Compliance Effectiveness Gap Compliance has been heading in a new direction over the last decade. It's moving beyond paper and procedural compliance towards performance and operational compliance.   Total Value Chain The Problem with Compliance   In a nutshell, compliance should ensure mission success COMPLIANCE AUDIT This is not a traditional audit.   Program Evaluation  (Values Operations Alignment) Total Value Compliance Roadmap  (Minimal Viable Compliance

Here's something that doesn't get said often enough: most compliance programs aren't led. Now contrast that with organizations where compliance is led, not just managed. Compliance leaders don't wait for something bad to happen. a compliance caretaker? That's where operational compliance becomes possible.

Compliance is the outcome of meeting obligations which requires compliance to be operational. Compliance operability is achieved when essential functions, behaviours, and interactions exist at levels sufficient to produce a measure of effectiveness – this defines Minimum Viable Compliance (MVC). This approach is based on Lean Startup model by Eric Ries which we have adapted to the compliance domain approach is based on implementing components or the parts of the compliance function starting at the

Lean Compliance Reflections I often think about the future of Lean Compliance, especially lately as I , where industry is at, what industry now needs, and what Lean Compliance offers. The Vision Behind Lean Compliance I founded Lean Compliance (2017) because I saw an industry trapped The Territory We Inhabit Operational Compliance Lean Compliance operates in the space between regulatory This reality further highlights the need for operational compliance approaches.  

When we think about compliance we should also think about the goals we want to achieve. They define the "ends" of our compliance programs, for example: zero defects, zero fatalities, zero violations These are often used to define measures of effectiveness (MoE) for compliance programs as they provide What goals have you set for your compliance programs?

Organizations today grapple with numerous compliance requirements: safety, security, sustainability, Some leaders deliberately position compliance functions far from core operations, perhaps viewing them The difficulty in placing compliance programs stems from an intuitive understanding that effective compliance When considering compliance's proper place, we should recognize that it isn't analogous to a hand or Instead, compliance functions more like the heart of an organization, circulating vital resources to

“We need to move beyond compliance.” I used to think that moving beyond compliance was the answer. When we say, “we need to move beyond compliance” where exactly do we need to move to? However, what this means is that: We don’t need to move beyond compliance. We need to catch up to where compliance now is. This does require going beyond “basic compliance” – adhering to legal requirements – towards “total compliance

While Governance, Risk, and Compliance (GRC) in IT typically focuses on certified management systems It needs to be operational, with all components working together to achieve compliance goals and objectives Lean Compliance addresses this gap by helping organizations achieve minimal viable compliance (MVC)—ensuring Rather than focusing on integration alone, Lean Compliance emphasizes operability through a comprehensive Our outcome-focused approach is what makes Lean Compliance different: we aim higher to ensure compliance

Many organizations begin meeting compliance obligations using Compliance 1 practices. Compliance is added "on top" of what is already happening. While this is how most start it is not the way compliance should continue. We call this Compliance 2 which compared with Compliance 1 is analogous to the difference between total The internal audit function still has a role under Compliance 2.

The next step in establishing risk treatments is to understand the nature of the compliance risk which In some compliance domains this is called preventable risk. This begs the question of why not treat all compliance risk as irreducible which by-the-way many do. A company's margin is significantly and negatively impacted by the cost of realized reducible compliance

Many organizations implement their compliance systems in a phased approach by working through each element Target these deficiencies for compliance with the standard. They most likely have not been designed to work together within the context of the desired compliance They still need to adapt them to work together to fulfill the purpose of the new compliance system. System behaviours create the opportunity for compliance to be achieved.

While these design principles makes sense for IT solutions, they are not what's needed for compliance Instead, compliance needs to achieve a tighter coupling and greater transparency with the value chain What Compliance Needs from IT Compliance needs an integrative approach with the value chain not just This also applies to the tools an technologies that are used to support compliance. Negotiating the cultural and architectural differences between compliance and IT is critical for compliance