7:48 am
There is a portion of the DOJ’s Evaluation of Corporate Compliance Programs that has received surprisingly little play in FCPA compliance circles. Under the heading “Risk-Based Training,” the DOJ poses a series of questions companies will need to answer.
What training have employees in relevant control functions received? Has the company provided tailored training for high-risk and control employees, including training that addresses risks in the area where the misconduct occurred? Have supervisory employees received different or supplementary training? What analysis has the company undertaken to determine who should be trained and on what subjects?
The guiding concept is fairly straightforward and isn’t new. The idea is that the frontline sales employee will require a different sort of training than the Accounts Payable clerk, the CEO, or the local HR manager. Each of them faces a different type, level, and quality of FCPA risk – and this presupposes that the business organization has performed a proper (and well-documented, re-performable) corruption risk assessment.