ST0029DOJDOJ

ST0029

Funding and Resources – Has there been sufficient staffing for compliance personnel to effectively audit, document, analyze, and act on the results of the compliance efforts? Has the company allocated sufficient funds for the same? Have there been times when requests for resources by compliance and…

Assess my company

Source text

As written.

Funding and Resources – Has there been sufficient staffing for compliance personnel to effectively audit, document, analyze, and act on the results of the compliance efforts? Has the company allocated sufficient funds for the same? Have there been times when requests for resources by compliance and control functions have been denied, and if so, on what grounds?

Change history

When and why it changed.

Present in the original catalog

This standard has not changed since it was added.

Assessed by HEXDI

What HEXDI assesses.

M1
1 — MANAGEMENT COMMITMENT
Senior Management allocates sufficient financial, information technology, employee, legal, and other resources, to include external…
M2
2 — PROGRAM SETUP AND ADMINISTRATION
Employee responsible for coordinating the program has adequate resources, sufficient authority, and direct access to Senior Management or…
M2
10 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers risks posed by internal factors such as changes to product lines, staffing, operating processes,…
M12
1 — HANDLING VIOLATIONS
Program requires the maintenance of information on violations for use in analysis of effectiveness of the program, for use in risk analysis…

Other DOJ standards.

Source & revisions

First mapped: Jun 8, 2022
Last updated: Oct 28, 2026 (6d ago)
Source: Evaluation of Corporate Compliance Programs