The Proactive Certainty Playbook™

6-steps to effective compliance

Companies need effective risk and compliance to ensure they stay between the lines, achieve strategic objectives, and make progress towards: zero incidents, zero harm, zero violations, zero emissions, and other stakeholder obligations.


Traditional element-first approaches focus mostly on prescriptive requirements which may help you pass an audit but often result in systems that are missing essential capabilities and behaviors needed to advance overall compliance outcomes.

Our systems-first approach takes a holistic view to establish essential capabilities right from the start which can be improved over time to not only pass audits but also advance outcomes.

1. Ascertain OBLIGATIONS

Ascertain mandatory and voluntary: prescriptive, performance, and outcome-based obligations.


Map capabilities, objectives, and key results to existing governance, program, and system processes.

2. Define MEASURES

Define measures of conformance, performance, effectiveness and integrity to evaluate status and improvement progress.


Evalute uncertainties and prepare risk plan to increase certainty of success.

3. Determine CAPABILITY

Determine essential capabilities, capacity, and competencies to meet, sustain and advance obligations.

6. Create ROADMAP

Create and implement roadmap to achieve, maintain, and advance compliance outcomes.

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