Optimising Compliance - A Performance-based Approach - Baines Simmons
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Optimising Compliance – A Performance-based Approach

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Meeting your compliance obligations whilst ensuring operational effectiveness is a constant challenge, with compliance traditionally viewed as a necessary burden rather than an asset that can deliver performance benefits. The move towards performance-based regulation1 has driven a sharper focus in organisations on how to address integrating business and compliance activities more effectively2. To that end, many organisations are now taking a proactive stance to set themselves up for success, enabling them to assure themselves and their stakeholders that they truly own, delegate and demonstrate compliance in their workplace. However, for many, the question is where to start?


  • An effective regulatory management system will enable you as an organisation to:
  • Gain efficiencies by integrating compliance and safety with business processes and operations so that they are not regarded as separate and parallel activities with separate lines of costs and resourcing
  • Increase confidence in your stakeholders by demonstrating how you are both performing and meeting your compliance obligations,thereby lowering organisational risk
  • Reduce regulatory oversight visits or the Regulator’s Level of Involvement (LOI)
  • Realise the benefits from compliance management software investments (e.g. AMOS, SAP, etc.) by ensuring that there is a clear line between processes to support regulatory compliance and the procedures managed by the software
  • Improve your decision-making and prioritisation on where you need to focus effort with reliable measures and reporting mechanisms


Our approach

consultant training courseOur management system improvement programmes work with all organisations, irrespective of the approval held. Using our 3 Lines of Defence risk governance model3, which we use to clarify accountabilities and responsibilities, we adopt a staged approach of introducing ownership, delegation and demonstration of compliance.

Our methodology aims to build collective competence and increased engagement amongst stakeholders. We achieve this by using key models and concepts such as the PSOE maturity scale and Key Performance Questions and indicators to help you and your organisation prioritise and give focus to your improvement activities. The programme culminates in a learning transfer stage to ensure that the improvements made are sustained.


Key areas of focus

Through a series of workshops and tasks, we will explore and help your organisation to address the following:

  • Compliance framework/s – interpreting the intent for your context
  • Roles – ownership, delegation and demonstration of regulatory compliance
  • Building an effective regulatory organisational structure that allows business integration
  • Developing processes, standards and controls that are owned throughout the organisation
  • Developing meaningful measurement and reporting capabilities that demonstrate how well compliance is being managed
  • Expositions – development and integration activities

CR14 Compliance Management Services