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, but overall most agree that this is the purpose of compliance (not the department) implemented as programs Compliance 2.0 programs are built on systems and processes that implement and deliver on promises associated Manage ALL four types of obligations—prescriptive rules, practice standards, performance targets, and program front-view capabilities instead of reporting rear-view activities Conduct pre-incident investigations and program

This is the function of compliance governance when combined with programs. While systems focus on consistency (staying on course), the role of a program is to advance outcomes As targets change to align with higher standards, each program directs underling systems by adjusting Programs operate as a feed-forward process to regulate outcomes. Validating that systems actually are advancing towards targeted outcomes is an essential program level

In addition, organizations need operational programs to meet performance targets and deliver compliance To that end, we have observed that many don’t know how compliance programs should work which hinders approach focuses on teaching organizations the essential concepts and principles that underlie management programs these capabilities by following a version of the Lean Startup methodology to establish a minimal viable program This measure of operability provides a true assessment of effectiveness that all programs must achieve

Compliance and risk programs provide the means to achieve these objectives creating the conditions for Compliance programs protect against the erosion of value by keeping businesses operating between the Risk programs make certain that obligations are met, promises kept, and values are respected. When risk & compliance programs are working together stakeholders will have the assurance needed for However, without effective risk & compliance programs, assurance will be lacking, credibility will erode

ramifications can be severe: Inadequate Domain-Specific Protections : A generic "compliance training" program No compliance program should ever risk these consequences. implementation, validation, and reporting across your entire compliance ecosystem Continually optimize your program as regulations, standards, and business needs evolve The result is a compliance program that is not

applying LEAN: Value Improvement Uncertainty Objectives Translating Value When it comes to compliance programs Productivity programs serve the value chain by improving margins through operational excellence and LEAN However, compliance programs serve the value chain by mitigating the effects of epistemic (i.e. reducible When it comes to compliance programs it is important to recognize that the primary objective is to eliminate

landscape and outlines a proven approach to managing it without the overhead of parallel compliance programs

So it’s not a surprise to see PDCA (or similar) cycles also being applied to management programs and You can in theory (practice may be different) apply them to improving tasks, processes, systems, programs Management programs, on the other hand, are used to change state to achieve new levels of performance Loop 2: At the program level PDCA would focus on improving effectiveness of a system. This could be called a Program PDCA.

life in the proactive zone where you are: always ahead, certain of compliance, and always advancing program however, it is also important to understand that this is only one instrumental goal towards achieving program were once needed to support reactive compliance can be moved to the proactive side to start work on program There are three risks that you must avoid if you want to improve the effectiveness of your compliance program

we must first ask a fundamental question: "What properties does my information security and privacy program Without a clear understanding of what your security and privacy program is ultimately meant to achieve

While this is good, it is not enough to identify risks associated with the objectives of the entire program individual processes but also how they interact with other processes within and outside the quality program All with the goal of assessing how uncertainty affects achieving program outcomes. The first step is having clear and concise program objectives for each system and process. However, on its own, it is not enough to address uncertainty in achieving program outcomes.

A Program to Govern AI: A comprehensive AI governance program should include four elements: AI Code of Responsible AI Program: Ensuring AI systems are used ethically, transparently, and fairly, with proper