ST0189DOJDOJ

ST0189

Risk Management Process – What methodology has the company used to identify, analyze, and address the particular risks it faces? What information or metrics has the company collected and used to help detect the type of misconduct in question? How have the information or metrics informed the…

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Risk Management Process – What methodology has the company used to identify, analyze, and address the particular risks it faces? What information or metrics has the company collected and used to help detect the type of misconduct in question? How have the information or metrics informed the company’s compliance program?

Assessed by HEXDI

What HEXDI assesses.

M2
1 — PROGRAM SETUP AND ADMINISTRATION
Program is developed using a reasoned methodology that is based on a thorough analysis and identification of risks pertaining to company…
M2
2 — PROGRAM SETUP AND ADMINISTRATION
Methodology includes monitoring, collecting, and reporting of information on the number of exports/imports, nature and number of…
M2
3 — PROGRAM SETUP AND ADMINISTRATION
Senior Management, with the assistance of legal counsel and/or compliance personnel, takes responsibility for determining the significance…
M2
4 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification occurs at Senior Management meetings as part of short- and long-term forecasting and strategic planning.
M2
5 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers customer base, countries of exports/import activities, and product lines.
M2
6 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers risks posed by interactions with third parties, to include suppliers, brokers, contractors,…

Other DOJ standards.

Source & revisions

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