lifting the lid on compliance training · 2014. 9. 3. · communication resources risk-based...
TRANSCRIPT
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%)
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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.