ST1114DOTOFAC

ST1114

A comprehensive and objective testing or audit function within an SCP ensures that an organization identifies program weaknesses and deficiencies, and it is the organization’s responsibility to enhance its program, including all program-related software, systems, and other technology, to remediate…

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Plain-language summary

What it actually means.

to be determined

Plain-language summary forthcoming. Source text below.

Source text

As written.

A comprehensive and objective testing or audit function within an SCP ensures that an organization identifies program weaknesses and deficiencies, and it is the organization’s responsibility to enhance its program, including all program-related software, systems, and other technology, to remediate any identified compliance gaps. Such enhancements might include updating, improving, or recalibrating SCP elements to account for a changing risk assessment or sanctions environment. Testing and auditing can be conducted on a specific element of an SCP or at the enterprise-wide level.

Assessed by HEXDI

What HEXDI assesses.

  • M11

    1 — AUDITS AND ASSESSMENTS

    Program requires both internal and external audits to confirm whether procedures are performed as written and to determine effectiveness of…

  • M11

    4 — AUDITS AND ASSESSMENTS

    Program requires regular ongoing feedback, testing, and/or quality control assessments of processes on a regular basis outside of the audit…

  • M11

    4 — AUDITS AND ASSESSMENTS

    Audit guide requires use of specialized software or another management and evaluation tool. 


  • M11

    12 — AUDITS AND ASSESSMENTS

    Audit guide requires verification that program procedures are properly implemented.

  • M11

    13 — AUDITS AND ASSESSMENTS

    Audit guide requires direct testing of actual operations.

  • M11

    1 — AUDITS AND ASSESSMENTS

    Audit guide requires comparison of audit results to prior audit results to identify any repeated deficiencies.

Related

Other DOT standards.

Source & revisions

First mapped
Jun 8, 2022
Last updated
May 26, 2026 (30m ago)
Source
Framework for OFAC Compliance Commitments