Measuring the Effectiveness of your Compliance Program? Let the Department of Justice Guidance Show You the Way

By Joseph Zielinski, Dinsmore & Shohl

In this article, we will explore how an “audit” can be performed as part of a compliance program review to determine the effectiveness of your compliance program.

The purpose of this article is to provide a format in which you can “audit” your compliance program and gain valuable insight into your organization as a whole. The technique discussed in this article will provide a way to create efficiencies in that while performing one task you will touch multiple other areas at the same time. This article can be of immense help, because not only can you learn something new, but you will learn how to combine resources and efforts to achieve multiple goals at once. This goal can be achieved by discussing how to analyze the three “fundamental questions” that, under Department of Justice Guidance, should be asked to determine the effectiveness of your compliance program. We will then use the three “fundamental questions” as the foundation to apply and reference other compliance guidance. Finally, we will discuss how to assess the effectiveness of your compliance program using the DOJ guidance, review a tool that will assist your review, and provide a way to display the results of your review. Read more.

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