How To Develop A Compliance Training Program: The Best Practice

Most compulsory compliance training programs just deliver the official requirements of rules and laws without describing any actual applications. That’s why your training turns out to be impractical and, thus, not appealing to employees. So how to develop a compliance training program that comes alive for employees? Follow our practical guide below for your successful planning.

How to develop a compliance training program in 5 key steps

  1. Analyze the compliance training needs
  2. Gather resources for training content
  3. Map the point of impacts
  4. Create a winning compliance training program
  5. Gather insight to evaluate the training effectiveness

Step 1: Analyze the compliance training needs

We all know that some compliance topics like OSHA require compulsory recurrent training. Whereas, other compliance training takes place to fulfill certain needs at a certain period of time. The role of your L&D team is not just to receive the requests then build the program right away. What you have to do before starting the project is to clarify those needs in detail and analyze them. 

Have a deep conversation with the department to inquire about the required compliance training topics. To give you an idea, ask about how many employees have little knowledge of related laws? Or what are the situations in the workplace that compliance is demanding?

The information can help you to identify the future learners and the scope of knowledge that training should cover. It also provides insight on exactly what specific information to deliver and how to develop a compliance training program. 

In other words, you will know which problem you’re dealing with so that you can find the best solutions. For instance, if there are few employees who require the training, considering some supportive solutions can be a better alternative.  

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Step 2: Gather resources for training materials

Many of our clients think regulation or laws documents themselves are all the resources they need for compliance training programs. Well, they are just the core information. There are many more precious materials you will want to collect about the topic. They can include:

  • Informational brochures, videos, and how-to manuals provide some best ways to present your training content
  • Graphic assets, such as photos, diagrams, charts, which you can use to deliver the information more visually
  • Case studies, which show real stories or practices
  • Inspector’s manuals, which allow you to know what regulatory inspectors are usually looking for. 

And fortunately, almost all these useful materials are free. You can easily search for them on all relevant websites. 

Another helpful source for you is internal or external subject matter experts (SMEs).  Besides providing precise information, they will also advise you which requirements play an important part in your business operation.

Step 3: Map the point of impacts

Now you have lots of information related to the compliance training topic. But do not include all into your training program, as it makes the training too big unnecessarily.

Instead, focus and pick up the pieces of content which have business impact, for example: 

  • Sectors of legal or business risks
  • Practices that can lead to legal action
  • Situations with all-important implications
  • Concerns of warranties, product quality, and return rates

So how can you find out these areas to complete the list? They can come from your research or the conversion with SMEs about the compliance training topics. There can be lots of impact items. Thus, you can map as many points of impact as possible and then arrange them following the requirements.  

At the end of this step, you can decide what training content to deliver that meets the specific needs of employees. In this way, your training program becomes more engaging as employees see the training knowledge applicable to your daily work.

For more ways to keep compliance training engaging and appealing, read below article

Step 4: Create a winning compliance training program

Are you likely to list down all the chosen information from start to end in your training program? That’s a way to go, but your training will become tiresome and unappealing at all. 

Before you script a detailed training program, it’s necessary to determine and design its big structure. You need to find out how to develop a compliance training program in a suitable flow that supports the learning experience. To answer your question, we suggest using the “pull” approach. 

Following this, you will divide the whole training material into smaller and more focused parts. Each part, or session, might link to a point of impact area defined in the previous step. In turn, each session will cover the relevant supporting content, such as regulatory definitions, legal citations, procedures, or how-to guides. 

The “Pull” approach allows employees to easily find out the information they need without being overwhelmed with all provided content. 

Additionally, the approach allows you to provide more specific details for each aspect of compliance to increase the training effectiveness. Each session can include:

  • Examples of cause to highlight the situations when the compliance should be applied;
  • Examples of impact to show the outcomes when you apply or do not apply the compliance
  • Emotions or feelings when you make compliance-related decisions.

With this full set of content, you can demonstrate every particular part of compliance with relevant stories and scenarios. It helps you build the compliance training program more softly and engagingly. 

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Step 5: Gather insight to evaluate the training effectiveness

Do your employees receive enough compliance training for their jobs? Is the training actually effective? If you can’t answer these questions, you might forget this critical step to track the results and effectiveness of training programs. 

Here are some indicators that you could track before and after the training:

  • The number of reported non-compliance issues
  • The amount of paid penalties and fines
  • Employees’ awareness of compliance requirements 
  • Self-reports of compliance commitment from employees

A full evaluation is necessary, but it also comes with a high cost. In case your organization has a limited budget, there is still a tricky way to gather that important data informally. 

  • SME or supervisors follow-up: ask them about how they access changes in employees’ approach to compliance subjects
  • Surveys: conduct an end-of-course or follow-up survey to get feedback on the program from your employees
  • Individual or group interview: ask employees open questions to learn how they think about the compliance training and its effectiveness in their work. 

All the insights you gain in this evaluations step can help to improve your program and ensure the next one is much better!

To sum up

Compliance training is a serious program, thus, you should invest much time and effort Hope that our practical guide on how to develop a compliance training program can help you out to make your next program more engaging and effective.

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