ST0178
In the process of carrying out their regular activities, company personnel obtain information about whether internal control is functioning properly.
Plain-language summary
What it actually means.
Plain-language summary forthcoming. Source text below.
Source text
As written.
In the process of carrying out their regular activities, company personnel obtain information about whether internal control is functioning properly.
Assessed by HEXDI
What HEXDI assesses.
- M2
4 — PROGRAM SETUP AND ADMINISTRATION
Program provides a mechanism for employees to provide feedback on effectiveness of the program and to recommend improvements to increase…
- M11
4 — AUDITS AND ASSESSMENTS
Program requires regular ongoing feedback, testing, and/or quality control assessments of processes on a regular basis outside of the audit…
- M12
1 — HANDLING VIOLATIONS
Program describes the system for reporting potential violations and instructs that all company employees and Senior Management will report…
- M12
2 — HANDLING VIOLATIONS
Policies encourage employees to report suspected violations without fear of reprisal.
- M12
1 — HANDLING VIOLATIONS
Program includes a Suspicious Activity Reporting (SAR) system for collecting, analyzing, and using information on suspected violations.
- M12
5 — HANDLING VIOLATIONS
Program includes an Ombudsman Program as a reporting mechanism safe from reprisals, and as a means for reporting employees to track…
Source & revisions
- First mapped
- Jun 8, 2022
- Last updated
- May 26, 2026 (6m ago)
- Source
- Importer Self-Assessment Handbook