Tag: Star Trek TOS

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Trekking Through Compliance

Trekking Through Compliance-Episode 31-The Changeling

In this episode of Trekking Through Compliance, we consider the episode The Changeling which aired on September 29, 1967, Star Date 3451.9.
 Compliance Takeaways:

  1. Leadership is listening.
  2. What is your procedure for updating policies?
  3. How often do you perform a risk assessment?
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Trekking Through Compliance

Trekking Through Compliance-Episode 30 – Who Mourns for Adonais?

In this episode of Trekking Through Compliance, we consider the episode Who Mourns for Adonais? which aired on September 22, 1967, Star Date 3468.1.
 Compliance Takeaways:

  1. What is your role in an investigation?
  2. How does your senior management demonstrate tone?
  3. What are the true incentives in your organization?
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Trekking Through Compliance

Trekking Through Compliance-Episode 29 – Amok Time

In this episode of Trekking Through Compliance, we consider the episode Amok Time which aired on September 15, 1967, Star Date 3372.7.
 Compliance Takeaways:

  1. What is your investigation protocol?
  2. How do you account for different cultures within your organization?
  3. When is an internal control override appropriate?
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Trekking Through Compliance

Trekking Through Compliance-Episode 28, Operation Annihilate!

In this episode of Trekking Through Compliance, we consider the episode Operation Annihilate! which aired on April 13, 1967, Star Date 3287.2.
Compliance Takeaways:

  1. Leadership can require difficult decisions.
  2. Data analytics will be key for compliance professionals going forward.
  3. What is your triage program for internal reporting?

Resources
Excruciatingly Detailed Plot Summary by Eric W. Weisstein for Operation Annihilate!
MissionLogPodcast.com-Operation Annihilate!

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Trekking Through Compliance

Trekking Through Compliance-Episode 27, City on the Edge of Forever

In this episode of Trekking Through Compliance, we consider the episode City on the Edge of Forever which aired on April 6, 1967, Star Date 3134.
Compliance Takeaways:

  1. Small accidents and changes can lead to huge consequences.
  2. You can get a lot more done, if you don’t worry about who gets credit.
  3. How much can you do with the tools you have at hand?
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Trekking Through Compliance

Trekking Through Compliance-Episode 26-The Alternative Factor

In this episode of Trekking Through Compliance, we consider the episode The Alternative Factor which aired on March 23, 1967, Star Date 3087.6.
Compliance Takeaways:

  1. How do you triage a whistleblower compliant?
  2. When expanding into new markets scale up your compliance program.
  3. What is the role of gatekeepers?
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Trekking Through Compliance

Trekking Through Compliance-Episode 25-Errand of Mercy

In this episode of Trekking Through Compliance, we consider the episode Errand of Mercy which aired on March 16, 1967, Star Date 3194.8.
Compliance Takeaways:

  1. In an investigation, trust but verify.
  2. If your subsidiary’s financial statements are too complicated to decipher, you have a problem.
  3. Do you know how far down your TPIs extend?
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Trekking Through Compliance

Trekking Through Compliance-Episode 24-Devil in the Dark

In this episode of Trekking Through Compliance, we consider the episode Devil in the Dark which aired on March 9, 1967, Star Date 3196.1.
Compliance Takeaways:

  1. What is your root cause analysis?
  2. Have you analyzed your internal controls from the compliance perspective?
  3. Simply because something is different doesn’t means its wrong or illegal. Is there a business justification?
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Trekking Through Compliance

Trekking Through Compliance-Episode 23-This Side of Paradise

In this episode of Trekking Through Compliance, we consider the episode This Side of Paradise which aired on March 2, 1967, Star Date 3417.3.
Compliance Takeaways:

  1. What are the unknown talents of your staff?
  2. Failure to continuously monitor can lead to disaster.
  3. What is the role of all your team members?
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Trekking Through Compliance

Trekking Through Compliance-Episode 21-Return of the Archons

In this episode of Trekking Through Compliance, we consider the episode Return of the Archons which aired on February 9, 1967, Star Date 3156.2
Compliance Takeaways:
  1. Is the Prime Directive absolute or is there room for flexibility?
  2. Groupthink can kill off a civilization or corporation.
  3. AI will always be enhanced by human interactions and interpretations.