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DOJ Antitrust Division Now Considers Compliance at the Charging Stage

Edward Buthusiem and Katherine Norris

July 29, 2019

The Antitrust Division of the US Department of Justice (DOJ), to incentivize the existence of robust corporate compliance programs, announced on July 11, 2019, that it will consider businesses’ compliance monitoring programs during the charging stage. This means that the strength of a compliance program may serve to reduce a company’s culpability score and help mitigate the amount of applicable fines and penalties.

The Antitrust Division published an accompanying document to guide prosecutors in evaluating a Corporate Antitrust Compliance Program. In that document, the Division announced that antirust prosecutors will follow other DOJ divisions and will now consider the “Principles of Federal Prosecution of Business Organizations,” better known as the “Filip Factors,” when charging a company. Although no formula is used in the evaluation of businesses’ compliance programs, prosecutors use three fundamental questions to guide them: whether the corporation’s compliance program is “well designed,” being applied “in good faith,” and working effectively. Importantly, although the Antitrust Division will apply the Filip Factors to evaluate a subject company’s compliance program, DOJ was quick to note that each charging decision and any attendant determinations about a company’s compliance program will be made on a case-by-case basis.

BRG professionals have significant experience performing Filip Factor compliance assessments for companies facing DOJ civil and criminal proceedings. Our team can advise companies across various sectors regarding implementation and improvement of effective compliance programs, development and review of policies and procedures, and detection and mitigation of risks.

For further information, please contact Edward J. Buthusiem at

The views and opinions expressed in this article are those of the authors and do not necessarily reflect the opinions, position, or policy of Berkeley Research Group, LLC or its other employees and affiliates.

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Edward J. Buthusiem

Managing Director

Washington, DC