HomeWebcastThe DOJ’s 2019 Revised Evaluation Guidance: Year in Review
Online CLE DOJ’s Revised Evaluation Guidance CLE

The DOJ’s 2019 Revised Evaluation Guidance: Year in Review

Live Webcast Date: Thursday, December 12, 2019 from 3:00 pm to 4:30 pm (ET)
Government Law CLE & CPERecording

Online CLE DOJ’s Revised Evaluation Guidance

Join us for this Knowledge Group Online CLE DOJ’s Revised Evaluation Guidance Webinar. Earlier this year, the U.S. Department of Justice (DOJ) released a revised version of its 2017 guidance document entitled, “Evaluation of Corporate Compliance Programs.” The updated guidance is mainly structured around the evaluation of compliance programs’ design, application, and practicability. The changes made are intended to align the guidance’s foundational principles with the U.S. Sentencing Guidelines, the DOJ’s Justice Manual, and the 2012 FCPA Guide.

Although the guidance is meant for prosecutors, it serves as a valuable reference source for companies reviewing their own compliance programs in the context of the DOJ’s expectations.

Listen to attorneys Brian Wilmot (Paul Hastings) and Kip B. Randall (Husch Blackwell) as they provide the audience with the latest developments surrounding the revised DOJ evaluation guidance. As experts, they will also offer the best compliance tips and strategies in designing and implementing corporate programs considering the updated document.

Some of the major topics that will be covered in this course are:

  • The DOJ’s Revised Evaluation Guidance: Analyzing the Changes
  • Implications
  • Recent Enforcement Trends and Developments
  • Best Compliance Tips and Practices
  • What Lies Ahead

Agenda

Kip B. Randall, Attorney
Husch Blackwell LLP

AND

Brian Wilmot, Attorney
Paul Hastings LLP

  • Why is the DOJ’s Revised Compliance Guidance Relevant?
    • The effectiveness of a compliance program is one of 10 factors DOJ prosecutors evaluate when making prosecution decisions about a company
    • Bottom Line:  prosecutors are trying to determine “whether the program is adequately designed for maximum effectiveness in preventing and detecting wrongdoing by employees and whether corporate management is enforcing the program or is tacitly encouraging or pressuring employees to engage in misconduct to achieve business objectives”
  • History of Evaluation Compliance Programs
    • From the beginning, the DOJ has used three important questions to determine whether a compliance program is a paper program or designed, implemented, reviewed, and revised in an effective manner
      • Is the program well designed?
      • Is it being applied in good faith?
      • Does it work?
    • To answer these three questions the DOJ developed a list of factors that has increased over time
    • One of the most significant changes to the DOJ’s recent guidance is that it has included questions that guide how prosecutors evaluate the factors
    • Compliance Officers should use these guiding questions to audit the effectiveness of their programs
  • Additional Relevance of Compliance Programs
    • In addition to the DOJ’s Revised Compliance Guidance, the Antitrust Division released guidance on how it intends to evaluate corporate compliance programs
    • This is a complete shift in how charging decisions can be made by the Antitrust Division
    • For the last 25 years, the Antitrust Division’s leniency policy was only applicable to the first company to put down its marker
    • Now, antitrust prosecutors are permitted to evaluate each company’s compliance program when deciding whether to charge the company
    • If for that reason alone, an effective compliance program is essential
    • Not surprisingly, the Antitrust Division’s closely resembles the Criminal Division’s guidance
    • We now see both the Criminal and Antitrust Divisions taking similar approaches to evaluating compliance programs
  • Guidance is (and has been) a Reflection of Current Best Practices
    • The current thinking on compliance programs: risk-based, dynamic programs constantly reexamine and assess risks and that integrate into the culture of the company or organization, and a focus on effective, real compliance programs targeted to the specific organization.
    • Relevant across many contexts and substantive areas.
  • Importance of Guidance in the U.S.
    • Anti-corruption enforcement is still alive and well in the U.S.
    • Strong compliance programs that are designed to effectively and quickly identify issues provide helpful arguments to regulators when something does go wrong.
    • New regulatory players in the U.S.
  • These Issues Are Global and an Effective Compliance Program Doesn’t Just Help You in the U.S.
    • This is no longer a U.S. DOJ/SEC specific analysis and hasn’t been for years. Foreign regulators continue to cooperate with U.S. enforcement authorities and multi-jurisdiction enforcement activities and settlements continue.
    • Recent examples highlight significant reputational impacts of foreign anti-corruption initiatives.
    • Companies must be prepared for continued changes and increased enforcement in new/existing jurisdictions.
  • Corruption Risk Is Not Going Away
    • Significant international and domestic political uncertainty merits greater caution.
    • A dynamic compliance program will account for your organization’s unique risks and place you in a position to adapt to the changing international and domestic environment.
  • Human Trafficking Compliance
    • One example of how a strong compliance program can prevent issues of direct liability
    • The forced labor statute includes “venture liability” for benefitting financially from participation in a venture with the primary offender
    • A recent case from the US District Court for the District of Colorado demonstrates that the theory of venture liability will survive a motion to dismiss for simply benefitting from the venture
    • This provision necessitates the need a global compliance program that includes anti-trafficking training and certifications by partners and third parties
    • And the human trafficking chapter of the codes imposes civil liability when participating in a venture that the person knew or should have known was engaged in human trafficking
    • The government contracts arena also contains human trafficking compliance requirements that includes some similar elements to the evaluation factors
  • A Strong Compliance Program is the Best Defense to this Uncertainty and Risk
    • A dynamic compliance program can identify and accommodate unexpected and new risks.
    • Avoid issues (and costs) in the first place.
    • Minimize the impact to the company.
  • Future Outlook and Outstanding Questions
    • To what extent will an appropriate compliance program serve as protection from enforcement action?
    • Does anti-corruption interest in Europe and elsewhere continue to grow and what does that enforcement look like?
    • How will the SEC interpret or consider the DOJ guidance in its own thinking?
    • Will CFTC open a new front in U.S. anti-corruption related enforcement?

Who Should Attend

  • Compliance Executives
  • Corporate Governance Lawyers
  • Business Lawyers
  • Top-Level Executives

Preview Podcast

Please click the podcast below to hear the speakers discuss the key topics for this webcast.

Online CLE DOJ’s Revised Evaluation Guidance

Kip B. Randall, Attorney
Husch Blackwell LLP

AND

Brian Wilmot, Attorney
Paul Hastings LLP

  • Why is the DOJ’s Revised Compliance Guidance Relevant?
    • The effectiveness of a compliance program is one of 10 factors DOJ prosecutors evaluate when making prosecution decisions about a company
    • Bottom Line:  prosecutors are trying to determine “whether the program is adequately designed for maximum effectiveness in preventing and detecting wrongdoing by employees and whether corporate management is enforcing the program or is tacitly encouraging or pressuring employees to engage in misconduct to achieve business objectives”
  • History of Evaluation Compliance Programs
    • From the beginning, the DOJ has used three important questions to determine whether a compliance program is a paper program or designed, implemented, reviewed, and revised in an effective manner
      • Is the program well designed?
      • Is it being applied in good faith?
      • Does it work?
    • To answer these three questions the DOJ developed a list of factors that has increased over time
    • One of the most significant changes to the DOJ’s recent guidance is that it has included questions that guide how prosecutors evaluate the factors
    • Compliance Officers should use these guiding questions to audit the effectiveness of their programs
  • Additional Relevance of Compliance Programs
    • In addition to the DOJ’s Revised Compliance Guidance, the Antitrust Division released guidance on how it intends to evaluate corporate compliance programs
    • This is a complete shift in how charging decisions can be made by the Antitrust Division
    • For the last 25 years, the Antitrust Division’s leniency policy was only applicable to the first company to put down its marker
    • Now, antitrust prosecutors are permitted to evaluate each company’s compliance program when deciding whether to charge the company
    • If for that reason alone, an effective compliance program is essential
    • Not surprisingly, the Antitrust Division’s closely resembles the Criminal Division’s guidance
    • We now see both the Criminal and Antitrust Divisions taking similar approaches to evaluating compliance programs
  • Guidance is (and has been) a Reflection of Current Best Practices
    • The current thinking on compliance programs: risk-based, dynamic programs constantly reexamine and assess risks and that integrate into the culture of the company or organization, and a focus on effective, real compliance programs targeted to the specific organization.
    • Relevant across many contexts and substantive areas.
  • Importance of Guidance in the U.S.
    • Anti-corruption enforcement is still alive and well in the U.S.
    • Strong compliance programs that are designed to effectively and quickly identify issues provide helpful arguments to regulators when something does go wrong.
    • New regulatory players in the U.S.
  • These Issues Are Global and an Effective Compliance Program Doesn’t Just Help You in the U.S.
    • This is no longer a U.S. DOJ/SEC specific analysis and hasn’t been for years. Foreign regulators continue to cooperate with U.S. enforcement authorities and multi-jurisdiction enforcement activities and settlements continue.
    • Recent examples highlight significant reputational impacts of foreign anti-corruption initiatives.
    • Companies must be prepared for continued changes and increased enforcement in new/existing jurisdictions.
  • Corruption Risk Is Not Going Away
    • Significant international and domestic political uncertainty merits greater caution.
    • A dynamic compliance program will account for your organization’s unique risks and place you in a position to adapt to the changing international and domestic environment.
  • Human Trafficking Compliance
    • One example of how a strong compliance program can prevent issues of direct liability
    • The forced labor statute includes “venture liability” for benefitting financially from participation in a venture with the primary offender
    • A recent case from the US District Court for the District of Colorado demonstrates that the theory of venture liability will survive a motion to dismiss for simply benefitting from the venture
    • This provision necessitates the need a global compliance program that includes anti-trafficking training and certifications by partners and third parties
    • And the human trafficking chapter of the codes imposes civil liability when participating in a venture that the person knew or should have known was engaged in human trafficking
    • The government contracts arena also contains human trafficking compliance requirements that includes some similar elements to the evaluation factors
  • A Strong Compliance Program is the Best Defense to this Uncertainty and Risk
    • A dynamic compliance program can identify and accommodate unexpected and new risks.
    • Avoid issues (and costs) in the first place.
    • Minimize the impact to the company.
  • Future Outlook and Outstanding Questions
    • To what extent will an appropriate compliance program serve as protection from enforcement action?
    • Does anti-corruption interest in Europe and elsewhere continue to grow and what does that enforcement look like?
    • How will the SEC interpret or consider the DOJ guidance in its own thinking?
    • Will CFTC open a new front in U.S. anti-corruption related enforcement?

Online CLE DOJ’s Revised Evaluation Guidance

Online CLE DOJ’s Revised Evaluation Guidance

Brian WilmotAttorneyPaul Hastings LLP

Brian Wilmot is an associate in the Investigation and White Collar Defense practice of Paul Hastings and is based in the firm’s Washington, D.C. office. Mr. Wilmot’s practice focuses on complex, multi-jurisdictional government investigations and enforcement activities.  He also advises clients regarding their anti-corruption compliance programs and transaction-related due diligence activities. Mr. Wilmot assists clients from a wide-range of industries, including life sciences, manufacturing, technology, financial services, and telecommunications.  Mr. Wilmot received his law degree from The University of Pennsylvania Law School.

Online CLE DOJ’s Revised Evaluation Guidance

Kip B. RandallAttorney Husch Blackwell LLP

Kip B. Randall is an Attorney at Husch Blackwell, an industry-focused, full-service law firm, with more than 700 attorneys in 18 offices across the United States. Kip focuses his practice on white collar defense, government investigations and complex commercial litigation. He has defended elected officials, executives and service members in various proceedings and investigations, including those initiated by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). In his commercial litigation practice, Kip represents clients large and small across multiple industries on complex matters. A graduate of West Point and former U.S. Army Captain, he serves on the Junior Board of the Military Bowl Foundation, a 501(c)(3) nonprofit organization benefitting current and former U.S. service members.


Click Here to Read Additional Material

Online CLE DOJ’s Revised Evaluation Guidance

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   General knowledge of white-collar crime laws

Course Code:
   148630

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
    1.5 CLE

No Access

You are not logged in. Please or register to the event to gain access to the materials and login instructions.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

In today’s world of transformative change, our purpose is clear — to help our clients and people navigate new paths to growth. Founded in 1951, Paul Hastings has grown strategically to anticipate and respond to our clients' needs in markets across the globe. Our innovative approach and unmatched client service has helped guide our journey to becoming one of the world’s leading global law firms in such a short time.

We have a strong presence throughout Asia, Europe, Latin America, and the U.S. with 22 offices.  We offer a complete portfolio of services to support our clients’ complex, often mission-critical needs—from structuring first-of-their-kind transactions to resolving complicated disputes to providing the savvy legal counsel that keeps business moving forward.

Website: http://www.paulhastings.com/

Husch Blackwell is an industry-focused law firm with offices in 18 cities across the United States. The firm represents clients around the world in major industries including energy and natural resources; financial services and capital markets; food and agribusiness; healthcare, life sciences and education; real estate, development and construction; and technology, manufacturing and transportation. For more information, visit huschblackwell.com.

Website: https://huschblackwell.com/

Brian Wilmot is an associate in the Investigation and White Collar Defense practice of Paul Hastings and is based in the firm’s Washington, D.C. office. Mr. Wilmot’s practice focuses on complex, multi-jurisdictional government investigations and enforcement activities.  He also advises clients regarding their anti-corruption compliance programs and transaction-related due diligence activities. Mr. Wilmot assists clients from a wide-range of industries, including life sciences, manufacturing, technology, financial services, and telecommunications.  Mr. Wilmot received his law degree from The University of Pennsylvania Law School.

Kip B. Randall is an Attorney at Husch Blackwell, an industry-focused, full-service law firm, with more than 700 attorneys in 18 offices across the United States. Kip focuses his practice on white collar defense, government investigations and complex commercial litigation. He has defended elected officials, executives and service members in various proceedings and investigations, including those initiated by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). In his commercial litigation practice, Kip represents clients large and small across multiple industries on complex matters. A graduate of West Point and former U.S. Army Captain, he serves on the Junior Board of the Military Bowl Foundation, a 501(c)(3) nonprofit organization benefitting current and former U.S. service members.

Ultimate Value Annual Program

Bring a colleague for only $149, a savings of $50 per additional attendee.

  • Unlimited Access to Live & Recorded Webcasts
  • Instant Access to Course Materials
  • And More!

$199