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Compliance Principles, Practices, & Insights


Is Risk Real?
For those who have been to Toronto, Canada you will know that one of the places you are likely to visit is the CN Tower. It remains as...


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


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


Rasmussen's Risk Management Framework
At a fundamental level compliance programs protect the value stream from threats that hinder the creation of value. Each program contributes to keeping the value chain safe from various risk including: quality risk, occupational safety risk, security risk, and so on. These programs are socio-technical in nature in that they recognize the interaction between people and technology often across multiple levels of organization. Rasmussen's Risk Management Framework (also known as


Mismatched Systems
The administration problem is primarily that of reducing uncertainty within the organizational system (Organizational Strategy,...


Project Success in the Presence of Change
Some say change is the only real constant in the universe – the one thing you can count on is that everything changes. However, there is...


Risk Management or Resilience
The concept of resilience is gaining traction particularly among those in highly-regulated, high-risk industries. In an ever changing...


To Address Systemic Risk You Need Systems Thinking
If your company uses an organizational chart it was most likely designed based on the factory model created by Fredrick Taylor who...


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


LEAN - Lost in Translation
There are times when leadership sets their gaze on operations in order to better delight their customers, increase margins, or improve operational excellence. This gaze for many companies has translated into a journey of continuous improvement – the playground for LEAN. All across the world companies have embraced LEAN principles and practices in almost every business sector. In many cases, LEAN initiatives have produced remarkable results and for some created a new “way of o


Governance, Risk and Compliance
GRC is an acronym for: governance, risk, and compliance which originated from the management consulting world to describe processes...


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...


Holes in the System
It is only by anticipating, planning, and acting that prevents risks from becoming a reality.


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


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...


The Two Towers of Safety: Be Safe, Act Safe
When it comes to safety there are two schools of thought. The oldest one is focused on behavior and its by-line is, "Act Safe." This is...


Integrated Risk Assessment
In response to increasing and often overlapping requirements from standards and regulatory bodies, many companies are looking to...


Lord of the Risks – The Two Towers: Productivity and Compliance
Those who have been following me might be aware of my presentations on demystifying risk entitled, Lord of The Risks – Defeating the...


Operating in the Presence of Uncertainty
Every business operates in the presence of uncertainty. This uncertainty creates the opportunity for risk. Compliance programs buy down...


Compliance Beetle Template
Turtle diagrams are often used to document processes in support of ISO standards and guidelines. However, they tend not to include...


Bow Tie Template
To help you achieve your outcomes we are offering a free copy of our Bow-Tie Analysis PowerPoint template. Our template incorporates...
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