By Joe Murphy, JD, CCEP, CCEP-I
In the past I have written about mistakes companies make in their compliance programs, see Joseph E. Murphy, Policies in conflict: Undermining corporate self-policing, 69 Rutgers U.L. Rev. 421 (2017), http://www.rutgerslawreview.com/wp-content/uploads/2017/07/Joseph-Murphy-Policies-in-Conflict-69-Rutgers-U.-L.-Rev.-421-2017.pdf
But what about the other half of this issue: the mistakes governments make in dealing with compliance programs in their regulatory and enforcement actions. I would like to explore this further.
Here is my initial list of mistakes I see in government approaches to compliance programs. What do you think? Do you have examples? Experiences in dealing with governments on these issues?
- Undermining company programs (examples are in the Rutgers article)
- Mandating programs, including detail
- Focusing on paper and preaching, not the important areas
- Not providing examples or discussing cases
- Not having their own internal programs
- Not having any expertise
- Taking a pass/fail approach
Thanks for any comments or suggestions. Cheers, Joe