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Compliance Principles, Practices, & Insights


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


A Systems Roadmap for API RP 1173
API RP 1173 provides a framework for companies to evaluate their safety systems and processes to more effectively buy down risk and...


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...


Problems Are Our Friends
Back when I was in high school I had a teacher that would always say, "problems are our friend." At the time I didn't get it, probably...


Minimal Viable Performance (MVP)
Minimal Viable Compliance / Performance Outcomes are the effects of capabilities which means that if you want to advance your outcomes...


Capabilities Maturity Model for Compliance
Increasingly, we have observed that regulatory and standards bodies are expecting companies to use capability maturity models to improve...


Improving Management Systems
Almost all compliance initiatives depend on management systems to ensure obligations are met. This applies to safety, quality,...


Regulatory Compliance Not Enough
In a recent decision of the Ontario Court of Appeal they stated that the general duty clause in the Occupational Health and Safety Act,...


Emergent Uncertainty
As systems improve we expect that the certainty of meeting objectives increases. Instead, what often happens is that systems become more...


Digital Transformation - Exploiting the Power of Digital Technology
Digital Transformation Over the last several decades companies have invested in paper-on-glass solutions as part of their digital progression. However, what only a few companies have done is change their processes to exploit the power of their digital technology. Dr. Goldratt, developer of the Theory of Constraints, speaks to this issue directly: "Technology can bring benefit if, and only if, it diminishes a limitation. Long before the availability of technology, we develope


Continuous Improvement Objectives
Companies of all sizes need: Processes to repeatedly execute steps in the creation of value Systems to ensure the consistent following of...


Proactive GRC
GRC is an acronym used to describe three functions: governance, risk, and compliance. The use of GRC originated from the management...


Leading Health Systems Innovation
Like other sectors, health care also requires innovation. Current models are based on a reactive and transactional approach to how health...


Implement Programs and Systems
The documented organization is at best a rough facsimile for the actual organization. There is always a gap between what is expressed in...


Compliance Capabilities
Compliance is often organized into isolated functions that are separate from the production management structure. However, we know that...


Compliance Chain Analysis
Harvard Business School's Michael E. Porter introduced the concept of a value chain in his book, " Competitive Advantage: Creating and...


Ethical Compliance
Technology is advancing faster and further than our ability to keep up with the ethical implications. This applies also to the systems using


Operational Risk: Where do risks come from?
Risk-based thinking is at the center of recent changes to compliance standards, guidelines, and regulations. One of the areas where...


Moving Compliance to the Performance Zone
Compliance is often viewed as a cost of doing business. However, instead of viewing compliance only as an expense and something to...


Why You Need a Compliance Architect
In a world of competing and overlapping compliance demands, siloed departments, and numerous stakeholders the role of an architect is...


Compliance Process Modeling
Process modeling is necessary to design, implement, and improve compliance. Many of the techniques and approaches used today are based on...


Managing Compliance Obligations
It is common for companies these days to have several programs to manage both mandatory requirements and voluntary commitments in...


Where to Make Compliance Improvements
Compliance programs, systems, and processes are often used interchangeably when referring to improvements. However, there are important...
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