ST0481DOJDOJ

ST0481

Root Cause Analysis – What is the company’s root cause analysis of the misconduct at issue? Were any systemic issues identified? Who in the company was involved in making the analysis?

Assess my company

Plain-language summary

What it actually means.

to be determined

Plain-language summary forthcoming. Source text below.

Source text

As written.

Root Cause Analysis – What is the company’s root cause analysis of the misconduct at issue? Were any systemic issues identified? Who in the company was involved in making the analysis?

Assessed by HEXDI

What HEXDI assesses.

  • M11

    1 — AUDITS AND ASSESSMENTS

    Program has procedures for investigating the underlying root causes giving rise to program deficiencies and other internal control problems…

  • M11

    5 — AUDITS AND ASSESSMENTS

    Program requires review of audit results by Export/Import Compliance Council (or equivalent) to determine appropriate corrective actions,…

  • M11

    7 — AUDITS AND ASSESSMENTS

    Program has procedures for developing, tracking and ensuring timely completion of corrective actions within established time frames.

  • M12

    9 — HANDLING VIOLATIONS

    Investigation procedures require investigators to identify root causes and propose corrective actions for violations.

  • M12

    10 — HANDLING VIOLATIONS

    Investigation procedures require investigators to produce a complete and accurate written report detailing their findings and…

Related

Other DOJ standards.

Source & revisions

First mapped
Jun 8, 2022
Last updated
Aug 11, 2026 (3d ago)
Source
Evaluation of Corporate Compliance Programs