COMPLIANCE TRAINING, PART I

von Wolf M. Nietzer

In a recent Slate article, entitled “Ethics Trainings Are Even Dumber Than You Think”, author L.V. Anderson railed against what she termed box-checking training where companies put on training not to actually train employees but simply to check the box that training has occurred. She also spoke against “dumbed-down nature of most compliance courses”.

Certainly recognizing that inane training is simply that – inane training, Anderson missed the larger picture of what constitutes a best practices compliance program. Training is one part of a larger component of how companies manage their compliance with laws, regulations and, most importantly, the ultimate barometer of their value – their corporate reputation through compliance. The role of compliance in corporations was born in 1992 with the enactment of the US Sentencing Guidelines, which laid out the initial standards for corporate compliance and ethics programs, of which training is one part. It was only after these Sentencing Guidelines were put into effect that corporations moved to create Codes of Conduct to publicly state their values.

These Sentencing Guidelines provide a very general outline of what would constitute an effective compliance program. In the latest amendments to the Sentencing Guidelines, in 2010, the stated purpose of training is to “(6) Training – Conduct effective training programs and otherwise disseminate information to ensure that the board of directors, high level personnel and other employees with substantial authority receive information about the standards, procedures, and other aspects of the compliance program”.

One of the most significant areas of the law, where the government has provided specific guidance on compliance programs including training, is the 2012 publication entitled “FCPA – A Resource Guide to the U.S ...

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