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Compliance Resources

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Lean Operational Compliance Model

Model

UPDATED

(Version 4) – Operational Compliance is a state of operability when all essential compliance functions, behaviours, and interactions exist and perform at levels necessary to realize compliance outcomes. This operational compliance model will help you achieve and sustain operational readiness so that you always stay between the lines and ahead of risk.

This model is updated and now includes the 5 immutable principles of program success.

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White Paper - Why Compliance Needs to Change

White Paper

UPDATED

Increasingly, organizations are observing that their compliance programs are not achieving their intended outcomes. Compliance is seen as too expensive, ineffective and unable to keep up with emerging standards and regulations. Compliance appears to be falling behind, and in the process, exposing organizations to unnecessary risk.

Download our most recent white paper to find out more.

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A3 Obligations & Promise Worksheet (v2)

Worksheet

UPDATED

Are you searching for a structured process to adapt to changing obligations, commitments, or compliance risks? Look no further! We proudly present the A3 – Obligation & Promise Worksheet, an adaptation of the renowned Lean A3 worksheet, specifically designed to help you meet your obligations with confidence.

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Hoshin Kanri - Compliance Compass

Worksheet

UPDATED

To effectively steer your compliance towards better outcomes you need a compass.

The Lean Compliance Compass based on the X-Matrix will help steer stay on mission, on course and on side.

Download our free excel spreadsheet updated to support the 12 Principles of Operational Compliance.

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Compliance Beetle

Worksheet

UPDATED

Compliance Beetle Diagram

V1.1

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Program Pre-mortem Risk Canvas

Worksheet

NEW

Program Pre-Mortem Risk Canvas based on the 5 Principles of Program Success. This canvas will help you conduct a structured pre-mortem and identify reducible and irreducible risk for your programs.

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Compliance Priorities for 2023

Presentation

NEW

As the year comes to a close I thought I would identify 10 compliance priorities for 2023 to keep you between the lines and ahead of risk.

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A Case For Lean Compliance

White Paper

Read more about Lean Compliance

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Lean Compliance Poster

Poster

NEW

Based on our experience working with hundreds of organizations we learned that many take a silo-ed and reactive approach to meeting their obligations. They also wait until they have been audited or for a serious incident to occur before they improve their compliance.

As a result, over time their risk increase, promises are not kept, and they lose the trust of their stakeholders. Some may even lose their business. We call this The Reactive Uncertainty Trap.

Download our Lean Compliance Poster that shows how you can escape this trap.

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The Proactive Certainty Program™ - MAP

Brochure

The Proactive Certainty Program™ helps you take a proactive and systems approach to compliance to escape the reactive uncertainty trap and achieve a much better outcome from their compliance efforts.

Step 2 of The Proactive Certainty Program™ follows a 12-week process where we help you develop your compliance improvement roadmap to achieve operational and effective compliance.

Download the program brochure to learn more about what is involved and how to join the program.

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Effective Compliance Assessment

Worksheet

We developed over 70 questions to help you evaluate your organization’s ability to support regulations, industry standards, vision zero, and ESG outcomes and objectives.

Answers to these questions will help you evaluate the status of your compliance and your capabilities for effectiveness.

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The Environmental Golden Thread

E-Guide

NEW

The number of initiatives directed towards environmental regulations, standards, and stakeholder obligations is increasing across all levels of governments, private sectors, and the public at large.

However, it is at the municipal level where this is most acute as almost everything here intersects with the environment. Municipalities are where public policy comes face to face with the environment. It is where the rubber metaphorically and physically meets the road.

To better understand how are contending with environmental objectives we compiled a list of environmental initiatives across Canada. This data includes: key goals, objectives, policy influences, and municipal resources summarized into what we are calling The 12 Environmental Pillars.

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Obligation / Promise Register

Worksheet

NEW

Obligations Register Excel Worksheet with Risk and RAM functionality.

Version 1.0

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PDCA A3 Worksheet

Worksheet

Download our free PDCA A3 Worksheet template to help you capture compliance improvements.

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ISO 31000 - BowTie Analysis Powerpoint Worksheet

Worksheet

Our PowerPoint BowTie Template embedded as part of the ISO 31000 risk process. As always, we consider both threats and opportunities to improve the certainty of project, program, and mission success.

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Project Pre-mortem Risk Canvas Powerpoint Template

Worksheet

Our Project Pre-Mortem Risk Canvas based on the 5 Principles of Project Success by Glen Alleman. This canvas will help you conduct a structured pre-mortem and identify reducible and irreducible risk for your projects.

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Project Charter

Template

NEW

Start your project on the right track with our Project Charter Template

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