1. Compliance & Ethics
Professional
®
a publication of the society of corporate compliance and ethics www.corporatecompliance.org
April
2016
Meet Mark Lanterman
Chief Technology Officer
Computer Forensic Services
Minnetonka, MN
See page 14
45
The Ethics
Wheel: Shaping
corporate culture
Susan Korbal
39
“To disclose, or not to
disclose? That is often
a tough question.”
Peter Anderson
29
EU Data Protection
Regulation: Are we
nearly there yet?
Jonathan P. Armstrong
33
Marketing and Data
Security Practices: The
FTC v. LifeLock settlement
Keith M. Gerver and Peter T. Carey
This article, published in Compliance Ethics Professional, appears here with permission from the Society of Corporate Compliance Ethics. Call SCCE at +1 952 933 4977 or 888 277 4977 with reprint requests.

2. +1 952 933 4977 or 888 277 4977 www.corporatecompliance.org 45
ComplianceEthicsProfessional®
April2016
FEATURE
O
ne of the best periods of my life was
as a young college student. During
that time, it seemed that life was a
plethora of boundless learning opportunities.
A typical day involved visiting medical
research facilities complete with a cadaver lab;
engaging in Shakespearean role-play
activities; discussing the “meaning
of life” with philosophical peers; and
ending the day mixing math, poetry,
and music with the cadences found
within Edgar Allan Poe’s The Raven.
Upon starting my career
with degree in hand, it was quite
disappointing to find that learning
in the workplace seemed to be contained
within packages of rigid parameters
and standardized tests. Where were the
impassioned individuals seeking converts to
soak up the drops of shared wisdom without
dampening the fires of curiosity?
During the ensuing years, I moved
through a myriad of careers ranging from
healthcare to communications, technical
documentation, and project management.
Although all were enjoyable initially, they
became mundane once the limitations of
learning were met. In 2013, however, my career
path took an unexpected turn. I became part
of a corporate Regulatory Compliance area
with responsibility over an ethics program.
Although I was not completely sure how
anyone “manages ethics” within a corporation,
it piqued my interest.
After being in the position a year and a
half, I realized two things: I was not bored
and ethical reconnaissance was not limited
to an individual, a department, or even a
specific line of business—it involved the very
embodiment of the corporation. It was during
this epiphany I thought back to my college
days. Although painting and design were my
chosen focus, I would often spend time with
one of my talented friends who identified as
a potter.
The art of ethics
Personally, I found the pottery studio to be
dusty, dirty, and quite chaotic. The seven-
step process my friend used to take a
The Ethics Wheel:
Shaping corporate culture
»» Ethical reconnaissance is not limited to an individual, a department, or even a specific line of business; it involves the
embodiment of the corporation.
»» A focused strategy is built on the foundational commitment of “doing what’s right.”
»» A holistic, integrity-driven culture is built by engaging key proponents across the organization to share their input and expertise.
»» As we strive to champion the compliance program, we encounter challenges and roadblocks that take their toll on us mentally
and physically every day.
»» The desired outcome of material, process, and program creation is engaged usage by the workforce community.
by Susan Korbal
Korbal

3. 46 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977
ComplianceEthicsProfessional®
April2016 FEATURE
non-descriptive piece of clay and turn it into
a beautiful piece of functional art amazed
me. I began to compare what I remembered
from my visits to the pottery studio with my
current position as Ethics Program Manager
and the similarities were surprising.
1. Compose yourself
Contrary to modern
society’s stereotypical
artist profile, my friend
had already identified
the appropriate process
that would lead to
his desired artistic
outcome and was
committed to this
purpose. As I was
busy trying to find a
“safe” place to sit, my
friend began preparing
himself to “commune”
with the clay. To do this he ensured his
hands were clean, his fingernails clipped, his
workspace organized to mimic his thought
processes, and his tools displayed and ready
for use.
Any individual who represents the ethical
component of an organization would be wise
to follow this same attention to detail, by
making sure they keep their hands “clean,”
their strategy focused, and their tools up-to-
date and easy to access. Most importantly,
citing from the Compliance 101 manual,1
this
individual must commit to an “ethical way of
conducting business and a system for helping
individuals to do the right thing.”
2. Know your materials
It is critical as a potter to understand the
various decisions regarding art production.
Everything from type of clay (e.g., low fire,
mid-range, and high fire) to the pottery
wheel used (e.g., kick wheel versus electric)
plays an important role in the final product
outcome. My friend would often spout words
like plasticity, oxidation, and reduction in
his efforts to explain the process he felt so
passionately about. For him, it wasn’t enough
to create something; you needed to know why
the final product was the way it was.
This is good
advisement to the
individual(s) working
to build an effective
compliance and ethics
program. Even with a
perfectly structured,
well-documented
project design, if the
program manager
does not understand
or cannot articulate the
overarching purpose,
it is highly unlikely
that other individuals
within the company will embrace the
proposed mantra. At the very least, credibility
takes a hit; at the very worst, believability
becomes non-existent.
3. Prepare the clay
Aside from the design portion, I found
the preparation of the clay to be the most
intriguing part of the process. It fascinated
me how the clay could be malleable yet
unyielding at the same time. Carefully, my
friend was able take clay that was too soft
and exact the correct firmness by wedging
it on canvas; conversely, he would sprinkle
water and fold the clay inward to soften clay
rigidity. Additionally, he was fanatical about
ensuring no air bubbles were present in the
clay. He continually stressed that he didn’t
want any “blebbing” or blistering, because in
extreme cases these trapped air bubbles could
cause the pottery to explode during the firing
process. The patience demonstrated in this
I began to compare
what I remembered
from my visits to the
pottery studio with
my current position as
Ethics Program Manager
and the similarities
were surprising.

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ComplianceEthicsProfessional®
April2016
FEATURE
phase of the process was unlimited. He would
take whatever time was necessary to ensure
the clay was ready for shaping.
I view individuals encountered
throughout the workplace as organizational
“clay.” These include employees, managers,
senior leaders, shareholders, board members,
third-party representatives, customers,
etc. Similar to the clay used when making
pottery, these individuals can be both
malleable and unyielding. It is imperative
that those responsible
for ensuring an “ethical”
corporate environment
elicit patience and
adapt an instructional
attitude. Building an
ethical workplace is
not a role accomplished
through one individual,
department, or line of
business. We as compliance professionals must
deliberately engage key proponents across
the corporate footprint and encourage their
input and expertise. Sometimes we get so
focused on the materials and excited for the
process implementation, we shortchange the
preparation piece of engaging our workforce.
4. Throw on the wheel
I often found myself looking for a way to
escape watching my friend perform this
portion of the process. As he melded with the
materials, a higher-level connectivity seemed
to ensue. Oppositionally, I clearly saw the toll
the process was taking on him physically.
Preferring to use the kick wheel meant that
as he bent the clay between his finger joints,
his legs were working to keep the rhythmic
momentum of the wheel going. Even at his
young age, the painful joint damage was
already beginning. When questioned as to why
he put himself through such physical stress, he
simply stated, “Because it’s who I am.”
Those of us working in the Compliance
and Ethics field can relate to such a situation.
Our goal is to create and maintain a holistic
environment of ethical integrity and
alignment—a beautiful masterpiece in the
midst of business operations that, like the
pottery studio, may be somewhat dirty and
chaotic. As we strive day by day to create a
utopia that meets legal regulations, enforces
corporate policies, adheres to human resource
mandates, and supports consumer advocacy
rights, we encounter
challenges and
roadblocks that take
their toll on us mentally
and physically. Although
many of us pride
ourselves on not taking
things “personally”
in this field, when
you invest so much of
yourself in something you care deeply about,
remaining unimpassioned is truly not an
option “because it’s who we are.”
5. Understand design layers
As a painter and designated “colorist,” I
often provided requested input into this
phase of the process. At times, I found it
extremely difficult to resist picking up a
brush and personally applying a layer of
glaze, which usually led to being promptly
ushered back to my own canvas. To a painter,
this was the stage where unlimited artistic
expression thrived, complete with overglazes,
underglazes, ash glazes, crystalline glazes,
slips and engobes, burnishing, etc. With all
of this opportunity, I was surprised when I
first saw my friend painstakingly applying
wax resist to the bottom of a bowl. What
was so important about the underside of
the vessel? The practicality of his answer
was indisputable: “Any fleck of glaze on the
bottom of a vessel may cause it to weld to the
I view individuals
encountered
throughout the
workplace as
organizational “clay.”

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ComplianceEthicsProfessional®
April2016 FEATURE
kiln during the firing process and potentially
destroy the art piece.”
As compliance and ethics professionals,
we evangelize “tone at the top.” In her
article The Advantages of Workplace Culture
in an Organization, Miranda Brookins states,
“Employees and organization members take
cues from management as they form their
opinions about the culture of a workplace.
Once employees adopt the shared norms
of a company, it unifies employees and
management.”2
Senior
leadership is the design
hub of a corporation
and, as with pottery,
reflects the outward
image of the company
whether that be high
gloss, stony matte, or
lackluster. A critical
component of our role
within the organization
is to ensure that, in
the excitement of
building a compliance
program, we do not
lose sight of the importance of our employee
base. We are the corporate champions who
establish and enforce protective barriers
for our workforce in an effort to strengthen
organizational integrity.
6. Formulate the firing process
The final phase of the pottery-making process
is akin to watching a caterpillar transform into
a butterfly. The potter must be aware of object
composition and determine the firing method
prior to placing the piece of art inside the kiln.
After introduction to the firing process, the
clay becomes a new substance called ceramic.
Ceramic pieces are strong and durable, and
many have withstood the test of time. It is
important to remember the old adage “tried
by fire” when going through this part of the
process. My friend always said that when he
opened the kiln doors, he would instinctively
close his eyes, as it was at this point he would
have to acknowledge the results of his efforts.
Although many masterpieces did emanate
from the firing chamber, several others were
lost due to imperfections missed during prior
stages of the process.
How many times have we labored to
implement a new process or an enhanced
system to strengthen our corporate
environment, only to
find that we forgot a
certain component or
the item did not work
as designed? Even
with the engagement
of strong partners
such as Internal
Audit, Accounting,
Information
Technology, and
Human Resources,
it is impossible to
remember everything.
This is why
incorporating test plans and focus reviews
into project plans is critical. These tests allow
for the involvement of individuals to “heat”
up what is “known,” allowing us to sample an
outcome prior to fully opening the kiln doors.
7. Use the vessel
Everyone has a personal preference when
it comes to artwork. I still laugh when I
think back to the day a potential customer
haughtily informed my friend, “that I don’t
know much about art, but I know what I
like.” The ceramic in question was a large
fruit bowl decorated in pale tones of taupe
with crystallized glazing. Trying to make
my friend feel better, I made the mistake of
saying something like, “It is so beautiful,
it should be displayed in a museum.”
Senior leadership is
the design hub of a
corporation and, as
with pottery, reflects
the outward image of
the company whether
that be high gloss, stony
matte, or lackluster.

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ComplianceEthicsProfessional®
April2016
FEATURE
Instead of the anticipated reaction of shared
partnership, he informed me with angry
disdain that, “Unless art is functional, it
serves no purpose.”
Now there are varying schools of thought
to my friend’s response, but for our purposes
within the Compliance realm, his statement
rings true. Even if a corporation has the
best-designed, interactive code of conduct
training program; frequent well-written
communications; prominently displayed
reporting mechanisms; and easy-to-access,
structured policies and procedures—unless
the information disseminated is put to
use—the overarching purpose of creating an
ethical environment becomes moot.
Conclusion
It does not escape me that my current role
within Compliance has brought me full circle
to my glorious college days. As compliance
professionals, there are many truths to learn
from artistic endeavors. To parody Oscar
Wilde’s often quoted The Decay of Lying essay,3
I am convinced that “Art imitates compliance
far more often than compliance imitates art.” ✵
1. DebbieTroklus, Greg Warner: Compliance 101, Third Edition. Health
Care Compliance Association, 2011.
2. Miranda Brookins: “The Advantages of Workplace Culture in an
Organization” Houston Chronicle, Small Business. Available at http://bit.
ly/culture-in-org
3. Oscar Wilde: “The Decay of Lying—An Observation” Intentions
(collection of essays), 1891.
Susan Korbal (smkorbal@aaamichigan.com) is the Ethics Program
Manager at The Auto Club Group in Dearborn, MI.
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