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Farewell to Lt. Uhura

The Star Trek world and family lost one of its dearest members on Sunday with the passing of Nichelle Nichols, Lt. Nyota Uhura. George Takei spoke for many of us when he wrote on Twitter, “For today, my heart is heavy, my eyes shining like the stars you now rest among, my dearest friend.” The role of Lt. Uhuru was truly ground-breaking for television in the 1960s; a black woman was an officer of a naval ship (well OK combined services); manning a key role on the executive leadership team of the Starship Enterprise. For a television show which premiered only a couple of years after the landmark Civil Rights Act of 1964, her role was almost revolutionary.

Indeed, as noted by Jake Tapper on Twitter, perhaps her biggest fan was Dr. Martin Luther King. After the first season of the show, she was considering leaving but reconsidered after meeting Dr. King at an NAACP fundraiser. She said he introduced himself as a fan and grew visibly horrified when she explained her desire to abandon her role, one of the few non-servile parts for Blacks on television. Nichols told Entertainment Tonight, “Because of Martin, I looked at work differently. There was something more than just a job.” As reported in The Hollywood Reporter, “He told me that Star Trek was one of the only shows that his wife Coretta and he would allow their little children to stay up and watch,” she recalled. “I thanked him and I told him I was leaving the show. All the smile came off his face and he said, ‘You can’t do that. Don’t you understand, for the first time, we’re seen as we should be seen? You don’t have a Black role. You have an equal role.’ “I went back to work on Monday morning and went to Gene’s office and told him what had happened over the weekend. And he said, ‘Welcome home. We have a lot of work to do.’ Said Roddenberry in the documentary, “I was pleased that in those days, when you couldn’t even get Blacks on television, that I not only had a Black but a Black woman and a Black officer.””

Adam Bernstein, writing in the Washington Post, said, “Nichelle Nichols, an actress whose role as the communications chief Uhura in the original “Star Trek” franchise in the 1960s helped break ground on TV by showing a Black woman in a position of authority and who shared with co-star William Shatner one of the first interracial kisses on American prime-time television.” He went on to say, “On the bridge of the starship Enterprise, in a red minidress that permitted her to flaunt her dancer’s legs, Ms. Nichols stood out among the otherwise all-male officers. Uhura was presented matter-of-factly as fourth in command, exemplifying hopeful future when Blacks would enjoy full equality.”

On the subject of that kiss, the first inter-racial kiss went to Sammy Davis, Jr. and Nancy Sinatra but was simply a “peck on the cheeks.” Her kiss with Shatner was anything but a peck on the cheek. Bernstein wrote, “Her most prominent “Star Trek” moment came in a 1968 episode, “Plato’s Stepchildren,” about a group of “superior” beings who use mind control to make the visiting Enterprise crew submit to their will. They force Kirk and Uhura, platonic colleagues, to kiss passionately.” But if you watch the episode, I as recently did for its upcoming treatment on my podcast series Trekking Through Compliance, you will see that it is something very different than a passionate kiss, as it was forced onto the characters of Kirk and Uhura by beings who controlled their minds. In rewatching the entire episode, it is a troubling episode with this kiss perhaps the most troubling seen.

The Hollywood Reporter said of that kiss, “When NBC execs learned about the kiss during production, they feared stations in the Southern states would not air the episode, so they ordered that another version of the scene be filmed. But Nichols and Shatner purposely screwed up every additional take. Finally, the guys in charge relented: ‘To hell with it. Let’s go with the kiss,” Nichols wrote in her 1994 book, Beyond Uhura: Star Trek and Other Memories. “I guess they figured we were going to be canceled in a few months anyway. And so the kiss stayed.”

Even though Star Trek, the Original Series went off the air in 1969, “Nichols’s continued association with Uhura at Trekkie conventions led to a NASA contract in 1977 to help recruit women and minorities to the nascent space shuttle astronaut corps.” Nichols said of that recruiting effort, “I went everywhere. I went to universities that had strong science and engineering programs. I was a guest at NORAD [the North American Aerospace Defense Command], where no civilian had gone before. “At the end of the recruitment, NASA had so many highly qualified people. They took six women, they took three African-American men … it was a very fulfilling accomplishment for me.”

In many ways, the fight for equality that Nichols participated in is still ongoing. Diversity, Equity and Inclusion (DEI) is under attack in many states across the nation, with states such as Florida and Texas considering legislation which prevents companies from DEI initiatives such as those by pioneers such as Nichols.

Sunday, we lost another pioneer in the fight for DEI and social justice but from a very different world from Nichols. That pioneer was Bill Russell, and his world was sports. Please join me tomorrow when I pay tribute to Russell.

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Daily Compliance News

August 1, 2022 the Farewell to Lt. Uhuru edition

In today’s edition of Daily Compliance News:
• UAW is trying to shed the legacy of corruption. (NYT)
• Former Blue Bell CEO goes to trial. (Reuters)
• Bill Russell passes. (AndScape)
• Nichelle Nichols dies. (The Hollywood Reporter)

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Sunday Book Review

July 31, 2022 the Integrity and Ethics edition

In today’s edition of Sunday Book Review:

·      Net Positive: How Courageous Companies Thrive by Giving More Than They Take by Andrew S. Winston

·      Defining Moments: When Managers Must Choose Between Right and Right by Joseph L. Badaracco Jr.

·      Business Ethics by Stephen M. Byars and Kurt Stanberry

·      Business Ethics: Best Practices for Designing and Managing Ethical Organizations by Denis Collins

Resource

Best 12 Ethics Books to Read in 2022 in Teambuilding.com.

 

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Popcorn and Compliance

Schindler’s List

In this edition of Popcorn and Compliance, Richard Lummis and Tom Fox review the Best Picture-winning movie Schindler’s List. Highlights include:

  • Movie Storyline
  • How did it make you feel?
  • Leadership Lessons
  • Ethical Lessons
  • Servant Leadership
  • Final Thoughts on the Banality of Evil
  • Shoah and Schindler’s list

Resources

10 Leadership Lessons from Schindler’s List

Oskar Schindler-a Sheep in Wolf’s Clothing

Evaluating Ethics and Leadership in Schindler’s List

Ethics on Film: A Discussion of Schindler’s List

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Daily Compliance News

July 30, 2022 the Bend Every Rule edition

In today’s edition of Daily Compliance News:

  • Why Rotterdam balked. (NYT)
  • No deal, no audit. (Reuters)
  • Lawsuit over SEC whistleblower award. (WSJ)
  • Debt markets must pay attention to corruption. (FT)
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Corruption, Crime and Compliance

Episode 240 – The CCO’s Role in an Effective Compliance Program

I have been — and continue to be– hyper-focused on the proper role and responsibilities of Chief Compliance Officers. Not that I see any cause for alarm, but it is easy to lose focus in the sea of so-called hot issues — ESG, Diversity, Climate Change, Threats to Democracy, Cybersecurity and Data Privacy, each of which is an important component and focus for organizations. All of these issues intersect, are interdependent and should be addressed through organizational commitment. But I want to take a step back and return to an issue of importance — the proper role of CCOs. To do so, we need to remind everyone about basic requirements, lessons learned and ways forward to meet the fast-changing times. CCOs have to maintain and then advance their positions. In my view, given the interdependence of all the important issues mentioned above, the role of the CCO has become even more critical. In this episode, Michael Volkov reviews the standards applicable to the CCOs function in an effective compliance program.

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Blog

Note Navy Seals Way: Moving from Continuous Monitoring to Continuous Improvement

Decision making is a critical skill for any Chief Compliance Officer (CCO) or compliance professional. Continuous monitoring and continuous improvement are now accepted as standard components of any table stakes compliance program. The Department of Justice (DOJ), in the 2020 Update to the Evaluation of Corporate Compliance Programs, made clear the need for continuous improvement in any compliance program. It stated quite succinctly, “One hallmark of an effective compliance program is its capacity to improve and evolve. The actual implementation of controls in practice will necessarily reveal areas of risk and potential adjustment. A company’s business changes over time, as do the environments in which it operates, the nature of its customers, the laws that govern its actions, and the applicable industry standards. Accordingly, prosecutors should consider whether the company has engaged in meaningful efforts to review its compliance program and ensure that it is not stale.”

Indeed, the 2020 Update posed the following questions that the DOJ might ask a company under a Foreign Corrupt Practices Act (FCPA) investigation, “How often has the company updated its risk assessments and reviewed its compliance policies, procedures, and practices? Has the company undertaken a gap analysis to determine if particular areas of risk are not sufficiently addressed in its policies, controls, or training? What steps has the company taken to determine whether policies/procedures/practices make sense for particular business segments/subsidiaries? Does the company review and adapt its compliance program based upon lessons learned from its own misconduct and/or that of other companies facing similar risks?”But one question not posed is around your decision-making process in when to move from continuous monitoring to continuous improvement. I was therefore interested in a recent FastCompany.com article, entitled “3 Steps Navy SEALs Use to Make Decisions”, by Stephanie Vozza. Vozza quotes former Navy SEAL and Chief Executive Officer (CEO) of ADS, Inc., Ryan Angold who said, “With so much information out there, a lot of people get analysis paralysis. You want to do your research and you want to access all the resources you have so you can make the right decision. But you can’t sit in analysis paralysis forever. Ultimately, there’s no 100% perfect decision.”

For her piece she also interviewed former Navy and current VMWare Chief Digital Transformation Officer Mike Hayes and author of the book, Never Enough: A Navy SEAL Commander on Living a Life of Excellence, Agility, and Meaning, who laid out a framework he used as an active SEAL for decision making.

  1. Gather Input

When you are a CCO or compliance professional in a corporate compliance function, you most probably have created experiences from which you can draw. Angold noted, “The requirement in SEAL teams is that you have you’ve gone through multiple different scenarios, you’ve trained for the most extreme environment, the most challenging environment, the worst-case scenarios. These reference points are helpful. You can say, ‘Okay, we’ve seen something like this before.’ Maybe this isn’t the exact scenario—it never is. But you’ve learned how the team works and can make quick decisions.”

Both Jonathan’s from the award-winning Everything Compliance gang, Jonathan Armstrong and Jonathan Marks, talk about not simply crisis and scenario planning but practice as well. Such practice not only gives you the muscle memory of what to do when a true crisis appears but also provide the types of experiences that Angold references that the SEALs then use in missions.

Hayes added that you should listen to difference voices or inputs, noting, “Too often, we tend to seek out like-minded input. Artists tend to hire artists and engineers hire engineers. By getting input from people who don’t think like us and by having a culture that celebrates differences and raising other ideas, you help people be comfortable saying things like, ‘Hey, sir, I don’t think that’s a great idea. Here’s how I would do it.’ That framework enables the best possible decisions.” Note that Hayes’ remarks also illuminate the importance and benefits of a true “Speak-Up Culture”.

  1. Decide When to Decide

 Most interestingly, the first thing you have to determine is when to make your decision. Hayes said, “The first decision is when to make your decision. That’s the thing that most people get wrong.” Obviously in combat your decision-making window can be quite short, but the same principle applies in the corporate world. Here Hayes noted, “At some point, the value of those extra inputs in your input streams costs more than the time associated with getting more inputs. At that inflection point is when you want to make your decision. You start losing value by waiting longer.”

But this point is where experience can become more paramount. In the corporate compliance world, you will likely get information, which is both quantitative and qualitative, particularly through continuous monitoring. Do not become paralyzed at this point, and you can rely on your gut or, as Hayes said, “there are other times where you need to operate in instinct. Instinct is really a set of experiences that you can’t quite crystallize, but that you extract logic from.”

  1. Be Willing (and ready) to Course Correct

Here a key CCO and compliance professional soft skill, that of humility, both “intellectual and real will help you get to the right decision.” Do not let your ego get in the way or start considering your sunk costs. You may garner new information which gives new input. Even John Maynard Keynes said, “When my information changes, I alter my conclusions. What do you do, sir?

Hayes said this is “the ultimate sign of leadership because it’s a sign of comfort in your own skin and not needing to look good in front of an organization. Instead, you’re putting the organization before self and doing the right thing.” Angold phrased it as “It takes a lot of humility for someone to be able to recognize it was the wrong call,” he says. “That’s where the communication is important and having that transparency with your team. You can gain a lot of additional trust from your team, when you acknowledge a wrong decision.”

Continuous improvement through continuous monitoring or other similar techniques will help keep your compliance program abreast of any changes in your business model’s compliance risks and allow growth based upon new and updated best practices specified by regulators. A compliance program is in many ways a continuously evolving organism, just as your company is. You need to build in a way to keep pace with both market and regulatory changes to have a truly effective anti-corruption compliance program. By using this three-step approach, you can best determine how to move from the monitoring to the improvement phase.

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From the Editor's Desk

July and August in Compliance Week

Welcome to From the Editor’s Desk, a podcast where co-hosts Tom Fox and Kyle Brasseur, EIC at Compliance Week, unpack some of the top stories which have appeared in Compliance Week over the past month, look at top compliance stories upcoming for the next month, talk some sports and generally try to solve the world’s problems.

In this month’s episode, we look back at top stories in CW from July around the EY cheating exam enforcement action and a discussion of a potential CCO liability framework. Kyle previewed some of the topics Compliance Week will report in August, including how technology innovation is causing heartburn for regulators and current issues in crypto enforcement. We previewed some upcoming CW events, including the ESG virtual event, CW 2022 in Europe, which will be held in Scotland and the 3rd Party Risk conference, scheduled for December. Kyle also discussed the upcoming Inside the Mind of the CCO survey in October.

We conclude with a look at some of the top sports stories, including the induction of David Ortiz into the Baseball Hall of Fame. Kyle talked about what Big Papi meant and continues to mean for Boston, and Tom spoke about him on the national stage. We touched on the new LIV pro golf tour.

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Creativity and Compliance

Is It OK to Laugh at Work?

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network. In this episode, Tom and Ronnie continue their shorts series on provocative statements on compliance training and communications, followed by discussion. In this episode, Ronnie riffs on the question is it OK to laugh at work? Highlights include:

o   Common excuses for not doing things creatively.
§  we’re a conservative company
§  we take the issues very seriously
§  it doesn’t fit our culture
§  my boss doesn’t have a sense of humor
§  we’re global
o   How to build a business case because entertainment and learning is more effective.
§  emotional connections
§  memory and recall
§  stands out in a noisy environment
§  It open people up
§  It helps increase airtime and exposure
o   The Fun Theory
o   Other examples in life

Resources:

Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)
Ronnie Feldman (Twitter)

Learnings & Entertainments (Website)

60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches.

Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care.

Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.

Tales from the Hotline – check out some samples.

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Presidential Leadership Lessons for the Business Executive

Leadership Lessons from FDR’s First 100 Days


The first 100 days. Franklin D Roosevelt’s first term is the standard by which all other Presidents are measured for their first days in office. Why? It is because not only did FDR hit the ground going full speed but also passed legislation, which changed the shape of America for years to come. While the first thing he did was declare a Bank Holiday to save the nation’s banking system, he also passed significant legislation to try to stem the effects of the Great Depression. These bills included the Agricultural Adjustment Act, the Federal Emergency Relief Administration, the Civilian Conservation Corps, and, finally, the National Industrial Recovery Act. He also enacted the Truth-in-Lending and Glass-Steagall Acts to help regulate the stock market, whose collapse had heralded the economic downturn. Even if these acts did not turn the tide of the Great Depression, it gave people hope because at least it appeared FDR was doing something to fight the economic calamity.
Now imagine that you finally have been able to secure a new position as Chief Compliance Officer in the compliance field. Every company believes that they are ethical and that they certainly do business ethically but what are some of the things that you can do in your first 100 days? Hopefully you will not be dropped into a corporate situation as dire as the one FDR faced for the US in 1933 but the reality is that many new heads are still judged on these mythical first 100 days.
One obvious thing to generate success in the corporate world is to have a good relationship with your boss. You should have important conversations around expectations, working style, resources and your personal development. To facilitate these discussions the following points are posited:

  • There is no value in trashing the existing compliance program.
  • You need to drive the discussions with your boss.
  • Your boss is looking for solutions, not problems.
  • Your boss is not interested in running through your checklist of things to do.
  • Make sure that you connect with the people that your boss values and admires, such as their mentor.
  • Set expectations.

These first 100 days will be a time of very high stress. This may well be compounded by your travel schedule and working very long hours to try and fulfill the concepts. The right advice-and-counsel network is an indispensable resource. Use your outside network of mentors, coaches and friends which you have developed over the years, to discuss your part at the company and what you have been experiencing. The key is to use whatever resources are available to you during your first 100 days.
Just as FDR accelerated his actions during his first 100 days, a large part of his success was that he accelerated those around him. You should take this key component of FDR’s success to heart in your new role. Get your direct reports, bosses, and peers to accelerate their own transitions. The fact that you are in transition means they are too. The quicker you can get your new direct reports up to speed, the more you will help your own performance.
It is difficult to imagine today a harder situation than the country faced when FDR came to power in 1933. The task must have seemed overwhelming. Starting a new compliance leadership position at a new company can seem equally daunting. You need to not only think through your steps going forward but also how to execute them for maximum performance in this early part of your corporate career.