Lean Compliance - Operational Compliance - Primer
In my years working within the compliance landscape, I've come to realize that it's not just about ticking boxes or adhering to regulations; it's about Care. Those dedicated to compliance genuinely care about the impact of their work, yet there's often a gap between that care and realizing the benefits from all their hard work.
This primer takes a step back from the technical nitty-gritty and regulatory complexities— there are plenty of experts and resources for that. Instead, it offers an insightful overview of how operational compliance is achieved and, more importantly, how you can harness compliance programs to drive positive outcomes: enhanced safety protocols, fortified security measures, sustainable practices, reduced environmental impact, assured quality standards, and the cultivation of trust with stakeholders.
I hope you find this primer to be an insightful guide on the topic of Operational Compliance – not a luxury, but a necessity for effective compliance.
Unlocking the Potential of ISO 37301
For compliance to succeed you must manage your obligations, but more importantly you need to keep your promises This requires several things working together to produce the outcome of compliance:
Better safety, security, sustainability, quality, lower risk, and ultimately better stakeholder trust.
ISO 37301 can help you achieve those outcomes. But only if you intend to keep your promises. Otherwise, it will just be another standard among others that add more work, cost and deliver few benefits.
In this webinar, I help you understand what ISO 37301 is all about, how it works, and how to use it to keep all your promises.
By doing so you will realize more than just incremental improvements. You will experience transformational benefits that compound year over year.
Effective Compliance: A Strong Defence Against Mission Failure
Presented at the ACFE Houston Fraud Conference 2023 - PDF with speaker notes.
Here is the big idea:
Compliance can be a strong defense against mission failure by helping to avoid the hazards and
prevent the conditions that lead to fraud or more precisely that create the opportunity for risk to become a reality.
But here's the rub
Compliance will only be effective if and only if all essential compliance functions, behaviours, and interactions exist and are operating at levels sufficient to realize the benefits of compliance.
In this presentation, we look at:
1. The risk and compliance landscape - this will help us answer the question of why
2. How compliance programs work - without understanding this you will never know how to make them effective
3. Operational model for compliance - connect all the dots so you have no holes in your defences
4. What's essential for effective compliance - how to achieve Minimal Viable Compliance (MVC)
Lean Logistics: Improving the Probability of Missions Success Using LEAN
Everything happens in presence of uncertainty. To succeed we must learn how to effectively manage in the presence of this uncertainty. In this presentation, I hope to show you how LEAN is not only a way to improve efficiencies (as important as that is) but also how LEAN is a means to help you effectively contend with the greatest WASTE of them all - RISK.
Lean Operational Compliance Model
(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 now includes the 5 immutable principles of program success.
White Paper - Why Compliance Needs to Change
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.
A3 Obligations & Promise Worksheet (v2)
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.
Hoshin Kanri - Compliance Compass
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.
Lean Compliance Poster
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.
The Proactive Certainty Program™ - MAP
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.
Effective Compliance Assessment
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.
The Environmental Golden Thread
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.