Mistakes Governments Make in Dealing with Compliance Programs

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By Joe Murphy, JD, CCEP, CCEP-I
Compliance Strategists
jemurphy5730@gmail.com

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?

  1. Undermining company programs (examples are in the Rutgers article)
  2. Mandating programs, including detail
  3. Focusing on paper and preaching, not the important areas
  4. Not providing examples or discussing cases
  5. Not having their own internal programs
  6. Not having any expertise
  7. Taking a pass/fail approach

Thanks for any comments or suggestions.  Cheers,  Joe