

Class Packet: Applying DOJ Guidance
Presentation Slides
Decoding the DOJ's Expectations for Effectiveness
Presentation Slides
What Does Guidance Look Like in Practice?
What is the biggest “design” challenge for your compliance program today? | |
Risk Assessment | 37% |
Policies and Procedures | 12% |
Training and Communications | 16% |
Confidential Reporting Structures | 6% |
Third-Party Management | 29% |
N = 1,630
What “theme” will you be prioritizing in 2021? | |
Informed and Documented | 31% |
Responsive and Continuous | 25% |
Data: Operational and Accessible | 25% |
Resourced and Empowered | 19% |
N = 1,330
The updated DOJ guidance represents a critical roadmap for risk and compliance professionals to help design, update and improve their programs.
Use this 20-point checklist to begin aligning your compliance program with the guidance, and use the definitive guides below to learn how to create well-designed program components.
When evaluating the effectiveness of an organization’s compliance program, the DOJ asks three questions:
Assess your compliance program to ensure it is delivering on the various forms of effectiveness.
Download the Definitive Guide to Compliance Program Assessment
Well-designed compliance programs apply risk-based due diligence to third-party relationships. This includes understanding the risk posed by third-party partners and applying continual monitoring throughout the lifespan of relationships to manage those risks.
Create and deploy a risk-based third-party due diligence program.
Download the Definitive Guide to Third-Party Risk Management
Well-designed policy and procedure programs cover an organization’s full spectrum of risk, outline clear processes for implementing and updating policies, and ensure policies are easily accessible and searchable by employees.
Learn how to create a program that manages the full life cycle of your policies and procedures.
Download the Definitive Guide to Policy and Procedure Management
Well-designed compliance programs tailor training content and communications to employees based on the organization’s risk profile and its workforce size, locations, and subject matter expertise.
Develop an engaging, risk-based compliance training program.
Download the Definitive Guide to Ethics and Compliance Training
Well-designed hotline and internal reporting programs ensure there is a trusted mechanism that employees can anonymously or confidentially report and a complementary process for investigating, documenting and learning from complaints.
Implement an incident management program that manages internal reports from intake to resolution.
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