The Department of Justice (DOJ) and U.S. Sentencing Commission (USSC) stress that an effective compliance program is one that prevents, identifies, and mitigates unlawful conduct. Evidencing an effective compliance program would be a consideration in prosecutorial decisions and for potential mitigation of penalties. The challenge is structuring and operating a program that can provide credible evidence of being effective in meeting these goals. The DOJ’s 2020 “Updated Evaluation of Corporate Compliance Programs,” the USSC’s publication highlighting its 30th Anniversary, and the September 2022 Memo from the Deputy Attorney General (DAG), provide a road map of what it takes to have a compliance program viewed as effective.
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Reprinted from Journal of Health Care Compliance, Volume 25, Number 1, January–February 2023,
pages 5–10, with permission from CCH and Wolters Kluwer.