SCCE ECEI 2014

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Lifting the Lid on Compliance Training

The Hopes, Expectations and Realities of Current Practices

Paula Davis, Director of Compliance Programme Operations, EMEA SAI Global

Agenda

• Overview of the business goals and expectations for compliance training

• Does compliance training deliver on the promise?

• What are the main barriers to effectiveness?

• Good practices to overcome the barriers

• 3 recommendations for moving towards maturity

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DEMOGRAPHICS

Who Took Part In The Study?

• 136 organisations

• 2.3m employees

• 59% multinationals

• 65% senior managers

17 nations

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BUSINESS GOALS

Top Business Goals

1. Managing risk more successfully (cited by 98% of respondents, rising to 100% of those with

a compliance and risk management responsibility)

2. Impacting staff values & attitudes (98% - rising to 100%)

3. Increasing employee engagement(98% - rising to 100%)

4. Impacting staff behaviour (98% - rising to 100%)

5. Providing internal audit trail (97%)

SCCE ECEI 2014

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Is ‘Partly Achieving’ Ever Really Good Enough?

Exploring The Gaps…

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Towards Maturity Survey: Barriers to Engagement

1. 67% User engagement“This doesn’t address my situation!”

2. 58% Staff reluctant to repeat year on year “I did exactly this training last year!”

3. 55% Dull and boring – previous bad experience“Compliance e-learning is always boring!”

4. 50% SMEs overloading content “There is too much and it’s too long!”

5. 49% lack of line manager engagement and support“My manager sees this as a distraction!”

OVERCOMING THE BARRIERS

1.User Engagement

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Adapt Learning to Role

“The learner knows instantly if a product has been designed with them in mind or is a generic ‘one size WILL fit all’ product. That in itself can be a turnoff.”

• You need to align learning with role and risk

• Creating effective ‘learner pathways’ will enhanceeffectiveness

Profiling encourages engagement by personalising the learning experiencein terms of both content and context.

Adapting Learning to Role - User Engagement

I need to see how this relates to me and the job that I do.

Profiler questions

Profiled menu Profiled content Profiled context

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OVERCOMING THE BARRIERS

2. Reluctance to Repeat

Flexible, Modular Courses

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Multi-Year Compliance Programme

2014 2015 2016

Senior leaders

Generalemployees

+High-riskgroups

+Middle

managers

Foundation courses

Delayed assessments

Performance support tools

Communication resources

Risk-based courses

Foundation courses

Risk-based courses

Delayed assessments

MotivatorsMotivators

Manager awareness F2F training

Manager-led ‘tone from the middle’ team training

Executives’ workshop

Executives’ workshop

Springboard team discussion

Foundation courses

OVERCOMING THE BARRIERS

3. Dull and Boring

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Is Compliance Learning Different?

• Only 1 in 5 respondents thought their programmes lacked credible design…..

“Since much of the compliance need is information awareness, we’re not going to invest much to make the courses more entertaining, animated, graphical etc. We’ll just stay with narrated e-learning’

Is Compliance Learning Different?

‘Believe’ in the need to

comply

‘Know’ compliance policies and procedures

‘Live’compliance

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Is Compliance Learning Different?

Core principles:

• Principles & Values, not Legislation & Rules

• “Think & Transfer”, not “Tell & Test”

• Learner-centric, not Content-centric instructional design

• One size does NOT fit all.

• “Lean-Forward” learning experiences.

Knowledge & Understanding

Improve knowledge and understanding through interactive presentations and formative activities that encourage learners to explore, think and discover.

• High level key messages

• Drill-down for detail

• Relationships and equivalencies

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Attitude

Reflective activities encourage learners to reflect upon their own attitudes and opinions:

• Formative learning mechanisms

• Not always about right or wrong

• Feedback tailored to responses.

Behaviour

Scenario Sequences encourage learners to explore appropriate behaviours by considering and applying their own work and life experience in relevant and credible situations

Introduction Story

Guidance Dilemma Question & feedback

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Behaviour

Challenge learners to explore the potential consequences of their own behaviours and attitudes.

“Action Maze” Challenges• Branching scenario sequences

• An initial story dilemma question has three options: COMPLIANT

RISKY

VIOLATION

• RISKY leads to an extended story and dilemma question

• All question feedback is focused on describing consequences of decisions

Debrief

VIOLATION

VIOLATION

Extended Story

Extended DilemmaQuestion(Including feedback)

Introduction

StoryCOMPLIANT

Dilemma Question(Including feedback)

RISK

CO

MP

LIA

NT

RIS

K

Proposed Solution: Behaviour

Introduction Story Dilemma question & feedback

Extended story Extended story dilemma question & feedback

Debrief

RISKY

“Action Maze” Challenges

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Effective Learning Design

• Rehearsal for the real world

• Relevant, credible, scenario-based

• Story-telling, visuals, animations, interactions

• Practice in a ‘safe’ environment

• Transfer skills to the workplace

OVERCOMING THE BARRIERS

4. SME Overload

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Learning Design – ‘Awareness’ is Not Enough

• Only 1 in 5 respondents thought their programmes lacked credible design…..

• L&D expertise + compliance expertise = Effective Compliance Training

Learning Design – Control Your SME

“Challenge the subject matter experts on what REALLY needs to be in the course as they like to include everything to cover all of the bases, whether the end user needs to know it or not!”

• It’s about what the law means, not what the lawsays

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OVERCOMING THE BARRIERS

5. Line Manager Engagement

Middle Managers – Tone From The Middle

• Often business drivers and compliance objectives are not fully aligned

• Empowering managers is the real key to driving behavioural change and cultural shift

• When managers ‘get it’, those who work for them are much more likely to get it too

EducationTools

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Transfer To The Workplace

Springboard Activities

• Reflective worksheet activities designed to help learners apply what they have learned in their own role:

• Invites learners to:• Consider their own activities

• Identify the specific risks to them that are related to what they have learned

• Consider strategies to minimise these risks

• Locate available policies, resources and support

• Encourages further discussion on identified risks and mitigation strategies with colleagues and managers.

THREE STEPS

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If You Do Three Things…

1. Align learning objectives with broader business objectives

2. Align learning content with learner profile – create ‘learner pathways’

3. Balance skills in learning design with compliance expertise

About SAI Global

SAI Global Compliance is the world’s leader in

providing organisations with a wide range of

governance, risk and compliance (GRC) products,

services and technology that help build organisational

integrity and effectively manage compliance risk.