Reasonable minds can differ when it comes to identifying the ultimate goal of compliance training or what it means for compliance training to be effective, and they often do.

Traditionally, compliance training has been designed in a somewhat academic manner—thorough coverage of a particular topic, perhaps with a few examples along the way, and then a test at the end to find out what the employee has learned about the subject. The problem with this approach is that while the training may cover the material well, employees are not regularly retaining what they have learned from the course.

I will confess that I have a bias when it comes to compliance training. Although I see some value in a traditional academic approach, I have never viewed it as an effective way to convey compliance lessons, nor do I think the true value of compliance training lies in the prospect of employees learning and retaining what can be, at times, relatively esoteric subject matter. Instead, the greatest potential benefit of effective compliance training for rank-and-file employees lies in its ability to raise awareness about compliance topics and keep compliance issues on the minds of our workforces.

If you agree that the ultimate goal of compliance training is to help employees spot issues and know when and how to report them or ask someone for help, then there are a few simple things that companies should incorporate into their compliance training. These simple steps—which include storytelling, the use of humor, and references to current events—can increase the likelihood that employees retain the most important messages after the training is complete.  The use of these elements can ensure that important compliance messages will be understood and remembered.

Winding a Yarn 

“A long time ago in a place far, far away there lived a magical princess  ...” Many children's stories begin with this scenario and although we've heard them many years ago, most of us still remember them long into adulthood. We find ourselves telling these same stories to our own children. Sure, some of the finer details of the story may fade over time and yes, we may even take poetic license when re-telling these tales, so the details our children hear may not be exactly the ones we heard as kids, but the general essence of the story remains the same. The main points, moral, or lesson of the story that we learned remain the same—or at least a reasonably similar version.

Storytelling has been used since the beginning of time to teach important lessons for good reason—people like hearing stories and have a remarkable ability to remember information that is conveyed to them in story form. A number of studies examining adult learning have confirmed that storytelling is one of the best teaching methods. For compliance training, the use of stories also provides a great measure of flexibility that can help in translating what are sometimes abstract concepts into easily understandable and memorable stories. At CA Technologies, for example, we have built many compliance training modules around short stories or scenarios that help illustrate a compliance lesson. Employee feedback has been positive overall and as a result of this method, we have seen an increase in retention around these compliance lessons.

The Joke Is on Us

Did you hear the one about the priest, the rabbi, and the porcupine? While joke-telling typically does not enter the realm of effective compliance training, humor can be an effective way to teach compliance lessons in an engaging way. Let's face it, corporate compliance is serious business, the subject matter can be quite dry, and there is little that can be done to change that reality. The injection of humor into the equation, however, can help keep employees engaged in what would otherwise be fairly mundane topics.

For compliance training, the use of stories also provides a great measure of flexibility that can help in translating what are sometimes abstract concepts into easily understandable and memorable stories.

There was a time when many compliance professionals eschewed the use of humor in anything related to compliance out of fear that it would somehow undermine the seriousness of the message or otherwise minimize the overall importance of compliance in a corporate setting.  Fortunately, that sentiment appears to be changing. While there are still some who refuse to consider humor in compliance training, the success of entities like Second City Communications,  which creates humorous training workshops and videos,  illustrates there is a growing demand for compliance lessons that can be delivered though the funny bone.

In my organization, we have embraced the use of humor in our compliance training with the creation of our fictitious character, Griffin Peabody. Over the years, we have created a library of funny videos involving Griffin that cover topics ranging from appropriate workplace conduct to anti-corruption to insider trading. While some of the videos are admittedly silly and a bit over the top, we have received overwhelmingly positive feedback from our employees about the Griffin character. Employees also reported that they had retained more from the Griffin videos because they were fully engaged in the course content due to the use of humor. We have also gotten many YouTube hits on these videos along with requests from other companies to use them in their own compliance training offerings.

Ripped From the Headlines

Breaking News! Major company charged with violating the Foreign Corrupt Practices Act! The use of current events to teach compliance lessons can also be a great way to engage employees and help aid with the retention of important compliance lessons.

We live in an information age, and most adults spend at least part of their day reviewing headlines of the top news stories from one of the many sources. Current events and newspaper headlines are, and always have been, a source of interest among employees and a frequent subject of water-cooler discussion.  These types of events can serve as an effective way to teach important compliance lessons.

Like newspaper headlines and stories about current events, the more well known the subject of the story, the more likely it is to generate significant interest among your employees. Although there are many current event stories related to compliance that involve companies in every industry, using stories about higher-profile companies or companies that your employees can relate to will likely lead to a higher level of employee interest and engagement.  

Recent investigations, for example, involving companies like Walmart, Morgan Stanley, and Ralph Lauren provide the perfect backdrop to teaching memorable lessons about, in these cases, anti-corruption. A regular review of the headlines is an easy way to ensure that you have a steady stream of interesting, real-life stories to help facilitate compliance discussions and training. Real-life examples can also get the attention of senior managers who want to make sure the company doesn't make the same mistakes as its peers.

Stories, humor, and current events will help engage employees and increase the likelihood that compliance lessons will be retained for the long term. And, as an added benefit, you will have interesting topics for discussion at your next cocktail party.