Julian fenwick presentation

The evolution and future directions of online
compliance training.
Julian Fenwick
CEO Blake Dawson Technology
2-4 February 2011

650775974

Where have we come from, what have we
achieved, and what’s next for compliance
training?

SLIDE 2 Ark - eLearning & Instructional Design Feb 2011

eLearning evolution from generic to
personalised, on-demand content

2000 2002 2004. 2006. 2008 2010 and
beyond.
Tick a box Legal content Instructional Client specific Modular
compliance. re-written as Design. customisation, content Profile driven
training by company designed to self selected
Training as materials. Minor with inclusion suit job roles. content.
insurance. customisation of custom Development Content
documents. of Learning brokerage.
Objects


What is compliance and why is it necessary?

 Compliance is an organisation’s legal obligation to adhere to
prescribed statutes and standards.
 Compliance is a mandatory requirement for all organisations
operating in Australia and governed by the Compliance Standard
NZS/AS 3806.
 Obligations Include adherence with:
state and commonwealth legislation; and
industry body codes of practice
 Obligations include:
Provision of appropriate training and instruction to staff and
contractors, done in a consistent and timely manner, with
validation and audit trail.


Why all the fuss over compliance?

 We all want to work in a safe environment free from harassment
and discrimination.
 We want businesses to compete on a level playing field so that
consumers get a fair deal.
 Compulsory superannuation means we are all stock market
investors whether we like it or not. We want those companies to
behave in an ethical and risk averse manner to protect and grow
our investment.

 GFC – Lehman Brothers collapse – Local Councils invested in
products they did not understand - Millions of rate payers dollars
lost.


The Visy Case – Fines & Brand Damage
 Visy engaged in a four-year price-fixing and cartel scheme with
packaging rival Amcor, which is understood to have increased Visy's
market share from 47 to 55 per cent over a number of years and
affected 90 per cent of the $1.8 billion cardboard box market.
 Fines could have been as high as $490 million, at $10mil per offence
and there were 49 offences being considered. Jail terms for executives
were also being discussed for future cases
 In November 2007 Visy was fined $36 Million, CEO Harry Debney was
fined $1.5 million and former general manager Rod Carroll $500,000.

 "Anyone in the past who has bought a block of chocolate or a
piece of fruit packed in a box made by Visy or Amcor has
probably been ripped off. " ACCC Chairman, Mr Graeme Samuel


David Jones – Not a Normal Case
Kristy Fraser-Kirk sought penalties of $37mil for alleged sexual
harassment.

• Fraser-Kirk sought to prove breaches of her employment contract, the Trade
Practices Act, tort law and equity law, in the Federal Court, rather than the Human
Rights Commission.
• Fraser-Kirk claimed David Jones and/or McInnes breached their duty of care to her
by exposing her to unnecessary risks, and that McInnes trespassed upon her.
• Fraser-Kirk joined Mark McInnes personally as a respondent.
• Fraser-Kirk claimed David Jones had knowledge of McInnes’ conduct towards
female employees and took no action.
• She claimed David Jones breached the Fair Trading Act when, after the matter
came to public attention, the retailer and its directors made misleading statements
that there was not a culture of sexual harassment in the company.


David Jones Case - Ramifications
 Severe brand damage which affects the company's
relationship with both clients and staff.
 Financial settlements and the costs of defence
 Disruption to business. Loss of a highly successful
CEO

 The emergence of litigation mixed with PR as weapons
 The engagement of directors in issues of culture and
compliance
 The likelihood of further examples of "Extreme"
litigation.


Deloitte Survey –The Board Agenda 2008
AFR 26 May 2008

M anaging M &A

B oard su c c e ssion

Gove rnanc e

C lim ate c h ange and su stainab ility

P rivate e qu ity

S trate gy

Growth

C om p lianc e and re gu lation

P olitic aland e c onom ic d owntu rn

Tale nt M anage m e nt

0% 5% 1 0% 1 5% 20% 25% 30% 35%


Deloitte Survey –The Board Agenda 2009 & 2010

2009 Top five issues faced by boards:
• compliance and regulation
• governance
• private equity
• talent management
• strategy

2010 Top five issues in the next 12-24 months:
• talent management
• political and economic downturn
• compliance and regulation
• growth
• strategy


NZS/AS 3806 Creating a compliance culture in your organisation

High Level Description
Compliance
1. Commitment · Commitment to effective compliance
· Compliance aligned to business strategy
· Appropriate resources allocated
· Compliance objectives endorsed by senior management
· Obligations identified and assessed
2. Implementation · Responsibility for outcomes assigned
· Employees appropriately trained
· Compliance behaviours advanced
· Controls
3. Monitoring & · Compliance program monitored
Measuring · Compliance with the program can be evidenced
4. Continual · Compliance program is reviewed and improved
Improvement

Problems creating a compliance culture using eLearning

 The law is complex and sometimes quite verbose.
 If we abbreviate the content – which parts do we skip?
 What happens if a breach occurs in an area that has not
been comprehensively trained on?
 Legislation is continually changing, risks and penalties
are constantly changing, how often do we retrain?
 Over time people will find ways to get through
unchallenging training.
 How much training is too much? What about the time
costs of people in training / not working?
 How can training be job role specific and still cost
effective?
 How can we get people to actually do the training?


Carrot or Stick
Stick - Creating a compliance culture using eLearning - Commitment
 Commitment to effective compliance training must come from the
very top. Board and Management must participate and actively
endorse the training program for it to be successful.
 Compliance training must be aligned to business strategy. Training
programs must be designed to enhance and support staff, rather than
as a hurdle to doing business. Programs must have an element of
continuous improvement so as to become an integral part of day to
day work, rather than once off training events.
 Appropriate resources must be allocated to the development of the
training program, its effective roll out, and ongoing maintenance.
 Compliance objectives must be endorsed by senior management and
communicated to all staff.
 Obligations must be identified and continually assessed for changes
to legislation and risk to the business.


Carrot or Stick
Stick - Creating a compliance culture using eLearning - Implementation
 Responsibility for outcomes must be assigned throughout the
business, not confined to Learning & Development, Legal, or
Compliance functions.

 Employees must be appropriately trained according to their job role
and the risks that they present to the business.

 Compliance behaviours should be advanced by the training, and add
to the value of the employee to the business. Training should not be
static and constantly repeated.

 Controls should be in place to identify recalcitrant employees and
those who are struggling. The Courts have shown that it is worse to
have an ineffective compliance program in place than none at all.
ACCC v Safeways


Carrot or Stick
Stick - Creating a compliance culture using eLearning – Monitoring &
Measuring

 Compliance training programs must be monitored for
effectiveness, comprehensiveness and legal currency. There
is no set and forget with compliance. Eg. Safeway case.

 Compliance with the training program can be evidenced.
Should the regulators arrive, you need to be able to produce
evidence of your compliance training program and its
effectiveness.


Previously……
• Users did not want to do the training
• Training was very time consuming and often lacked relevance to job roles
• Content was very text heavy
• Training tried to cover all possible topics
• Training had a one size fits all approach

Now…..
• There are new tools, new software, new approaches
• Content can be developed more quickly and with higher relevance to job
roles
• Content can be reused
• Content can be developed collaboratively
• A significant cultural change in the way we use technology – Social
Networking!


Harnessing the rise of social networking


Strength In Numbers…
Social Networking is Gathering
Momentum

SLIDE 18 Ark - eLearning & Instructional Design Feb 2011 Thanks to Brent Pearson
HRX Recruitment

# 1 – Use Linked In for Sourcing

HRX Recruitment

Today's Workforce & Workplace Have Changed


Adoption of learning technologies is forecast to keep growing


Employees are more interconnected


In Australia
• Malcolm Turnbull has 4538+
Facebook friends
• Kevin Rudd had almost a million
followers on twitter in June 2010
• The ANZ Job Advertisement Survey
released in June 2010 shows a
31.1% increase in Internet job
advertising year on year.
• 970,000 professionals in Australia on
LinkedIn as of January 2010 – 80%
are tertiary educated. (http://heidiallen.id.au/)
• 10% of all Internet banking
transactions are now done via mobile
devices. AFR 24/1/2011


So what does this all mean? Why should I care?
• The rate of change is accelerating. Adoption of new
technology is not a choice!
• Email may not be the preferred form of communication
in future years.
• Accessibility to information will change the economics
of knowledge based industries.
• Corporate information and training must be
increasingly personalised to cut through the immense
amount of information received on a daily basis.
• If we want to drive cultural change we must work with
the collaborative cultural tools of tomorrow.


What Is Your Policy On Social Media?
• 54% of large companies ban social networking at
work…..But how do you control mobile phone?

• In the 90’s over 50% of companies banned email/internet
access!

• Think about a policy that makes sense…
Social Networking is here to stay

• DIGITAL consumer expert Jeffrey Cole gives social
networking giant Facebook five years before its audience
begins to splinter. (The Australian 18 Nov 2010)

HRX Recruitment

“If you tell me, I will
listen. If you show
me, I will see.
If you let me
experience, I will
learn.”


Entertaining content


Voice over and Video


Webinars


Interactive content


Branded and Relevant Content


Personalised content


Engaging content


Collaborative content creation, leveraging
the principles behind SCORM


Yes We Can!


Trends in Content Management

One Content Many Delivery Channels (Interoperability)
SCORM compliant LMS is now a norm in most medium to large organizations and universities. SCORM compliant content has
become a minimum requirement. Blake Dawson’s plan of eventually make all existing content SCORM compliant will open doors
to clients that require learning to be deployed via their internal LMS

Off-the-shelf content
Expensive e-Learning content customization is no longer an option for most companies. Most e-Learning providers are pushing
“in-demand” compliance content by providing an affordable off-the-shelf product with option for specific area of customization
(scenario and case study).

Personalisation
In order for compliance learning to be effective, organisations are looking for more personalized learning (e.g. scenarios) for their
audience (per industry, job role and learning style). Organizations are looking for maximum impact with minimum effort.
Personalisation can be achieved through a content management system able to assemble learning assets that are tailored for the
individual and relevant context.

Reusability
A learning object is a resource, usually digital and web-based, that can be used and re-used to support learning.
Learning objects offer a new conceptualisation of the learning process: rather than the traditional "several hour chunk", they
provide smaller, self-contained, re-usable units of learning. They will typically have a number of different components, that
range from descriptive data to information about rights and educational level. At their core, however, will be instructional content,
and probably assessment tools.

Just in time
The speed in which content is updated and consistently delivered to various locations is becoming a competitive edge. With
compliance learning, the key is not just providing the content, it is about providing accurate information in a timely fashion via a
range of delivery platforms. Learning via mobile devices such as iPhone and blackberry are the next generation in learning
provision where different modes of learning become seamless and just-in-time.

38

Content Definition

Learning Object
There is no universal definition of a Learning Object.
The e-Learning standard SCORM (Sharable Content Object Reference Model) offers a framework on the description for a Learning
Object. However SCORM does not specify the type (quality) or the size (quantity) of content in a Learning Object. Hence a Learning
Object varies from one organization to another and one course to another.
A SCO (Sharable Content Object) is a Learning Object that has been tagged using the SCORM framework and therefore can be
searched, organized, tracked and delivered by SCORM compliant Learning Management System (LMS), Learning Content
Management System (LCMS) and Digital Repository.
The granularity of a SCO is determined by the individual organization and authors. A common characteristic of a SCO is that it
contains at least one learning objective / information. The more granular a learning object is the more opportunity it has to be
reused. On the other hand, the more granular a learning object is the more complicated it is to develop, manage and maintain.

Course - TPA

Module 1 – Introduction to Trade Practices Law?
SCO

Lesson 1 - What is TPA?

Lesson 2 – The legal risks for you and
your company

Lesson 3 - The financial risks for you
and your company

Lesson 4 - Your company's view on
compliance with the TPA

39

eLearning evolution from generic to
personalised, on-demand content

2000 2002 2004. 2006. 2008 2010 and
beyond.
Tick a box Legal content Instructional Client specific Modular
compliance. re-written as Design. customisation, content Profile driven
training by company designed to self selected
Training as materials. Minor with inclusion suit job roles. content.
insurance. customisation of custom Development Content
documents. of Learning brokerage.
Objects


Trends in Content Management

Learning Brokerage
The goal of a Digital Marketplace (DMP) is to enable the effective distribution of network-based digital goods and resources to
effectively acquire, share, market, and distribute commercial and non-commercial digital learning content and resources that
integrate the content within instructional programs.

Content Providers Content Brokers Business Clients and End
(3rd party) (Blake Dawson) Users
(LMS / Web Browser)

LMS Business Clients

LMS

Learning Broker Business Clients
(Object Repository)

Individual Users

41

Content Management Solution (CMS)

High level architecture of the Content Management Solution (Phase 1) for Blake Dawson Technology.
It can be divided into 3 components: Technology, Process and People

Technology
Content Assembling &
Publishing
Manifest files are
installed onto LMSs
SCO
Course

Assemble course LMS
Wrap course in style guides
Create manifest file and install
onto LMS
Content Management
Tools
Content Creation Content Access
(using authoring tools)
Access content
Author assets The manifest files
allows LMSs to pull
Create (assemble) SCOs Asset Data
content dynamically
Data referring Upload from the repository
to various content
SCO assets
Completed SCO Data Assets
Assets /
SCOs /
Tag content
Courses are Content Management
Assets and SCOs are labeled following
uploaded into a
industry standard framework for
repository
interoperability and search-ability

42

Our 1st solution - One Content Many Delivery Channels


So Far So Good!


www.compliance.blakedawson.com

http://au.linkedin.com/pub/julian-fenwick/0/848/415


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