Compliance Training: Going from compulsory to compelling

Compliance Training: Going from compulsory to compelling

Compliance training in essence refers to imparting skills and knowledge to employees around laws, regulations, and policies that affect day-to-day functions of the organization.

It differs from other learning modules in very specific ways –

1. Most of these trainings are mandated by regulatory bodies.
2. It covers a large amount of very specific information that needs to be memorized by the learner.
3. The fallout of mishandling compliance training can prove to be very expensive for organizations.
4. These trainings are mostly deadline driven and falling short often leads to legal implications.
5.  Most often, these trainings need to be repeated at regular intervals to keep the learners abreast of the latest regulations. 

Until about five years ago, organizations approached compliance training as a mandatory assessment they would rather just tick off their list. There was very little focus on the learner and how they might perceive the training.

But that notion slowly changed. Partly because of the penalties imposed on organizations, should employees fail to comply; compliance training came to be seen as a means to legally protect the organization. But a large part of the shift in mindsets came from the poor ROI. When organizations revisited the returns from the compliance training they were rolling out, they found that content retention was low and application of the training was even lower. And that made these Training Modules a wasted investment.

Therefore, the question arises what should be included in compliance training?

Given the critical nature of the subject, many organizations are insisting on “enjoyable” compliance training experiences. Experiences that not only get people to take the training, but also deliver proven results. The more serious the risks and penalties of non-compliance, the higher the inclination to enhance the engagement and ensure results.

Since the compliance trainings can be long and tedious due to dense information with lots of do’s and don’ts, following elements can help turn them into engaging learning experience.

1. Make it role specific

Create multi-pronged training paths for learners based on their roles. It does save time and money to create one training on one topic that applies to many roles. However, that means all roles wade through what is necessary for them and what is necessary for everyone else in the department.​

2. “Be aware of” vs. “must know” vs. “must comply with”

Starting at the top, create role-wise learning paths that help focus on “must comply with” information upfront and mark out the other information to be completed as and when. ​

3. Ensure learners are not overwhelmed ​

Mandate only what is needed with clear information about “What should you comply with, why, and what happens if you fail to comply” to make sure they have all that they need. ​

The approach to developing compliance training also depends on how mission-critical the topic is. Subjects like workplace harassment, aim at bettering work cultures must be covered in depth in order to make the training meaningful. Then, there are emerging trends in compliance training:

1. Respectful workplaces – where companies address workplace bullying, violence, and working well with each other.
2. Training for diversity and inclusion – aimed at removing biases and discriminations in order to build more cohesive teams and helping leaders manage diverse teams.
3. Anticipatory Quality Systems Training – training that is given before the employee even uses the system.
4. Audit Committee compliance and checklists – oversights, risks, and governance pertaining to COVID-19.

How to design compliance training programs?

Injecting engagement into these compliance training modules can prove to be challenging. The legal verbiage leaves very little room for change. However, good storytelling can help employees understand what’s in it for them and what the implications of non-compliance might be at an individual and organizational level.

When designing compliance training, it must be structured in a way that aids the memorization of processes or rules. Many times, the number of clauses present in a compliance module can overwhelm learners. Instructional designers must choose which clauses to prioritize in order to drive more value from the training. Charting a Learning Journey Map can help personalize the learning experience to each learner’s strengths and areas of improvement. Here are some key elements to be kept into consideration while designing compliance training modules:

1. Use multiple formats

Break the monotony with multiple formats. Animations, PDFs, games, emailers, posters, spot quizzes, and weekly challenges – let content dictate the form. However, remember to tie it all back together using a visual key and a logical structure to enforce the strategy. ​

2. Blend the modes​

Face time with an expert can make all the difference. Intersperse discussions with experts, however short, to help reinforce the key outcomes and best practices for ensuring compliance. These can be virtual or physical. ​

3. Give learners control ​

Allow learners to choose their path. For example, allowing learners to take the assessment before the training so they have suggestions about which areas they must focus additionally on gives them a logical push to cover ground. ​

4. Practical skills ​

For skills that require practice, follow a cycle of Learn-Do-Correct-Imbibe. A concept training and computer simulation followed by some practical hands-on training on the job breaks the monotony and takes the training all the way. ​

5. Make learning a fun process​

Move your focus from the negative outcomes of non-compliance, fear, and a whole lot of stick to a more relaxed and engaging experience that learners may cherish and can find useful and compelling enough to complete. Use serious games, gamified learning interfaces, simulations, and whatever suits the message to lighten and engage the learner at a deeper level. ​

6. Review past data ​

Explore the reasons for non-compliance through root cause analysis data and experts. Most Oil and Gas companies maintain comprehensive incident management systems that record all non-compliant activities and root causes. A bit of research with help from experts can help build a training at the center of a performance ecosystem that eliminates such occurrences.

5 steps of tracking your compliance training programs

Ultimately, it is the behavioral change brought about by compliance training, that is the end result every organization seeks. As awareness and concerns around safety are paramount, it becomes imperative that learning and development professionals are able to track and measure behavioral change as an outcome of the learning program. Here are our learning expert’s top picks:

1. Create a performance ecosystem​

Embedding behaviors requires a performance ecosystem that looks far beyond the LMS into the learners’ work environment and into the learners’ motivations themselves.​

To ensure this, deepen the involvement of supervisors or managers. Their insight and commitment is vital to understanding the impact of compliance training programs.

2. Timed Assessments

Design performance assessments with graduated steps to prove competency, knowledge, and analysis.

Track the number and types of instances of violation, watch the trend and calculate the gains or losses resulting from this. Regular checks ensure timely interventions as and when needed.

3. Performance Measurement

In high-risk environments, first, measure the performance in a simulated environment and then measure the performance in a supervised environment. Track the implementation for until six months for critical compliance training. Build compliance tracking into the learners’ and their line-managers’ performance records, if needed. Collect data and re-evaluate where training and workplace triggers can be embedded to make sure non-compliance is pre-empted and support is provided at the right time.​

4. Behavior tracking app

Develop an app around micro behaviors that capture the core essence of compliance criteria. All employees would have this app on their phones and every time they demonstrated that behavior, they would add that input into the app. The organization can turn this into a collaborative exercise and incentivize the process through giveaways or building leaderboards.

5. Systemic measures ​

A 70-20-10 divide of on-the-job (OJT) training, collaboration, and formal training can often be modified when the formal training and certification are relatively extensive and a chance to depend on the information from OJT can be risky. Increasing collaboration time with experts and practitioners and simulating risks in a training environment can help. Look at 50-30-20 as your renewed mix or create your own.

Developing training and deploying it should not mark the end of the project, there needs to be a continuous cycle of evaluation and periodic revisions that are determined by the learning outcomes of the training and updates released by regulatory bodies. Following hacks can assist with the same:

1. Incremental changes only

It is tempting to update a training and re-launch but consider only sending out the updates if the updates are not an overhaul or the original law or regulation. ​

2. Interactive reinforcement

Use a short animation, a PowerPoint presentation, or an interactive PDF (iPDF) followed by a short open-book test taken over the LMS, for example. ​

3. Periodic recertification instead of many small updates

If the regulation or process changes are too many, top up short updates with a periodic re-certification.

MPS Interactive is a leading developer of unique and impactful learning programs. Our work in compliance training has gained us several accolades, including a Brandon Hall for Best Advance in Compliance Training, in 2020. Write to us at marketing@mpsinteractive.com to request a case study or to learn more about our compliance training programs.