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31 Days to More Effective Compliance Programs

Day 11 | What is Effective Compliance Training?


One of the key goals of any compliance program is to train employees in awareness and understanding of the FCPA; your specific company compliance program; and to create and foster a culture of compliance. While it seems axiomatic that compliance training is a mainstay of any best practices compliance program, the conversation around training has evolved over the years.
The importance of determining effectiveness of your compliance program has been enshrined by the DOJ. The 2020 Update confirmed that the DOJ wants to see evidence of the effectiveness of your compliance program. This is something that many CCOs and compliance professionals still struggle to determine. Both the simple guidelines suggested herein, the more robust assessment and results provide you with a start to fulfill the precepts set out by the DOJ, as you will eventually need to demonstrate the effectiveness of your compliance training going forward.
Three key takeaways:

  1. How and why have you tailored your compliance training?
  2. The DOJ has mandated demonstrating the effectiveness of compliance training
  3. How is your training presented: both in languages and media?
Categories
31 Days to More Effective Compliance Programs

Day 11 | What is Effective Compliance Training?


One of the key goals of any compliance program is to train employees in awareness and understanding of the FCPA; your specific company compliance program; and to create and foster a culture of compliance. While it seems axiomatic that compliance training is a mainstay of any best practices compliance program, the conversation around training has evolved over the years. The 2012 FCPA Guidance started the conversation.
Beginning in the fall of 2016, through the announcement of the FCPA Enforcement Pilot Program, the DOJ began to talk about whether you have determined the effectiveness of your training. This conversation continued with the 2017 Evaluation where it asked, “How has the company measured the effectiveness of the training?” This point has bedeviled many compliance professionals yet is now a key metric for the government in evaluating compliance training. It evolved further in the 2019 Guidance with the mandate that training must be “truly effective”. Finally, the training must be presented in a language in which the employees understand, which means in a local language, if the training is outside the US or other non-English-speaking countries.
Also raised in the 2017 Evaluation was the focus of your training programs, where the DOJ inquired into whether your training was “tailored” for the audience. This added two requirements. The first was to assess your employees for risk to determine the type of training you might need to deliver by risk ranking your employees. Obviously, the sales force would be the highest risk but there may be others who are deserving of high-risk training as well. From this risk ranking, you were required to develop tailored training for the risks those employees will face.
The 2019 Guidance spells this out in greater detail. Not only in the design but who receives it, all coupled with backend determination of effectiveness. Finally, all of this must be documented.
Three key takeaways:

  1. How and why have you tailored your compliance training?
  2. The DOJ has mandated demonstrating the effectiveness of compliance training
  3. How is your training presented: both in languages and media?
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Innovation in Compliance

Customer Centric Training with Jonathan Sampson


Jonathan Sampson has worked in the compliance industry for the past decade, including as COO of Click for Compliance, a pioneer in the compliance training space. He and co-founder Karen Kiesel started Peak Compliance Training because they recognized a need for a customer-centric training provider. He says that compliance professionals are passionate about driving company culture through their training initiatives but they need customization, often in multiple languages. He joins Tom Fox on this week’s show to share how Peak is answering the market need with their training solution.
Listen to the Episode:

A Suite of Training Resources
Peak’s initial suite of training resources was in the area of sexual harassment prevention, in response to recent legislation mandates. They are building out a compliance training library that will be available in coming months, which will cover topics such as ethics, business code of conduct, FCPA anti-corruption and anit-trust, and import-export controls. The market favors training that is interactive, scenario-based and topical. People also want compliance programs to have shorter, more frequent communication. You can have all of this with Peak: their technology allows you to pull out case studies and scenarios and send them as short, one-off communications. 
What Makes Peak Different
Tom asks Jonathan what differentiates Peak from other compliance training providers. He responds that the three things that make them different are:

  1. They’re customer-centric: they answer learners’ need for customized courses at a reasonable price. Personalized courses resonate better with employees rather than out-of-the-box solutions.
  2. Their top-notch technology: their state-of-the-art course building tool enables them to make faster, cheaper customizations in multiple languages, as well as create short training snippets.
  3. Their instructional design: they create relevant, appealing content to honor their learners’ time and intelligence. Realistic scenarios and interactive questions are designed to entertain and challenge.

Targeted, Effective Training
Tom asks if Peak’s training speaks to the Department of Justice mandates of effective and targeted training. Jonathon responds that it does. With our training, Jonathan says, you can actually decide on your training path. Training paths can be role-based, where different content would be delivered to different learners, depending on their position in the company. This is more beneficial since employees are being trained in areas that are relevant to them. Peak’s courses are also available on mobile devices. Compliance training has evolved, Jonathan says; they are now more engaging, more interactive, more continuous, and less time-consuming. CCOs welcome this evolution as they are passionate about their personal brand and how they’re reflected by how their compliance program is implemented.
Resources
PeakComplianceTraining.com
Email: jsampson@peakcompliancetraining.com
720-648-0206

Categories
Innovation in Compliance

Making Compliance Training Fun with Andrew Rawson


What if compliance training didn’t have to be boring? Joining us on this episode is Andrew Rawson, the Chief Learning Officer for Traliant, a compliance training company. Today we’re talking about the future of compliance training: how to make it truly effective, useful, and even fun.

The importance of training
The last couple of years have seen the intersection of two seismic forces that have created tremendous demand for quality training. The first was the #MeToo movement, which has brought up the whole topic of compliance training around sexual harassment — so much so that it’s become a need to have instead of a nice to have, even in states where it isn’t required. The second was a change in regulations in different states across the country, now requiring more than 10 million people to be trained.
Effective compliance training
There is a difference between teaching people about the law and teaching them what to do. At Traliant, they wanted to train people how to behave. What do you do when you’re faced with a particular situation? That should be the focus.
The training is also intentionally more modern: well-designed interfaces, interactive videos, professional actors, point systems, getting senior management to record training segments for their peers  — all of which help make learning more engaging.
An important part of making training effective is making sure that people are encouraged to speak up, and that when they do, they’ll be protected. You might not be able to stop bad actors, but you can encourage witnesses to point out the behavior.
Moving away from check-the-box training
Much of compliance training is very check-the-box: a once-a-year thing that companies do to get it over with. But that’s not an effective approach. Traliant has gone from doing one-and-done sessions to creating a more holistic training approach. Examples are 15-20 minute courses for managers involved in investigations and two-minute training videos on dating in the workplace that they call “sparks” — because they’re meant to spark conversations.
Preventing Workplace Sexual Harassment: 4 Top Trends for 2019

  1.  The Equal Employment Opportunity Commission (EEOC) is keeping workplace harassment training front and center, remaining one of its top priorities.
  2. Harassment training continues to evolve, and we’re seeing a shift from helping companies avoid liability to helping people behave properly.
  3. Training is highly state-driven, given their different requirements. So Traliant has built a platform where people can access the training relevant to them, instead of a one-size-fits-all course.
  4. There is a focus on building respectful, inclusive work cultures that embrace compliance training not because they have to, but because they want to.

Resources
Andrew Rawson (LinkedIn)
Traliant (Website)
Preventing Workplace Sexual Harassment: 4 Top Trends for 2019