Re: [PSES] Is your company doing enough to ensure adequate EMC compliance?

[John Allen]

ate EMC
complia nce?


In generic terms Compliance is indeed nothing more than adherence to a set
of rules. I once debated legal council at a company who wanted exclusive use
of the term. I pointed out how this term is used in finance, medical,
transportation, product safety, EMC and legal circles. Given a bit more time
I'm certain I could come up with a list nearly as long as your arm. This one
reason why I personally prefer the term Compliance Engineer. It is unique to
this business sector. Among my peers, I like to be more specific and mention
product safety engineer or EMC engineer.  



All the best, Doug





Douglas E Powell

doug...@gmail.com 

https://www.linkedin.com/in/dougp01













From: Brian Gregory
Sent: Saturday, January 16, 2016 11:24 PM
To: EMC-PSTC@LISTSERV.IEEE.ORG
Reply To: Brian Gregory
Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC
complia nce?


 

Ah yes, I recall a conversation with a bright one from Garrad Hassan about a
mutual customer.  He was establishing their compliance with GH's established
financial qualifications for an undisclosed analysis.  I picked on the
distinction rather quickly and had to clarify to him what compliance meant
to me, representing an NRTL.

 

Colorado Brian 



-- Original Message --
From: Scott Aldous <0220f70c299a-dmarc-requ...@ieee.org>
To: EMC-PSTC@LISTSERV.IEEE.ORG
Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC
complia nce?
Date: Fri, 15 Jan 2016 10:11:52 -0800

As is made somewhat more clear in this article
<http://www.fcpablog.com/blog/2015/11/9/sec-we-protect-compliance-officers-e
xcept-when-we-prosecute.html>
<http://www.fcpablog.com/blog/2015/11/9/sec-we-protect-compliance-officers-e
xcept-when-we-prosecute.html>  (linked to by the original), this has nothing
to do with technical product compliance but is about securities compliance
<https://en.wikipedia.org/wiki/Securities_regulation_in_the_United_States> .


 

Sloppy use of the term "compliance" with no explanation of the specific
meaning.

 

Scott (am I the "other" Scott?) just made a similar point... I will post
anyway.

 

On Fri, Jan 15, 2016 at 9:52 AM, Brian Gregory <brian_greg...@netzero.net>
wrote:

 

 If you read the article (and others) it can be read either way.  The blog's
purpose is to give Compliance Officers tools, reference information and
background as to what is going on. 

 

That the SEC is getting involved in Compliance investigations indicates to
me increased scrutiny of companies' compliance issues.  As a technical
issue, this appears to me to be bureaucratic overreach at the least, since
SEC and DOJ aren't safety organizations like OSHA.  I think
out-of-compliance issues should be (1) safety based and (2) customer
sourced.  SEC or DOJ get involved when there's a user-related problem or
clear malfeasance (altering of documentation, unsubstantiated claims, etc.),
which are covered under existing laws.

 

As I see IEC regulations leaning more towards risk management/aversion, I
get the feeling that standards organizations are also contributing to this
overreach by trying to solve problems, via regulation/standardization that
haven't been proven yet to be problems in the actual marketplace of people,
customers and products.  If you've been involved in any STP's, it's hard to
avoid the feeling that there are some making hay out of increased regulatory
oversight, including many ways that help consultants more than end users.

 

 

Colorado Brian 

-- Original Message --
From: "gdstuyvenb...@yahoo.com"
<058ee1229c70-dmarc-requ...@ieee.org>
To: EMC-PSTC@LISTSERV.IEEE.ORG
Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC
compliance?
Date: Fri, 15 Jan 2016 13:29:10 +

Ken, wasn't suggesting increased government regulation, rather useful tips
for our own consideration.  
 

Gary Stuyvenberg

Thompson Consulting

 

  _  

From: Ken Javor <ken.ja...@emccompliance.com>
To: EMC-PSTC@LISTSERV.IEEE.ORG 
Sent: Thursday, January 14, 2016 10:59 PM
Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC
compliance?

 

"Last week was a good one for the compliance profession. "

Could not disagree more.  This is big brother, or socialism, call it what
you will.  A product either meets requirements, or it doesn't. The gov't
instructing the private sector on how to get there is worse than
superfluous, it's damaging.

Ken Javor
Phone: (256) 650-5261 <tel:%28256%29%20650-5261> 

  _  


From: "gdstuyvenb...@yahoo.com" <058ee1229c70-dmarc-requ...@ieee.org>
Reply-To: "gdstuyvenb...@yahoo.com" <gdstuyvenb...@yahoo.com>
Date: Fri, 15 Jan 2016 03:33:42 +
To: <EMC-PSTC@LISTSERV.IEEE.ORG>
Subject: [PSES] Is your company doing enough to ensure adequate EMC
compliance?

As this is a board that deals primarily with regula

Re: [PSES] Is your company doing enough to ensure adequate EMC compliance?

[gdstuyvenb...@yahoo.com]

Ken, wasn't suggesting increased government regulation, rather useful tips for 
our own consideration.  
 Gary StuyvenbergThompson Consulting
  From: Ken Javor <ken.ja...@emccompliance.com>
 To: EMC-PSTC@LISTSERV.IEEE.ORG 
 Sent: Thursday, January 14, 2016 10:59 PM
 Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC 
compliance?
   
Re: [PSES] Is your company doing enough to ensure adequate EMC compliance?“Last 
week was a good one for the compliance profession. “

Could not disagree more.  This is big brother, or socialism, call it what you 
will.  A product either meets requirements, or it doesn't. The gov’t 
instructing the private sector on how to get there is worse than superfluous, 
it’s damaging.

Ken Javor
Phone: (256) 650-5261


From: "gdstuyvenb...@yahoo.com" <058ee1229c70-dmarc-requ...@ieee.org>
Reply-To: "gdstuyvenb...@yahoo.com" <gdstuyvenb...@yahoo.com>
Date: Fri, 15 Jan 2016 03:33:42 +
To: <EMC-PSTC@LISTSERV.IEEE.ORG>
Subject: [PSES] Is your company doing enough to ensure adequate EMC compliance?

As this is a board that deals primarily with regulatory/compliance issues, I 
thought the following article was pertinent to our cause and deserving of 
consideration.  

FEDS AS THOUGHT LEADERS: A BACK-DOOR COMPLIANCE DEFENSE TAKES SHAPE 
<http://www.fcpablog.com/blog/2015/11/11/feds-as-thought-leaders-a-back-door-compliance-defense-takes.html>
 
By Richard L. Cassin <http://www.fcpablog.com/blog/author/fcpablog>  | 
Wednesday, November 11, 2015 at 7:53AM
Assistant Attorney General Leslie Caldwell said last week the DOJ's hiring of a 
compliance counsel doesn't mean the agency is "moving toward recognizing or 
instituting a 'compliance defense.'"
What then will the compliance counsel do?
"She will help us evaluate each compliance program on a case-by-case basis -- 
just as the department always has -- but with a more expert eye," AAG Caldwell 
told a gethering 
<http://www.justice.gov/opa/speech/assistant-attorney-general-leslie-r-caldwell-speaks-sifma-compliance-and-legal-society>
  of compliance officers in New York.
Caldwell, pictured above, then set out the factors the DOJ compliance counsel 
will assess:
   
   - Does the institution ensure that its directors and senior managers provide 
strong, explicit and visible support for its corporate compliance policies?
   - Do the people who are responsible for compliance have stature within the 
company? Do compliance teams get adequate funding and access to necessary 
resources? Of course, we won’t expect that a smaller company has the same 
compliance resources as a Fortune-50 company.
   - Are the institution’s compliance policies clear and in writing? Are they 
easily understood by employees? Are the policies translated into languages 
spoken by the company’s employees?
   - Does the institution ensure that its compliance policies are effectively 
communicated to all employees? Are its written policies easy for employees to 
find? Do employees have repeated training, which should include direction 
regarding what to do or with whom to consult when issues arise?
   - Does the institution review its policies and practices to keep them up to 
date with evolving risks and circumstances? This is especially important if a 
U.S.-based entity acquires or merges with another business, especially a 
foreign one.
   - Are there mechanisms to enforce compliance policies? Those include both 
incentivizing good compliance and disciplining violations. Is discipline even 
handed? The department does not look favorably on situations in which low-level 
employees who may have engaged in misconduct are terminated, but the more 
senior people who either directed or deliberately turned a blind eye to the 
conduct suffer no consequences. Such action sends the wrong message -- to other 
employees, to the market and to the government -- about the institution’s 
commitment to compliance.
   - Does the institution sensitize third parties like vendors, agents or 
consultants to the company’s expectation that its partners are also serious 
about compliance? This means more than including boilerplate language in a 
contract. It means taking action -- including termination of a business 
relationship -- if a partner demonstrates a lack of respect for laws and 
policies. And that attitude toward partner compliance must exist regardless of 
geographic location.   

Two days after AAG Caldwell's talk in New York,  Andrew Ceresney, head of the 
SEC's enforcement division, spoke to 
<http://www.fcpablog.com/blog/2015/11/9/sec-we-protect-compliance-officers-except-when-we-prosecute.html>
  the National Society of Compliance Professionals at the group's annual event 
in DC.
He started with a disclaimer: "[T]he views I express here today are my own and 
do not necessarily represent the views of the Commission or its staff."
Then he said something eve

Re: [PSES] Is your company doing enough to ensure adequate EMC compliance?

[Ken Javor]

³Last week was a good one for the compliance profession. ³

Could not disagree more.  This is big brother, or socialism, call it what
you will.  A product either meets requirements, or it doesn't. The gov¹t
instructing the private sector on how to get there is worse than
superfluous, it¹s damaging.

Ken Javor
Phone: (256) 650-5261



From: "gdstuyvenb...@yahoo.com" <058ee1229c70-dmarc-requ...@ieee.org>
Reply-To: "gdstuyvenb...@yahoo.com" 
Date: Fri, 15 Jan 2016 03:33:42 +
To: 
Subject: [PSES] Is your company doing enough to ensure adequate EMC
compliance?

As this is a board that deals primarily with regulatory/compliance issues, I
thought the following article was pertinent to our cause and deserving of
consideration.  

FEDS AS THOUGHT LEADERS: A BACK-DOOR COMPLIANCE DEFENSE TAKES SHAPE

By Richard L. Cassin   |
Wednesday, November 11, 2015 at 7:53AM
Assistant Attorney General Leslie Caldwell said last week the DOJ's hiring
of a compliance counsel doesn't mean the agency is "moving toward
recognizing or instituting a 'compliance defense.'"
What then will the compliance counsel do?
"She will help us evaluate each compliance program on a case-by-case basis
-- just as the department always has -- but with a more expert eye," AAG
Caldwell told a gethering
  of compliance officers in
New York.
Caldwell, pictured above, then set out the factors the DOJ compliance
counsel will assess:
* Does the institution ensure that its directors and senior managers provide
strong, explicit and visible support for its corporate compliance policies?
* Do the people who are responsible for compliance have stature within the
company? Do compliance teams get adequate funding and access to necessary
resources? Of course, we won¹t expect that a smaller company has the same
compliance resources as a Fortune-50 company.
* Are the institution¹s compliance policies clear and in writing? Are they
easily understood by employees? Are the policies translated into languages
spoken by the company¹s employees?
* Does the institution ensure that its compliance policies are effectively
communicated to all employees? Are its written policies easy for employees
to find? Do employees have repeated training, which should include direction
regarding what to do or with whom to consult when issues arise?
* Does the institution review its policies and practices to keep them up to
date with evolving risks and circumstances? This is especially important if
a U.S.-based entity acquires or merges with another business, especially a
foreign one. 
* Are there mechanisms to enforce compliance policies? Those include both
incentivizing good compliance and disciplining violations. Is discipline
even handed? The department does not look favorably on situations in which
low-level employees who may have engaged in misconduct are terminated, but
the more senior people who either directed or deliberately turned a blind
eye to the conduct suffer no consequences. Such action sends the wrong
message -- to other employees, to the market and to the government -- about
the institution¹s commitment to compliance.
* Does the institution sensitize third parties like vendors, agents or
consultants to the company¹s expectation that its partners are also serious
about compliance? This means more than including boilerplate language in a
contract. It means taking action -- including termination of a business
relationship -- if a partner demonstrates a lack of respect for laws and
policies. And that attitude toward partner compliance must exist regardless
of geographic location.
Two days after AAG Caldwell's talk in New York,  Andrew Ceresney, head of
the SEC's enforcement division, spoke to
  the National Society of Compliance
Professionals at the group's annual event in DC.
He started with a disclaimer: "[T]he views I express here today are my own
and do not necessarily represent the views of the Commission or its staff."
Then he said something every compliance officer and corporate director and
C-suiter should hear and remember: "I have found that you can predict a lot
about the likelihood of an enforcement action by asking a few simple
questions about the role of the company¹s compliance department in the
firm."
Here are those "simple" questions:
* Are compliance personnel included in critical meetings?
* Are their views typically sought and followed?
* Do compliance officers report to the CEO and have significant visibility
with the board? 
* Is the compliance department viewed as an important partner in the
business and not simply as a 

Re: [PSES] Is your company doing enough to ensure adequate EMC compliance?

[alfred1520list]

And now the fire catching hover boards are hard to buy, but not because no one 
wants to buy. Why?

On January 14, 2016 10:08:50 PM PST, "Ghery S. Pettit" <n6...@comcast.net> 
wrote:
>Amen to that.
>
> 
>
>Ghery Pettit
>
> 
>
>From: Ken Javor [mailto:ken.ja...@emccompliance.com] 
>Sent: Thursday, January 14, 2016 7:59 PM
>To: EMC-PSTC@LISTSERV.IEEE.ORG
>Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC
>compliance?
>
> 
>
>"Last week was a good one for the compliance profession. "
>
>Could not disagree more.  This is big brother, or socialism, call it
>what
>you will.  A product either meets requirements, or it doesn't. The
>gov't
>instructing the private sector on how to get there is worse than
>superfluous, it's damaging.
>
>Ken Javor
>Phone: (256) 650-5261
>
>
>
>  _  
>
>From: "gdstuyvenb...@yahoo.com"
><058ee1229c70-dmarc-requ...@ieee.org>
>Reply-To: "gdstuyvenb...@yahoo.com" <gdstuyvenb...@yahoo.com>
>Date: Fri, 15 Jan 2016 03:33:42 +
>To: <EMC-PSTC@LISTSERV.IEEE.ORG>
>Subject: [PSES] Is your company doing enough to ensure adequate EMC
>compliance?
>
>As this is a board that deals primarily with regulatory/compliance
>issues, I
>thought the following article was pertinent to our cause and deserving
>of
>consideration.  
>
>FEDS AS THOUGHT LEADERS: A BACK-DOOR COMPLIANCE DEFENSE TAKES SHAPE
><http://www.fcpablog.com/blog/2015/11/11/feds-as-thought-leaders-a-back-door
>-compliance-defense-takes.html>
><http://www.fcpablog.com/blog/2015/11/11/feds-as-thought-leaders-a-back-door
>-compliance-defense-takes.html> 
>By Richard L. Cassin  <http://www.fcpablog.com/blog/author/fcpablog>
><http://www.fcpablog.com/blog/author/fcpablog>  | Wednesday, November
>11,
>2015 at 7:53AM
>Assistant Attorney General Leslie Caldwell said last week the DOJ's
>hiring
>of a compliance counsel doesn't mean the agency is "moving toward
>recognizing or instituting a 'compliance defense.'"
>What then will the compliance counsel do?
>"She will help us evaluate each compliance program on a case-by-case
>basis
>-- just as the department always has -- but with a more expert eye,"
>AAG
>Caldwell told a gethering
><http://www.justice.gov/opa/speech/assistant-attorney-general-leslie-r-caldw
>ell-speaks-sifma-compliance-and-legal-society>
><http://www.justice.gov/opa/speech/assistant-attorney-general-leslie-r-caldw
>ell-speaks-sifma-compliance-and-legal-society>  of compliance officers
>in
>New York.
>Caldwell, pictured above, then set out the factors the DOJ compliance
>counsel will assess:
>
>*  Does the institution ensure that its directors and senior managers
>provide strong, explicit and visible support for its corporate
>compliance
>policies? 
>*  Do the people who are responsible for compliance have stature within
>the company? Do compliance teams get adequate funding and access to
>necessary resources? Of course, we won't expect that a smaller company
>has
>the same compliance resources as a Fortune-50 company. 
>*  Are the institution's compliance policies clear and in writing? Are
>they easily understood by employees? Are the policies translated into
>languages spoken by the company's employees? 
>*  Does the institution ensure that its compliance policies are
>effectively communicated to all employees? Are its written policies
>easy for
>employees to find? Do employees have repeated training, which should
>include
>direction regarding what to do or with whom to consult when issues
>arise? 
>*  Does the institution review its policies and practices to keep them
>up to date with evolving risks and circumstances? This is especially
>important if a U.S.-based entity acquires or merges with another
>business,
>especially a foreign one. 
>*  Are there mechanisms to enforce compliance policies? Those include
>both incentivizing good compliance and disciplining violations. Is
>discipline even handed? The department does not look favorably on
>situations
>in which low-level employees who may have engaged in misconduct are
>terminated, but the more senior people who either directed or
>deliberately
>turned a blind eye to the conduct suffer no consequences. Such action
>sends
>the wrong message -- to other employees, to the market and to the
>government
>-- about the institution's commitment to compliance. 
>*  Does the institution sensitize third parties like vendors, agents or
>consultants to the company's expectation that its partners are also
>serious
>about compliance? This means more than including boilerplate l

Re: [PSES] Is your company doing enough to ensure adequate EMC compliance?

[Ghery S. Pettit]

Amen to that.

 

Ghery Pettit

 

From: Ken Javor [mailto:ken.ja...@emccompliance.com] 
Sent: Thursday, January 14, 2016 7:59 PM
To: EMC-PSTC@LISTSERV.IEEE.ORG
Subject: Re: [PSES] Is your company doing enough to ensure adequate EMC
compliance?

 

"Last week was a good one for the compliance profession. "

Could not disagree more.  This is big brother, or socialism, call it what
you will.  A product either meets requirements, or it doesn't. The gov't
instructing the private sector on how to get there is worse than
superfluous, it's damaging.

Ken Javor
Phone: (256) 650-5261



  _  

From: "gdstuyvenb...@yahoo.com" <058ee1229c70-dmarc-requ...@ieee.org>
Reply-To: "gdstuyvenb...@yahoo.com" <gdstuyvenb...@yahoo.com>
Date: Fri, 15 Jan 2016 03:33:42 +
To: <EMC-PSTC@LISTSERV.IEEE.ORG>
Subject: [PSES] Is your company doing enough to ensure adequate EMC
compliance?

As this is a board that deals primarily with regulatory/compliance issues, I
thought the following article was pertinent to our cause and deserving of
consideration.  

FEDS AS THOUGHT LEADERS: A BACK-DOOR COMPLIANCE DEFENSE TAKES SHAPE
<http://www.fcpablog.com/blog/2015/11/11/feds-as-thought-leaders-a-back-door
-compliance-defense-takes.html>
<http://www.fcpablog.com/blog/2015/11/11/feds-as-thought-leaders-a-back-door
-compliance-defense-takes.html> 
By Richard L. Cassin  <http://www.fcpablog.com/blog/author/fcpablog>
<http://www.fcpablog.com/blog/author/fcpablog>  | Wednesday, November 11,
2015 at 7:53AM
Assistant Attorney General Leslie Caldwell said last week the DOJ's hiring
of a compliance counsel doesn't mean the agency is "moving toward
recognizing or instituting a 'compliance defense.'"
What then will the compliance counsel do?
"She will help us evaluate each compliance program on a case-by-case basis
-- just as the department always has -- but with a more expert eye," AAG
Caldwell told a gethering
<http://www.justice.gov/opa/speech/assistant-attorney-general-leslie-r-caldw
ell-speaks-sifma-compliance-and-legal-society>
<http://www.justice.gov/opa/speech/assistant-attorney-general-leslie-r-caldw
ell-speaks-sifma-compliance-and-legal-society>  of compliance officers in
New York.
Caldwell, pictured above, then set out the factors the DOJ compliance
counsel will assess:

*   Does the institution ensure that its directors and senior managers
provide strong, explicit and visible support for its corporate compliance
policies? 
*   Do the people who are responsible for compliance have stature within
the company? Do compliance teams get adequate funding and access to
necessary resources? Of course, we won't expect that a smaller company has
the same compliance resources as a Fortune-50 company. 
*   Are the institution's compliance policies clear and in writing? Are
they easily understood by employees? Are the policies translated into
languages spoken by the company's employees? 
*   Does the institution ensure that its compliance policies are
effectively communicated to all employees? Are its written policies easy for
employees to find? Do employees have repeated training, which should include
direction regarding what to do or with whom to consult when issues arise? 
*   Does the institution review its policies and practices to keep them
up to date with evolving risks and circumstances? This is especially
important if a U.S.-based entity acquires or merges with another business,
especially a foreign one. 
*   Are there mechanisms to enforce compliance policies? Those include
both incentivizing good compliance and disciplining violations. Is
discipline even handed? The department does not look favorably on situations
in which low-level employees who may have engaged in misconduct are
terminated, but the more senior people who either directed or deliberately
turned a blind eye to the conduct suffer no consequences. Such action sends
the wrong message -- to other employees, to the market and to the government
-- about the institution's commitment to compliance. 
*   Does the institution sensitize third parties like vendors, agents or
consultants to the company's expectation that its partners are also serious
about compliance? This means more than including boilerplate language in a
contract. It means taking action -- including termination of a business
relationship -- if a partner demonstrates a lack of respect for laws and
policies. And that attitude toward partner compliance must exist regardless
of geographic location.

Two days after AAG Caldwell's talk in New York,  Andrew Ceresney, head of
the SEC's enforcement division, spoke to
<http://www.fcpablog.com/blog/2015/11/9/sec-we-protect-compliance-officers-e
xcept-when-we-prosecute.html>
<http://www.fcpablog.com/blog/2015/11/9/sec-we-protect-compliance-officers-e
xcept-when-we-prosecute.html> the National Society of Compliance
Professionals