Former Regulator’s Advice on Implementing New DOJ ECCP Guidance

The DOJ’s recently announced update to its compliance program guidance reflects a growing global trend of enforcement authorities focusing on compliance programs. Jacquelyn Pruet, formerly chief regulatory policy writer for the Texas Commission on Law Enforcement, offers a former regulator’s take on what it means to have an effective compliance program.

Pruet points out that an essential element of an effective ethics program is its adaptability in response to risks, such as new regulations, technologies, or market conditions, and lessons learned. Compliance departments must therefore have the ability to conduct investigations, root cause analysis, and corporate behavior modification. Root cause analysis asks what went wrong, and more importantly, why it happened and what can be done to mitigate its recurrence. Changing corporate behavior entails actionable steps, such as training, internal control changes, and supporting leadership in strengthening corporate culture change. Ultimately these actions taken together to adapt will help demonstrate to an outside examiner a real commitment to ethical and compliant behavior.

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