOJ) issued a revision of its guidance on the Evaluation of Corporate Compliance Programs.[1] The Guidance sets forth for companies general principles and elements to consider when designing, implementing, and updating their compliance policies and procedures. The DOJ considers, in conducting an investigation of a corporation, whether to bring charges and negotiate plea or other agreements.[2]  In addition, the U.S. Sentencing Guidelines advise that consideration be given to whether the corporation had in place at the time of the misconduct an effective compliance program for purposes of calculating the appropriate organizational criminal fee.[3] This article highlights the new Guidance and action items that entities with compliance programs should consider in light of the new Guidance.

[1]    U.S. Department of Justice Criminal Division, Evaluation of Corporate Compliance Programs

(Updated June 2020).


[2]    Justice Manual (JM), Principles of Federal Prosecution of Business Organizations 9-28.300.


[3]    U.S.S.G. §§ 8B2.1, 8C2.5(f), and 8C2.8(11).