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Getting Started
Enterprise IT Governance
Regardless of company size and products provided, information technology (IT) is the backbone that keeps it running. But often an IT function is not aligned with company goals. This results in mistrust, frustration, wasted money, and failed projects. IT enterprise governance focuses on aligning and blending IT requirements to keep the lights on and simultaneously work with the business to grow its value.
Audit Preparation
Every company has areas critical to their success. Any function which keeps the business successful, for example data, processes, or security management, should receive the highest level of scrutiny. To satisfy both internal and external demands, these success factors should be periodically audited and reviewed. This means implementing a simple but effective audit program.
Software License Management
Every company has software to support operations or systems. A software license is the legal right to use this software according to the vendor's terms and conditions. Not adhering to a license agreement has compliance and monetary ramifications. A software license management or governance plan greatly reduces the chance of an expensive compliance issue and helps save money by purchasing and using only licenses that are necessary.
Internal Investigations
Internal investigations may be required for many reasons, including expected fraud, safety violations, non-compliance to internal policies, cyber crime, environmental complaints, vendor misrepresentation, harassment, and employee privacy violations. An internal investigation protocol provides a structured approach that ensures any evaluation of what may have gone wrong is carried out properly. Internal investigations are often associated with a serious legal issue. Knowing how to adequately prepare for, execute, followup, and close an investigation has a huge impact on legal liabilities.
Compliance and Governance Management
Compliance and governance officers, managers, and regulatory program managers coordinate across a company to ensure process controls align with policies and procedures, which help to ensure your company meets internal and external laws, regulations, and licensing requirements. But long-term success for your compliance function means an ongoing assessment of its personnel and activities.
Comprehensive GRC Program
Failure to meet legal, regulatory, or other compliance requirements can be damaging to a company. Compliance touches upon most, if not all, aspects of a business. Therefore it takes a thoughtful and coordinated effort to ensure everyone understands and adheres to compliance demands. Maintain a structured governance, risk, and compliance (GRC) program that provides effective oversight and helps meet your regulatory needs.
Compliance Effectiveness - Program Design
The U.S. Department of Justice Criminal Division considers certain factors when determining if a company has an adequate and effective corporate compliance program against misconduct. This becomes critical if your company finds itself being investigated for improper behavior. Even if you never expect to be in that position, utilize this structure to ensure the company's compliance program is well-designed.
Compliance Effectiveness - Program Management
The U.S. Department of Justice Criminal Division considers certain factors when determining if a company has an adequate and effective corporate compliance program against misconduct. This becomes critical if your company finds itself being investigated for improper behavior. But even if you never expect to be in that position, utilize this structure to ensure the company's compliance program is adequately resourced and empowered to function effectively.
Compliance Effectiveness - Program in Practice
The U.S. Department of Justice Criminal Division considers certain factors when determining if a company has an adequate and effective corporate compliance program against misconduct. This becomes critical if your company finds itself being investigated for improper behavior. But even if you never expect to be in that position, utilize this structure to ensure the company's compliance program is working in practice.
Root Cause Analysis - Program
A root cause analysis (RCA) governance program helps an organization systematically investigate compliance failures, identify underlying systemic weaknesses, and ensure that corrective and preventive actions are effectively implemented and sustained. A strong RCA program improves risk management integration, aligns with regulatory expectations, enhances audit readiness, reduces repeat violations, and drives continuous improvement across policies, controls, and oversight structures. Without RCA governance, organizations risk treating symptoms instead of root causes, leading to recurring compliance breaches, regulatory fines, ineffective CAPA execution, and poor executive visibility into trends.