U.S. Department of Justice releases additional Filip factor guidance

Indianapolis – United States Attorney Josh J. Minkler is pleased to announce that the Department of Justice (DOJ) has issued new guidance on how corporate compliance programs will be evaluated by DOJ. The Southern District of Indiana personally participated in the Department’s April 30, 2019 launch efforts in Washington, D.C.

The new DOJ guidance is intended to provide greater transparency into prosecution decisions and updates previous February 2017 guidance described when Department prosecutors conduct investigations of corporations. The Justice Manual considerations focus on “the adequacy and effectiveness of the corporation’s compliance program at the time of the offense, as well as at the time of a charging decision.” 

The Southern District of Indiana (SDIN) was one of twenty-two in the country represented at the recent Criminal Division rollout addressing this guidance. USA Minkler appointed First Assistant United States Attorney Cynthia J. Ridgeway to represent the district and engage with Fraud Section leaders and private sector compliance representatives. 

The Department’s guidance document, entitled “The Evaluation of Corporate Compliance Programs,” may be viewed at https://www.justice.gov/opa/pr/criminal-division-announces-publication-guidance-evaluating-corporate-compliance-programs. USA Minkler will be convening a private sector seminar in the coming months to discuss the three basic, overarching questions Department lawyers will contemplate:

1. Is the corporate compliance program well designed?
2. Is the program being applied earnestly and in good faith? 
3. Does the compliance program work in practice?