The guidance organizes relevant topics when evaluating a compliance program around three overarching questions that prosecutors ask in evaluating compliance programs:
First, is the program well-designed?
Second, is the program effectively implemented?
Third, does the compliance program actually work in practice?
“Effective compliance programs play a critical role in preventing misconduct, facilitating investigations, and informing fair resolutions,” Assistant Attorney General Brian A. Benczkowski said. “Today’s guidance document is part of our broader efforts in training, hiring, and enforcement to help promote corporate behaviors that benefit the American public and ensure that prosecutors evaluate the effectiveness of compliance in a rigorous and transparent manner.”