Compliance: Not Just a Training Challenge

Compliance: Not Just a Training Challenge

David WentworthSenior Learning Analyst

Brandon Hall Group@DavidMWentworth

Steve YoungGeneral Manager

NetDimensions Asia Pacific@steveyinasia

Learning & Development

Talent Management

Leadership Development

Talent Acquisition

Workforce Management

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Agenda


• The importance of compliance

• Compliance ownership

• Compliance dichotomy

• Compliance delivery

• Case studies

• Summary

• Questions

Poll Question One

How important to your organization is compliance training?

1. Not at all

2. Slightly

3. Moderately

4. Very

5. Critically

Importance of Learning Programs to Business Strategy

Program Rank

Job Specific Technical Skills 1

Products and Services 2

Regulatory Compliance 3

Leadership Development 4

Company compliance 5

Job-specific soft skills 6

BHG, Compliance, 2014

Program Rank

Regulatory Compliance 1

Job Specific Technical Skills 2

Company compliance 3

Products and Services 4

Leadership Development 5

Job-specific soft skills 6

Overall High Consequence

8

Compliance In The Organization

9.7%

28.6%

22.7%

39.0%

Not at all

Somewhat

Very

Critical


4.7%

11.6%

16.3%67.4%

Overall High Consequence

How important is your organization’s need to demonstrate learning compliance to some external regulatory agency?

9

Poll Question Two

Where does compliance primarily reside within your organization?

1. Learning & Development

2. Legal

3. Operations

4. HR

5. Other

Ownership of the Compliance Budget


18.2%

17.8%

17.2%

11.3%

8.6%

7.7%

6.8%

6.7%5.8%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Finance

Executive team

IT

Audit

L&D

Quality

Operations

HR

Legal


19.5%

26.4%

26.4%

34.5%

35.6%

37.9%

42.5%

44.8%

59.8%

71.3%

Other

Finance

IT

Operations

Quality

Audit

Learning

Executives

Legal

HR

72% of

organizations have a group or function

dedicated to compliance

Compliance GovernanceWho’s in charge?

Transactional vs. Strategic


The Compliance Dichotomy

1. Compliance training is critically important to many organizations and their ability to even function as a business.

2. Compliance training is boring and looked at like a necessary evil.


• Transactional compliance

– Driven by fines/punishment

– Checking the boxes

– No connection the business

– Not seen as development


• Strategic compliance

– Driven by business

– Defines an employer of choice

– Improves engagement

– Risk mitigation


Compliance Content

36.6%

26.4%

11.4%

10.1%

8.7%

4.6% 1.2% 1.1%Custom e-Learning

In-person classroom instruction

Online simulations

Virtual classrooms

Recorded PowerPoint presentations

Video

Mobile performance support

Off-line simulations


How Effective is Compliance Training?

Recorded PowerPoint presentations

Off-line simulations

Mobile performance support

Virtual classrooms

Video

Online simulations

Custom e-Learning

In-person classroom instruction

Very/Extremely Effective


Challenges

• Three different languages, to 4500 staff to be completed in two months with 100% completion rate

• 4,500 staff over two months

• 100% completion rate required

Solution

• Hosted LMS

• Deployed India, Malaysia, Australia, China, Mongolia and Indonesia

Case Study

Organization: multinational construction firm

Location: operates throughout Asia

Scope: Code of Ethics training across organization

Challenges

• Deliver rigorous training to worldwide learners who are always on the go

• Move from several systems to one that could deliver content from multiple sources

Solution

• Hosted LMS (via Secure Saas)

• Mobile learning via users own device(s)

• Allow learners access to content and training even when offline

Case Study

Organization: transportation (airline)

Location: global operations

Scope: 50 airlines across Europe and Asia

Challenges

• Ensure regulation requirements are met

• Introduce performance management for staff development

Solution

• On premise LMS

• Deployed Australian and US based staff

• Developed a performance reporting mechanism

Case Study

Organization: financial services (credit agency)


Scope: regulatory training for over 1,000 users

Challenges

• Need for over 135,000 users worldwide must meet strict regulations, including:

• US FDA’s 21 CFR Part 11

• EU’s GMP Annex 11 requirements

Solution

• On premise validated LMS and Performance Management System to meet regulatory mandates

• Analyzed current state of compliance

• Quickly deployed learning to close compliance gaps

Case Study

Organization: life sciences (dialysis products)


Scope: healthcare regulation training for 135,000 users

Poll Question Three

Does your organization conduct training gap analysis/risk assessment for compliance?

1. Yes

2. No

3. Don’t know


61.5%

38.5%

Yes No



78.2%

21.8%

Yes No


High Performers

Preparedness is Key

42.4%

16.7%

25.0%

8.3%

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

Highly Prepared Very highly prepared

High Performers

Low Performers

How prepared would you consider your organization to be right now for a compliance audit?


Summary

• Compliance covers a wide swath of strategic and operational needs in many types of businesses.

• Almost most obvious in regulated industries, many of the techniques related to compliance also apply to simple “business requirements” management in non-regulated industries.

• Compliance should be influenced, if not driven, by the function(s) most impacted by it.

• Automated management really does help in resource constrained or widely dispersed organizations!

Questions?





Thank You!



