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THE TOTAL VALUE ADVANTAGE™ Enhancing Competitive Advantage "When it comes to calculating Compliance ROI, you need to consider The Total Value Advantage." ​ There is one question that is often asked, "How does compliance generate a return on investment?" Where is the ROI? This question places compliance up against the measure of profit, a basic measure of businesses success and purpose. However, there are other outcomes that businesses endeavour to create such as: reputation, integrity, quality, safety, security, sustainability, and ultimately stakeholder trust. Therefore, when considering compliance ROI, it's necessary to also include all the value that compliance protects and ensures, not only profit. We call this Total Value. Delivering on Total Value is not only important, it's essential for competitive advantage in today's marketplace. Building on Michael Porter's Cost and Differentiation advantages as part of Value Chain Analysis, we developed the concept of Total Value Advantage. This approach recognizes that competitive advantage goes beyond just price and product features. It encompasses all aspects that deliver value to a company's stakeholders, fostering trust and long-term mission success. Total Value Chain Analysis Certainty / Compliance Programs as the Backbone of Total Value Advantage: ​ Effective compliance programs are essential for protecting and ensuring Total Value Advantage. Here's how they contribute: ​ Safety : Robust safety programs demonstrate a company's commitment to protecting employees, customers, and the public. This translates to fewer accidents, injuries, and lawsuits, creating a safer work environment and building trust with all stakeholders. ​ Security : Implementing strong cybersecurity measures safeguards sensitive information, financial assets, and critical infrastructure. This protects customer data and brand reputation, fostering trust in the company's ability to handle information responsibly. ​ Sustainability : Companies that prioritize environmental responsibility by reducing their carbon footprint, minimizing waste, and using resources efficiently gain a competitive edge. Customers increasingly support companies with strong sustainability practices. ​ Quality : Delivering consistently high-quality products or services builds trust with customers. They know they can rely on the company to meet or exceed their expectations, leading to customer satisfaction and retention. ​ Regulatory Adherence : Proactive efforts to comply with all regulations (environmental, labour, product safety, etc.) demonstrate a commitment to ethical practices. This avoids fines, legal trouble, and reputational damage, maintaining trust with regulators and the public. ​ Environmental Responsibility : Minimizing pollution, promoting resource conservation, and investing in renewable energy sources contribute to a healthier environment. This resonates with environmentally conscious consumers and builds a positive brand image. ​ And other programs such as, Ethics, Reliability, AML, etc. Differentiation and Cost Savings Through Compliance Practices: ​ Differentiation : Total Value Advantage allows companies to differentiate themselves from competitors who solely focus on price or basic features. This approach attracts customers who value responsible practices and are willing to pay a premium for them. ​ Cost Savings : While there may be initial investment costs, responsible practices can lead to long-term cost savings in the following ways: ​ Safety : Investing in safety measures reduces accidents, injuries, and workers' compensation claims. Security : Strong cybersecurity prevents costly data breaches and protects company assets. Sustainability : Energy efficiency initiatives lower operational costs. Recycling reduces waste disposal expenses. Regulatory Adherence : Proactive practices avoids fines and legal fees. Overall, Total Value Advantage represents a shift in focus from just cost or product features to a holistic approach. By prioritizing responsible practices, companies can build trust with stakeholders, differentiate themselves in the marketplace, and ultimately achieve sustainable mission success. ​ The Total Value Advantage is more than a triple bottom line that just accounts for impact, it makes sure what is valued is created and protected. ​ Now, how much is that worth to you? ​ Lean TCM

ELEVATE COMPLIANCE WEBINARS Foundational Webinars to Improve Your Compliance Attend our monthly webinars to stay informed on challenges, strategies, and solutions to improve the probability of compliance success. Leverage these webinars within your organization by inviting your colleagues to participate. ​ Upcoming Webinars: Thu, Jun 27 Elevate Compliance Using ISO 37301 / Free Online Webinar Register Jun 27, 2024, 12:00 p.m. – 1:30 p.m. EDT Free Online Webinar In this webinar, we help you understand what ISO 37301 is all about, how it works, and how to use it to elevate your compliance. Thu, Jul 25 Elevate Compliance by Operationalizing Obligations / Free Online Webinar Register Jul 25, 2024, 12:00 p.m. – 1:30 p.m. EDT Free Online Webinar A Guide to using Hoshin Kanri to Operationalize Performance and Outcome-based Obligations across and throughout your organization. Previous Webinars: (become a Lean Compliance Member to access recordings) Thu, Apr 25 Elevate Compliance by Staying Ahead of Risk / Free Online Webinar Details Apr 25, 2024, 12:00 p.m. – 1:30 p.m. EDT Free Online Webinar +12 more In this presentation you will learn what the root cause of risk is, how to contend with it, and how to improve your probability of compliance success. Thu, Mar 28 Elevate Outcomes Using Compliance Programs / Free Online Webinar Details Mar 28, 2024, 1:00 p.m. – 2:30 p.m. EDT Free Online Webinar +19 more Join us as we spotlight the essential role of Compliance Programs in bridging the gap between governance and management systems. Discover how leadership intentions materialize into actionable management realities, steering your operational objectives towards better organizational outcomes. Thu, Feb 22 AI Ethics and Compliance / Free Online Webinar Details Feb 22, 2024, 1:00 p.m. – 2:30 p.m. EST Free Online Webinar +28 more This presentation addresses the urgency of ethical considerations in artificial intelligence. It explores the meaning of ethics, including integrity, morality, and trust. Emphasizing the shift from "can" to "should." Thu, Jan 25 Elevating Compliance To Higher Standards / Free Online Webinar Details Jan 25, 2024, 1:00 p.m. – 2:30 p.m. EST Free Online Webinar +32 more For organizations to meet all their obligations compliance must raise its standard. In this webinar we explore key areas where compliance must elevate its performance in the year ahead.

LEAN TCM Delivering Total Value Lean TCM™ (Total Compliance Management) ensures delivery of Total Value. ​ Lean TCM™ helps organizations deliver Total Value by improving their ability to meet all their obligations and keep their promises connected with regulatory and voluntary rules, standards, targets, and value-based outcomes. From legal requirements to ESG commitments and everywhere in between, you now have the means to tackle them all with assurance. ​ Lean TCM doesn't replace existing management standards or practices. It raises them to a higher level, providing essential capabilities needed to realize more than certification alone provides to drive better and greater outcomes. ​ Lean TCM goes beyond mere regulatory compliance to effectively contend with both Compliance 1 and Compliance 2 requirements covering a Legal and Social Licenses to Operate. Total Value Chain Analysis (VCA) Lean TCM helps you embrace sustainability, build trust, and deliver on all your obligations fully equipped with principles and practices for accountability, alignment, and assurance at every level from governance to boots-on-the-ground. ​ Lean TCM takes its cue from Total Quality Management along with Continuous Improvement, Lean Startup, Hoshin Kanri (Policy Deployment), ISO 37301 (CMS) and ISO 31000 (RM), Performance Management, Promise Theory, Cybernetics, and other domains to better contend with modern day compliance challenges. ​ With Lean TCM you will: ​ realize better compliance outcomes with resources you already have effectively handle both regulatory and stakeholder obligations reduce waste and duplication to free up capacity to be more proactive establish essential capabilities to meet performance and outcome-based obligations align your compliance efforts to achieve more than the sum of their parts foster a learning, proactive and integrative compliance culture always stay between the lines and ahead of risk build reputation and stakeholder trust deliver total value ​ Operational Compliance Lean TCM incorporates an Operational Compliance Model that supports all obligation types and commitments. It uses design principles derived from systems theory and and modern day regualtory designs to help you always stay between the lines and ahead of risk. ​ For compliance to be effective, it must first be operational. Operational compliance is achieved when all essential compliance functions, behaviours, and interactions exist and perform at levels necessary to create the outcomes of compliance defined as Minimal Viable Compliance (MVC). ​ When compliance is operational, it can finally be more than the sum of its parts. Compliance Operational Model Operational Compliance Book Lean TCM Framework Lean TCM is more than a means to an end. It also defines a holistic, proactive, and integrative approach to operate in highly regulated, high-risk, environments to ensure value is created and protected. Not a luxury, but a necessity for sustainable mission success. The Proactive Certainty Program™ Our advanced program – The Proactive Certainty Program™ – is carefully designed to facilitate your compliance transformation, to help you establish and achieve Compliance 2 – Operational Compliance. The Proactive Certainty Model™ The Proactive Certainty Program Program Kaizens And to facilitate continual improvement, we adapted the Lean practice of Kaizen (Change for the Better) to improve your probability of compliance success. Program Kaizens

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PROGRAM KAIZENS Change for the Better We adapted the Lean practice of Kaizen (improvement interventions) to support safety, security, sustainability, quality, environmental, ESG, regulatory, and other managed programs. Kaizen is the Japanese word for "Good Change" or "Change for the Better" ​ The following is a list of our program Kaizens to help improve your probability of compliance success. Program Success Kaizen Plan for Compliance Success Facilitator led workshops to develop a risked-based compliance plan for your compliance program based on the 5 principles of program success. Engagement: 5 Sessions / 1.5 Hours Each / Teams of 4 or less Format: Facilitated, Online (Zoom) Outcome: Compliance Program Charter and Plan for Success Contact Us Program Shield Kaizen Increase Probability of Compliance Success Facilitator led Program Pre-mortem to identify areas of risk and opportunities. Identify problems before they become issues to avoid failure and ensure success. Engagement: 4 Sessions / 1.5 Hours Each / Teams of 4 or less Format: Facilitated, Online (Zoom) Outcome: Compliance Program Risk Plan and Treatment Contact Us Program Pulse Kaizen Compliance Accountability and Advisory Support Monthly coaching sessions for compliance program owners and managers focused on improving operability and effectiveness of their compliance. Based on the 12 Principles of Compliance Operability. Engagement: 12 Sessions / 2 Hours Each / Individual Format: Facilitated, Online (Zoom), Workbook Outcome: Knowledge and Improvement Contact Us Program Performance Kaizen This is a facilitated capabilities evaluation of your compliance program. This does not replace audits or certification against existing internal or external standards. Instead, this evaluation is about raising your program to a higher level by assessing essential capabilities needed to realize more than certification alone can provide. Engagement: 12 Sessions / 1.5 Hours Each / Teams of 4 or less Format: Facilitated, Online (Zoom), Workbook Methodology: 12 Capabilities / 12 Principles Assessment Outcome: Capabilities Performance Assessment and Recommendations Contact Us

ELEVATE COMPLIANCE HUDDLE Weekly Q & A Drop-In over ZOOM Join our community of practice comprising forward-looking compliance practitioners, managers, obligation owners, and leaders who are passionate about elevating compliance to keep their businesses always between the lines and ahead of risk. Learn new approaches, get new ideas, and improve your probability of compliance success. These sessions are open to everyone working in or responsible for safety, security, sustainability, quality, environmental, regulatory, healthcare, AI, ethical, or other stakeholder commitment. Q&A Drop In Mondays at Noon on ZOOM. Registration is Free. What you will learn – invaluable Registration (Free) First name Last name Email Position or Role Company Consent to Subscribe to newsletter. Register

ELEVATING COMPLIANCE A Community of Practice Elevating Compliance Around the World The Elevating Compliance Community of Practice consists of forward-looking compliance practitioners, professionals and obligation owners across all domains and industry sectors who want to improve compliance for the better. ​ Together we are breaking down silos and learning how to better protect and ensure total value creation. ​ Become part of this growing community and subscribe to our weekly newsletter to receive featured articles, information on upcoming events, and other resources to help you improve your probability of compliance success. ​ In addition, register to attend our weekly huddles and other events to engage with others. ​ Subscribe to our weekly Newsletter Register for weekly Elevate Compliance Huddles on Zoom Register for our monthly Elevate Compliance Webinars Access Blog Articles And take advantage of our resources and events ​ ​ Subscribe to Newsletter

PROGRAM JOURNAL Document your progress and follow up items First Name Last Name Email Choose Session Select session What are the key take aways from this session? In what ways has your view of compliance changed? What concepts, principles, or practices are most important to improving your situation and why? What steps can you take to establish them in you program? Other comments about this session? Submit

BECOME A MEMBER Access Exclusive Lean Compliance Resources Become a member of Lean Compliance to benefit from exclusive resources, discounts, and members-only services. Lean Compliance Member $ 30 30$ Every month Access to Exclusive Resources and Programs Select Access to Recorded Webinars Access to Exclusive Content (worksheets, templates, etc.) Access to Exclusive Articles Access to Exclusive Resources Access to Elevate Compliance Huddle Worksheets and Content 50% Off First Compliance Consultation ($225 value) Pricing for other plans and programs are available through our program management office. Contact PMO

COMPLIANCE RESOURCES Download Resources Become a Member to Access Exclusive Content 5 How to Deliver Total Value Presentation NEW Download Presentation The risk and compliance landscape is defined by a lack of effectiveness and rising cost. Many organizations never realize the benefits from staying between the lines and ahead of risk. They along with their stakeholders are missing out from experiencing Total Value. Until now. Lean Operational Compliance Model Model ​ Download 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. Lean Compliance - Operational Compliance - Primer E-Book UPDATED Download PDF 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 Presentation ​ Download Presentation 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 Presentation ​ Download Presentation Presented at the ACFE Houston Fraud Conference 2023 - PDF with speaker notes. 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) 5