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either viewing compliance primarily through the lens of corporate compliance, focusing on training and audits AI compliance capabilities, then iteratively advancing monitoring tools, governance structures, and audit

of capability maturity as attention is given to: Standard work Process consistency Inspections and audits Unfortunately, this tends to promote more inspections, audits, and corrective actions which is commonly referred to as the “audit-fix cycle.” However, there is a way for companies that have adopted this approach or caught in the audit-fix cycle

This requires integration but not with traditional legal, audit, and compliance functions as some may Beyond Audits Towards Operational Compliance Gone are the days when legal departments and compliance However, Operational Compliance is not confined or defined by periodic audits and mandatory reporting

This may be enough to pass an audit but is not enough to effectively manage the risks due to: asset,

store and manage procedures, keep track of controls, and remind them when to get ready for their next audit

While these may meet the letter of the law and pass audits they often do not benefit from exploiting Using standard (and fixed) checklists to drive activity Redoing assessments and verifying drawings Audit

Approach over Disparate Activities Outcomes over Check-Box Compliance Continuous Improvement over Audit-Fix This may result in the need for a variation of auditing techniques, therefore witnessed assessments may Without a finding from an audit some companies will not invest in changes no matter how good they might

Action: Regularly review and update processes based on performance data, audit results, and stakeholder Utilize internal audits, performance metrics, and stakeholder expectations to drive the improvement process Collect relevant data from key processes (e.g., incident reports for ISO 45001, audit findings for ISO

number of compliance issues open The number of hours of training per employee The number of internal audits completed on-time The percentage of outstanding post-audit issues The number of complaints And so on As a result, companies have become experts (or now require hiring them) to support the business of auditing They have created the equivalent of an America's Cup yacht optimized for one purpose - winning the audit The compliance function is now so optimized around passing audits that it is unable to adapt to changes

Auditing and Monitoring: Ensuring Compliance Effectiveness - Compliance audits, internal investigations Compliance practitioners should possess auditing skills, data analysis capabilities, and a solid understanding Integration of Lean Principles: In addition to the traditional skills, compliance practitioners can benefit workflows for common compliance activities, such as conducting risk assessments or performing compliance audits

This will, of course, be verified by internal and external audits. Organizations might be in compliance today or at the time of their last audit.

As a compliance engineer, I've noticed a common misconception: that compliance is primarily about audits It's not just about checking boxes or passing audits - it's about building a system that supports operational