ST0473DOJDOJ

ST0473

Accountability – What disciplinary actions did the company take in response to the misconduct and were they timely? Were managers held accountable for misconduct that occurred under their supervision? Did the company consider disciplinary actions for failures in supervision? What is the company’s…

Assess my company

Source text

As written.

Accountability – What disciplinary actions did the company take in response to the misconduct and were they timely? Were managers held accountable for misconduct that occurred under their supervision? Did the company consider disciplinary actions for failures in supervision? What is the company’s record (e.g., number and types of disciplinary actions) on employee discipline relating to the types of conduct at issue? Has the company ever terminated or otherwise disciplined anyone (reduced or eliminated bonuses, issued a warning letter, etc.) for the type of misconduct at issue?

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

    6 — MANAGEMENT COMMITMENT

    Senior Management maintains sufficient oversight over employee adherence to the program.

  • M12

    1 — HANDLING VIOLATIONS

    Program has procedures for tracking and ensuring timely completion of corrective actions for violations.

  • M12

    2 — HANDLING VIOLATIONS

    Program has procedures for the fair and consistent application of disciplinary actions for employee violations.

  • M12

    3 — HANDLING VIOLATIONS

    Senior Management takes reasonable steps to exclude employees responsible for intentional violations of export/import laws from management…

Related

Other DOJ standards.

Source & revisions

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