ST0027DOJDOJ

ST0027

Autonomy – Do the compliance and relevant control functions have direct reporting lines to anyone on the board of directors and/or audit committee? How often do they meet with directors? Are members of the senior management present for these meetings? How does the company ensure the independence of…

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Plain-language summary

What it actually means.

Plain-language summary forthcoming. Source text below.

Source text

As written.

Autonomy – Do the compliance and relevant control functions have direct reporting lines to anyone on the board of directors and/or audit committee? How often do they meet with directors? Are members of the senior management present for these meetings? How does the company ensure the independence of the compliance and control personnel?

Assessed by HEXDI

What HEXDI assesses.

M1
5 — MANAGEMENT COMMITMENT
Senior Management maintains sufficient oversight over maintenance of the program.
M1
7 — MANAGEMENT COMMITMENT
Senior Management reviews audit reports and recommendations and regularly evaluates effectiveness of the program.
M1
3 — MANAGEMENT COMMITMENT
Senior Management ensures that adequate compensation, bonuses, and other incentives are available to limit turnover of employees with key…
M1
4 — MANAGEMENT COMMITMENT
Senior Management ensures that there are adequate communication channels between Senior Management and employees with key compliance…
M2
1 — PROGRAM SETUP AND ADMINISTRATION
Program provides for establishment and maintenance of an Export/Import Compliance Council (or equivalent), chaired by a member of Senior…
M2
2 — PROGRAM SETUP AND ADMINISTRATION
Membership of the Export/Import Compliance Council (or equivalent) includes relevant management personnel, to include a team of managers…

Other DOJ standards.

Source & revisions

First mapped: Jun 8, 2022
Last updated: May 26, 2026 (13m ago)
Source: Evaluation of Corporate Compliance Programs