DOJ Issues Updated Guidance on the Evaluation of Corporate Compliance Programs: DOJ Provides More Detailed Guidance for Assessing Compliance Programs in Determining the Nature, Form, and Consequences of Corporate Criminal Resolutions

Sullivan & Cromwell LLP - May 3, 2019

On April 30, 2019, the Criminal Division of the U.S. Department of Justice released updated guidance to its attorneys on how to evaluate the design, implementation, and effective operation of corporate compliance programs in determining whether, and to what extent, the DOJ considers a corporation’s compliance program to have been effective at the time of the offense and to be effective at the time of a charging decision or resolution. In particular, the Guidance provides additional detail concerning the factors that Criminal Division attorneys are required to consider in evaluating corporate compliance programs for the purpose of determining the appropriate form of any corporate criminal resolution, including whether to impose a monitor and any associated monetary penalties.