Create a Workplace Culture of Compliance Through Effective Compliance Training

Why is Compliance Training Important?

Compliance training is a vital component of any organization’s operations and serves as the cornerstone for various legal and regulatory considerations of a business. Here are some key reasons why this training holds such significance:

Legal Adherence

By keeping employees informed and trained, organizations can ensure they’re equipped with the right and ample knowledge to do their work in accordance with relevant laws and regulations. This helps them avoid the risk of having legal violations, including fines and penalties.

In fact, businesses spend more when solving non-compliance problems than investing in compliance measures. As cited in the Globalscape white paper on The True Cost of Compliance with Data Protection Regulations, the average cost of organizational compliance is $5.47 million, compared to non-compliance costs averaging $14.82 million.

Risk Mitigation

Through compliance training, organizations can proactively identify and address potential compliance risks. This early intervention helps prevent compliance breaches, safeguarding the organization from reputational harm and financial liabilities.

Reputation Protection

In any type of business, having and maintaining a positive reputation is invaluable. Training on compliance fosters a culture of ethical behavior, encouraging employees to make choices that reflect well on the organization. This, in turn, helps maintain trust with customers, partners, and stakeholders.

Ethical Foundation

Training employees on compliance measures instills ethical values within the workforce. It equips them with the moral compass they need to navigate ethical dilemmas, ensuring that they strike a balance and make principled decisions in their roles while upholding the business’s interest.

Employee Accountability

Awareness of compliance requirements promotes a sense of accountability among employees. When they understand the importance of compliance through consistent training programs, they’re more likely to take responsibility for their actions. This then helps reduce the likelihood of unethical or illegal behavior.

Competitive Advantage

Needless to say, organizations that prioritize compliance gain a competitive edge. Demonstrating a commitment to ethical and legal conduct can attract customers and partners who value integrity, giving the organization a distinct advantage in the market.

Common Challenges in Conducting This Training

Conducting effective compliance training can be a complex process, often accompanied by several challenges. To ensure that employees are well-versed in compliance requirements, organizations must be able to navigate and address these common hurdles:

Employee Engagement

One key challenge is ensuring that employees actively engage with training materials. Motivating employees to participate in training sessions and take the content seriously can be a struggle. Hence, interactive and engaging sessions must be implemented to address this.

Content Relevance

Keeping training content up-to-date and relevant to the ever-changing regulatory landscape can be challenging. Failure to address current compliance issues can lead to ineffective training and potential legal risks.

Cultural and Language Diversity

In multinational organizations, language and cultural differences can hinder the effectiveness of compliance training. This presents the challenge of tailoring content to resonate with diverse audiences while ensuring accurate translation, which can be demanding.

Tracking and Documentation

Efficiently monitoring employee training progress is essential. In relation to this, maintaining comprehensive records to demonstrate compliance efforts can be time-consuming, particularly in large organizations. That’s why it’s crucial to have recordkeeping and documentation systems assisted by powerful tools in place.

Training Delivery Methods

Choosing the right training medium is crucial. Striking a balance between in-person, online, and other training formats to accommodate various learning preferences and practical constraints can be a complex decision. Hence, the best approach fit for the organization must be prioritized.

Overall, successfully addressing these challenges is key to creating an employee compliance training program that effectively equips employees with the knowledge and skills needed to adhere to regulations and ethical standards.

How to Develop a Training Program for Compliance

Steps in Developing a Compliance Training Program

Planning and creating comprehensive training sessions for compliance-related efforts entails a careful process to ensure its efficiency and effectiveness. So, what should be included in compliance training, and how should a program for it be created? Here are the key steps you can follow:

1. Assess compliance needs.

Begin by conducting a thorough assessment of your organization’s compliance requirements. Identify the specific laws, regulations, and internal policies that are relevant to your industry and operations. This assessment will serve as the foundation for your training program.

2. Define training objectives and goals.

Clearly outline the purpose and measurable goals of your compliance training program. Determine what you want employees to learn and achieve through the training to guide the development of your training content and materials.

3. Tailor content to your audience.

Acknowledge that different employees may have varying levels of familiarity with compliance issues. This is why it’s important to tailor your training content to the needs and knowledge levels of your audience and ensure that the material is accessible and engaging for all employees.

4. Select appropriate training methods.

Choose the most suitable training methods for your organization. This may include in-person workshops, online courses, seminars, or a combination of these. Remember to consider the practicality, cost-effectiveness, and accessibility of each method to ensure a holistic compliance training plan.

5. Develop engaging training materials.

Create or source materials that are engaging and informative. You can use a variety of media, such as videos, interactive modules, and case studies, to make the training more effective. Ensure that the content is clear, concise, and easy to understand.

Guide to Conducting Compliance Training

Remember and implement these key steps and best practices to help you successfully conduct training programs on compliance:

1. Promote interactive learning.

Encourage interactive learning experiences that involve participants actively. Incorporate quizzes, discussions, group exercises, and real-world scenarios to reinforce understanding and application of compliance concepts.

2. Implement and monitor.

Roll out the training program to your employees, keeping track of their progress and completion. Make sure to implement a system to monitor and document training activities. Also, regularly update the training content to reflect changes in compliance requirements.

3. Evaluate and improve.

After each training cycle, gather feedback from employees to evaluate the program’s effectiveness. Use this feedback to make improvements and updates to the materials and methods to maintain the relevance and impact of your training program.

4. Assess learning outcomes.

Conduct assessments or quizzes to evaluate participants’ comprehension of the training material or topic. These can help identify areas where additional training or clarification may be needed.

5. Provide continuous updates.

Regularly review and update your compliance training materials to reflect changes in laws, regulations, and company policies. Also, share updates promptly with employees to ensure ongoing compliance.

6. Gather feedback and improve.

Seek feedback from participants to gauge the effectiveness of your training program. Use this feedback to make improvements, refine the training content, and enhance the overall learning experience.

7. Document training records.

Maintain detailed records of training activities, including attendance, assessments, and completion certificates. These records serve as documentation of your organization’s commitment to compliance.

8. Use compliance training solutions.

To enhance the efficiency of compliance training, organizations can leverage various solutions and platforms. These solutions often encompass Learning Management Systems (LMS) and specialized training software. Using these allows for centralized content management, automated tracking of training progress, and the ability to deliver training remotely and at scale.

SafetyCulture (formerly iAuditor)’s Training feature is one great example of a tool you can use. It enables an easy way for leaders, supervisors, and organizations to create, deploy, and track the implementation and effectiveness of compliance training with the help of Training’s powerful functionalities and more:

• Analytics and reporting
• Training records
• Course certificates
• Custom achievements
• Admin suite
• Notifications

Apart from that, you can also use the holistic SafetyCulture platform to create checklists and templates that you can use in standardizing evaluation processes and how compliance training sessions are conducted.

Examples

Various compliance training programs can be classified into three major types:

• General – applicable to most jobs, businesses, and industries
• Industry-specific – designed to fit unique industry requirements
• Job-specific – created to help employees perform their work well and in accordance with organizational policies (e.g., Human Resources (HR) compliance) and regulatory standards

As an overview, here are compliance training examples in different areas:

Workplace Safety

• OSHA (Occupational Safety and Health Administration) – In the US, OSHA sets safety and health standards for workplaces. Typically, OSHA compliance training covers topics like hazard identification, workplace inspections, and emergency response procedures.
• Safe Work Australia – Safe Work Australia provides guidelines and regulations for workplace health and safety. Training focuses on risk assessment, safe work practices, and compliance with Australian safety standards.
• ILO (International Labour Organization) – The ILO sets international labor standards, so the training under ILO guidelines emphasizes global best practices for workplace safety.
• EHS (Environmental, Health, and Safety) – EHS compliance training is a general approach to ensuring workplaces are environmentally responsible and safe for employees. Topics in this training include waste management, chemical handling, and accident prevention.

Data Protection and Privacy

• HIPAA (Health Insurance Portability and Accountability Act) – HIPAA compliance training is essential for healthcare professionals in the U.S. It covers patient data protection, privacy rules, and the secure handling of medical records.
• GDPR (General Data Protection Regulation) – GDPR mandates strict data protection and privacy regulations in the European Union. Training on compliance helps organizations understand and adhere to GDPR’s principles, including consent, data minimization, and breach reporting.
• Data Protection Act – In the United Kingdom, the Data Protection Act enforces data protection laws. Training ensures that organizations process personal data legally and responsibly, addressing issues like data subject rights and data security.

Quality

• ISO (International Organization for Standardization) – ISO standards provide a framework for quality management. Training for ISO standard compliance, such as ISO 9001, focuses on quality processes, continuous improvement, and customer satisfaction.
• IATF (International Automotive Task Force) – Automotive manufacturers adhere to IATF standards (IATF 16949) for quality management, quality control methods, defect prevention, and supply chain management.
• GMP (Good Manufacturing Practices) – GMP training is crucial for pharmaceutical and food industries. It ensures compliance with quality and safety standards in the production and distribution of goods, including hygiene, documentation, and quality assurance.
• HACCP (Hazard Analysis Critical Control Points) – HACCP compliance training in the food production and processing industry follows a systematic approach to food safety. This includes identifying and mitigating hazards at critical points in the production process, and verification procedures to ensure the safety of food products.

These examples illustrate the diverse range of safety and compliance training programs required across various industries and regions to meet specific regulatory and quality standards. Customizing training to address these standards is vital for ensuring organizational compliance and maintaining industry best practices.