ST1139
A comprehensive, independent, and objective testing or audit function within an SCP ensures that entities are aware of where and how their programs are performing and should be updated, enhanced, or recalibrated to account for a changing risk assessment or sanctions environment, as appropriate.
Plain-language summary
What it actually means.
Plain-language summary forthcoming. Source text below.
Source text
As written.
A comprehensive, independent, and objective testing or audit function within an SCP ensures that entities are aware of where and how their programs are performing and should be updated, enhanced, or recalibrated to account for a changing risk assessment or sanctions environment, as appropriate.
Assessed by HEXDI
What HEXDI assesses.
- M11
2 — AUDITS AND ASSESSMENTS
Program requires unit/functional level audits.
- M11
3 — AUDITS AND ASSESSMENTS
Program requires program level audits.
- 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
1 — AUDITS AND ASSESSMENTS
The scope and frequency of audits are determined based on the company’s ongoing risk analysis and identification.
- M11
19 — AUDITS AND ASSESSMENTS
Audit guide requires verifications that program requirements are consistent with current regulatory requirements and updates to the guide…
- M11
2 — AUDITS AND ASSESSMENTS
Program has procedures for promptly communicating audit results to relevant management personnel, employees responsible for key compliance…
Related
Other DOT standards.
Source & revisions
- First mapped
- Jun 8, 2022
- Last updated
- Aug 11, 2026 (3d ago)
- Source
- OFAC Settlement Agreements