Can you say "I don't need to review myself" even if I hear that sanctions can be reduced or exempted? – DOJ Antitrust Bureau New Guidelines

DOJは同ガイドラインで、効果的なコンプライアンスプログラムの要素として以下の9つを挙げています。（1）プログラムの設計と包括性、（2）コンプライアンスに対する社内の文化、（3）反トラストに関するコンプライアンスに対し、どの程度の責任を有し、どの程度のリソースを割いているか、（4）反トラストのリスク評価テクニック、（5）従業員に対するコンプライアンス教育、（6）反トラストに関するコンプライアンスプログラムの定期的な見直し・評価・修正を含むモニタリング／監査テクニック、（7）レポーティングのメカニズム、（8）コンプライアンスに対するインセンティブと規則、（9）改善方法

The DOJ does not list specific methods in its guidelines, but lists issues to consider and suggests options.We recommend that you choose the method that suits your size and industry.In particular, it's a good idea to customize it to handle potential risks within your company.

Let's take "monitoring" as an example. According to the DOJ, "Effective compliance programs have monitoring and auditing capabilities to ensure that employees comply with the compliance program."Other examples of monitoring include "regular review of documents / contact from specific employees, performance evaluation and self-evaluation by employees for specific employees, interviews with specific employees", etc. I will.

For small businesses, "walking around the company and talking to employees" can also be part of the monitoring, Murphy said.As you talk around the company, it's a good idea to also mention compliance and ethics checklists.

That said, DOJ's antitrust investigations are most worrisome for large multinational corporations, with departments scattered around the world. At DOJ, we expect large enterprises to devote more resources to compliance.Tools such as monitoring the communication of specific employees and email auditing tools are widely used in these companies.