JULY 19, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

  • Qualcomm spanked in Europe for antitrust behavior. (NYT)
  • UK Financial Reporting Council gets a new leader.(WSJ)
  • Epstein denied bail. (WSJ)
  • Zuma about to quit anti-corruption probe. (FT)

In this episode of Trekking Through Compliance, we consider the episode A Private Little War which aired on February 2, 1968, Star Date 4211.4.

Story Synopsis

Spock, Bones, and Kirk beam down to a planet to obtain biological specimens. McCoy reports that the planet is a medical treasure trove. Kirk is familiar with and fondly remembers the planet as it was the first planet he surveyed as a young Ensign, some 13 years ago. Kirk also reports to Spock that the planet’s inhabitants are peaceful and are only just beginning to learn how to forge iron. He is therefore extremely surprised to see villagers with rifles lying in ambush for a party of hill people which includes Kirk’s former friend Tyree. To distract the ambushers, Kirk throws a rock, which causes the rifle to go off. However, it also brings on a chase, and Spock is shot with a flintlock while trying to escape.

The landing party beams up to the Enterprise, where they find a Klingon ship heading towards them. However, Kirk manages to keep the ship remain concealed by hiding the Enterprise on the opposite side of the planet. Kirk speculates that the Klingons have violated the treaty governing the “neutral planet” which restricts both parties to scientific research and provided them with rifles. Kirk and McCoy beam down to investigate the Klingon’s activities, leaving Dr. M’Benga in charge of Spock.

After beaming down, Kirk is attacked by the poisonous mugato, a large white beast resembling a gorilla with a horn on its head and fins on its back. There is no antidote to the poison, but the hill people find McCoy and Kirk and take them to Tyree, who is now their leader. The Kanutu woman Nona is a medicine woman, as well as being the power-hungry manipulative wife of Tyree. She cures Kirk using a mako root and by having Tyree make a cut across her hand. After Kirk is healed, the wound on Nona’s hand also vanishes.

Tyree reports that the firesticks are made by the village people, and that they first appeared about a year ago. Nona wants Kirk to use his weapons to vanquish the village people and make her husband a powerful man. She is greatly disappointed when Tyree pledges not to kill and Kirk is reluctant to share his knowledge of weaponry.

Kirk and McCoy enter a village and discover the Klingon Krell advising the village leader Apella, as well as carbon-free steel and other technological innovations too advanced for a primitive society. Unfortunately, they are discovered when McCoy accidentally triggers his tricorder. Luckily, they are able to escape.

Meanwhile, Spock recovers aboard the Enterprise, but tells Nurse Chapel “hit me” when he comes out of his self-induced healing trance. Nurse Chapel is hesitant at first, but then complies, only to be restrained by a shocked Scott. Dr. M’Benga then continues striking Spock and with the aid of the pain thus induced, Spock is able to come out of his trance.

On the planet, Kirk furnishes the hill people with rifles, noting the analogy of the present situation with the brush conflicts on the Asian continent. In this conflict, Kirk says, two great powers fought through surrogates by supplying the opposing sides with roughly equal weaponry, an obvious reference to the Viet Nam War.

Nona uses an herb to seduce Kirk. Although Tyree witnesses the seduction, he cannot bring himself to fire the gun he is holding and runs off. Meanwhile, Nona is attacked by a mugato and Kirk uses a phaser to kill it. Nona repays the favor by hitting Kirk on the head with a rock and stealing his phaser. However, when she attempts to turn it over to the village people, they are only interested in molesting her. When the hill people arrive, the village people kill Nona, believing that she has set them up. The village people are killed by the hill people, but Tyree is mad with anger and asks Kirk for many weapons with which to kill the village people. Kirk complies by asking Scotty to manufacture flintlock rifles for the hill people which he refers to as “serpents for the Garden of Eden.” As they beam back to the Enterprise, Kirk s upset at the loss of innocence he has contributed to but knows of no other action he could have taken.

 Fun Fact

This episode has two clear analogies. First it is about the Vietnam War. In Producer Gene Coon’s mind in 1967, the American War in Vietnam was immoral and hopeless – but ultimately inevitable and inescapable, and in the best interest of the South Vietnamese people. The second is Nona as Lady Macbeth.

Compliance Takeaways:

  1. Why a Board needs compliance expertise.
  2. What is the M&A safe harbor?
  3. How the FCPA fosters competition.


Excruciatingly Detailed Plot Summary by Eric W. Weisstein for A Private Little War

MissionLogPodcast.com-A Private Little War

Welcome to the Creativity in Compliance Podcast – a new offering from the Compliance Podcast Network. In this show, hosted by Ronnie Feldman and Tom Fox, we’ll explore how creativity effects the world of compliance – the ways we use it, and the surprising impacts in can have on the work we do every day. To get started, Ronnie Feldman will be sharing how he was introduced to the world of ethics and compliance. Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. In this show, we’ll be exploring how creativity affects the world of compliance – the ways we use it, and the surprising impacts it can have on the work we do every day. From ethics to leadership, problem-solving to training – creativity permeates what we do as compliance professionals. Join your hosts Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network for this creative journey.
Episode 0-Introduction
From Comedy to Compliance-Ronnie started out with an MBA business background in the healthcare field in his 20’s, and came across the improvisational comedy community, which he fell in love with immediately. He quit his job to pursue it as a career, and while it didn’t eventually lead him to fame, fortune and Saturday Night Live, he did get a job as a producer where he learned video marketing. Video marketing turned to training videos and that was his path into the ethics and compliance community. His production experience gave him the necessary tools and confidence to launch his own company, Learnings and Entertainments, a creative services and content provider.
How Creativity Enhances a Compliance Program-Ronnie talks about how how in his opinion, all humans are creative in their everyday non-work lives, but within a corporate environment, they all fall into the trap of constriction: following static cultures of communication, which stifles the ability to connect with other human beings. In turn, this stifles their ability to learn from us. Bringing creativity into the workplace makes it a better place, and over the course of this podcast, he and Tom Fox, who you already know as the Compliance Evangelist are going to explore the whats, whys and hows of it all.
Episode 1-Ethics & Compliance – Role vs. Reputation, the Great Irony
One of the hosts of this show, Ronnie Feldman is the author of an article entitled ‘Ethics and Compliance Practitioners’ Greatest Challenge: Role VS Reputation – The Great Irony.’ Tom says there are two types of reputations: personal and corporate, and he wants to know – what is Ronnie’s thought process on the topic of Creativity and Compliance? That’s what you’ll find on this episode of the Creativity and Compliance Podcast.
Painting the Right Image-Ronnie explains how the first time he attended an Ethics and Compliance event 10 years ago, he wasn’t sure what to expect from the professionals there. It turns out that the rather negative image he had formed about Compliance People in his mind was, delightfully, totally different than what he discovered: dedicated people that help their companies navigate through the rules. He does add that one thing that Ethics and Compliance professionals need to learn is how to change this reputation that society attributes to them!
Speak-Up Culture-Tom brings up the KPMG cheating scandal and all the polemics around it – but what baffles him the most about this whole ordeal is that no one within the organization bothered to call the ‘hotline’ – no one reported anything.
When there is a reputation failure, Ronnie says the first reaction people have is to stay away: employees know it’s wrong, but they don’t want to ‘tattletale’ or get involved in drama and so, they don’t speak up. He explains how organizations need to start acknowledging the speak-up culture, letting their employees know that it is okay to report internal problems. One way to do that is to make it known and make it clear that they value and have integrity, and that it is okay to speak up when something is wrong, that it is part of their responsibility to make the workplace a good place.
What About Policies?-Ronnie states policies are often written from a legal perspective – what needs to be done, rather than constructed from a user’s perspective. But what an employee really wants to know is how do these policies affect them? Thinking like a human and not a lawyer, in this situation, is a good way to better policies and include creativity.
Episode 2-Is Compliance Training Over-rated?
In this episode Tom and Ronnie consider the question of whether compliance training is over-rated?
Communicating with Colleagues-Ronnie talks about techniques similar to improvisational acting that professionals can use to be better communicators. If a colleague is viewed as the person who always says no, then other colleagues will not feel comfortable coming to them with their problems. Instead, they will go around them with their problems. He says the way to counter that is to adopt a more welcoming, positive ‘yes’ mindset.
In this episode of Creativity and Compliance, Ronnie and Tom talk about training in ethics and compliance. They get into the impacts the environment has on training, the forgetting curve, and the science that backs these ideas up. Tom gets us going by asking – is compliance training overrated?
Impact of the Social Environment-Ronnie believes that effective ethics and compliance training is a critical part of a company, but even more so, he believes that the environment has a huge impact on behavior in the workplace. He explains how companies tend to focus so much on training that they often don’t emphasize enough all the ways that the environment has an impact on why people do the things they do or act the way they do.
The Forgetting Curve-It has been shown in several studies that people forget things over time, and that roughly 90% of corporate learnings are lost within the first month of training. Ronnie believes that if it’s creative training, it might last longer in employees’ memories, but it still needs to be reiterated over time. People need reminding more than they need instructions. He adds that companies could benefit more time by giving little reminders to their employees to keep that learning alive throughout the year. Ronnie explains that as humans, we tend to overestimate our internal stimulus but often forget that external stimulus has a huge impact on us. We tend to be influenced by our peers around us and how they think about us.
The Stanley Milgram Experiment-Ronnie gives us a perfect example of peer pressure, using the Stanley Milgram Experiment, a study in the 60’s, where a person is asked to quiz another who they cannot see in another room. Whenever the interviewee has the ‘wrong’ answer, the interviewer has to press a button and, when pressed, another subject neither one of them can see, screams in pain. What the interviewee doesn’t know is that the person screaming in pain is actually in on the act. Despite the protestations and sounds of pain from the ‘subjects’, most interviewers were convinced by the experiment operators to continue asking questions, pressing the buttons and causing pain. The
And that shows up in the workplace. Even if employees have a feeling something is wrong, if no one is pointing it out, or if their boss just says ‘this is the policy’, many people go along with it although internally it doesn’t sit right with them. This is why just training on the rules isn’t enough, companies need to get across the idea the if something feels wrong, speaking up about it isn’t just okay – it’s the best thing to do.
A Little Humor Goes a Long Way-Ronnie ends by reminding us that the point is not to de-emphasize the importance of training, but rather emphasize all these other points to add value to said-training. The key to adding more value is to communicate more freely, creatively and frequently. For example, you can talk about challenging issues using fun videos or quizzes to get people more comfortable -the age-old strategy of breaking the ice with humor.
Read more about this topic in Ronnie’s Corporate Compliance Insights article: Why Compliance Training is Overrated. 
Additional Resources

Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)

Learnings & Entertainments

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.

JULY 18, 2019 BY TOM FOX

In today’s edition of Daily Compliance News:

  • Sackler family name removed from the Louvre. (NYT)
  • More fallout from Sarclad acquitals. (WSJ)
  • EU open anti-competition investigation into Amazon. (Washington Post)
  • Payola hoops coach sentenced to time served. (NY Post)

In this episode of Trekking Through Compliance, we consider the episode The Immunity Syndrome which aired on January 19, 1968, Star Date 4307.1.

Story Synopsis

On its way to a much-needed rest stop at Starbase 6, the Enterprise is diverted to investigate the mysterious cessation of communication with the Gamma 7A star system. While on its way, Spock telepathically senses the destruction of the Intrepid, a starship manned by Vulcans, and claims that all 400 Vulcans aboard have been killed. Starbase 6 then orders the Enterprise to Sector 39J to investigate the loss of communications with the Intrepid.

The Enterprise encounters a strange field which drains all energy, whether mechanical or biologically generated. Spock reports that he has never encountered a phenomenon like this before, and it shows up on the viewing screen as a dark hole in space. The Enterprise launches a probe into it, but it returns only a high-pitched whine which causes half the Enterprise’s crew to faint. When the Enterprise prepares to fire again, the whine returns, and the Enterprise experiences a 5% power drain. The stars vanish from the viewing screen, and Spock reports that they have entered a zone of darkness. This boundary layer proceeds to drain the ship and its crew of energy.

Spock finds that the zone of darkness is a negative energy field. Scott prepares to use full power to yank the Enterprise out of the zone, but the best he can do is slow the pull towards the center of the zone. As they approach, they see a giant one-celled organism which is 11,000 miles long and 2,000-3,000 miles wide. They send a probe which penetrates the organism and discovers it to be living and to be filled with protoplasm.

Kirk decides to send a shuttlecraft and must decide between sending Spock or McCoy. Spock sets out in the shuttlecraft Galileo II and heads for the nucleus. He also reduces life support systems to the bare minimum, causing Chekov and Kirk to become concerned. Spock establishes that the organism has stored enough energy to reproduce and that the 40 chromosomes in the nucleus are ready to come together. Kirk shuts off the Enterprise’s engines and switches all power to the shields, causing the Enterprise to be sucked into the organism.

Kirk then fills a probe full of antimatter and prepares to plant it in the nucleus. Chekov successfully lodges it in the nucleus.

Meanwhile, aboard the shuttlecraft, Spock makes a log tape in preparation for his own death. As the Enterprise backs out of the organism before it blows up, it detects Spock’s shuttlecraft and locks on a tractor beam. The Enterprise run out of energy near the edge of the organism, and the crew waits for the detonation and their own deaths.

The explosion rocks the ship, but it survives, and the stars appear in the viewing screen again. Somehow, the shuttlecraft survives as well, and Spock reports he has some fascinating data on the organism. However, McCoy is furious that he has botched the acetylcholine test.

 Fun Fact

Spock explains in this episode that Vulcan was never conquered. However, in “The Conscience of the King” McCoy says “Now I know why they were conquered” in response to Spock’s refusal to drink alcohol. This might be explained by Vulcan never having been conquered but one or more of their colonies having been annexed by another power at some point.

Compliance Takeaways:

  1. For export control compliance; screen, screen and then screen again.
  2. How do you choose your project team?
  3. What is your innovation strategy?


Excruciatingly Detailed Plot Summary by Eric W. Weisstein for The Immunity Syndrome

MissionLogPodcast.com-The Immunity Syndrome