Creating a comprehensive compliance training program is more than just checking off boxes; it involves strategic planning to ensure effectiveness and engagement. HR and Compliance leaders must consider what topics to cover, who needs training, and how to deliver it without causing training fatigue. For instance, rolling out six one-hour compliance training courses simultaneously is not a strategy for success, regardless of the content’s quality. Overlapping topics can feel repetitive to employees, reducing retention. To avoid this, Compliance Officers should ask critical compliance training questions when building an annual compliance and workplace culture training program.
Essential Compliance Training Questions:
What compliance training courses are necessary for our organization?
Do we need to provide Sexual Harassment Prevention Training?
Answer: Absolutely. Sexual harassment prevention training should be administered at least biennially to foster a safe workplace and mitigate legal risks. The U.S. Equal Employment Opportunity Commission (EEOC) recommends all employers provide this training to ensure employees understand their rights and responsibilities. Additionally, certain states, including California, New York, and Illinois, mandate this training by law.
Does my company handle personal data of California residents?
If yes, compliance with the California Consumer Privacy Act (CCPA) is required, necessitating employee training on Global Data Privacy laws. Beyond CCPA, organizations must align their practices with the U.S. Federal Trade Commission’s Fair Information Practice Principles (FIPPs) and international regulations like the General Data Protection Regulations (GDPR).
Does my company handle Personal Health Information (PHI)?
Organizations classified as “covered entities” under the Health Insurance Portability and Accountability Act (HIPAA) must provide HIPAA training. Covered entities include health plans, healthcare clearinghouses, and healthcare providers conducting certain electronic transactions. Training on HIPAA is vital to minimize the risk of violations, which often result from human error.
Does my company conduct international business, particularly with foreign officials?
Companies involved in international trade should train employees on Global Anti-Bribery & Corruption. The Foreign Corrupt Practices Act (FCPA) and similar laws in the UK, China, Russia, Brazil, and India, require stringent compliance. Failure to adhere can result in severe penalties, including substantial fines and prison time.
Is my company at risk for antitrust violations?
Yes, all companies are susceptible to antitrust and anti-competition violations. Training a portion of the workforce on antitrust laws can prevent costly investigations and protect your business from legal repercussions.
Is my company publicly traded or in possession of non-public information?
Insider trading laws apply to all companies, particularly those with access to confidential information. Training employees on insider trading is crucial, as violations can severely damage both your company’s brand and culture.
These compliance training questions cover the basics of U.S. compliance laws, but it’s essential to stay vigilant about cybersecurity threats, conflicts of interest, and other emerging issues. Additionally, Code of Conduct training is invaluable for aligning your company with its mission and values while promoting fair and safe business practices.
While the list of necessary compliance training topics may seem overwhelming, remember that training is an ongoing process. To help spread out these programs effectively throughout the year, Emtrain offers a comprehensive Training Calendar and a team of experts ready to assist. Contact us for a consultation to get started.