BEST PRACTICES FOR COMPLIANCE TRAINING
The OIG has established seven core elements of compliance to help organizations understand what they should be aiming for with their compliance programs — and how to get there.
- 1. The design and implementation of written policies, procedures and standards for conduct.
- 2. The designation of a compliance officer and committee.
- 3. The implementation of effective compliance training and education.
- 4. The development of effective and open lines of communication.
- 5. Internal monitoring and audits.
- 6. The enforcement of standards via well-publicized guidelines for discipline.
- 7. The prompt response to offenses and enacting the appropriate corrective action.
In order to take these seven components and turn them into best practices for compliance, you need to make sure your compliance officer has access to a plethora of resources for the implementation and oversight of the compliance training program.
A good starting point to ensure your compliance program is effective is the Department of Justice’s Evaluation of Corporate Compliance Programs. Some key questions to ask yourself along the way include:
- Is your compliance training program well-designed?
- Has your organization conducted a risk assessment?
- Are resources appropriately allocated for compliance?
Other best practices for compliance training include:
- Be transparent. Don't try to sugarcoat lessons. Instead, be open and honest about the consequences that will ensue if employees don't complete and abide by the training.
- Combine online and in-person learning for a "best-of-both-worlds" approach.
- Use real-world examples rather than handing employees stacks and stacks of documents to read. This practice makes the information easier to remember and retain because it seems more relatable and concrete.
- Adjust the training based on your audience and their personal learning styles, education levels, job roles and duties.
- Provide training in multiple languages to meet the needs of your employees.
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