Communications, Education, and Traning

Question 1

Training

Answer 1

All employee training
* Update as risk areas evolve
* Board members, employees, vendors, and other agents
* New employee orientation and ongoing training
* OBLIGATION to report and HOW to report suspected misconduct!
* Focus on practical advice and case studies
* Targeted training (e.g., risk specific, orientation, remedial)
* Sales
* Buyers
* Department based vs. role based vs. individually based

Question 2

Evaluation of training effectiveness

Answer 2

• MOST Important - Has behavior changed
• Pre and post training quizzes
• Trend analysis
• Less important
  1. Number of attendees
  2. Number of hours of training (“Less can be more”) “engagement”

Question 3

Communications

Answer 3

Communicate compliance and ethics information throughout the organization
* Anonymized descriptions of the type of conduct that leads to discipline (specifically after an employee or employees have been terminated or otherwise disciplined for
compliance violations)
* Encourage employees to seek guidance and clarification
* Promote a culture of compliance and ethics throughout the organization - Show
support from leadership/CEO
Methods
* Email reminders, screensavers, huddles, quizzes, surveys

Question 4

Training for compliance department

Answer 4

• Training- Compliance Professionals need to participate too!
• Participate in SCCE/HCCA ad other professional organizations
• Read books, magazines, and blogs
• Train those who respond to questions and concerns from employees and others on
  how to identify potential compliance and ethics issues