Compliance Training Program

The compliance training program industry meets the need for companies to be aware of increased governmental oversight. With more state and federal regulations being imposed upon almost every industry, management teams run the risk of employees breaking rules that they don't even know exist. By contracting the services of a corporate compliance training firm, company managers can ensure that employees receive the knowledge they need so that the regulations are followed. Different companies may require different programs that are specific to their industry, but some issues have broad applications. For example, discrimination and harassment situations can occur in practically any office, retail store, or restaurant kitchen. Almost any business that is large enough to have a human resources department will be able to provide relevant instruction on discrimination and harassment to employees. This may be accomplished through periodic workshops, as part of the orientation process for new hires, and by establishing specific policies and procedures. An employee handbook that includes specific policies regarding discrimination and harassment may protect the company from potential lawsuits should such a situation occur between employees.

Consumers often worry about providing personal information to organizations and businesses. A variety of companies may be interested in a compliance training program that addresses privacy concerns and the scourge of identity theft. With good reason, shoppers want to know that the credit card information entered on the shopping cart page of a website store is protected. Video renters don't want the teenage clerk going on a shopping spree with a stolen credit card number. Patients want to be sure that the extremely personal health information contained in transcripts and files are kept confidential by the medical staff. In addition to these kinds of concerns, federal regulations govern specific industries. Perhaps one of the most far-reaching government entities when it comes to employees is the U.S. Department of Labor Occupational Health and Safety Administration (OSHA). This agency has been charged by the federal government to protect practically every single employee in the nation by ensuring that workplaces are safe environments. To fulfill its mission, the administration publishes directives, schedules teaching workshops, and conducts inspections. OSHA also has the authority to set and enforce standards.

Certain government agencies focus on specific industries. For example, an accounting firm may contract for a corporate compliance training program to ensure that it meets standards set by the Financial Accounting Standards Board (FASB). Publicly-held corporations need to be in compliance with the rules and regulations of the U.S. Securities and Exchange Commission. Federal and state environmental agencies impose numerous regulations on companies to fulfill their missions to protect the environment. Other agencies govern industries such as real estate, general contracting, restaurants, hospitality and travel, banking and credit unions, housing, the list goes on and on. Very few companies escape the finely-meshed net of federal and state government. Another important area of concern is business ethics. Company boards of directors can benefit from corporate compliance training that covers such areas as board responsibilities, conflict-of-interest issues, disclosure requirements, and other ethical concerns. Government agencies are often criticized, and sometimes justly, for the expensive burden placed on businesses by numerous regulations. But since the regulations probably are here to stay, the small business owner and management team need to see them in as positive a light as possible. Perhaps this Old Testament verse will help: "For the commandment is a lamp; and the law is light; and reproofs of instruction are the way of life" (Proverbs 6:23).

Once the need for a compliance training program is identified, a small business owner or a human resources manager needs to establish criteria for selecting the most cost-effective program that will meet the company's needs. In planning the training, the owner or manager will want to consider which employees need the instruction. Other questions may include: 1) What is the most appropriate way for these employees to receive the training? 2) When can the instruction be scheduled so that normal business operations aren't unduly disrupted? 3) How will the instruction be evaluated? Many resources are available to help answer these important questions. Some corporate compliance training firms offer a catalog of programs. Often the existing products can be modified to fit a client's specific needs or a custom program can created. It may be that the most appropriate training will consist of a self-paced software program that employees can go through individually. Or perhaps the instruction will be conducted for a group in a morning workshop at the client's location or a weekend retreat at an off-site location. The latter is especially popular when the client's board of directors needs to receive specialized instruction on business ethics. After the training is completed, the client will want to evaluate the firm's effectiveness in providing the instruction and any follow-up materials or tracking tools. The firm may assist in creating reference manuals that can be updated as new regulations are passed by the relevant government agencies. Ongoing training may be available online or through specially prepared DVDs or videos.

Almost every employee and almost every business is regulated by one or more government agencies at both the state and federal levels. Management teams are responsible for ensuring that companies comply with the rules and regulations that govern their industry as well as such broad issues as discrimination, harassment, and business ethics. Firms that offer pre-packaged and corporate compliance training programs provide an invaluable service to clients who need this important and valuable information.

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