The Department of Justice (DOJ), in its 2024 Update, has explicitly directed companies to ensure they have robust processes in place to identify, manage, and mitigate emerging risks related to new technologies, including AI. As compliance professionals, we are responsible for safeguarding the integrity of our organizations and fostering a culture where ethical behavior is the norm, not the exception. The 2024 Update to the Evaluation of Corporate Compliance Programs provides us with critical insights into how we can enhance the effectiveness of our compliance programs, particularly regarding reporting mechanisms and whistleblower protection. These elements are the bedrock of a robust compliance culture, and the update offers a clear roadmap for their implementation and improvement.

The DOJ posed two sets of queries for compliance professionals. They are found in Section I, entitled “Is the Corporation’s Compliance Program Well Designed?” A prosecutor could ask a company or compliance professional going through an investigation in the following series of questions.

Effectiveness of the Reporting Mechanism

• Does the company have an anonymous reporting mechanism, and if not, why not?
• How is the reporting mechanism publicized to the company’s employees and other third parties? Has it been used?
• Does the company test whether employees know the hotline and feel comfortable using it?
• Does the company encourage and incentivize reporting of potential misconduct or violations of...

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