In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious. It could be books about business, compliance, history, leadership, current events, or anything else that might interest me.
In today’s edition of the Sunday Book Review, we look at the four books by Robert Caro on Lyndon Baines Johnson.
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Ed. Note: In 2021, I did remembrance of 9/11 with a podcast series and accompanying blog post series featuring the personal stories of persons in the compliance field with their thoughts about what the date of 9/11 meant to them, how it changed our profession and their thoughts looking back some 20 years later. The series featured the following:
I concluded this series by visiting with John Lee Dumas, host of the uber-popular podcast Entrepreneur on Fire. On 9/11, Dumas was a senior at Providence College. John had one of the most powerful stories I have ever heard about 9/11.
==============================================================Dumas was also an Officer Candidate in ROTC on 9/11. He said, “I remember waking up in the morning, and one of my roommates said, “Hey, turn the TV on.” We turned on the TV, and we just saw the tower smoking. Shortly after that, the collapse will be live on the television screen. One of my roommates who was also in ROTC, we looked at each other, and we both knew without saying anything that our next four years of active-duty army experience went from being in the peacetime army to looking like we were going to war of some kind. We knew that when that tower collapsed, we would play a very active role as officers in the US Army. Within a couple of hours, we had a real-world briefing at our ROTC headquarters on campus, where the commander of our ROTC battalion gave us a real-world breakdown. It confirmed what we were thinking when we saw that the tower collapsed. We just became officers in the US Army during a time of war.”
We turned to leadership lessons Dumas learned from his time in the Army. He commanded a tank platoon, which was four M1 Abrams tanks and 16 men. Yet, as the tank commander, Dumas was one of the least knowledgeable persons in his platoon about how a tank worked, the best operations, how to drive a tank, how to load the Sable rounds, how to fire the weapon, and even how to navigate. He said, “I was the platoon leader at 22 years old and one of the least experienced and knowledgeable people in my platoon. That’s how the military works. And I learned right at the beginning that I needed to stand upon the shoulders of giants. I needed to go to my platoon sergeant, who seemed like an old man at 37 years old at the time. But it was me, like a little baby.”
Dumas went to Sergeant Walker with humility and humbleness and asked him, “What do I need to know? How can you be respectful in front of the men? How can you respectfully be my mentor?” He appreciated that “I was not trying to pretend I knew what I didn’t know and going to him for advice. That was a big lesson. And I’m standing upon the shoulders of giants and learning from those who have been there, done that with experience.”
Another key leadership lesson for Dumas was that “a good decision now is better than a great decision later.” He said he has seen many people in the entrepreneurship and business world paralyzed, trying to make a great decision. “They are trying to be like General Patton, trying to make the one decision to win the war.” The problem is that if you “try to wait around and wait while the bullets are flying to make a great decision, you and probably other people are going to die because time is everything. Action is everything. Just coming up with a good decision and implementing it right now will be the fraction that separates life and death for many people; I learned that firsthand, and that will always stay with me. I took that lesson from the military and applied it to entrepreneurship. I’m not going to sit around and try to make a great decision on this aspect of my podcast, on that aspect of my business, on this aspect of this; I’m just going to make a good decision and take action. And if I need to adjust later, I will.”
We talked about losing men in combat. Dumas said he learned, at ages 22 and 23, the finality of death. He said, “Somebody you had breakfast with that morning, they were talking about their hopes, dreams, aspirations, what they were going to do when they got back that evening, what they’re going to do when they get back home from combat. And then, all of a sudden, it’s over. None of that is going to happen. None of their hopes, none of their dreams will ever be realized. There’s just such a finality to it. It made me pledge to myself never to forget number one, of course, the sacrifice that these soldiers make, but never forget just the finality of death and how we can all have the best of intentions.”
He learned that if you “don’t take action on them, death can wipe those best intentions away, and you can be left essentially having never done or accomplished anything that you set out to do in this life so quickly. This put a ticking time bomb mentality in my mind, and if I don’t feel like this is the right path for me, I won’t waste any more time fussing around having the sunk cost fallacy.” This led him to his current profession, which he loves.
I concluded by asking Dumas about his reflections on 9/11 and on going to war in Iraq some 20 years later. He said, “My reflections on 9/11 were just travesty, terror, confusion, panic, nobody knowing what was coming next. The major message that I do want to pass across to people today was evident to me living in Iraq for 13 months and living in a world where there was no police. There was no law. There was no cohesion. There were no repercussions. This is a great country and the home of the free because of the brave. And I hope that’s just something that we will always remember.
I hope you will take a moment on this most solemn day to reflect on 23 years after 9/11.
In this episode of Trekking Through Compliance, we consider the episode Turnabout Intruder, which aired on June 3, 1969, with a Star Date of 5298.5.
After receiving a distress call from a science party on Camus II exploring the ruins of a dead civilization, the Enterprise rushes to assist. All party members appear dead except the leader, Dr. Janice Lester, and the medical officer, Dr. Arthur Coleman. According to Dr. Coleman, Lester is suffering from some unknown sort of radiation poisoning.
However, when the rest of the Enterprise landing party goes to aid a dying science party member and leaves Kirk and Lester alone, she activates an alien device she has discovered and exchanges bodies with Kirk. Lester complains to Kirk about the pain of being a woman because of jealousy and a persecution complex. Lester-as-Kirk orders everyone to be beamed about and takes over the role of Kirk.
Lester-as-Kirk removes Bones as a chief medical officer and installs Dr. Coleman, a former starship doctor who has been found incompetent by the Starfleet Surgeon General, in his place. Dr. Coleman attempts to prevent Kirk (in Dr. Lester’s body) from interacting with the crew by sedating her, but she escapes to the sick bay to talk to Bones and Spock. However, McCoy has also ordered a physical examination for Lester-as-Kirk. He proceeds to knock Kirk-as-Lester out and orders her to be put in isolation and incommunicado.
Spock suspects something amiss and speaks to (the honest) Kirk in solitary confinement. Spock does a Vulcan mind probe at Kirk’s request and discovers the truth. Lester-as-Kirk and security personnel stop Spock when he tries to flee with the sincere Kirk. This leads to a court-martial trial for Spock. Spock puts Kirk (in Lester’s body) on the stand and testifies that Kirk’s mind is in her body.
In the meantime, Sulu and Chekov refuse to obey Lester-as-Kirk’s orders, and Kirk and Lester experience a temporary reversion of minds. To prevent a reversion, Coleman informs Lester-as-Kirk that Lester must be killed. However, Coleman is too late to carry out the task, and Kirk’s and Lester’s minds revert to their appropriate bodies.
Commentary
The episode involves Dr. Janice Lester trading bodies with Captain Kirk to seize control of the Enterprise, leading to ethical and leadership dilemmas. Key compliance and leadership lessons discussed include the importance of empathy, accountability, ethical decision-making, building trust, and the dangers of unchecked power. The episode notes continuity issues within the Star Trek universe and provides insights into leadership from a compliance perspective.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious.
It could be books about business, compliance, history, leadership, current events or anything else that might interest me.
In today’s edition of the Sunday Book Review, we look at four new books on leadership for the compliance professional.
For more information on Ethico and a free White Paper on ROI for your compliance program, click here.
In this episode of Trekking Through Compliance, we consider the episode All Our Yesterdays, which aired on March 14, 1969, with Star Date 5943.7
In this episode, Captain Kirk, Spock, and Dr. McCoy visit the planet Sarpeidon, whose sun is about to go supernova. They discover that the planet’s inhabitants have all disappeared, except for a librarian named Mr. Atoz, who oversees a complex time travel system called the Atavachron.
The Atavachron allows the planet’s population to escape into different periods of Sarpeidon’s history, where they can live safely. Mr. Atoz mistakenly believes the Enterprise crew are Sarpeidons looking to travel back in time and urges them to hurry through the portal. Kirk ends up in a medieval era, while Spock and McCoy are transported to an ice age.
In the medieval period, Kirk encounters a woman accused of witchcraft and realizes the danger of being trapped in the past. Meanwhile, Spock and McCoy meet Zarabeth, a woman exiled to the Ice Age. Due to the time period’s influence, Spock begins to revert to the more emotional behavior of his ancient Vulcan ancestors, leading to unexpected romantic feelings for Zarabeth. McCoy tries to convince Spock to return to their own time, reminding him of the mission’s urgency.
Back in the present, Kirk manages to return to the library and locates the portal through which Spock and McCoy traveled. He helps them return to their original time, but not without some emotional turmoil, especially for Spock, who must leave Zarabeth behind.
The crew finally makes it back to the Enterprise just before the star explodes, reflecting on the lives they encountered and the paths they did not take. “All Our Yesterdays explores themes of love, sacrifice, and the allure of escaping into an idealized past, showcasing the emotional depth and complexity of the series’ characters.
Commentary
The story features the Enterprise crew traveling back in time to evacuate a planet before its sun goes supernova, leading to unintended consequences. Tom Fox explores how this episode offers valuable insights for compliance professionals in areas such as data integrity, understanding causality, identifying emerging trends, proactive risk mitigation, and the importance of historical context. By learning these lessons, compliance professionals can enhance their ability to navigate the complexities of data analysis and pattern recognition. The episode also touches upon unique aspects like physiological limitations on time travel and the mental changes experienced by travelers.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
In this episode of Trekking Through Compliance, we consider the episode The Savage Curtain, which aired on March 7, 1969, with a start date of 5906.4.
While scanning planet Excalbia, Spock detects strange readings that indicate the presence of carbon cycle life forms. The subsequent appearance of Abraham Lincoln on the viewing screen and his transportation to the Enterprise demonstrates that whatever intelligence resides on the planet can read minds and manipulate matter. Shortly before beaming Lincoln aboard, Spock reports sensors showing an object resembling a living rock with claws at the same position.
On board, Lincoln appears to be human with knowledge of technology from the mid-1800s but is strangely also aware of the Vulcan philosophy. When Kirk accepts Lincoln’s invitation for Spock and him to beam down to a patch of Earth-type environment on the planet, they encounter Surak, the father of Vulcan civilization. A piece of rock suddenly becomes animated and informs them that the planet’s inhabitants are experimenting to discover which of the opposing human philosophies is stronger: good or evil. To carry out their experiment, the rock creatures pit Lincoln, Surak, Kirk, and Spock against Genghis Khan, Colonel Green, Zora, and Kahless the Klingon in a battle to the death.
Green appears to parlay with Surak but sends his associates to sneak up on him. They then attempt to trick Kirk’s party into rescuing him when he (apparently) screams out in pain. Lincoln attempts to sneak into Green’s camp, but this action is unexpected. As he discovers that Surak is already dead, Lincoln is speared from behind. Col. Green’s party then attacks Spock and Kirk. Spock kills Col. Green, and the others are forced to flee. The rock creatures discover that evil is defeated when directly confronted by good, and Spock, Kirk, and the Enterprise are released.
Commentary
The plot revolves around the crew of the Enterprise encountering legendary historical figures, such as Abraham Lincoln and Surak, who are pitted against infamous tyrants like Genghis Khan and Colonel Green in an ethical battle orchestrated by rock creatures. The episode delves into the complexities of good versus evil and offers valuable lessons for compliance professionals. Key compliance takeaways include understanding the context of business ventures, identifying hidden risks, prioritizing ethical considerations, and ensuring transparency and accountability throughout the due diligence process.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
In this episode of Trekking Through Compliance, we consider the episode Requiem for Methuselah, which aired on February 14, 1969, and occurred on Star Date 5843.7.
The episode begins with the starship USS Enterprise seeking a rare mineral, ryetalyn, necessary to cure a Rigelian fever outbreak among the crew. They arrive on the planet Holberg 917G, which appears to be uninhabited.
Captain James T. Kirk, Mr. Spock, and Dr. Leonard McCoy beam down to the surface to search for the mineral. They soon encounter a man named Flint, who initially demands they leave. However, Flint relents when Captain Kirk explains their dire mineral needs. Flint lives in a luxurious mansion with his beautiful companion, Rayna Kapec. Flint’s advanced technology and unique artwork perplex the crew, some of which appear genuine works by long-dead Earth artists.
Captain Kirk falls in love with Rayna as McCoy and Spock work to refine the ryetalyn. He discovers that she is a sophisticated android that Flint created, who reveals himself to be immortal. Flint has lived for millennia under various identities, including those of Leonardo da Vinci and Johannes Brahms. His goal has been to create the perfect companion to alleviate his loneliness.
Captain Kirk’s growing affection for Rayna causes conflict, leading to a confrontation between Captain Kirk and Flint. The tension escalates as Rayna becomes aware of her feelings, resulting in a struggle with her emotions. This conflict ultimately causes Rayna to experience emotional overload, leading to her death.
Flint decides to relinquish his immortality and live an everyday human life. Seeing Captain Kirk’s distress over Rayna’s death, Spock gently eases his pain by telepathically inducing sleep, allowing Captain Kirk to forget his grief.
Commentary
The episode involves Kirk, Spock, and McCoy’s mission to a small planet to obtain a cure for Rigelian fever, where they encounter the mysterious Mr. Flint and his android companion Reyna. The episode highlights Flint’s immortality and ethical challenges, culminating in a tragic love story. Tom Fox further discusses compliance strategies for emerging technologies, including ethical impact assessments, responsible innovation frameworks, data privacy, algorithmic fairness, and human-centric design. These insights are aimed at helping compliance professionals ensure ethical and accountable technology development. Tune in for a comprehensive analysis and valuable compliance lessons from this classic Star Trek episode.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
In this episode of Trekking Through Compliance, we consider the episode That Which Survives, which aired on January 24, 1969, and occurred on Star Date Unknown.
McCoy, Sulu, Kirk, and senior geologist D’Amato beam down to investigate a strange planet the size of the Moon but with the mass of the Earth. The planet has no magnetic field but a well-developed atmosphere and plant life, even though it is only 1000 years old. As the landing party is beaming down, a strange woman appears, says, “Wait, you must not go,” and kills the transporter operator.
While this is going on, the woman kills Engineer Grade 4 John B. Watkins on the Enterprise while he is checking the bypass circuit, but not before he has warned Scott that a strange woman is on board. On the Enterprise, the woman rigs the engines to explode by fusing the emergency bypass circuit on the matter/antimatter integrator. The Enterprise begins accelerating out of control, and Spock estimates that the Enterprise will explode in 14.87 minutes, with no way to stop it. Scotty saves the Enterprise from exploding by reversing the polarity on the magnetic probe and returning the magnetic flow to normal.
Spock rescues the landing party at this juncture when he beams down and destroys the computer projecting the image of the woman, Losira. When a recorded tape is automatically played, they find out that the planet they are on is a space outpost built by the Calandans, who were all killed by a disease they created while building the Earth. The outpost was left on automatic, with the computer attempting to fend off all explorers but the expected Calandan ship. As Kirk prepares to return to the Enterprise, he comments in response to a statement by Spock that beauty such as Losira’s is transitory, that “beauty survives.”
Commentary
The narrative follows the Enterprise crew as they explore a mysterious planet and face unexpected dangers, including a lethal woman named Losira. Fox uses this episode to draw parallels with compliance frameworks, discussing effectively addressing unknown risks through scenario planning, risk-based thinking, continuous monitoring, collaboration, and agile compliance. Compliance professionals can better navigate and mitigate unforeseen challenges by implementing these strategies.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
In this episode of Trekking Through Compliance, we consider the episode The Mark of Gideon, which aired on January 17, 1969, and occurred on Star Date 5423.4
In an attempt to establish diplomatic relations with planet Gideon, Kirk beams down to the sensor-shielded planet using coordinates supplied by Gideon’s ambassador, Hodin. When Kirk materializes, he finds himself still on the transporter pad aboard the Enterprise. To his great surprise, he appears completely alone, and there is no sign of the crew. After noticing a bruise on his arm, Kirk encounters a girl named Odona.
Kirk begins to suspect that something is very wrong. Hodin explains that the germ-free atmosphere and an increasingly long life span on Gideon have created a vast overpopulation problem and hopes to bring it under control by introducing disease. When Kirk then asks Hodin why the people of Gideon have not practiced birth control, Hodin replies that the people of Gideon believe life is sacred, that the love of life is the greatest gift, and that they, therefore, cannot interfere with the creation of life.
By this time, Spock has discovered that the two sets of coordinates he has been provided do not match. After Admiral Fitzgerald refuses to let Spock beam down, Spock disobeys orders and returns to the first set of coordinates. He locates Kirkhe, and Kirk beams up with Odona to the real Enterprise. McCoy heals Odona, and she beamed back to Gideon, where her blood can now serve as the source of vegan choriomeningitis for her people.
Commentary
The episode highlights ethical issues surrounding population control, disease introduction, and individual rights versus the collective good. Through Captain Kirk’s experience and Spock’s defiance to rescue him, the episode also serves as a foundation for discussing real-world compliance challenges, especially in the context of vaccine mandates during a pandemic. The conversation underscores the importance of transparency, informed consent, and balancing public health priorities and individual liberties.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
In this episode of Trekking Through Compliance, we consider the episode Let That Be Your Last Battlefield, which aired on January 10, 1969, and occurred on Star Date 5730.0
On its way to decontaminate the planet Arianis, the Enterprise intercepts a shuttlecraft stolen from Starbase 4 together with its pilot. The pilot is an alien with solid white on his right side and solid black on his left. His name is Lokai, and he claims to be a political refugee from Cheron. Shortly after, a spaceship deposits another alien on the Enterprise bridge just before it disintegrates. The new alien identifies himself as Bele, a police officer from Cheron who has been tracking Lokai for over 50,000 years. Bele is black on the right and white on the left and is outraged when Kirk sees no difference in them. Bele considers his coloration superior to Lokai and others “his kind.” Lokai and Bele claim to be in the right, but Kirk stays above the argument, offering to drop them off at a Starbase.
Bele attempts to force the Enterprise to Charon but returns control to Kirk when he threatens to self-destruct the Enterprise. After the Enterprise has decontaminated Arianis, Bele deactivates the destruct mode and forces the Enterprise to Cheron. Here, Bele and Lokai discover that all life there has been destroyed by years of racially motivated fighting. Driven mad by the sight, Lokai and Bele both beam down to the surface, continuing to fight each other until one or both are dead.
Commentary
The episode features the Enterprise encountering two aliens, Loki and Beale, whose half-black, half-white skin serves as a metaphor for racial prejudice. The plot explores themes of racism, hatred, and conflict resolution. Fox reflects on the show’s impact, especially in the context of real-world racism. He extends the discussion to compliance, focusing on strategies to address unconscious bias through training, fair hiring practices, performance management, and data monitoring. This episode highlights the ongoing relevance of Star Trek’s social messages and their application in today’s workplace.
Key Highlights
Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein
