Does Your Compliance Program Work?


In this 5-part podcast series I visit with Eric Feldman, Senior Vice President of AMI. We look at the Department of Justice Evaluation of Corporate Compliance Programs, (the “2019 Guidance”), which was released in April 2019. Over the next five podcasts we will explore what the 2019 Guidance changes are from the Evaluation of Corporate Compliance Program, released in February 2017, the structure and emphasis of the 2019 Guidance and what it means for the compliance practitioner going forward. In Episode 4, we consider the question “Does your compliance program work in practice?” This final category considers your compliance program in both a retrospective and current review. It considers the effectiveness of your program at the time of the incident(s) in question and then asks if your compliance program has changed based on the lifecycle of risk assessment program, implementation evaluation, and other inputs. Additionally, Feldman noted that for the “first time I have ever seen in any DOJ guidance, it says that the existence of misconduct does not by itself means that a compliance program did not work or was ineffective.”

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