Compliance: Not Just a Training Challenge
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The document outlines the importance and challenges of compliance training within organizations, emphasizing its critical role in both regulated and non-regulated industries. It discusses the dichotomy between transactional and strategic compliance, as well as the role of dedicated compliance functions. Additionally, it presents various case studies and highlights effective compliance training methods and the necessity of gap analysis for improvement.
Compliance: Not Just a Training Challenge
- 1. Compliance: Not Just a Training Challenge David Wentworth Senior Learning Analyst Brandon Hall Group @DavidMWentworth Steve Young General Manager NetDimensions Asia Pacific @steveyinasia
- 2. Learning & Development Talent Management Leadership Development Talent Acquisition Workforce Management RESEARCH PRACTICESRESEARCH PRACTICES © 2015 Brandon Hall Group 2
- 3. 3©2015 Brandon Hall Group,
- 4. Now entering its 21st year, the Brandon Hall Group Excellence Awards Program is the most prestigious awards program in the industry. Often times called the “Academy Awards” by Learning, Talent and Business Executives, the program was one of the first of its kind in the learning industry. There are more than 30 CATEGORIES that entrants can select from Across Learning and Development, Talent Management, Talent Acquisition, Workforce Management, and Sales Performance. Visit our website for more details on categories and how to apply! Excellence in Technology Awards Opening: June 2, 2015 with a September 18, 2015 deadline © 2015 Brandon Hall Group 4
- 5. Participation is Encouraged! Type in your question here Asking Questions and Making Comments During Session Type your questions into the question box After Session Email: success@brandonhall.com Website: www.brandonhall.com Phone: (561) 306-3576 PRESENTATION IS RECORDED – PLAYBACK AND SLIDES WILL BE SENT TO ALL ATTENDEES AFTER THE WEBINAR Follow us! @BrandonHallGrp © 2015 Brandon Hall Group 5
- 6. Agenda © 2015 Brandon Hall Group 6 • The importance of compliance • Compliance ownership • Compliance dichotomy • Compliance delivery • Case studies • Summary • Questions
- 7. Poll Question One How important to your organization is compliance training? 1. Not at all 2. Slightly 3. Moderately 4. Very 5. Critically
- 8. 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
- 9. Compliance In The Organization 9.7% 28.6% 22.7% 39.0% Not at all Somewhat Very Critical BHG, Compliance, 2014 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
- 10. Poll Question Two Where does compliance primarily reside within your organization? 1. Learning & Development 2. Legal 3. Operations 4. HR 5. Other
- 11. Ownership of the Compliance Budget BHG, Compliance, 2014 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
- 12. © 2015 Brandon Hall Group 13 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 Governance Who’s in charge?
- 13. Transactional vs. Strategic © 2015 Brandon Hall Group 14
- 14. 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. © 2015 Brandon Hall Group 15
- 15. • Transactional compliance – Driven by fines/punishment – Checking the boxes – No connection the business – Not seen as development © 2015 Brandon Hall Group 16
- 16. • Strategic compliance – Driven by business – Defines an employer of choice – Improves engagement – Risk mitigation © 2015 Brandon Hall Group 17
- 17. 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 BHG, Compliance, 2014
- 18. 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 BHG, Compliance, 2014
- 19. 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
- 20. 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
- 21. 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) Location: global operations Scope: regulatory training for over 1,000 users
- 22. 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) Location: global operations Scope: healthcare regulation training for 135,000 users
- 24. Poll Question Three Does your organization conduct training gap analysis/risk assessment for compliance? 1. Yes 2. No 3. Don’t know
- 25. Does your organization conduct training gap analysis/risk assessment for compliance? 61.5% 38.5% Yes No BHG, Compliance, 2014
- 26. Does your organization conduct training gap analysis/risk assessment for compliance? 78.2% 21.8% Yes No BHG, Compliance, 2014 High Performers
- 27. 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? BHG, Compliance, 2014
- 28. 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!
- 29. Questions? David Wentworth Senior Learning Analyst Brandon Hall Group @DavidMWentworth Steve Young General Manager NetDimensions Asia Pacific @steveyinasia
- 30. Thank You! David Wentworth Senior Learning Analyst Brandon Hall Group @DavidMWentworth Steve Young General Manager NetDimensions Asia Pacific @steveyinasia