ST0935
II.F.2. In the case of an entity, the processes followed to resolve issues related to the apparent violation. Did the Subject Person discover necessary information to ascertain the causes and extent of the apparent violation, fully and expeditiously? Was senior management fully informed? If so,…
Plain-language summary
What it actually means.
Plain-language summary forthcoming. Source text below.
Source text
As written.
II.F.2. In the case of an entity, the processes followed to resolve issues related to the apparent violation. Did the Subject Person discover necessary information to ascertain the causes and extent of the apparent violation, fully and expeditiously? Was senior management fully informed? If so, when?
Assessed by HEXDI
What HEXDI assesses.
- M12
4 — HANDLING VIOLATIONS
SAR system immediately notifies management of employee reports of suspected violations.
- 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
8 — HANDLING VIOLATIONS
Investigation procedures require that investigations of suspected violations to include a thorough review of the relevant facts and…
Related
Other DOT standards.
Source & revisions
- First mapped
- Jun 8, 2022
- Last updated
- May 26, 2026 (29m ago)
- Source
- Economic Sanctions Enforcement Guidelines