ST1167DOJDOJ

ST1167

Another hallmark of a compliance program that is working effectively is the existence of a well-functioning and appropriately funded mechanism for the timely and thorough investigations of any allegations or suspicions of misconduct by the company, its employees, or agents. An effective…

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Source text

As written.

Another hallmark of a compliance program that is working effectively is the existence of a well-functioning and appropriately funded mechanism for the timely and thorough investigations of any allegations or suspicions of misconduct by the company, its employees, or agents. An effective investigations structure will also have an established means of documenting the company’s response, including any disciplinary or remediation measures taken.

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.

  • M12

    1 — HANDLING VIOLATIONS

    Program has procedures for investigations of suspected violations.

  • M12

    2 — HANDLING VIOLATIONS

    Investigation procedures require and address timely assessment of each report of suspected violation.

  • M12

    3 — HANDLING VIOLATIONS

    Investigation procedures explain how to resolve each report of suspected violation.

  • M12

    4 — HANDLING VIOLATIONS

    Investigation procedures identify the situations in which formal internal investigations are required.

  • M12

    5 — HANDLING VIOLATIONS

    Investigation procedures require that only qualified personnel assess reports and conduct investigations of suspected violations.

  • M12

    6 — HANDLING VIOLATIONS

    Investigation procedures address when to retain outside counsel to investigate suspected violations.

Related

Other DOJ standards.

Source & revisions

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