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Compliance Principles, Practices, & Insights


Operational Readiness
Are your systems operational and capable to meet all your performance and outcome-based obligations this year? Companies that take...


Cybernetic Control
Are your risk and compliance controls capable to keep you between lines? The purpose of risk and compliance is to keep companies...


Proactive Planning
Does your approach to planning adequately address performance and outcome-based obligations?


Risk-based Continuous Improvement
Does your improvement process properly contend with uncertainty and risk? Continuous improvement in the form of Deming's wheel...


The Uncertainty of Cause and Effect
The causality model chosen to describe a system often leads to specific methods and tools to address uncertainty and risk. This may...


The Regulatory Tsunami
In recent years many in the compliance industry have observed a shift in regulation from prescriptive to performance and outcome-based designs. What we are seeing is only the beginning of a trickle down effect emerging from regulatory reform over the last few decades across regulatory jurisdictions and across the world. During this time an increasing number of regulatory bodies have started to modernized the function of regulation, its processes and practices, and how regulat


Motivations
Decision makers today are often faced with making decisions that cross multiple dimensions and where uncertainty and risk are present....


Systems Thinking
Machines, organizations, and communities include and are themselves part of systems. Systems Thinking Russell L. Ackoff, a pioneer in...


Risk Planning is Not Optional
What I have observed after reviewing risk management programs across diverse industries that include oil & gas, pipeline, medical device,...


Process Safety Management for the Digital Factory
With the increases in the number and severity of security breaches, digital factories could benefit from risk-based process safety...


Why you will never have an effective compliance program
Over the years I have observed that there is one reason that stands above all others as to why compliance programs fail and why they are...


Why all the fuss about nothing?
Non-conformance is not a thing, in fact it is actually nothing. Non-conformance is defined by what it is not (negation) against the...


Four Corners of the Obligation Map
4 types of obligations 4 compliance functions 4 purposes 4 measures


Compliance Needs to Operate as a Business
Compliance creates value by building trust when obligations are met and protects against the erosion of value when they are not. To...


Compliance versus Obligation Risks
When it comes to performance-based compliance you need to manage both compliance and obligation risk. Compliance risk are the effects of...


How do you change culture?
There is much discussion these days about the need to create an improved safety culture particularly in high-risk, highly-regulated...


Compliance Excellence - A Road Less Traveled
There are many places in business where performance is critical and the drive to excel pushes organizations beyond their current limits...


Doing less maybe simpler, but rarely is it effective
Compliance functions tend to be lightly resourced and often overwhelmed doing the best they can to help organizations meet all their...


RISK is the WASTE of INEFFECTIVE COMPLIANCE
In manufacturing, to improve responsiveness to customer demand, LEAN uses pull to expose waste which is then eliminated or reduced to...


You can't turn lagging into leading indicators no matter how hard you try
Lagging versus Leading Indicators The Challenge Counting near misses, incidents, defects, violations, and other non-conformance is of value and necessary as part of prescriptive: regulation, industry standards, and internal policies. However, when it comes to complying with performance and outcome-based commitments where the goal is to achieve zero fatalities, zero explosions, zero violations, and zero defects then you need a risk-based process that uses proactive actions inf


4 R's of Continuous Performance
The purpose of a compliance management system is to maintain state which is achieved through consistency, reduction of variation, and...


Return to the Gemba
One of the principles we learn from LEAN is that: If you can't see it you can't improve it. We also talk about going to the GEMBA (scene...


Lean Compliance A3 Format
The A3 Format and DMAIC are structured processes used for LEAN / Six Sigma improvements and problem solving. While these have proven to...


Proactive vs. Predictive vs. Reactive
Predictive analytics is a topic of much discussion these days and is considered by some to be a proactive measure against safety,...
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