Excellence in Compliance Training (2015)

October 2015

Excellence in Compliance Training

Creating a Culture of Compliance

This report has been written by Towards Maturity, building on

its extensive benchmark research with over 4,400

organisations since 2003.

Supported by

Download and share: www.towardsmaturity.org/in-focus/compliance2015

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© Copyright Towards Maturity CIC, 2015 London.

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FOREWORD BY PETER MULLINS , SAI GLOBAL

SAI Global is delighted to have partnered with Towards Maturity on the 2015

‘Excellence in Compliance Training’ research program.

There’s been a great deal of dialogue across the industry about the complex

regulatory landscape that risk professionals must navigate – and how compliance

failures continue to result in heavy enforcements, hit headlines, and erode public

trust. In short, what happens when things go wrong?

But I’m also heartened to see a strengthened appreciation of the considerable

upside in getting business culture and operations right, and the important role that

effective compliance and risk management plays in this process. High-performing organisations recognise

that building trust through ethical practices, effective risk mitigation and transparent governance helps to

support a sustainable, efficient and reputable business.

As this research reveals, while organisations understand and appreciate the benefits that training provides

to business improvement and cultural transformation, few are largely fulfilling them. This should act as a

clarion call to the industry to step up and harness these opportunities.

In order to make progress, it’s critical to take stock of where we are, benchmark best practice and to inspire

improvement, which is why insights, such as those offered by this research, are so important.

We found that forward-thinking companies are thinking about compliance training differently – rather than

tick-box exercises where success is measured in completion, these companies are: aligning training with

business goals and objectives; designing training to be engaging and rooted in real-world examples; and

enlivening through technology that provides compelling and varied delivery, intelligent tracking and

proactive risk management capabilities.

Over 250 organisations from around the globe participated in the research and workshops, providing rich

insight from those responsible for ethics and compliance programs. In addition, the aggregated results of

surveys from over 5,000 learners and global business risk surveys contributed to the overall findings.

On behalf of Towards Maturity and SAI Global, I would like to thank all those organisations for taking the

time to participate. The willingness of this community to share insight, learn from one another and

collectively raise the bar is one of the many reasons myself and the rest of the team at SAI Global feel so

privileged to be part of it.

Peter Mullins

Chief Executive Officer

SAI Global


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TABLE OF CONTENTS

Foreword by Peter Mullins, SAI Global 2

Fast facts from this report 4

1 Introduction 5 Background 5 Scope of this research 6 Comparisons to 2013 7 How has compliance training changed in the last two years? 8 Risk Domains 10

2 What are we trying to achieve? 12 The business drivers 12 Who achieves the most of their goals? 15

3 What is stopping us? 17 Barriers to change 17 How do learners perceive compliance training? 19 Understanding the learner 21

4 Creating a culture of compliance: Alignment 23 Aligning to need 23 Engaging stakeholders 24 Demonstrating value 29

5 Creating a culture of compliance: Design 31 Shifts in Design 31 Targeting learning to job role 31

6 Creating a culture of compliance: Technology 35 Delivery methods and media 35 What is driving technology adoption? 39 Impact of technology 41 What technology is being used? 43

7 Next Steps 48

Appendices and Data Tables 50 About this research 50 The effect of e-maturity 53

Data tables 54

About SAI GLOBAL 60

About Towards Maturity 61

Research team: Dr Genny Dixon, Laura Overton © Copyright Towards Maturity CIC 2015. All rights reserved. No part of this publication may be reproduced, stored in or

introduced into a retrieval system or transmitted in any form or by any means (electronic, mechanical, photocopying,

recording or otherwise) without the prior written permission of Towards Maturity CIC.


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FAST FACTS FROM THIS REPORT

Nine-in-ten compliance professionals are looking to mitigate risk, improve business process and shift

behaviour and culture through their learning initiatives but only two-in-ten are largely achieving their goals.

There is beginning to be a shift in thinking away from the traditional e-learning course approach, with 13% of

organisations moving to more innovative learning approaches. In APAC countries this rises to 24%

The top barriers to change are the cost of setting up and maintenance of technology solutions (reported by

two out of three organisations) along with the time to develop and build good quality learning content

98% of respondents sought to improve measurement of awareness of compliance risks through their use of

technology, but only 34% are largely achieving this goal

Two-in-three organisations now take the time up front to make compliance learning materials as engaging

and memorable as possible

38% of organisations ensure that compliance training is role specific, but this practice is not widespread

except for certain high-risk job functions

Virtual classrooms and webinars are increasingly popular in large organisations, with 81% expecting to use

them in the next two years

61% of organisations are using videos or user stories, and 38% are using games and simulations

38% of organisations have an internal communications plan to engage stakeholders (compared to 36% in

2013). 34% send regular reminders to remind staff to apply learning in context

Across a sample of over 5,000 learners, 26% reported that uninspiring learning content was a major barrier to

their learning online

Higher Achievers are defined as those largely achieving 9 out of 17 drivers, compared to the Lower Achievers

(reporting 1 or no benefits). They are:

More than twice as likely than Lower Achievers to ensure that learning is aligned to performance

objectives and ensure that business and learning are well aligned. They are also twice as likely to work

with local champions as part of their training programs.

Almost twice as likely to target learning to job role than Lower Achievers; three-times as likely to report

against KPIs for business objectives; and twice as likely to report against KPIs for learning objectives and

to collect individual success stories, than Lower Achievers.

26 times more likely to have improved the effectiveness of the learning experience through better

application of technology than Lower Achievers.

Learning innovation, done well, is impacting bottom line business results.

These are just some of the statistics that caught our eye from this In-Focus report. Connect with us on Twitter @TowardsMaturity to let us know what’s captured your attention!

http://twitter.com/TowardsMaturity


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1 INTRODUCTION

This chapter looks at the scope and purpose of this research, the changes in compliance

training over the last two years and the priority risk domains moving forward.

BACKGROUND

Keeping up with the ever-changing regulatory environment is a constant challenge in almost all industry

sectors. Indeed, regulatory change is seen by business leaders as the No. 1 ‘disrupter’ over the next five

years1. For those responsible for delivery, compliance is a topic capable of capturing the attention of senior

leaders and offers opportunities to open up discussion at the most senior level.

When Towards Maturity reported on Reinvigorating Compliance Training in 2013, compliance training often

had a rather poor reputation, providing a dull tick-box experience, rather than changing the behaviour of

individuals and the culture of organisations. However, we identified areas of good practice that were making

a real difference in organisations which were successfully delivering against their compliance learning

objectives.

In the 2014 Towards Maturity Benchmark2, 59% of a sample of over 600 organisations were using e-learning

for compliance training, but that the average completion rate for mandatory training was only 70%.

Realistically, there will always be good reasons why people fail to complete a compliance course, such as

moving company, or changing job role, but some organisations are achieving much higher rates. Indeed,

organisations in the IT and Telecoms sector record an average of 87% completion rate for compliance

training (compared with only 62% in the charities sector and 63% in the retail sector).

Over 85% of organisations are looking to technology to help them comply with new regulations and legal

requirements; however, only 67% of them are achieving this goal. Those using more innovative, technology-

enabled, approaches, report a 37% improvement in efficiency in demonstrating compliance as a result.

So two years on, we explore what progress has been made and dig deeper into the extent to which learning

innovations that are helping learner engagement are building a culture of compliance in successful

organisations.

1 https://www.pwc.com/gx/en/ceo-survey/2015/assets/pwc-18th-annual-global-ceo-survey-jan-2015.pdf 2 Modernising Learning: Delivering Results, Towards Maturity 2014. www.towardsmaturity.org/2014Benchmark

https://www.pwc.com/gx/en/ceo-survey/2015/assets/pwc-18th-annual-global-ceo-survey-jan-2015.pdf

http://www.towardsmaturity.org/2014Benchmark


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SCOPE OF THIS RESEARCH

We draw from three main sources of data in this report:

A detailed online survey of 216 Chief Compliance and Ethics Officers (CCEOs) and Risk Managers

responsible for compliance training between March and June 2015

Workshops with senior personnel responsible for compliance training in various global locations

between July and September 2015

The insights from a sample of over 5,000 learners who took part in the Towards Maturity

Learning Landscape3 between May 2014 and May 2015

Within the online survey there was a good mix of industries, geographies and organisation size:

63% multinationals, 28% from organisations operating from multiple locations within a single nation,

9% operating from a single location

42% from EMEA, 34% from the Americas and 24% from APAC

In total, organisations from over 25 countries took part, including 68 from the United States of America and

44 each from the United Kingdom and Australia.

Further information about the respondents and workshop participants is listed in the Appendix.

3 Learner Landscape. www.towardsmaturity.org/learnervoice2

http://www.towardsmaturity.org/learnervoice2


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COMPARISONS TO 2013

In 2013 we looked at the effect of e-maturity on compliance outcomes and drew a distinction between those that were ‘less mature’ and ‘more mature’ in terms of their use of learning technologies in compliance training (see Appendix for definitions). We also compare current findings with those reported in our 2013 study ‘Reinvigorating Compliance

Training’ to see what has changed since. These findings are highlighted in shaded boxes where relevant.

In this report, we look at what is

driving change in compliance training,

the benefits that are being delivered

by adopting new approaches, the

barriers to learning innovation and the

actions that address the important

challenges. Through in-depth research

with chief compliance officers, risk

managers and learners themselves

and reflecting on their experience, we

aim to shed light on what is working

well and what is not and provide

valuable insights for all those

responsible for compliance training

through sharing of good practice.

We seek to offer readers various ideas to help answer the questions so often posed in this domain:

How can we keep compliance training fresh and appealing?

How can we engage and motivate staff when, by its very nature, the training

needs to be repeated regularly?

How do we build a culture of compliance behaviour?

Our aim is to provide those with responsibility for compliance and risk management in business with:

The confidence to challenge the status quo

The ability to improve learning effectiveness whilst also improving efficiency

The evidence to help shift the perception of compliance learning from

transactional (policing compliance) to adding value (changing behaviour)

The steps needed to help move from the prevalent ‘tick-in-the-box’ approach

to long-lasting cultural change

We hope that the data we present and stories of innovative and suc cessful practice that

we share will challenge those responsible for compliance training to think deeply about

what they are trying to achieve and the tools that they are employing to realise their

aspirations.

In 2013, we concluded that:

98% of organisations wanted technology-enabled

compliance training to help manage risk more successfully.

However, achieving this goal was down to both raising awareness

and changing behaviours, and these were fraught with problems,

not least poor learner engagement. In 2013, only:

23% were raising awareness and understanding of complex

regulations with compliance training.

12% said that compliance training was helping them achieve

their goal of changing workplace culture.


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HOW HAS COMPLIANCE TRAINING CHANGED IN THE LAST TWO YEARS?

Mandatory training for compliance purposes forms the largest part of the training calendar in many

organisations. Across the sample from our online survey, 78% of organisations participate in compliance

training each year – significantly lower than in 2013.

39% is mandated by external regulators

73% is mandated internally

Most of these organisations have moved to a technology-

enabled model, with an ever increasing proportion of

training budget being dedicated to online learning and an

increasing proportion of online content compliance-related:

70% use technology in this training

45% of all online content is compliance-related

In 2013, we reported that completion rates for compliance

were at 84%, but this year the completion rate has fallen to 77%.

Moving forward, many predict that there will be some change in the way that they spend compliance

training budget, with a greater proportion investing in online content creation in-house. Restrictions on

resourcing internally are one reason why some have opted to outsource their programs.

% of compliance training budget allocated to Reduce Stay the same Increase

Online content creation in-house 10% 44% 46%

Delivery platforms e.g. LMS 9% 48% 43%

Outsourced online compliance programmes 19% 43% 38%

“Our budget is one overall budget with a cost centre for e-learning which has significantly increased.

Compliance e-learning is included with that cost centre.”

In 2013:

87% participated in compliance

training each year

44% mandated by external regulators

72% mandated internally

77% use technology

38% of all online content is

compliance-related

84% completion rate


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In the Towards Maturity 2014 Benchmark, we report on the proportion of each skill area that is supported

by technology (the e-rating), and figure 1 shows that this has been rising since 2008 for industry-specific

compliance training showing that a greater proportion of compliance training is now enabled by technology.

FIGURE 1 - PROPORTION OFFERING INDUSTRY-SPECIFIC REGULATORY TRAINING

During our workshops, participants also highlighted that organisations are becoming more mature in their

approach to risk and more aware of the importance of compliant behaviour amongst their staff. Learners

now have to do even more compliance training that they did before.

They described other changes they had noticed over the last two years. Business expectations have

increased:

Risk adversity means greater expectation of quality processes and standardisation

Intolerance of incompletion has increased (with more sanctions being applied)

Reporting of management information has become more important

Those responsible for compliance face greater pressure and more challenges:

Extended range of compliance topics – with associated pressure on time

Time frames more challenging

And some progress has been made in the approach to delivery:

Desire to do things smarter

More localisation and contextualisation of learning means increased relevance

Better content – more fun, more memorable, different

76%80%

87%90%

46%51%

45%

52%

N=262 N=436 N=407 N=390

2008 2010 2012 2014

Percentage offering skill Percentage e-enabled


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R ISK DOMAINS

Regulatory compliance ensures that the organisation operates within the law and that all personnel are

aware of external and internal regulations. Corporate compliance ensures that staff upholds both the

character and the policies and standards of the organisation. Compliance programmes promote integrity and

workplace ethics and contribute to the overall success of the organisation, reducing risk and liability and

improving staff loyalty and behaviour.

Of those taking part in this study, 72% were responsible for Compliance Risk Management and 66% had a

responsibility for Learning and Development in their organisation. The Compliance Risk Managers represent

all sectors and sizes of company.

Clearly the business drivers are partly determined by the industry sector involved, for example:

95% of those in healthcare report health and safety as a driver for compliance training, but only 35%

list anti-bribery/anti-corruption

85% of those in the financial services sector report anti-money laundering as a driver

75% of those in manufacturing report competition law as a driver but only 21% list anti-money

laundering

FIGURE 2 - RISK DOMAINS DRIVING COMPLIANCE TRAINING

32%

36%

38%

60%

62%

63%

66%

68%

70%

84%

Trade compliance and export controls

Anti money laundering

Competition law

Respect, equality and diversity

Information security

Conflicts of interest

Health and safety

Data protection and privacy

Anti-bribery/anti-corruption

Code of conduct

In 2013 the risk domains were balanced differently:

Health and safety and Data protection and privacy were the top risk domains driving risk

management/compliance activity for 66% of organisations

Domains that have increased since 2013:

o Respect, equality and diversity up from 46% in 2013 to 60% in 2015

o Conflict of interest up from 39% to 63%

o Anti-bribery/anti-corruption up from 62% to 70%

o Code of conduct up from 63% to 84%

All other domains were reported at a similar level in 2013


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A full breakdown of risk domains is given in Appendix A.

How are we responding to the issues raised? In the next sections we explore four inter-

related elements that are delivering results in a modernised compliance training strategy:

What are we trying to achieve?

What are the business drivers and who is achieving them?

What are the barriers to high achievement?

How can we improve and deliver a culture of compliance?

Each section concludes with recommendations for essential actions that compliance and

risk managers can explore to accelerate performance.

Risk domains across the world

This box highlights the top 5 risk domains for each region. Different areas highlight different priorities

but overall the Americas are more likely to be driven by risks associated with Code of conduct, Data

protection, Conflicts of interest and Information Security than EMEA or APAC.

TABLE 1: TOP FIVE RISK DOMAINS IN EACH REGION

EMEA Americas APAC

Anti-bribery/anti-corruption (82%)

Code of conduct (98%)

Health and safety (84%)


Data protection and privacy (86%)


Data protection and privacy (66%)

Conflicts of interest (78%)

Respect, equality and diversity (63%)

Health and safety (65%)

Information security (78%)

Conflicts of interest (60%)

Information security (58%)

Respect, equality and diversity (71%)

Anti-bribery/anti-corruption (56%)


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2 WHAT ARE WE TRYING TO ACHIEVE?

This chapter sets out the business drivers for compliance training and the extent to which

they are being achieved. It also introduces the concept of the higher and Lower Achievers.

THE BUSINESS DRIVERS

The three main focuses for compliance training for business are:

1. To achieve cultural or behaviour change

2. For business improvement

3. For risk mitigation

We looked at 17 drivers behind investment in compliance training and asked participants if they were

important, if they had largely achieved them or if they had partly achieved them.

Expectations are generally high. Over 90% of respondents cited 12 or more out of the 17 drivers included in

this study.

Achievement of these goals however, is much lower. On average, across the sample organisations, only 5.5

of these benefits are being largely achieved and many organisations could not claim to have largely achieved

any.

An average of 37% of the required benefits were being largely achieved with those relating to risk mitigation

appear to be the easier to achieve (Figure 3). However, although the levels largely achieving are higher than

in 2013 they are still low. Whilst this study focusses on those who largely achieve their goals, we found that

in 2015 more organisations reported that they were achieving partial success.

FIGURE 3 - ACHIEVEMENT OF THE MAIN BUSINESS GOALS FOR COMPLIANCE TRAINING

Figure 4 shows that those seeking to mitigate against risk through the provision of internal and external

audit trails are having the most success. Of the 94% who cite providing audit trails as an important business

driver for compliance training, some six out of ten are largely achieving their goal (up from 55% in 2013).

Despite this, the proportion undertaking compliance training to create uniformity and standardisation in

their work methods, or to inform business decision-making is unchanged at fewer than one in four. Most

45%

25%

35%

43%

48%

51%

Risk mitigation

Business improvement

Culture/behaviour

Achieved largely Achieved partly


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organisations are generating at least some meaningful data to help measure and improve programme

effectiveness, but only 21% claim to be largely achieving this goal (this question was not asked in 2013).

FIGURE 4 BENEFITS RELATING TO RISK MITIGATION

Figures 5 and 6 show that the benefits relating to business improvement and cultural change are tougher to

achieve.

FIGURE 5 - BENEFITS RELATING TO BUSINESS IMPROVEMENT

Most organisations are able to report at least that they are, at least in part, managing risk more successfully

(41% largely achieving this, down from 44% in 2013) and preventing or reducing misconduct through their

compliance training (44% largely achieving this, no comparative data in 2013).

Behaviour or cultural change is a key driver for many organisations, but apart from the area of protecting

brand reputation, reported by two-thirds of those who sought this goal to be largely achieved; most

programmes are not delivering the results they hoped for (Figure 6).


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FIGURE 6 - BENEFITS RELATING TO BEHAVIOURAL OR CULTURAL CHANGE

Despite some improvement in the last two years, that shift from compliance training as a ‘tick-in-the-box’

process to a change in the working culture in which the training underpins a change in attitudes and

behaviours, is only seen in one-in-five organisations. Overall we are making slow progress.

FIGURE 7 - IMPROVEMENT IN ACHIEVEMENT OF BEHAVIOURAL GOALS SINCE 2013

No single group or type of organisation are having significantly more or less success across the board, but

medium sized companies score the lowest in terms of achievement of benefits relating to business

improvement.

26%

23%

30%

12%

34%

28%

39%

20%

Positively impacting staff behaviour

Positively impacting staff attitudes and values

Raising awareness and understanding ofcomplex regulations

Changing working culture

2015 2013

92%

99%

98%

97%

95%

87%

96%

67%

34%

28%

39%

20%

29%

30%

Protecting brand reputation

Positively impacting staff behaviour

Positively impacting staff attitudes and values

Raising awareness and understanding of complex regulations

Changing working culture

Increasing workplace transparency

Increasing employee engagement through increasing awareness

Largely achieving goal Seeking business goal


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Those with joint responsibility for both learning and risk management do appear more likely to see changes

to business improvement. Risk managers without the learning responsibility are more cautious in their

claims.

FIGURE 8 - ACHIEVEMENT OF BUSINESS DRIVERS:

BY SIZE BY JOB ROLE OF RESPONDENT

WHO ACHIEVES THE MOST OF THEIR GOALS?

It is clear that there are some organisations that are achieving much more than others. We looked at the

number of benefits that each organisation was largely achieving, and found that 25% of the samples were

largely achieving 9 or more out of the list of 17 drivers. The study also identified a further 25% of the sample

who were only achieving one or no benefits. (See Appendix for full list of drivers and benefits). We call these

two groups the Higher and Lower Acheivers.

In the remainder of this report we highlight comparisons between the Higher and Lower Achievers to help

determine the effective practices that will help others to improve their own performance.

47%

36%

22%

38%35%

18%

46%

36%32%

Risk mitigation Culture/behaviour Businessimprovement

L&D Leaders Risk Managers Both

46%

34%

27%

40%

34%

12%

47%

39% 39%

Risk mitigation Culture/behaviour Businessimprovement

Tier 1 - small Tier 2 - Medium Tier 3- Large


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FIGURE 9 - NUMBER OF DRIVERS LARGELY ACHIEVED

The next chapter considers the barriers preventing organisations from achieving their

goals. We consider the feedback of the research participants and learners themselves.

ESSENTIAL ACTIONS: Benefits Benchmark

Rate how important each of the 17 above drivers are to your business goals

For each driver, rate whether you are largely achieving the goal or not

How many drivers are you largely achieving? Are you a low, medium or high achiever?


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3 WHAT IS STOPPING US?

This chapter considers the top barriers to change, how learners react to online learning

and recommendations to improve the relevance of compliance training for learners.

BARRIERS TO CHANGE

The top barriers to change are the cost of setting up and maintenance of technology solutions (reported by

two out of three organisations) and the time to develop and build good quality learning content.

Higher Achievers not only report that they are largely achieving more benefits, they also report fewer

barriers than average. Most notably, compared with the Lower Achievers, the Higher Achievers are half as

likely to report barriers due to:

Lack of senior management understanding of risk

Management priorities

Lack of subject matter expertise

Time and cost, for all, are the greatest barriers.

FIGURE 10 - BARRIERS TO ACHIEVEMENT OF GOALS

10% subject matter expertise

13% senior management understanding of risk

15% management priority

26% subject matter expertise

40% senior management understanding of risk

46% management priority

Hig

he

r A

chie

vers

Low

er A

chie

vers

63%

35%

33%

10%

45%

23%

23%

13%

15%

15%

15%

35%

33%

20%

73%

48%

69%

46%

26%

26%

60%

51%

29%

40%

29%

29%

46%

49%

26%

17%

77%

51%

Cost of set up and maintenance

Dull and boring, or previous bad experience

Subject matter experts overloading content

Lack of subject matter expertise

User engagement

Lack of line manager engagement and support

Lack of design expertise

Lack of senior management understanding of risk

Lack of credible design materials

Lack of innovation

Not a management priority

Staff reluctant to repeat year on year

Translating learning across multiple languages

Local data protection and employment laws

Time required to develop and build content

Time required to update or change content

Lower achievers Higher achievers


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3.1.1 GLOBAL CHALLE NGES

For those working in a global context, other challenges come into play:

27% translating learning across multiple languages

16% local data protection and employment laws

While the cost of developing and maintaining quality learning resources was a real issue for all, those in the

United Kingdom are less likely to report this as a barrier to progress when compared with other parts of the

world. Across the rest of Europe, they do not appear to have the same issues with learner engagement.

Those in the United Kingdom suffer from subject matter experts (“SME’s”) adding too much learning content

with the danger that the learning becomes dull and boring.

FIGURE 11 - USER ENGAGEMENT ACROSS THE WORLD

A full comparison of barriers reported in each area can be found in the Appendix.

The extent of the barriers was explored in more detail in the workshops. The lack of budget was far less

important than a lack of innovation in learning design and approach.

UK

45% Rest of Europe

21% USA

20%

APAC

35%

% agreeing that lack of user engagement is a barrier


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The barriers to online compliance training change not only according

to location, but also with the job role of the respondent. User

engagement was in the top 3 barriers for those responsible for Risk

Management (cited by 59%). But for those with responsibility for

learning only, this was the number one barrier (cited by 76%).

Time was the major factor for those with dual responsibility:

62% Time required to develop and build content

57% Time required to update or change content

HOW DO LEARNERS PERCEIVE COMPLIANCE TRAINING?

Learner engagement is a significant issue for many responsible for compliance training, but what do the

learners themselves think?

Across a sample of over 5,000 learners who took part in our Learning Landscape4 study during

2014, 26% reported that uninspiring learning content was a major barrier to their learning online.

For too many learners, e-learning is synonymous with compliance training, and this has fostered their

negative perception of online learning as a whole. Much of the responsibility for this lies with learning and

development professionals, particularly where learners have not enjoyed a good experience in the past.

Based on an analysis of 51 individual learner comments:

29% see their in-house e-learning as synonymous with compliance training:

“I was not even aware that there was e-learning beyond the compliance responsibilities that pop up

periodically that was available to us.”

20% of learner comments were related to time scheduling issues:

“There is not enough time in the day to fit in e-learning, as we are extremely short staffed. It feels

completely like a box-ticking exercise and adds no real value to my career.”

18% were related to a general negativity towards online learning:

“Personally, on-line learning isn't really for me (or not the compliance courses we provide). I don't

concentrate or take it in as I can't go at my pace and feel it is artificially slow. I'd rather read a book (and a

physical not an eBook at that).”

“E-learning is the absolute worst way of learning that I can think of. The best way to learn is by doing and

being thrown in at the deep end. However, I do realise that this is the most cost effective method of

delivering regulatory compliance for continued professional development.”

4 www.towardsmaturity.org/learnervoice2

London Workshop Barriers

5% Not enough budget

11% Legal necessity trumps

engaging design

16% No commitment to change

poor training experiences

21% No expectation of change

within the business

21% Not enough team resources

26% Lack of innovation

http://www.towardsmaturity.org/learnervoice2


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“I very rarely recall anything learnt from e-learning in day-to-day work and skip through the learning

modules as quickly as possible. The most effective learnings I have come across have involved input from

industry specialists and partners giving their own opinions and view, and those learnings involving

graphs/statistics and numbers to break up boring texts.”

6% were related to learners not being able to find what they need or issues of choice

18% were related to a poor quality experience.

Workshop attendees discussed the attitudes towards online compliance

training that they had heard expressed. Learning and compliance leaders

are very aware of these issues and understand the need to take action.

Some of their ideas on how to make compliance training more relevant

to individuals are presented below.

How can we make compliance training more relevant to individuals?

Improve understanding of different job roles

Keep learning role-relevant and context-relevant

Shift from annual training events to an ongoing compliance campaign

More to more adaptive scenario-based learning – supporting performance and behaviour change

Get learner input at the design stage (ask for ideas, support, feedback)

Use pre-assessment / decision trees to understand the route to change – what does compliant

behaviour need to look like in role

Change the language in communications from ‘mandatory’ to ‘the way we do things around here’

‘Sell’ the benefits to staff

Source: participants at the London workshop


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UNDERSTANDING THE LEARNER

Reviewing how well you understand your learners at the design stage may help to reflect on and revise

objectives, and bring improved clarity of purpose and outcomes. If learners can’t complete programmes,

there may be intrinsic reasons or barriers in their environment. If they won’t complete them, they may not

see the benefit or trust the reason. Asking the question ‘will they use it?’ before the investment is made is

better than ‘why don’t they use it?’ afterwards.

Much online compliance training is modelled around a self-directed mode which demands capable and

confident learners. However, not all learners have adjusted to this approach and some find it difficult to

manage their learning effectively. Ignoring this may result in poor motivation and high levels of attrition,

whilst understanding the levels of learners’ self-efficacy has implications for not only design but also the

degree of support needed during programme implementation.

On average, one-in-five organisations report that their learners engage with compliance-related

training without prompting (33% in Higher Achievers; 9% in Lower Achievers)

One-in-three discipline staff for non-completion (rising to 56% of Higher Achievers, 21% of Lower

Achievers).

We have seen that learner negativity is seriously affecting the successful outcomes of

compliance training. However, all is not lost. There is something that those in learning and

compliance can do to address the issues they raise.

In the next section, we explore how successful organisations are changing their culture and

staff behaviour through good learning alignment, design, and innovation.


P a g e | 22

The next three chapters explore three effective practices of Higher Performing

organisations to help organisations move from a tick in the box exercise to delivering a

compliance culture.

ESSENTIAL ACTIONS: Recognising the barriers to success and how to overcome them

List the major barriers to successful training in your organisation.

How many of them relate to learner engagement?

Take note of the align, design and enlivening through technology principles outlined in this

report, and what high-achievers are doing to enhance engagement

Build an action-plan to address points for improvement that are aligned to the priority

drivers identified for your business

How many of them relate to budget?

Start to build a business case for more investment – consider both business protection

(mitigating risk/expensive enforcements) and building business value (through efficiency

and improved culture)

How many of them relate to lack of senior management support?

Engage your senior leaders in the development of training programmes. Where relevant,

provide insight into individual liability for senior management

Ask the following questions to help shift from an evaluation based on input to an outcome-

based model:

o What do we currently measure?

Completion rates

Pass rates

Questions answered wrongly

How long to complete

Incidents (measured outputs)

Knowledge via tests

Immediate recall

o What should we measure?

Impact before and after

Benefit realisation

Is learning effective?

Long term recall

Root cause analysis

Behaviour indicators

Attitude change

Prior learning

o How do we measure some of these outputs?

Note that measuring and reporting on inputs keeps stakeholder focus on training as a cost

centre to police compliance

Ask the learners how to measure effectiveness and attitude change through focus groups

Look at success stories - both to analyse effectiveness and to share good news


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4 CREATING A CULTURE OF COMPLIANCE: ALIGNMENT

In Section 2, we discussed the core business drivers for a compliance program across three

groupings; Culture/Behaviour, Risk Mitigation and Business Improvement. As evidenced by

the findings of our research, organisations are on average only achieving 5.5 of those

drivers. So what are the key principles that those identified as Higher Achievers are doing

differently? We explore the first of those – alignment – below and share the results of

what Higher Achievers have been able to accomplish.

ALIGNING TO NEED

Despite the wealth of published evidence from Towards Maturity and others showing that those aligning

learning to business and performance objectives realise the greatest benefits, fewer organisations appear to

be putting this principle into practice in 2015 than were in 2013.

TABLE 2 ALIGNING TO BUSINESS OBJECTIVES

Alignment 2015 2013

We analyse the business problem before recommending a solution 61% 65%

We ensure that business process and learning outcomes are aligned 52% 55%

We align learning to performance objectives 48% 60%

Higher Achievers are more than twice as likely to ensure

that learning is aligned to performance objectives and

ensure that business and learning are well aligned.

One workshop participant explained the changes they were making to achieve this: “We shifted from eight mandated courses on induction to a new approach aligned to what a new person

needs to do in the organisation. Mandated training is aligned to individual job roles and placed in context.

“I see a need for an improved emphasis on influencing a culture change than just doing training for the sake

of appeasing to the regulators.”

73% analyse the business problem

70% align business process and learning outcomes

70% align learning and performance

45% analyse the business problem

30% align business process and learning outcomes

30% align learning and performance

Hig

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Business alignment is not simply a one-way process in which learning leaders do their best to understand the

strategic and business objectives and priorities their time and resources to solving the business problem. The

flip side alignment relates to how closely senior managers are involved in planning, designing and promoting

compliance learning.

Higher Achievers show that senior managers can play an

important role in endorsing learning for compliance,

which underlines its importance for all staff.

Despite the central role of compliance and risk in solution design and delivery, success is

not all down to them. Successful programmes, aligned to organisational and individual

need, demand successful stakeholder involvement.

ENGAGING STAKEHOLDERS

All those with an interest in building the complaint organisational culture are stakeholders in the process –

from the senior directors down to the learner themselves:

Risk managers, Chief Compliance Officers, project team, subject matter expert, technologist, IT

team, instructional designer

Learning and development professionals, classroom trainers, workshop facilitators

Directors, senior managers, middle managers, line managers

Coaches, mentors, buddies

The learners

…the list is endless

Building strong relationships with the regulators and those responsible for setting and monitoring standards

in the industry or in the organisation can be equally important. However, one-in-four organisations do not

fully understand the regulator's requirements for compliance training programmes, falling to one-in-three

for Lower Achievers. The proportion is also greater amongst those responsible for learning and development

alone, placing an onus on learning and development leaders to raise their game. If they are not sure

themselves of the requirements, it will be very hard to implement a successful training programme.

Two-way alignment was stronger in 2013

61% of organisations worked with directors and senior managers to endorse learning. In 2015 this has

fallen to 50%.

69% work with directors/senior managers to endorse learning

36% work with directors/seniormanagers to endorse learningH

igh

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Low

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One of the keys to good learner engagement is good stakeholder involvement and communication. Indeed,

the greatest barriers apart from time and cost reported in this study are related to stakeholders:

58% User engagement

40% Lack of line manager encouragement and support

29% Not a management priority

19% Lack of senior management understanding of risk

“I would like a study plan, requiring time and support from my Line Manager. I'm not sure where to start;

there's so much on our online learning portal, it's a bit overwhelming.”

4.2.1 GETT ING THE COMM UNICA TIONS R IGH T

Poor or too limited consultation often results in resistance and low take-up, or barriers caused by others not

directly involved but who have some influence on take up. An example here is line managers in workplaces,

who may not have been consulted about a new e-learning programme for their staff and are resistant to

releasing their time as a result.

“Before launching any learning programme, a strong reporting framework should be put in place, and a

clear communication should be issued.”

38% of organisations have an internal communications plan to engage stakeholders (compared to 36% in

2013). 34% send regular reminders to remind staff to apply learning in context.

When compared with Lower Achievers, Higher Achievers are twice as likely to:

Have an internal communications plan to engage

stakeholders

Provide managers with resources and job-aids to

encourage application back in the workplace

Work with local champions to support learners

Work with senior managers to endorse learning

They are also more likely to implement an internal

marketing campaign.

“Make sure the accountable managers for risk in the business own the learning.”

“Engage with stakeholders early and show how good instructional design can add value rather than just

reproducing the policy documents in a different format can really improve engagement and completion.”

“Gain buy-in and market the course during the build/development stage and include management,

stakeholders and SMEs in the testing so they are aware of the content and what is trying to be achieved.”

“Recognise we need to engage with the managers more on the strategy and content.”

56% have a stakeholder coms plan

51% provide managers wth resources and job aids

33% work with local champions

24% have a stakeholder comms plan

15% provide managers with resouces and job aids

15% work with local champions

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The example to the left illustrates a

successful six-week communications

campaign within UK media company

Channel 4 as they introduced a series of

new compliance-related e-learning

programmes.

Each module had an associated poster and

messaging and set out a clear timetable for

delivery.

FIGURE 12: COMMUNICATION PLAN FROM

UK TV CHANNEL 4 – SEE THE FULL STORY AT:

http://tinyurl.com/C4Compliance

4.2.2 ENGAG ING THE RELUCTA N T LEA RNER

After lack of time, the biggest challenges –

or excuses - for learners are:

Lack of awareness

Lack of relevance

Programs are not accessible or

convenient

Programs are too dull

FIGURE 13- NEGATIVE INFLUENCES ON

LEARNERS MOTIVATION

50%

28%

17%

6%

Lack of linemanagersupport

Repeating thesame contentyear on year

Lack of crediblydesignedmaterials

Previous badexperience


P a g e | 27

These are all areas that the compliance, risk and training professional can address. Clear communications

can help to raise awareness; scenarios and role-based learning can counter the relevance issue and smart

use of technology can help address the accessibility issue. For convenience, though, compliance must work

in association with others such as line managers.

The benefits of learning - and perhaps the disadvantages of not learning - need to be made explicit. So many

factors impinge on learning success – many of which are beyond the control of even the most diligent

compliance and risk training team – that learners may not feel that benefits are relevant to them. The

stresses of the work environment (deadlines, exams, personality clashes…), the life stage of the learner

(career change, impending retirement…); the pressures they face in their lives (family, holidays, illness…); all

combine to undermine their best efforts to build the desired compliant culture.

And yet, just:

28% of organisations report that managers encourage and make time for staff to study on the job

25% work with local champions to support learners in the workplace

Higher Achievers are twice as likely as Lower Achievers to work with local champions.

4.2.3 THE IM PORTA NCE OF L INE MA NAGE RS

The line manager plays multiple roles in compliance training - as a major influencer, setting objectives and

expectations, fostering and conveying the values, beliefs and behaviours of the organisation, and supporting

and encouraging the learner in applying what they have learnt in their day-to-day work.

“Changing attitudes and enthusiasms is like many business processes 'a top down thing' and unless

management teams 'buy in' it is a very difficult trick to pull off successfully.”

How can compliance training become less ‘dull’, boring and repetitive?

“The more interesting and fun a program is, the more people engage and apply to their work

efforts.”

“Your training must be relevant to the audience - this way they will understand the importance of

the topic and they'll be able to apply lessons learned to their day-to-day work.”

“…off-the-shelf compliance/regulatory training that gives this type of training a bad name. My

experience of off-the-shelf training is that the majority of it is dull and usually filled with too

much irrelevant information, due to the fact that the author doesn't know what audience they

are writing for, so they have to cover all eventualities. They also tend to fill training with

irrelevant gimmicks to make it seem more interesting.”



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The line manager is most likely to influence staff to engage with online learning. In the Learning Landscape

study, when asked whose opinion would influence them to learn online, the line manager was the most

important influence along with their peers.

28% Line managers

15% Directors

28% Peers/work colleagues

4% A member of L&D or the training team

This is consistent with research from the Chartered Management Institute which found that staff were more

likely to make mistakes because of pressure from their manager.

Harnessing the relationship between line manager and learner to support learning transfer should be a quick

win for those with responsibility for learning only. However, only 1-in-4 organisations provide line managers

with resources or job aids to help apply learning at work. This rises to 31% of Higher Achievers – a low level,

which highlights that they too have considerable scope for reviewing their strategies.

Workshop participants noted that the biggest challenge in engaging line managers is a lack of alignment

between business and compliance objectives.

FIGURE 14 - CHALLENGES RESTRICTING LINE MANAGER ENGAGEMENT


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DEMONSTRATING VALUE

Little progress has been made in communicating the benefits of technology-enabled learning to the wider

stakeholder community. Part of this lies in the incomplete feedback loop once compliance training is over.

11% gather feedback from learners on the extent

to which they are applying what they learnt in the

workplace (down from 16% in 2013)

15% collect individual success stories (compared to

8% in 2013)

Compared to Lower Achievers, Higher Achievers are three-

times as likely to:

Report against KPI’s for business

Twice as likely to:

Report progress against KPIs for learning

Collect individual success stories

In Chapter 2, we looked at the low levels of achievement of business goals relating to change in culture,

behaviour and attitude around risk, but this data would suggest that few organisations really have a handle

on how effective their training has been.

Workshop participants discussed how to shift from the prevailing model of evaluating compliance training in

terms of participation and completion rates to an approach in which success is related to the desired

improvement in attitude, awareness and behaviours.

Technology opens the way to detailed learning analytics informing future development, tailored,

contextualised programmes and collaborative development within and across organisations.

“Enhanced focus on measuring effectiveness of the training, and including off-site staff, overcoming

technology challenges, and inclusion of suppliers/contractors.”

“Our success rates are directly linked to the involvement of the internal subject experts from the earliest

learning design stages. Attractive e-adverts with hyperlinks to learning content have improved completion

rates.”

“How to enlist management in making learning a priority would be very helpful. Also, having the

organisation see the value in online learning would be helpful as well. It has been a slow process but we are

starting to track learning successfully. I want to measure actual performance outcomes and see more

performance support sites and tools in the future.”

59% report progress against KPIs for business

51% report progress against KPIs for learning

13% collect individual success stories

18% report progress against KPIs for business

18% report progress against KPIs for learning

6% collect individual success stories

Hig

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Higher Achievers show us how critical it is to align to business need and to work alongside

business leaders and line managers. The next chapter highlights how they approach

design.

ESSENTIAL ACTIONS: ALIGNMENT

As you develop your training programmes:

o Analyse your business problems as part of your initial programme development

o Ensure your business processes and learning outcomes are aligned

o Work directly with senior management to endorse your training – but also ensure that

line managers play a part and will champion

o Develop and implement a stakeholder communications plan

o Provide managers with resources and job-aides to encourage application back in the

workplace

o Report progress against KPIs for the business and for learning

o Collect individual success stories

Importantly, make a shift from simply training to ‘campaigning’ and driving creative internal

marketing for engagement.


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5 CREATING A CULTURE OF COMPLIANCE: DESIGN

This chapter considers the design lessons from Higher Achievers, including how learning is

tailored to job role and the skills required in the compliance training team .

SHIFTS IN DESIGN

There have been a number of improvements in the way that compliance training has been designed over the

last two years. Two-in-three organisations now take the time up front to make compliance learning materials

as engaging and memorable as possible. Designing a great learning experience is no longer the sole domain

of the compliance and learning professional and supported by subject matter experts. The more innovative

organisations are involving senior managers, line managers and the learners themselves in the design

process.

New techniques are being used to make learning content as engaging as possible. Storytelling, gaming and

simulation help to show how compliant practices can be embedded into workplace behaviour. Visuals and

animations are used to create content that is engaging and interactive, and learning is placed into the

context of the individual’s job role.

It is critical that the end goal is kept in sight throughout the design process. Changing staff behaviour is more

important than simply raising their awareness of compliance issues for just 46% of organisations, which

begins to explain why so few are achieving this goal.

Good designers know what resources are appropriate for different types of learning processes, needs and

learners and how they might best be supported by the use of appropriate technologies.

TARGETING LEARNING TO JOB ROLE

38% of organisations ensure that compliance learning is role specific, but this practice is not widespread

except for certain high risk job functions.

“The modules are split into two categories - generic ones which need to be completed by all employees

(Anti-bribery, Code of Conduct etc.) and more detailed ones, which have been designed for specific roles

(e.g. Legal department).”

42% of those that offer compliance training across the whole company (93% of the sample) target

learning content according to job role

38% of those that only offer compliance training to those in high risk job functions (46% of the

sample) target content to role

“The mandatory courses all feel too generic and often lack relevance to my working environment.”

“I often find the online training in say ethics or compliance rather long winded, and not relevant to my area

of business.”


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Across the sample as a whole, just 29% agree that they target compliance learning to job role, a decrease of

4% from 2013.

This is an area where Higher Achievers stand out. They are

almost twice as likely to target learning to job role as

Lower Achievers.

FIGURE 15 - PROPORTION OF THE SAMPLE OFFERING COMPLIANCE TRAINING TO EACH GROUP

Those in high risk job functions are three-times more

likely to receive training that is targeted to their role

than generic compliance training.

Some target content specifically for:

Authorised representatives

Contractors

Key suppliers

Customers

Leaders, managers and those in sensitive

positions

Distributors and sales agents

Volunteers

5.2.1 BUILD ING THE DE S IG N T E AM

The design process begins with an understanding of the

regulatory requirements for three out of four

organisations, rising to 87% for Higher Achievers.

Bringing the right people together into the design team can

help ensure that not only is the content up-to-date,

relevant and objective, but that the learning experience

becomes compelling, practical and enjoyable.

47% have subject matter experts working alongside compliance & learning and development professionals

on the learning content. However, we saw in section 2.3 that similar numbers report that over-zealous SMEs

can present them with a problem.

Good instructional design skills are so important, but 26% lack design expertise in-house and 19% lack

credible design materials.

87% understand regulator requirements

56% SMEs work alongside L&D

67% understand regulator requirements

24% SMEs work alongside L&D

Hig

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Low

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62% ensure that compliance learning is role specific

46% adapt learning to job role

33% ensure that compliance learning is role specific

27% adapt learning to job role

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Of course there is a balance to be struck between the development costs and time available and the quality

and integrity of the programme, particularly when translation costs are included. Higher Achievers though,

report fewer barriers to design and engage manager support from the very start.

Understanding the learner for whom the learning experience is being designed sounds self-evident, but too

many project teams leave the learner out or include a token representative. Just one-third of organisations

include both managers and users in the design process, although for Higher Achievers, this rises to 46% -

more than twice the number of Lower Achievers.

The willingness is there on the part of learners. For the learners in the Learning Landscape, 75% were

motivated to learn online simply to be able to do their job better or faster.

5.2.2 WHAT D O L&D NEE D TO DO DIFFERE N TLY IN DE SIGNING GRE A T LEA RNING ?

Making wholesales changes in the design practices and procedures in an organisation can be daunting and

unproductive, and potentially demoralising for the design teams involved. In the 2014 Towards Maturity

Benchmark, only 49% of organisations had instructional design skills in-house already and only 15% had the

skills to implement social media effectively in learning and

development.

Those in the workshops considered five areas for skills

development but suggested the focus changed over time. In

phase 1, the focus was primarily on developing

communication and engagement skills, but once programmes

were established, phase 2 in which programme evaluation

skills became more important:

Design skills for specialists and subject matter experts

Design skills for L&D professionals

Transfer of learning undertaken in the classroom to

application in the workflow

Communication and engagement skills

Program evaluation skills

FIGURE 16 - SKILLS DEVELOPMENT NEEDS IN PHASE 1 AND 2

Communication and engagement skills were considered the most important at each stage.

13%

0%

19%22%

31%

22%

38%

33%

0%

22%

Phase 1 Phase 2

Design skills for SMEs

Design skills for L&D

Learning transfer skills

Communication and engagementskillsProgramme evaluation skills

Proportion of organisations

with design skills in-house:

49% Instructional design

47% Business planning

41% Program evaluation

15% Using social media effectively

42% Stakeholder engagement

31% Digital content development

34% Delivery via virtual classroom

From the Towards Maturity 2014 Benchmark


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Higher Achievers show us that they are more aligned with the organisation, are designing learning aligned to role and are building the skills needed by the team . They also use technology to enliven the compliance experience and the next chapter shows us how.

ESSENTIAL ACTIONS: DESIGN

In designing your compliance programme:

Make sure your compliance training is role specific

Adapt learning to approaches to the job role

Make sure you understand the regulator requirements

Have SMEs involved in the design, but don’t let them weigh it down with detail

Build a design team that includes SMEs working alongside trainers, instructional designers with

representation from the learners themselves

In the design process, make sure you interlock with the connecting principles of align, and enliven

through technology.


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6 CREATING A CULTURE OF COMPLIANCE: TECHNOLOGY

There is considerable scope to enliven training for users and enhance the impact of

training in the organisation through the innovative application of technology. Success is

not achieved by simply throwing more technology at the problem, but by aligning

technology solutions with learning and business goals, and being receptive to innovative

new approaches that support these goals.

DELIVERY METHODS AND MEDIA

There is beginning to be a shift in thinking away from the traditional e-learning course approach. Indeed,

13% of organisations are moving to more innovative learning approaches, and in APAC countries this rises to

24%. Using e-learning can work well as part of a broad mix of approaches, but those that are delivering the

best results use video, audio, images and animation appropriately as well as text in their e-learning courses.

49% use visuals and animations to create

content that is engaging and interactive (up

from 43% in 2013)

40% use storytelling to bring learning alive

(unchanged at 41%)

20% create online opportunities for staff to

practice (unchanged at 19%)

64% use visuals and animation

59% use storytelling

26% create opportunities for practice online

36% use visuals and animation

27% use storytelling

18% create opportunities for practice online

Hig

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Instructor-led face-to-face workshops are the mainstay of compliance training globally, in many cases led by

specialists or subject matter experts, although virtual classrooms and webinars are on the increase,

particularly in large organisations, where 81% expect to be using them within the next two years. In the

Americas, digital communications (videos, teasers, and webcasts) and longer e-learning courses (30-40

minutes) continue to be the primary delivery method.

FIGURE 17 - DELIVERY METHODS AND MEDIA

Communications are moving online too, with a shift from the physical communications such as posters to

highlight risks and their mitigation to digital communications such as videos, webcast and short teasers. This

is particularly the case for North American organisations where 91% expect to be using digital

communications in two years’ time.

E-learning courses are getting shorter with a rise in the number of organisations offering 5-10 minute bursts

of learning rather than the longer courses lasting 30-40 minutes.

24% of organisations are looking to offer fewer long e-learning courses

48% are planning to offer more short e-learning courses

32%

47%

64%

56%

56%

69%

57%

75%

82%

84%

77%

87%

90%

86%

89%

26%

27%

38%

40%

44%

51%

52%

61%

68%

70%

73%

76%

79%

79%

85%

External social networking or peer-topeer sites (e.g.Facebook, LinkedIn, Twitter)

Performance support tools (e.g. apps)

Games and simulations to encourage practice andcompetition

Communities of practice (online portals)

Inhouse social media

Virtual classroom/webinars

Self-study materials (e.g. workbooks, e-journals etc.)

Video (e.g. subject experts or user stories)

Digital communications (e.g. videos, teasers, webcasts etc.)

Shorter e-learning courses (5-10 mins)

Physical communications (e.g. posters etc.)

Reference tools and resources (online portal)

Longer e-learning courses (30-40 mins)

Manager led team meetings

Instructor/facilitator-led workshops

Using now Planned


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This is entirely consistent with the opinions of learners in our 2015 Learning Landscape report, where 55%

are looking at work-related content on their way to and from work and 24% are studying during their breaks.

The role of the learning and development and compliance risk professionals in developing self-study

workbooks, e-journals etc. has been well understood, but increasingly their role as facilitators and curators

of external content is being recognised through the use of online portals and communities of practice.

Performance support tools, whilst low on the list at the moment, are increasing the fastest, especially in

Information Technology (“IT”) and professional services organisations.

6.1.1 INNOVA TIONS IN LEARNI NG D ES IG N

Compliance training presents particular challenges to programme designers in that often content has to be

repeated each year. Learners are bored quickly, but it is difficult to think of a new angle each time to keep

content alive and fresh. Expecting learners simply to repeat an e-learning course they have done before will

likely result in declining completion rates and increasing failure rates.

Fortunately, technology can help here. At its simplest, it offers the ability to simplify access to a wealth of

multimedia resources. At its more innovative, using gaming techniques to engender an element of

competition; offering performance support tools to help just at the point of need; building a collection of

best practice videos; diagnostic tools to help focus learning on the gaps in knowledge; inviting learners to

reflect on risks and issues within a collaborative environment – all can help to minimise the time spent

flipping through e-uninspiring e-learning content.

Evidence from the Learning Landscape study indicates that learners are motivated by scenario-

based learning, drawing on examples from the real world in the right context. Simulations that

invite them to explore the consequences of actions and guide them to making the right choices

make training an active rather than a passive process – and more memorable as a result.

Across the sample as a whole:

61% are using videos or user stories

40% are using communities of practice or online portals

38% are using games and simulations

Higher Achievers are more likely to use games

and simulations, to encourage practice and

engender a competitive element to help

motivate their learners. They are also more likely

to use social and collaborative media,

communities of practice, and best practice

videos – including user stories.

70% use video (SME or user stories)

43% use communities of practice

45% use games and simulations

58% use video (SME or user stories)

29% use communities of practice

31% use games and simulations

Hig

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Low

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Social networks are less widely used for compliance training. Use of in-house networks is more prevalent

than external third-party networks (44% vs. 26%), but usage varies widely between different industries and

only exceeds half in:

IT and professional services sector (63%)

Financial services (54%)

APAC (59%) and

More e-mature organisations (56%)

Few predict significant increase in their use of third party sites such as Facebook and Twitter, with only the

United Kingdom looking at a 14% increase from the current low level of uptake. In-house networks are

growing faster, particularly for:

Higher Achievers (45% to 66% in two years)

Those operating from multiple locations (48% to 63%) and

Financial services (from 54% to 68%)

Gaming and simulation are used by 38% of organisations and this is an area where some of the largest

increases are planned. They are favoured by those in:

The Americas (45%)

L&D roles (41%)

Healthcare (52% and

Financial services (54%)

Usage is lower in:

Manufacturing (9%)

Europe (26%) and

Less e-mature organisations (27%)

Only one respondent mentioned they were planning use of virtual worlds for simulation.

Confident learners can be extremely useful sources of new resources, and of feedback to develop new

content. When learners generate resources for their own learning, they demonstrate, through the way they

use them, the value of these resources for re-use with others. Some of these resources are extremely stable

and can be used by many learners and within a number of different programmes. However, across the

Towards Maturity Benchmark as a whole, only 16% actively encourage learners to collaborate in building

knowledge resources, using tools such as wikis, forums, podcasts and videos.

Higher Achievers are harnessing technology in innovative ways to support compliance training. What the

results indicate is not what technologies are being used, rather how they are being used. Technology itself is

not the answer, but it certainly makes a difference.

A real return on investment is most likely when technology is used effectively to underpin learning

processes, communications and support rather than simply providing a vehicle for delivering digitised

content and automating the process of recording participation and completion.


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WHAT IS DRIVING TECHN OLOGY ADOPTION?

The benefits of technology for providing the ability for measurement and reporting are clearly understood

and sought by all and 71% of organisations are able to report that they have improved the ability to provide

evidence of training. However, the more important cultural and behavioural shifts are harder to measure in

practice, even with the aid of technology.

98% of respondents sought to improve measurement of awareness of compliance risks through their use of

technology, but only 34% are largely achieving this goal. Even fewer are having success in measuring

behavioural change (17%) or attitudes (18%). Higher Achievers are having greater success, with 69%

reporting improved measurement of awareness of compliance risks.

FIGURE 18: IMPROVING MEASUREMENT THROUGH THE USE OF TECHNOLOGY

Thinner bars represent the proportion of those seeking the goal that report it as largely achieved.

Benefits relating to delivering efficiencies in training are easier to achieve, with almost one-in-two

organisations largely achieving savings in time and cost, and two out of three increasing the reach and

volume of their programmes through technology. Extending learning beyond the organisation, to suppliers,

customers and other third parties, is less achievable, with only 19% reporting that they have largely achieved

this goal through their use of technology.

Training programmes may be more consistent, more far-reaching and accomplished more efficiently, but

organisations are still struggling to make the learning experience more effective, with only one-in-three

reporting that this has been achieved.

98%

96%

98%

34%

19%

17%

69%

49%

45%

Awareness of compliance risks

Attitudes towards compliance risks

Behavioural change

Seeking business goal Higher achievers Average largely achieving goal


P a g e | 40

FIGURE 19: BENEFITS DIRECTLY ATTRIBUTED TO USE OF TECHNOLOGY

Thinner bars represent the proportion of those seeking the goal that report it as largely achieved.

Some are getting this right. When compared to Lower Achievers, Higher Achievers are at least four-times

more likely to deliver:

Improved reporting

Extending learning beyond the organisation, including to suppliers and other third parties

Cost saving over traditional methods

Time saving over traditional methods

And three-times more likely to deliver:

Improved volumes – reaching more people

Improved quality and consistency of the learning experience

And a massive 26x more likely to have improved the effectiveness of the learning experience.

96%

99%

99%

99%

98%

83%

83%

95%

95%

61%

51%

71%

33%

44%

19%

39%

47%

49%

88%

77%

93%

67%

82%

33%

65%

67%

72%

Improved reach and volume

Improved quality and consistency

Improved ability to provide evidence of training

Improved effectiveness of learning

Improved reporting

Extend learning beyond the organisation

Reduced time away from work

Cost saving

Time saving

Seeking business goal Higher achievers Average largely achieving goal


P a g e | 41

IMPACT OF TECHNOLOGY

In the previous section we reported the level of confidence that learning specialists and risk professionals

have that technology is helping them to deliver their goals. Across the whole sample, some 37% were able to

report that they had seen these benefits, but they were not able to quantify them.

Although this year we find the actual levels of improvement are lower than two years ago (for example,

reductions in training time have fallen from 8% to 4% on average), we find significant numbers reporting

over 15% improvement in these KPIs as a result of implementing technology solutions for compliance

training. Indeed, amongst the Higher Achievers, one-in-four organisations are seeing a reduction of over 15%

in the time spent on compliance training.

Higher Achievers are more than twice as likely to report over 15% improvement in:

Time spent on training

Completion rates

Cost of delivery

FIGURE 20 - IMPACT OF TECHNOLOGY ON TRAINING EFFICIENCY

Proportion seeing greater than 15% improvement in performance as a result of introducing technology.

Fewer report over 15% improvement in indicators relating to employee behaviour or attitude, but

nevertheless, a significant number of Higher Achievers are delivering real impact through the use of

technology.

Fewer achieved all their sought-after benefits of technology in 2013

Training efficiencies of cost and time savings were recorded by a similar proportion or organisations as

in 2015. However:

26% reported improved quality and consistency (up to 51% in 2015)

21% reported improved effectiveness (up to 33% in 2015)

7% extended learning to third parties (up to 19% in 2015)

13%

23%

11%

32%

47%

26%

Decreased cost of delivery

Improved compliance completion rates

Decreased time spent on compliancetraining

Higher achievers Lower achievers


P a g e | 42

FIGURE 21 - IMPACT OF TECHNOLOGY ON ACHIEVEMENT OF BUSINESS GOALS

Proportion seeing greater than 15% improvement.

6.3.1 WHO IS SEEING THE GRE ATEST IMPA CT?

Indirectly, this study may underline the value of those with a responsibility for compliance and risk in the

organisation also having a role in compliance learning and development. Those with such a dual role report

greater levels of impact than either Learning & Development professionals or Risk managers. Table 2

illustrates a few examples where this is the case. It certainly highlights the difference in their focus and

offers a wake-up call to L&D.

TABLE 3 COMPARISON OF IMPACT REPORTED BY LEARNING PROFESSIONALS VS. RISK PROFESSIONALS

Measure Percentage reporting over 15% improvement

Learning only Risk managers

only Both

Decreased cost of delivery 32% 10% 27%

Improved compliance completion rates 45% 32% 31%

Decreased time spent on training 35% 10% 24%

Improved employee understanding of compliance

policies and procedures 13% 30% 30%

Improved rates of adherence to policies and procedures 11% 14% 29%

Improved staff behaviours 4% 11% 25%

Improved attitudes towards compliance 0% 21% 22%

Increased reporting of breaches or suspicions 8% 23% 22%

Green shading highlights where the reported value is above average.

25%

9%

9%

13%

16%

35%

39%

36%

30%

34%

Improved employee understanding of compliancepolicies and procedures

Improved rates of adherence to policies andprocedures

Improved staff behaviours

Improved attitudes towards compliance

Increased the reporting of breaches or suspicions

Higher achievers Lower achievers


P a g e | 43

WHAT TECHNOLOGY IS BEING USED?

Learning technologies span a wide range of software, tools, workspaces, communications media and content

resources – a far wider definition than the ‘e-learning’ and Learning Management Systems so often

synonymous with the term. However, these two remain the most widely used implementations of

technology.

79% use longer e-learning courses of 30 minutes or more

70% use shorter e-learning courses of 5-10 minutes

One way in which technology systems are supporting closer alignment is in the increasing integration of

management information systems such as HR, with the learning and development function. Integrating

compliance training into the implementation of HR business processes such as induction, performance

management, appraisal or talent management ensures that it is seen as integral to the business rather than

existing in a separate silo. Across the whole sample, 68% have integrated their LMS with HR systems, but this

is something on the minds for 4 out of 5 organisations in the next two years.

64% of organisations use a compliance-specific Learning Management System

68% have integrated their LMS with HR or other management information systems

Integrated systems are set to increase faster, with 80% predicting to be using them within the next two

years.

Mobile learning has not increased as fast as predicted two years ago for compliance training. In 2013 we

reported that 25% were using mobile devices to access content or courses using apps, with a predicted rise

to 48%. In 2015:

23% use mobile devices (tablets and smartphones) to access offline learning content/courses and

performance support using apps (but predicted to rise to 51% in two years)

29% use mobile/smartphones with internet access to online learning content/courses (rising to 56%)

42% use mobile/tablet devices with internet access to online learning content/courses (rising to

65%)

“We already have mobile-enabled applications for compliance training on certain devices but we are trying

to get support for all devices since training platforms are not entirely supported. We hope to have easier

access to training applications for all mobile devices in the near future.”

Mobile learning is not the exclusive domain of the Higher

Achievers, indeed, fewer are developing mobile apps to

view offline content, and they are less likely to be using

smartphones for viewing online content or courses.

However, where they are clearly differentiated, is in their

use of diagnostic tools and online assessment.

40% of Higher Achievers use diagnostic tools

(18% of Lower Achievers)

61% use online assessment (47%)

15% use mobile apps offline

38% use tablets for online content

18% use smartphones for online access

24% use mobile apps offline

32% use tablets for online access

29% use smartphones for online access

Hig

he

r A

chie

vers

Low

er A

chie

vers


P a g e | 44

This is consistent with the earlier observations that they are more likely to tailor content to learner need and

find that technology gives them greatly improved reporting capability.

6.4.1 SOURCING QUA LITY E -LE ARNING CONTE NT

Time to develop and build content is always at a premium, reported as a barrier to technology

implementation by 64%) and often the organisation does not have sufficient skills in-house. Many turn to

off-the-shelf content or commission bespoke solutions. We investigated the sources used for different types

of content to see what lessons might be learned.

There is a clear optimism that budgets for technology are increasing, but also a shift from outsourced

content to in-house content creation (see Figure 21).

FIGURE 22 - CHANGING BUDGETS FOR LEARNING TECHNOLOGIES

Top technologies used in 2013

The top technologies used in 2013 were:

81% e-learning courses created in-house (up to 51% in 2015)

73% webinars and video conferencing

69% dedicated online portal

69% internal information management systems such as SharePoint

Do’s and Don’ts for technology implementation

Just-in-time training is great in theory but there is a need to make sure that everyone can access it

Shifting PowerPoint into e-learning and just adding buttons doesn’t improve the learner experience

There is a danger of programmes simply being ‘adequate’ – when classroom or e-learning is seen to

be just enough there is no motivation for change

Source: Participants in the London workshop

10% 9%

19%

44%48%

43%46%

43%38%

Online content creation in house Delivery platforms e.g. LMS Outsourced online complianceprogrammes

Reduce Stay the same Increase


P a g e | 45

Drilling down into how this budget is distributed amongst the many different resources, tools and platforms

available, there is an even clearer shift to in-house development.

FIGURE 23: THE SHIFT TO IN-HOUSE DEVELOPMENT

Percentage of the total use of each technology that is developed by the method. Percentage totals may not add to 100%

due to conservative rounding.

Participants were asked how they saw the balance changing in the next two years. There is a clear call to

greater – and smarter – use of technology and a clear split between smaller companies sourcing more ready-

made content, and larger companies building a greater capacity to developing their own content in-house.

How do you see the balance changing in the next two years?

“Building more in-house capability to deliver internally.”

“Currently we use our own internal resources, however looking for investment in external sources.”

“More online presence - more use of in-house technology - more coordinated in-house e-learning

tools.”

“More customised material, build in-house capability for shorter videos / animations.”

“More in-house.”

“More use of externally sourced custom resources if we can get the budget.”

“We will utilise more in-house development.”

“Use local vendors to support online training outside the US to address specific country laws and

regulations.”

Source: Participants in the London workshop

31%

28%

20%

23%

16%

8%

33%

30%

30%

25%

17%

29%

36%

43%

49%

52%

66%

63%

Longer e-learning courses

Shorter e-learning courses

Games and simulations

Video

Self-study materials

Performance support tools

Custom-built - created in house Custom-built sourced externally Off-the-shelf sourced externally


P a g e | 46

Larger companies and multinationals are more likely to outsource bespoke content: those with responsibility

for learning only roles are more likely to develop their own content in-house. Those in the Americas are

more likely to seek off-the-shelf content.

Higher Achievers are more likely to develop bespoke

content for e-learning courses in-house. They are also

much more likely to develop their own internal

communities of practice, social media sites and

performance support tools than Lower Achievers.

Lower Achievers, on the other hand, are more likely to

buy these products from an external supplier or to find

off-the-shelf solutions. Contrast this with the

observation earlier (section 3.2.1) that Higher

Achievers are also more likely to be targeting content to job role – something which is seen as very

important to the learner, looking for relevance and contextualised content.

TABLE 4 SOURCES FOR E-LEARNING CONTENT

Off-the-shelf External bespoke Developed in-house

Average 31% 33% 36%

Small businesses 29% 29% 43%

Large (Tier 3) companies 19% 45% 36%

Multinationals 32% 37% 31%

Americas 46% 27% 27%

APAC 15% 42% 42%

EMEA 29% 33% 38%

L&D roles 25% 28% 47%

Risk roles 28% 39% 33%

Higher Achievers 29% 31% 40%

Lower Achievers 33% 40% 27%

When learning is bespoke – be it created in in-house or externally – there is a greater opportunity to tailor it

to the needs of the organisation and the learning styles of the individual learner. However, by its very

nature, compliance training offers the time-starved and cash-strapped L&D professional the opportunity to

collaborate with others working within the same regulatory environment. Not only can this deliver

economies of scale and complementary skillsets, but pooling resources can lead to higher quality content

than would otherwise have been affordable. This is particularly the case for organisations in the public sector

that are not seeking a competitive edge as a result of the training programme.

“There would be room for sourcing this collectively at the level of the sector on a national level, rather than

each bank creating its own approach for covering the national regulatory framework.”

Motivation may also be affected by the social characteristics of the proposed intervention. If communication

with others is limited, many learners may not be motivated to continue, even if they are motivated to start.

86% communties of practice88% in-house social media

67% performance support tools

54% communties of practice57% in-house social media

40% performance support tools

Hig

he

r A

chie

vers

Low

er A

chie

vers

Custom built in-house


P a g e | 47

“Current online courses available only cover one aspect of a topic – not the whole thing. This means I can

finish a course and think, ‘Great! I can do THAT...but how on earth do I do THIS?’”

A full breakdown of delivery methods used in different sectors can be found in the Appendix.

In the final section, we look at the developments planned for the future and present some

recommendations for those responsible for compliance training.

What can technology help us to do differently?

Technology should be the enabler – not the driver

Data gathering

o Improve measurement

o Look for richer data analysis for lead indicators

o Identify prior knowledge

Provide access to learning ‘any time – anywhere’ breaking down barriers of time and location

Social media is everywhere – accept it, work with it

o Share messages to support behavioural change

o Encourage sharing

o Go to where the people are to stimulate debate

Use tools to deliver learning ‘just in time’ rather than ‘just in case’

Make learning more granular – and more relevant

Move to the cloud to give better access at home and to remote workers

Re-use of content in communications and learning e.g. videos used to train and promote

Go mobile – facilitating learning on the move


ESSENTIAL ACTIONS: Enlivening through technology

Align technology application to business and learning objectives – it should be

the enabler, not the driver

Consider the following tools

o Visuals and animations that promote interaction – including videos, games and

simulations

o Use storytelling and real-world examples

o Create opportunities for staff to practice

Use technology to enable measurement and reporting

Consider technology to support wider application of training – for instance across

suppliers and other applicable 3rd parties

Leverage technology to deliver learning any-where, any-time


P a g e | 48

7 NEXT STEPS

This section explores the future of compliance training and summarises the essential next

steps to create a culture of compliance.

In this report, we have highlighted that whilst for many programs success is still measured in terms of

completion rates, there are signs that a shift is occurring in the more forward thinking and innovative

organisations. Higher Achievers are showing that technology can simplify and aid the essential tracking,

measurement and reporting of compliance programmes to meet internal or external regulatory

requirements, but also that it is possible to change entrenched habits and influence the working culture

through attractive, enjoyable, training, rooted in real-world examples.

The challenges reported in 2013 have not gone away and in many respects we are little further forward in

our understanding of how to make compliance training compelling and effective. Throughout this report we

have provided checklists of ESSENTIAL ACTIONS that the training and risk partners can use collaboratively to

implement some of the findings form this report.

“Compliance training partners need to have a broader offering in terms of engaging content, innovative

delivery mechanisms and better analytics.”

Thoughts for the future

Survey respondents were asked about the changes they predict for the next two years:

“More use of videos, short animations and short e-learning as refreshers.”

“We plan to increase the self-service type materials and reference materials to provide more

just in time learning for our employees.”

“We currently use a SharePoint portal for a lot of our online resources and house training

documents as well. We will be migrating to SharePoint 2013 within the next year and we hope

that will open more doors for communicating compliance issues and topics.”

“The direction is shorter, target audience based and interactive communication.”

"Greater use of all means of digital outreach.”

“More video and use of gaming in training.”

“Introduce more variety of materials.”

“Moving more to digital and online materials.”

“Better targeting development of tools, making them easier to navigate and more user friendly.”

“More use of social media.”


P a g e | 49

What must we do differently to develop a culture of compliance?

Make compliance a systematic process rather than a compliance injection

Build line managers into the process

Communications:

o Raise awareness of need for behaviour change at senior and middle manager level

o Communicate benefits vs. risks

Keep communications interesting - essential reading

Link to performance measurements

Use peer-to-peer support and local champions

Set the tone at the top – cascade learning

o Educate managers – role-specific compliance training should also cover implications for

helping them to help their teams

o Middle managers are key

Make the whole campaign collaborative

Consider the support systems

Engage SMEs in culture change but don’t let them drive on communications or training design

Allocate training time

Connect to the culture and values of business

Be pragmatic

Be clear in behavioural ‘asks’

Consider how to help people ‘do this without thinking’

Measure output KPIs vs input



P a g e | 50

APPENDICES AND DATA TABLES

ABOUT THIS RESEARCH

The data presented in this report is drawn from an online survey during spring 2015 conducted among those

responsible for compliance training in the workplace. In total, 227 respondents commenced the survey.

Additional data is drawn from the 2014-15 Towards Maturity Benchmark research conducted online during

June-August 2014 with over 600 organisations and a sample of learner data from over 15,000 Learning

Landscape surveys during 20145.

This report predominantly represents the views of those in Learning roles and those with responsibility for

Risk Management. Just 4% had other responsibilities.

FIGURE 24 - RESPONSIBILITY OF SURVEY RESPONDENTS

Respondents were grouped into three tiers according

to their organisation size:

Tier 1 – Under 2,000 employees

Tier 2 – 2001 to 15,000 employees

Tier 3 – Over 15,000 employees

5 Download the 2014 Towards Maturity Benchmark report: Learning: Delivering Results for free at

www.towardsmaturity.org/2014benchmark.

http://www.towardsmaturity.org/2014benchmark


P a g e | 51

Companies taking part in the online survey that have given permission to include their name:

ABB Aleris International, Inc. American Express AQA Australian Bureau of Statistics Australian Consulting & Compliance Pty ltd Australian Unity retirement Living services Baker Hughes Incorporated Barclays Bayern Card-Services GmbH Bayern Card-Services GmbH - S-Finanzgruppe BayernLB BD Bluefin Insurance Group Ltd Boots Bradken Brandecake Partnership British Red Cross Bupa UK Canon (China) Co., Ltd Capacitacion de negocios y tecnologia sc CBA Chubb Insurance Company of Europe Civil Service Learning/Civil Service Cobham plc CommunityCare Crnogorski Telekom A.D. D.Sarovski De Lage Landen Del Monte Deutsche Börse DFAS Diageo Africa Direct Line Group Eaton Efic Emerus EMQ FamiliesFirst

Engility Corporation Environment Protection Authority Victoria Evonik Export/Import Administration Fujitsu Australia Ltd General Mills GKN Plc Guidewire Software HealthPartners HEMA Hinch Consulting Houghton Mifflin Harcourt Howden Australia HSB Hunting PLC IBAC Ilawarra Diggers Aged Care International SOS IXOM John Lewis Partnership Johnson Controls, Inc. JP Morgan Kennametal KION GROUP AG KP Snacks KPMG Audit Practice KUKA Aktiengesellschaft Laing O'Rourke Leicon Notley LV Marathon Oil McDonald's Corporation Memorial Hospital MHFI Molson Coors Brewing Company Monsanto Company National Indemnity Company Nationwide Building Society Nexans Nikon Holdings Europe NiSource Inc. Nordson Corporation

Olympus Corporation of the Americas Optima Health Paypal Australia PCNA, Inc. Port Stephens Council Pret A Manger Principal Financial Group PwC QIC Limited Queensland Rail RMA Group Company Limited SafeTgo Salisbury NHS Foundation Trust SAS Institute Inc. Scottish Natural Heritage SeaRoad Shelf Drilling Sims Recycling Solutions Spectrum Pharmaceuticals Sutter Swiss Re Tenaga Nasional Berhad Tesco The Lifetime Healthcare Companies The Regional Medical Center Totalizator Sportowy LTD TUI TRAVEL Tyco Tyson Foods, Inc. UnitedHealth Group University of Louisville Physicians Validus Holdings, Ltd. Vectrus Villa Maria Catholic Homes Votorantim Cimentos VWr International Willis Australia Xcel Energy XL Catlin

We would like to thank all those organisations that have provided data and attended workshops, and

those that have kindly agreed to allow their names to be listed in this report.


P a g e | 52

Participants are spread across a number of geographic locations.

63% of respondents answered from the perspective of a multinational company operation

29% operate from multiple locations within a single nation

9% operate from a single location

The survey was distributed widely in the UK, USA and Australia and the majority of respondents came from

these countries. Responses were also received from Germany, Austria, Belgium, Brazil, Canada, Denmark,

France, Ireland Italy, Ivory Coast, Japan, Malaysia, Montenegro, Netherlands, Poland, Saudi Arabia,

Singapore, South Africa, Spain, Switzerland, Thailand and UAE.

Many industry sectors were represented, although they are only reported where over the sample size

exceeded 30.

FIGURE 25 - INDUSTRIES REPRESENTED IN THE ONLINE SURVEY


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THE EFFECT OF E-MATURITY

In 2013 we looked at the effect of maturity in terms

of use of learning technologies on compliance

outcomes and drew a distinction between those that

were ‘less mature’ and ‘more mature’.

Novice We know very little about learning technology with only occasional use

Sporadic Our use is localised or sporadic (used in some departments or for some

compliance training)

Developing We are developing and coordinating our use of learning technologies

Established They are established across the organisation and transforming the way we

manage compliance learning

Embedded Learning technologies are thoroughly embedded within the organisation

The full range of our research is available from www.towardsmaturity.org/shop.

http://www.towardsmaturity.org/shop


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DATA TABLES

This section presents a breakdown of some of the key data tables by industry sector. These have been

grouped to give sample sizes of over 30. The groupings are as follows:

Finance Financial services, insurance

Health Health and social care, life sciences

Manufacture Manufacturing, engineering, construction, process industries

IT/Pro IT and telecommunications, professional and technical services, central and local

government

Retail Retail and wholesale trade, lifestyle, sports and leisure, hospitality, food processing

TABLE 5 WHICH RISK DOMAINS ARE DRIVING RISK MANAGEMENT/COMPLIANCE ACTIVITY IN YOUR

ORGANISATION?

Risk domain 2015 2015 2013

Retail Manufacturing Finance Health IT Pro All All


6% 50% 29% 30% 24% 32% n/a

Anti-money laundering

24% 21% 85% 15% 38% 36% 36%

Competition law 41% 71% 41% 12% 41% 38% 34%


47% 63% 68% 67% 62% 60% 46%

Information security 41% 53% 82% 73% 55% 62% 60%

Conflicts of interest 41% 58% 85% 61% 59% 63% 39%

Health and safety 76% 74% 47% 85% 55% 66% 66%


53% 63% 85% 85% 66% 68% 66%


65% 89% 85% 58% 69% 70% 62%

Code of conduct 71% 92% 88% 91% 83% 84% 63%


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FIGURE 26 - RISK DOMAINS AROUND THE WORLD

Other risk domains identified included:

AdvaMed/PhRMA Code

Audit regulation and methodology

Corporations Act,

CSR

Financial Services Laws

Food Hygiene

Fraud, market abuse

Fraud, Waste and Abuse. OIG regulations, CMS regulations

Global Security, IP, Confidential Information

Government Contracts

HIPPA

Internal policies and procedures

Records management, Conduct Risk (TCF), Business continuity/Incidents, Whistleblowing,

Complaints, Fraud

SOX

32%

48%

44%

54%

58%

54%

65%

67%

82%

81%

43%

25%

43%

69%

77%

77%

56%

85%

64%

97%

19%

30%

19%

63%

51%

60%

84%

49%

56%

74%


Anti money laundering

Competition law


Information security

Conflicts of interest

Health and safety



Code of conduct

APAC Americas EMEA


P a g e | 56

TABLE 6 BUSINESS DRIVERS AND BENEFITS

Benefit Percentage seeking this benefit

Percentage largely achieving the benefit sought

Percentage partly achieving the benefit sought

Protecting brand reputation 92% 67% 27%

Managing risk more successfully 99% 41% 52%

Positively impacting staff behaviour 99% 34% 57%

Positively impacting staff attitudes and values 98% 28% 64%

Raising awareness and understanding of complex regulations 97% 39% 48%

Preventing or reducing misconduct 98% 44% 49%

Creating uniformity and standardisation in work methods 85% 24% 48%

Changing working culture 95% 20% 58%

Reducing insurance liability 72% 36% 41%

Reducing penalties in the event of significant misconduct 88% 44% 44%

Increasing workplace transparency 87% 29% 52%

Minimising third party (suppliers, contractors) risk 88% 32% 43%

Providing an audit trail for internal audit purposes 94% 60% 32%

Providing an audit trail for external auditors/regulators 94% 55% 38%

Increasing employee engagement through increasing awareness 96% 30% 54%

Informing corporate business strategy and key decisions 91% 29% 46%

Generating meaningful data that can be used to measure and improve programme effectiveness over time

96% 21% 49%

Based on 182 responses to the question: ‘What are the business goals driving your investment in risk management/compliance-related training programmes and the extent to which you achieve these goals on an ongoing basis? Please select all the goals that are IMPORTANT to you.’


P a g e | 57

TABLE 7 TOP BARRIERS TO ONLINE COMPLIANCE TRAINING

EMEA Americas APAC


(61%)

Time required to develop and build

content (74%)


(85%)

User engagement (54%) Cost of set up and maintenance

(64%)


content (76%)

Staff reluctant to repeat year-on-

year (51%)

Time required to update or change

content (60%) User engagement (65%)


content (50%) User engagement (57%) Staff reluctant to repeat year-on-

year (47%)


content (47%)

Dull and boring, or previous bad

experience (47%)

Dull and boring, or previous bad

experience (43%)

Staff reluctant to repeat year-on-

year (43%)

FIGURE 27 - BARRIERS TO USING LEARNING TECHNOLOGIES REPORTED AROUND THE WORLD

Note: Percentages show those agreeing that each barrier is an issue. Numbers do not add up to 100% as respondents were able to select multiple barriers.

85%

44%

32%

21%

65%

32%

47%

61%

46%

37%

15%

55%

44%

51%

63%

43%39%

9%

57%

41% 43%

Cost of set up andmaintenance

Dull and boring,or previous bad

experience

Subject matterexperts

overloadingcontent

Lack of subjectmatter expertise

User engagement Lack of linemanager

engagement andsupport

Staff reluctant torepeat year on

year

APAC EMEA Americas


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TABLE 8 TOP BARRIERS TO ONLINE COMPLIANCE TRAINING

Responsible for Learning and

development only

Responsible for Compliance Risk

Management Both

User engagement (76%) Cost of set-up and maintenance

(83%)

Cost of set-up and maintenance

(74%)

Dull and boring or previous bad

experience (62%)


content (68%)


content (62%)


content (60%) User engagement (59%)


content (57%)

TABLE 9 DELIVERY METHODS AND MEDIA IN USE NOW

Media

All

IT &

Te

leco

ms

Man

ufa

ctu

rin

g

Fin

ance

He

alth

External social networking or peer-to-peer sites (e.g. Facebook, LinkedIn, Twitter)

26% 44% 19% 25% 21%

Performance support tools (e.g. apps) 27% 40% 13% 27% 21%

Games and simulations to encourage practice and competition 38% 31% 9% 54% 52%

Communities of practice (online portals) 40% 67% 32% 43% 41%

In-house social media 44% 63% 29% 54% 34%

Virtual classroom/webinars 51% 48% 61% 44% 53%

Self-study materials (e.g. workbooks, e-journals etc.) 52% 54% 42% 63% 66%

Video (e.g. subject experts or user stories) 61% 50% 56% 68% 72%

Digital communications (e.g. videos, teasers, webcasts etc.) 68% 65% 72% 71% 72%

Shorter e-learning courses (5-10 mins) 70% 67% 48% 78% 90%

Physical communications (e.g. posters etc.) 73% 68% 73% 70% 72%

Reference tools and resources (online portal) 76% 70% 68% 89% 83%

Longer e-learning courses (30-40 mins) 79% 73% 81% 75% 87%

Manager led team meetings 79% 81% 77% 85% 83%

Instructor/facilitator-led workshops 85% 89% 91% 75% 87%


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FIGURE 28: TECHNOLOGY TOOLS BEING USED TO SUPPORT AND DELIVER COMPLIANCE-RELATED CONTENT

71%

80%

65%

56%

51%

71%

47%

64%

68%

42%

29%

23%

57%

31%

Learning management systems (compliance specific)

Learning management systems (integrated with HR)

Mobile tablet devices (e.g. iPads) with internet access toonline learning content/courses

Mobile smartphone devices (e.g. Android phones/iPhones)with internet access to online learning content/courses

Mobile devices (tablets & smartphones) to access offlinelearning content/courses and performance support…

Online assessment tools

Online diagnostic tools

Use now Planned


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ABOUT SAI GLOBAL

We are passionate about the improvements that can be gained in

your business by partnering with a risk management specialist and by

using integrated solutions that monitor measure and inform you about your business performance. Powerful

insights gained from integrated services, allow you to focus on what truly matters to your customers, and

protects your brand. By helping customers create trust with their customers, we know that in a small way we

are contributing to making the world a better place.

Our Business

“Businesses are being held accountable by their customers and stakeholders. Establishing trust

through ethical practices, risk mitigation and transparent governance and processes helps build a

sustainable business.” Peter Mullins (CEO)

Risk Management is not a topic which usually excites people. The positive impacts achieved through

responsible management and mitigation of risks however, is extremely exciting and the rewards benefit all

stakeholders in a business.

At SAI Global, we are passionate about helping businesses improve.

We offer a broad range of products and services for risk management to businesses worldwide and in

Australia we also offer specialised property services to the financial, legal and conveyancing sectors.

Our customers value our expertise which helps them create trust with their customers by building ethical

business practices, streamlining processes and managing complex risk issues across the risk lifecycle.

We are passionate about what we do because in a small way, we help our customers make the world a

better place.

Examples include:

* helping clients improve business efficiency and thereby eliminating waste

* ensuring products are safe and what they claim to be

* supporting sustainable practices in aqua-culture, forestry and agriculture and

* developing ethics programs which can be deployed across whole organisations

SAI Global Limited is listed on the Australian Stock Exchange and our head office is in Sydney, Australia. We

have around 2,000 employees in 29 locations across Europe, North America and Asia.

We create trust by helping businesses do the right thing and being able to prove it.


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ABOUT TOWARDS MATURITY

Towards Maturity is an independent benchmarking practice that provides authoritative

research and expert advisory services to help assess and improve the effectiveness and

consistency of L&D performance within organisations.

The Towards Maturity portfolio includes:

The Towards Maturity Benchmark Study™

http://towardsmaturity.org/benchmark

The Towards Maturity Benchmark Study is an internationally recognised longitudinal study on the effective implementation of learning innovation based on the input of 4,400 organisations and 18,000 learners over 12 years. Towards Maturity continuously surveys and studies how people learn at work. This data is used to help L&D leaders assess and improve the appropriateness, effectiveness and efficiency of their learning provision. Previous research papers and sector specific reports are available through the Towards Maturity Shop.

Towards Maturity Benchmark Centre™

http://mybenchmark.towardsmaturity.org/

A dedicated centre to complete your Benchmark and apply everything we know about good practice to gain

personal, practical time saving advice in one place. Follow the online three-step continuous improvement

process and Benchmark your current approach with your peers.

Towards Maturity Strategic Review™

http://www.towardsmaturity.org/strategicreview

The Towards Maturity Strategic Review is a deeper analysis and comparison of your Benchmark against those who are already utilising learning innovation to deliver bottom line results and success. It helps you analyses and interpret your personal benchmark report to establish a base line and identify the next action steps for performance improvement leading to good practice within your organisation.

Towards Maturity Learning Landscape™

www.towardsmaturity.org/learner the Towards Maturity Learning Landscape provides critical insights to help you understand the behaviours of your staff so you can design learning solutions that can be embedded more effectively into the workflow. It supports new learning technology strategies whilst mitigating risk when introducing new programmes or models of learning.

Towards Maturity Sector Benchmark Groups

www.towardsmaturity.org/benchmarkgroups

Join senior L&D leaders in your sector three times a year to use the Towards Maturity Benchmark to support performance improvement, priorities action planning and accelerate progress. Attendance supports faster business results, strategic and tactical insights and an invaluable opportunity to network.

Visit www.towardsmaturity.org for more information.

Follow on Twitter: @towardsmaturity

Email: [email protected]

Tel: +44 (0)208 542 2331



http://towardsmaturity.org/shop/

http://towardsmaturity.org/shop/

http://mybenchmark.towardsmaturity.org/

http://www.towardsmaturity.org/strategicreview

http://towardsmaturity.org/static/learner/

http://www.towardsmaturity.org/benchmarkgroups

http://www.towardsmaturity.org/

mailto:[email protected]

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