By Raimund Laqua, PMP, P.Eng., Founder and Chief Compliance Engineer at Lean Compliance I've spent 30 years in the trenches of compliance, and one question keeps coming up: "Are all compliance obligations There's no magical tool that will transform your compliance program overnight. Raimund Laqua, PMP, P.Eng. is Founder and Chief Compliance Engineer at Lean Compliance Consulting, Inc on topics of risk, compliance, lean, and responsible and safe AI.

The challenge with Large Language Models is that traditional compliance approaches assume you can audit A Cybernetic Approach to AI Compliance Two insights have been particularly valuable: First, trying to They assume technical controls operating under human oversight—automated compliance within human-defined through these ideas in more detail—how cybernetic principles apply to AI governance, what this means for compliance

When it comes to compliance success, you need to pay attention to all the risk – the threats and the Compliance is not just about ticking boxes. Understanding Holistic Compliance Risk When we think about risk in compliance, we often focus solely A holistic approach to compliance risk involves: Identifying Obligations and Commitments: both mandatory Path Forward Compliance involves meeting obligations and keeping commitments.

This approach is especially powerful in compliance, where the stakes of failure—whether in regulatory Why Inversion Works So Well in Compliance Compliance success increases the probability of mission success However, the reverse is almost always true: compliance failure leads to mission failure. systems, and processes designed to reduce the likelihood of non-compliance. Avoiding Failure is Success in Compliance Achieving compliance success can be challenging for many to

standards that take up the majority of their compliance resources. Compliance needs excellence So how do you improve compliance and would compliance excellence look like Compliance failure often leads to mission failure. Companies require "operational excellence" in how it does compliance. Until it does, compliance must itself make "Compliance Excellence" a priority to support their quality

policy effectiveness and regulatory gaps, private companies to make employees more ethical, and in compliance The use of nudging in compliance has ethical implications that need be to considered and addressed. More and more companies are considering the use of nudges as a proactive strategy to achieve compliance In Todd Haugh's paper on "Nudging Corporate Compliance" [5] he defines nudges in the compliance context Develop a plan for how they will address the use of nudging within their compliance programs 2.

New compliance concerns are starting to take over. Compliance is a zero-sum game i.e. focus on something new takes away from existing resources. To meet the new demand without sacrificing existing risk & compliance performance organizations must Embed compliance into processes to ensure the organization always stays between the lines. Leverage common principles and practices across all risk & compliance programs.

For compliance, these boundaries stem from legal obligations and the expectations imposed by internal Many ask why we describe compliance as: staying between the lines and ahead of risk. Now you know. By adhering to the boundaries, compliance helps to avoid non-conformance and protect the integrity of In the say way, compliance is not only about audits and enforcement. This is the secret of Lasso way and the secret of those who are successful at compliance.

Why Business Managers Should Own Compliance There's a persistent practice in organizational management However, at a basic level, the main reason we separate compliance from the business is that we view compliance When we think of compliance as verification, we miss the fundamental point: compliance is about meeting Compliance stops being a monitoring function and becomes an operational commitment. That's lean compliance in action.

Minimal Viable Compliance A framework-focused approach to compliance emphasizes creating the structural architecture and formal elements of a compliance program. In contrast, operational compliance focuses on the engineering and mechanics of how compliance actually This does not mean building minimum or basic compliance. Driving Compliance to Higher Standards The key to compliance success lies in understanding that framework

When it comes to performance-based compliance you need to manage both compliance and obligation risk. Compliance risk are the effects of uncertainty of non-conformance. These impede outcomes. ISO 19600 Compliance Management System - provides a framework to manage all your obligations under one When obligation risk is addressed ahead of time it reduces the probability of compliance risk.

Do we now have a burning platform with respect to reactive compliance? residents are safe, and feel safe Hackitt's report calls for an overall shift towards outcome-based compliance This is also why the first step towards proactive compliance is to take ownership of your obligations