New Ordinance establishes amendments to the Practical Manual for the Evaluation of Compliance Programs in Administrative Liability Proceedings (PAR)
13/09/2022
| In short |
| In September 12, 2022, the Secretariat for Transparency and Prevention of Corruption of the Comptroller General of the Union (CGU) published the Joint Ordinance No. 06/2022 establishing an amendment to the Practical Manual for the Evaluation of Compliance Programs in Administrative Liability Proceedings (PAR). The change was due to the new guidelines brought by Decree 11,129/2022 which alters the Anti-Corruption Law (Law No. 12,846/2013) regarding the percentage applied in the assessment of compliance programs. |
| Main Measures – The Practical Manual for the Evaluation of Compliance Programs in PAR, dated 2018, guides the employees of the Federal Executive Branch in the evaluation of compliance programs presented by legal entities that are facing administrative proceedings, which may cause a reduction in the amount of the fines provided for in article 6, item I, of Law No. 12,846. – The item 5.4 of the Manual provides the method of calculating the fine reduction percentage, initially provided for in Decree No. 8,420/2015, however revoked by Decree No. 11,129/2022, which brought new parameters. – Among the changes, Decree No. 11,129/2022 changed the minimum and maximum limits of the percentage reduction of the fine resulting from the implementation and application of the compliance program, from “1 to 4%” to “up to 5%”. The Secretariat of Transparency and Prevention of Corruption (STPC/CGU), through this Ordinance, establishes the reformulation of Annex IV – Manual Evaluation Worksheet, in order to adapt it to the new provisions. In view of the need to immediately apply the benefit of fine reduction, the new Ordinance establishes the following transition guideline: ° The percentage of reduction to be considered in the fine dosimetry continues to be calculated by the formula provided for in item 5.4 of the Manual [(COI[1] x MPI[2] ) + APJ[3]], however, the final result of the calculation must be – when greater than or equal to 1,0% – multiplied by 1.25, in order to correspond to the 25% increase in the maximum reduction limit established by Decree No. 11,129/2022. º When, however, the percentage obtained automatically by the formula provided for in item 5.4 of the Manual [(COI x MPI) + APJ] is less than 1, the Compliance program will continue to be considered merely formal, not obtaining, for this reason, any discount. – The guideline is a temporary and exceptional measure and should be used in ongoing evaluations. It will be applied until the publication of the new Manual for the Evaluation of Compliance Programs on Private Entities, scheduled for being published on the second half of 2022. |
[1] Organizational Culture of Integrity.
[2] Integrity Mechanisms, Policies and Procedures.
[3] Action of the legal entity in relation to the harmful act.
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