Compliance Management Systems: DOJ's Evaluation

The U.S. Department of Justice's Criminal Division Fraud Section released a comprehensive document that explains the various principles used to evaluate any corporate compliance program when determining the penalty and other required actions for a firm under investigation. This document describes specific factors prosecutors should consider in investigating a corporate entity, determining whether to bring charges, and negotiating plea or other agreements. These factors, commonly known as the "Filip Factors," include "the existence and effectiveness of the corporation's pre-existing compliance program” and the corporation's remedial efforts "to implement an effective corporate compliance program or to improve an existing one." Regardless of whether you might ever be investigated, review the common questions the DOJ may ask in making an individualized determination to ensure your organization's compliance program is strong.

Covered Topics:

  • Analysis and Remediation of Underlying Misconduct
  • 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 and Acquisitions (M & A)