ST0467DOJDOJ

ST0467

Properly Scoped Investigations by Qualified Personnel – How does the company determine which complaints or red flags merit further investigation? How does the company ensure that investigations are properly scoped? What steps does the company take to ensure investigations are independent,…

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Source text

As written.

Properly Scoped Investigations by Qualified Personnel – How does the company determine which complaints or red flags merit further investigation? How does the company ensure that investigations are properly scoped? What steps does the company take to ensure investigations are independent, objective, appropriately conducted, and properly documented? How does the company determine who should conduct an investigation, and who makes that determination?

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.

M11
1 — AUDITS AND ASSESSMENTS
Program designates a qualified employee with requisite authority, training, and experience to coordinate and supervise program audits.
M11
2 — AUDITS AND ASSESSMENTS
Program requires that only qualified personnel with requisite authority, training, and experience perform audits.
M11
3 — AUDITS AND ASSESSMENTS
Program has a procedure for addressing actual and potential conflicts of interest between the auditor and the unit, functional level,…
M11
1 — AUDITS AND ASSESSMENTS
Program requires use of standard audit modules, a self-assessment tool or other audit guide that provides step-by-step instructions for…
M11
2 — AUDITS AND ASSESSMENTS
Audit guide adequately defines the audit methodology.
M12
1 — HANDLING VIOLATIONS
Program has procedures for investigations of suspected violations.

Other DOJ standards.

Source & revisions

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