ST0463DOJDOJ

ST0463

Effectiveness of the Reporting Mechanism – Has the compliance function had full access to reporting and investigative information?

Plain-language summary

What it actually means.

Plain-language summary forthcoming. Source text below.

Source text

Effectiveness of the Reporting Mechanism – Has the compliance function had full access to reporting and investigative information?

Assessed by HEXDI

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
5 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers customer base, countries of exports/import activities, and product lines.
M2
7 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers findings from audits, evaluations, and other assessments and history of compliance problems.
M11
2 — AUDITS AND ASSESSMENTS
Program has procedures for promptly communicating audit results to relevant management personnel, employees responsible for key compliance…
M11
3 — AUDITS AND ASSESSMENTS
Program has procedures for promptly communicating audit results to Senior Management.
M11
5 — AUDITS AND ASSESSMENTS
Program requires review of audit results by Export/Import Compliance Council (or equivalent) to determine appropriate corrective actions,…

Source & revisions