How is Microlearning a Game-Changer for Compliance & Ethics Training in US Organisations!

compliance & ethics

Microlearning helps you rethink Compliance & Ethics! It gives your learners engaging and relevant content that’s fast, fun and effective!

The US Sentencing Guidelines lays down a strong deterrence mechanism where punishment, deterrence and incentives are spelt out for organisations to self-monitor and self-police themselves on Compliance & Ethics matters, especially, criminal conduct.

Microlearning gives you the super power to defeat the demons of Non-Compliance & Unethical business practices by making your workforce agile, perceptive and responsive to such possibilities!

United States Sentencing Commission Guidelines Manual

This provides the basis for Corporate Compliance. Its requires organisations to have an effective Compliance and Ethics program, with organisations need to have a continually conducted due diligence exercise to prevent and detect criminal conduct; and promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.

For a Compliance and Ethics program to be reasonably designed, implemented, and enforced, you need various checks and balances in place, and adequate/appropriate training for your entire workforce!

The US Department of Justice (DOJ) and Securities & Exchange Commission (SEC) require organisation to abide by 3 factors to have an effective Compliance program, viz.

  1. to have a well-designed program;
  2. one that is applied in good faith; and
  3.  one that actually works in practice.

Responsive organisations incorporate this guidance to set-up their internal monitoring and testing efforts to make their Compliance programs relevant to their operations.

To do so efficiently and effectively, one critical element is training across all levels of employees. Every employee must understand the Compliance & Ethics requirements, and know how to apply them. Periodic training of policies and procedures, applicable laws, practical tips, and use of case studies relevant to the specific audience is a must! Such a training must also be mandated for the third parties associated with a business, especially, in high-risk countries.

Employees must also be encouraged to seek guidance and ongoing Compliance & Ethics advice from company Compliance personnel. Employees must know who to reach out to, and how!

Compliance & Ethics Readiness: The People Challenge

A diverse range of people (employees & top bosses) make training on Compliance & Ethics challenging!

No two individuals are alike. People within a same job-role also can have different levels of understanding/thinking, different styles/pace of learning, different learning curves, different interpretations to the knowledge/skill/capabilities, and different reiterationneeds.

Given this diversity, getting a standardised level of response to Compliance & Ethics gets very challenging.

Surprisingly, almost 70% of organisation in the US who default on Compliance & Ethics issues have less than 50 employees!

This means that risks are different for different job-roles, and risk specific training alone will work to mitigate these risks effectively!

The 4 questions you must ask are:

  • Is risk specific training being undertaken in the organisations based in the US?  
  • Are the organisations well-equipped to handle them? Is microlearning being used to deliver Compliance & Ethics training?  
  • Does microlearning have what it takes to make training fun, relevant and practical?  
  • What kind of microlearning strategy and platform should you choose for your Compliance & Ethics training initiatives?

Before we look at the answers, let’s look at some data on Compliance training.

Risk Specific Compliance Training Gaps: Current Trends in the US

Current data on the US Compliance & Ethics training scenario suggests:

  • Over 50% of high-risk employees (with potential risk of Non-compliance) do NOT receive targeted risk-specific Compliance training. 
  • More than 60% of people managers are not equipped to handle and guide on Compliance issues. 
  • Over 65% people don’t even get Compliance training specific to their roles! 
  • Over 70% senior leader do not have a proper Compliance & Ethics program that’s specific to their risk-profile as top bosses (like CEO, CFO, Board of Directors). 
  • Most employees receive a one-size-fits-all Compliance training that’s boring and lacks practical applicability.

This is not comforting!

Clearly, with an empowered L&D team, you can cater to all the provisions laid down by the US Government in the two documents viz.

  1. The Chapter Eight – Sentencing of Organizations, Introductory Commentary, Federal Sentencing Guidelines Manual, and
  2.  Effective Compliance and Ethics Program, Federal Sentencing Guidelines Manual.

Bad press, regulatory fines and punishments can even kill a business completely!

Which is why, the L&D teams must be tasked with the critical responsibility of integrating a sound microlearning initiative to weed out all the Compliance worries.

Microlearning Solves the Problem with a ‘Risk Specific’ Approach to Learning

Using microlearning for a risk specific training for each employee in the organisation is the answer to your compliance worries.

A well-conceptualized and implemented microlearning initiative helps you build a resilient organisation with a competent workforce.

To succeed, you need an empowered L&D team, a clear & strong microlearning mandate, and a good (tech-savvy) microlearning platform.

A robust microlearning platform gives you a one-stop technology solution that integrates key aspects of Compliance & Ethics training like creation of relevant and risk & role specific content, delivering content to learners across levels (top bosses to operational workforce), and verifying employee learning & proficiency-levels.

Solving the Problem: The Pre-requisites

Employees across levels, departments/functions are required to know how to effectively & efficiently detect, interpret, and deal with potential Compliance & Ethics issues confidently and fearlessly.

L&D team needs to be fully equipped with a thorough understanding of microlearning approach, strategies, tools, design, formats and analytics.

A good and robust microlearning platform becomes a pre-requisite for this. This means having critical features and capabilities such as:

  • An in-built AI powered authoring tool. 
  • Personalisation of learning with a multidimensional approach. 
  • Capabilities that make innovative gamification of learning easy. 
  • Features to support complete automation of assignments, spaced repetition and customised learning goals for each learner. 
  • Real time verification of all the key parameters of Compliance & Ethics ‘Key Learning Points’ (KLPs) that are job-role & risk specific.

5 Steps to Create Risk-Specific Training using Microlearning

  1. On-going targeted training based on employees’ department, job function and tenure in the system.
  2. Use microlearning driven profiling to make it easily managed.
  3. Equip L&D in content creation to manage it effectively.
  4. A microlearning tool with AI capabilities to sift information and create training modules.
  5. Get leadership buy-in with the analytics, training ROI, and positive outcomes that come easy with a robust microlearning platform. 

How Microlearning Transforms Compliance & Ethics Training: The Specifics

  • It makes risk-specific training fresh and engaging. It actually reaches and influences your stakeholders- across levels, 
  • It moves away from broad, generally applicable Compliance & Ethics training. Makes learning proficiency easier, relevant, effective and faster. 
  • The learner’s proficiency transition can be based on risk specific profiling of each job role/individual from levels progressing as follows:
    Awareness → Explanatory→ Practitioner→ Mastery levels
  • Awareness: Can recognize and recall what comprises a potential Compliance & Ethics scenario. 
  • Explanatory: Can classify, interpret, and explain these scenarios well. 
  • Practitioner: Can apply the knowledge when a different situations arise. 
  • Mastery: Can analyse, evaluate, improve, and create ways to detect/prevent/report such scenarios.
  • Using microlearning, a learner’s desired proficiency transition can easily be custom-made for critical resources who are more prone to high risk, high likelihood and high impact on potential misses/lapses/omissions of Compliance & Ethics issues/incidents. 
  • Microlearning gives the trainers flexible customisation options that include the format, design, spaced-repetition, retrieval practice and assessments based on the risk specific training you wish to impart. 
  • A good and robust microlearning platform is actually very cost effective with an AI authoring tool, the automation edge with assignment capabilities, gamification features, and a robust analytics capability. 
  • AI powered authoring tool makes content creation from inhouse resources easier, and faster. This includes creation of KLPs, flash cards, questions/quizzes and much more. 
  • Creating new courses can be done in a matter of minutes, and keeping existing microlearning snippets up to date gets much easier. 
  • A good microlearning platform gives you features to capture and analyse learning progress and data/dashboards on Compliance & Ethics across all your employees. 
  • Slicing and dicing the data gets even more easier as per your requirements and with clear dashboards at your disposal. This happens when have a good & robust microlearning platform that gives you an easier start-up technology, a good set-up support, and the ability to customize your data-points/reports in a readable format.  
  • Real time monitoring of training, sustainable proof of learning, reinforcement of ready recall, and active learner feedback system are some other distinct advantages microlearning gives that are a must for Compliance & Ethics training programs. 
  • A feature-rich microlearning platform enables you to improve your Compliance & Ethics training, enables you assess the effectiveness of your microlearning snippets, helps you monitor the Compliance risk-specific behavior trends of your workforce, enable overall efficacy & adequacy of your Compliance training program, and, most importantly, help you identify potential Compliance & Ethics Risks.

To conclude, microlearning gives you the power to rethink, and fully transform Compliance & Ethics training. It redefines the way modern day workforce learns Compliance & Ethics.

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