Effective Compliance Education and Training Programs

An effective compliance training program must be well-structured and thoughtfully designed to help employees, leadership, and other stakeholders understand and adhere to relevant laws, regulations, policies, and ethical standards. The primary objective of a compliance training program is to educate participants on how to prevent violations, reduce risk, and appropriately address compliance-related issues. When implemented effectively, such programs foster a culture of compliance, demonstrate an organization’s commitment to regulatory standards, help reduce violations that can lead to liabilities, and protect the organization’s reputation.

While classroom-based training with live instructors is often the most effective due to its interactive nature, it is also the most costly and logistically challenging to implement. On the other hand, video-based training tends to be the least effective, as it often fails to maintain participants’ attention and lacks interactivity. The shift towards Learning Management Systems (LMS), accelerated by the COVID-19 pandemic, offers many advantages and capabilities, but it lacks the personal engagement and interaction that come with live trainer-led sessions. Regardless of the delivery method, several key factors should be considered when developing a compliance training program, including the following:

1. Tailor lessons to the specific risks and responsibilities of the audience.
2. Reinforce lessons by incorporating different formats (visual, auditory).
3. Combine live or video instructor-led training with any e-learning.
4. Include a video introduction by the CEO or Compliance Officer explaining training importance.
5. Define clear learning objectives for each training module.
6. Keep lessons relevant and clearly connected to job roles or goals.
7. Align training content with the Code of Conduct and policies.
8. Define and explain the purpose and operation of the Compliance Program.
9. Cover applicable laws and regulations (e.g., Stark Laws, Anti-Kickback Statute, and HIPAA).
10. Explain duty to report violations anonymously or confidentially without fear of retribution.
11. Provide multiple ways to report issues, including the hotline.
12. Include case studies or business-related scenarios to reinforce lessons.
13. Mandate training, monitor completion, and act on those that do not participate.
14. Involve executive and board member participation, which shows leadership commitment to a culture of compliance.
15. Provide annual compliance training to reflect new or changing rules, standards, and risks.
16. Include quizzes at various points in the training to reinforce lessons.
17. Test knowledge at the end of each session to evidence training program effectiveness.
18. Collect feedback from participants to improve future training sessions.

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About the Author

Richard P. Kusserow established Strategic Management Services, LLC, after retiring from being the DHHS Inspector General, and has assisted over 3,000 health care organizations and entities in developing, implementing and assessing compliance programs.