ST0024DOJDOJ

ST0024

Oversight – What compliance expertise has been available on the board of directors? Have the board of directors and/or external auditors held executive or private sessions with the compliance and control functions? What types of information have the board of directors and senior management examined…

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Plain-language summary

What it actually means.

to be determined

Plain-language summary forthcoming. Source text below.

Source text

As written.

Oversight – What compliance expertise has been available on the board of directors? Have the board of directors and/or external auditors held executive or private sessions with the compliance and control functions? What types of information have the board of directors and senior management examined in their exercise of oversight in the area in which the misconduct occurred?

Assessed by HEXDI

What HEXDI assesses.

  • M2

    7 — PROGRAM SETUP AND ADMINISTRATION

    The Export/Import Compliance Council (or equivalent) reports to Board of Directors (or equivalent).

  • M2

    3 — PROGRAM SETUP AND ADMINISTRATION

    Employee responsible for coordinating the program provides periodic reports to the Export/Import Compliance Council (or equivalent) and, as…

  • M3

    1 — TRAINING

    Program requires annual top-level export/import training for Board of Directors (or equivalent).

  • M3

    2 — TRAINING

    Program requires annual top-level export/import training for Senior Management.

  • M11

    6 — AUDITS AND ASSESSMENTS

    Program has procedures for consultations between auditors and internal stakeholders, to include Senior Management, Board of Directors (or…

  • M11

    4 — AUDITS AND ASSESSMENTS

    Program has procedures for promptly communicating audit results to Board of Directors (or equivalent).

Related

Other DOJ standards.

Source & revisions

First mapped
Jun 8, 2022
Last updated
May 26, 2026 (12m ago)
Source
Evaluation of Corporate Compliance Programs