Skip to content

Compliance Building

Doug Cornelius on compliance for private equity real estate

Menu
  • Home
  • About
    • About
    • About Doug
    • About This Website
    • Why I Blog
    • Speaking Engagements
    • Contact
    • Publications
  • Archives
    • Topic Archive
    • Book Reviews
    • Most Popular
  • Subscribe
  • Disclaimers
    • Disclaimers
    • Policies and Procedures
    • Use of Site Content
    • Comments
    • FTC Disclosure
Menu

The Compliance Failure of the Death Star

Posted on December 16, 2015 by Doug Cornelius
Print Friendly, PDF & Email

The Death Star was touted as the “ultimate power in the universe.” But a few proton torpedoes managed to destroy the entire station. It didn’t make into the trilogy, but I assume there would have been an ensuing investigation that would have looked at the failures that lead to loss. At least I imagined there must have been while my family was re-watching the Star Wars movies in anticipation of this week’s premiere of Episode VII.

death star

The entire series starts with Darth Vader pursuing Leia Organa because she has gotten her hands on the technical readouts for the Death Star. If the Empire was so sure that the battle station was invincible, it would not have been so concerned. At least you would think so. But perhaps it’s just a plot device.

Grand Moff Tarkin, who had overseen the construction of the Death Star, dismisses the idea that the moon-sized battle station is at risk from an attack by small fighters. He is right. The risk is very small. It was a small, shielded exhaust port. he shot “was impossible, even for a computer.”

The first attack run resulted in the destruction of the fighters. The second attack run hit the target but merely impacted on the surface. It is only the Luke Skywalker with his Force assisted attack that manages to hit the difficult target correctly. T

Of course the outcome is catastrophic so there was clearly a mistake in the design of the station.

The Emperor was not happy and began a culling at the highest ranks of the Empire, executing officials such as Moff Coovern and Minister Khemt, believing that their incompetence was partly to blame for the station’s annihilation. That does not sound like great way to run a “lessons learned” post-action review.

We don’t know if the design was improved for the Death Star II. It too was destroyed, but under different circumstances. It was, in part, constructed as trap to destroy the Rebel Alliance. The Emperor left it appearing vulnerable, when it was in fact fully operational, with the a huge portion of the Imperial Fleet hidden nearby. The flaw was in the Emperor’s plan by overlooking the capabilities of the local Ewoks.

In the end, I say it was not a compliance failure, it was a governance failure. The Emperor ran his organization through fear, using Darth Vader to intimidate of kill those dared question the Emperor. Grand Moff Tarkin executed the Emperor’s orders, creating a massive battle station that could destroy planets and star cruisers. But they overlooked the small things. And that lead to their downfall.

I don’t think the Emperor would have tolerated a compliance program. Unless you view Darth Vader as the CCO.

It was the arrogance of the top leadership failed to see the risks and thought they could see everything, unaware of their blind spots.

If you want more Star Wars and compliance mash-ups, check out Tom Fox’s posts this week:

  • Star Wars Week, Part III – VI – Return of the Jedi-Moderating Training
  • Star Wars Week Part II – The Empire Strikes Back – Levels of Due Diligence
  • Star Wars Week Part I – How do You Evaluate a Risk Assessment?

Share this:

  • Click to print (Opens in new window) Print
  • Click to share on Facebook (Opens in new window) Facebook
  • Click to share on LinkedIn (Opens in new window) LinkedIn
  • Click to share on X (Opens in new window) X
  • Click to email a link to a friend (Opens in new window) Email

Leave a ReplyCancel reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.

Search for Stuff

Recent Stories

  • Model Fees Versus Actual Fees in Marketing
  • Compliance Bricks and Mortar for January 16
  • Staff Report on Capital-Raising Dynamics
  • Compliance Bricks and Mortar for January 9
  • “Small”: I Don’t Think You Know What That Means
  • CFTC is Saying Goodbye to Private Funds
  • New York’s LLC Transparency Act Will Remain Limited
  • SEC and CFTC With Only Republicans
  • Compliance Books from 2025
  • Happy New Year

Fight Cancer

Please support my Pan-Mass Challenge
Make a donation to fight cancer. donate.pmc.org/DC0176
pan-mass challenge badge

I am a lawyer, but I am not your lawyer. Since I’m a lawyer, this website may be considered attorney advertising under the ethical rules of certain jurisdictions. Please read my disclaimers page before taking any action. And then, don't take any action based on what I wrote.

Creative Commons logo with the text 'Some Rights Reserved' and three symbols representing attribution, non-commercial use, and share alike.

Compliance Building - by Doug Cornelius is licensed under a Creative Commons Attribution-Noncommercial 3.0 United States License.