ST1083
[5. Performance review, audits, reporting and corrective actions] A well-functioning ICP has clear reporting procedures about the notification and escalation actions of employees when a suspected or known incident of non-compliance has occurred. As part of a sound compliance culture, employees must…
Plain-language summary
What it actually means.
Plain-language summary forthcoming. Source text below.
Source text
As written.
[5. Performance review, audits, reporting and corrective actions] A well-functioning ICP has clear reporting procedures about the notification and escalation actions of employees when a suspected or known incident of non-compliance has occurred. As part of a sound compliance culture, employees must feel confident and reassured when they raise questions or report concerns about compliance in good faith.
Assessed by HEXDI
What HEXDI assesses.
- M12
2 — HANDLING VIOLATIONS
Policies encourage employees to report suspected violations without fear of reprisal.
- M12
3 — HANDLING VIOLATIONS
Program requires initial hire and regular employee training on how to recognize possible violations and how to report suspected violations.
- M12
1 — HANDLING VIOLATIONS
Program includes a Suspicious Activity Reporting (SAR) system for collecting, analyzing, and using information on suspected violations.
- M12
5 — HANDLING VIOLATIONS
Program includes an Ombudsman Program as a reporting mechanism safe from reprisals, and as a means for reporting employees to track…
- M12
2 — HANDLING VIOLATIONS
SAR system has a 24-hour mechanism for employees to report suspected violations.
- M12
3 — HANDLING VIOLATIONS
SAR system has an anonymous mechanism for employees to report suspected violations.
Source & revisions
- First mapped
- Jun 8, 2022
- Last updated
- May 26, 2026 (31m ago)
- Source
- EU Guidance