FRONTEO's Anisa Henderson (Florida, USA / Washington, DC, USA) summarizes DOJ's "New Guidelines for Evaluating Corporate Compliance Programs."Please use it to evaluate and formulate an in-house compliance program.

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Effective compliance program

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What do you need for an effective compliance program? In a manuscript submitted by Joseph Murphy to the Society of Corporate Compliance and Ethics, he said, "There are two requirements for an effective program: management is responsible for doing the right thing. , The steps management must take to achieve that, ”Murphy emphasizes that even small businesses can implement effective compliance programs at no significant cost.
 
Last month, the US Department of Justice (DOJ) Antitrust Department released new guidelines for assessing a company's compliance program.It also describes the benefits of having an effective compliance program in place.
 
Having an effective compliance program is a requirement for DOJ antitrust bureaus to make the following decisions:
 
1) Whether to prosecute or not prosecute
2) Weight of punishment (amount of fine, etc.)
3) Does the procedure of the deferred prosecution agreement (DPA) apply even if the sanctions exemption (liniency) is not applied?
 
DOJは同ガイドラインで、効果的なコンプライアンスプログラムの要素として以下の9つを挙げています。（1）プログラムの設計と包括性、（2）コンプライアンスに対する社内の文化、（3）反トラストに関するコンプライアンスに対し、どの程度の責任を有し、どの程度のリソースを割いているか、（4）反トラストのリスク評価テクニック、（5）従業員に対するコンプライアンス教育、（6）反トラストに関するコンプライアンスプログラムの定期的な見直し・評価・修正を含むモニタリング／監査テクニック、（7）レポーティングのメカニズム、（8）コンプライアンスに対するインセンティブと規則、（9）改善方法
 
The DOJ does not list specific methods in its guidelines, but lists issues to consider and suggests options.We recommend that you choose the method that suits your size and industry.In particular, it's a good idea to customize it to handle potential risks within your company.
 
Let's take "monitoring" as an example. According to the DOJ, "Effective compliance programs have monitoring and auditing capabilities to ensure that employees comply with the compliance program."Other examples of monitoring include "regular review of documents / contact from specific employees, performance evaluation and self-evaluation by employees for specific employees, interviews with specific employees", etc. I will.
 
For small businesses, "walking around the company and talking to employees" can also be part of the monitoring, Murphy said.As you talk around the company, it's a good idea to also mention compliance and ethics checklists.
 
That said, DOJ's antitrust investigations are most worrisome for large multinational corporations, with departments scattered around the world. At DOJ, we expect large enterprises to devote more resources to compliance.Tools such as monitoring the communication of specific employees and email auditing tools are widely used in these companies.
 
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References
Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations, Department of Justice Guidelines (2019) [https://www.justice.gov/atr/page/file/1182001/download] (Last viewed: 2019/08/06)
Compliance is a Culture, Not Just a Policy, Department of Justice Speech (2014): [https://www.justice.gov/atr/file/517796/download] (Last viewed: 2019/08/06)
Murphy, Joseph (Society of Corporate Compliance and Ethics): A Compliance & Ethics Program on a Dollar a Day [https://assets.corporatecompliance.org/Portals/1/PDF/Resources/CEProgramDollarADay-Murphy.pdf] (Last Viewed Date: 2019/08/06)
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