Compliance training. Done right.

Size: px
Start display at page:

Download "Compliance training. Done right."

Transcription

1

2 Compliance training. Done right. Compliance is a serious matter. At Compliance Online we focus on content, not bells and whistles. Our content is written by experts in simple language and presented in an interactive and practical manner to ensure that your employees understand complex legal and regulatory concepts. We don't believe in a one-size-fitsall approach. Our programmes are customised based on our client's risk profile and the target audience. We use real-life, industry-specific examples and incorporate our client's company policies and procedures into the training content. We work with our clients to ensure that employees can relate to what they read and apply their knowledge in their day-today work activities. Once a programme is selected, our team of experienced professionals will manage the entire training process, and provide continued support throughout the training window. We do all the work so that our clients can focus on what they do best, not on the management of compliance training.

3 Who are we? We have more than 13 years' experience WHO? We focus on legal compliance training We have trained more than trainees We have rolled out more than training units We have more than 80 localised programmes All our programmes are multi-lingual What do we offer? We are a specialist provider of legal and regulatory compliance training solutions to private and public sector entities. We assist with the design and development of customisable online training programmes and a range of awareness raising products. We have developed technology that caters specifically for the intricacies of online compliance training. Our training platform is state-of-the-art; developed using the newest technology; and specifically designed to eliminate distractions.

4 Hello, I'm ELLO (Everybody Loves Learning Online) Meet ELLO. ELLO is our friendly, helpful training assistant that guides the trainee through the training process. ELLO comes in many shapes and forms and helps ensure that training is as easy and effective as possible. ASK! IMPORTANT! COMPLY! WHO? POLICY WELL DONE! EXPLORE NO!

5 A beautifully designed training tool

6 How to build an effective compliance programme START HERE Commitment Risk-based assessment Policies & procedures What is a compliance programme? Actively foster a culture of compliance and demonstrate a continuous and unequivocal commitment to compliance Adopt a risk-based approach to compliance programme design Tailor and present policies and procedures in a manner that is most relevant to the company's operations and employees' daily activities A compliance programme is a bundle of policies and procedures designed to identify internal and external legal and regulatory risks, correct deficiencies and create a mechanism to prevent future offences. Evaluation Incentives Monitoring & reporting Training & education Why do you need a compliance programme? Regularly evaluate the compliance programme to ensure it remains effective and up-to-date as the business, its employees and the industry evolves Establish and enforce a disciplinary code for employees Establish an effective internal reporting procedure and monitor/audit business activities as appropriate Provide "at risk" employees with practical and effective ongoing training A well-structured compliance programme provides a formal framework to ensure that a business and its employees comply with the law.

7 The Compliance Online advantage Progress or "time required to complete": allows trainees to plan their training Interactive module-based testing: which is presented randomly from an extensive pool of assessments so that no two trainees are subject to the same test sequence EXPLORE Customisable minimum pass rate: the trainee must redo the test and/or programme until a required pass mark is achieved Printable Read and Keep summaries Immediate feedback on test responses and results Acknowledgment functionality: trainees must acknowledge that they have read, understood and agreed to the principles contained in the relevant training programme Printable certificates End-of-training survey tool: provides trainees the opportunity to give feedback on their experience Completion PDF versions of the employee acknowledgement and completion certificate are sent to trainees for their records Keeping you informed Weekly electronic prompts to remind trainees of their training obligations Detailed feedback reports to management on training status, weekly prompts and queries received Training status reports contain an audit trail that indicates whether (and when) a trainee has completed the training AND electronically signed the acknowledgment at the end of the training Regular electronic newsflashes on compliance news relevant to your industry Dedicated support team

8 Customisation is key 1 Choose a compliance programme that is right for you. Our clients have one of three choices when deciding which programme format will best suit their requirements: Choose to use one of our existing comprehensive programmes We offer a full range of customisation options on all aspects of the training process. Customisation options include the following: 2 3 Choose to have one of our existing programmes customised Have an entirely new programme developed using specific custom content Support for complex organisational structures Client logos, customised per business unit represented on all training Client specific content Customised welcome letters and instruction notices Support for custom assessments, images and videos Full Reporting per business unit Customised employee acknowledgements and end-ofprogramme surveys Real-life industry-specific examples based on actual cases Incorporation of company-specific policies and procedures in the training content Printable company-specific guidelines and procedures on how to deal with high risk areas

9 Our compliance programmes at a glance Simple and effective online training. All our programmes are: Fully customised based on our client s risk profile and the target audience Based on adult learning principles Written in clear, simple language Interactive and engaging Accessible 24 hours a day Accessible on mobile devices such as ipads and smartphones Available in multiple languages Developed from a South African legal perspective, but with references to international jurisprudence Self-pacing with full tracking and storing of training history Cost Effective LET S GO!

10 Competition Law Non-compliance with competition laws comes at a high price: fines, reputational damage and the possibility of jail time in some jurisdictions. COMPLY! A competition law compliance programme should be an integral part of corporate risk management. Every organisation big or small should have one. Let Compliance Online help you implement a programme that complies with the requirements of international competition authorities and may act as a mitigating factor if a breach occurs. We have more than 15 years of experience in this field and have assisted some of the biggest corporate entities in South Africa with their competition law compliance training programmes. In line with the requirements of international competition authorities, all of our competition law programmes are customised to include real-life examples and practical scenarios. Our competition law programmes are content driven, accessible anywhere 24/7 and easy to implement and monitor. On completion of this programme, the trainee will be familiar with: What competition laws are, who enforces it and the consequences of non-compliance The basic procedures to follow during a dawn raid by the authorities The topics to avoid discussing with competitors The procedures to follow when interacting with competitors The risks associated with industry associations and information sharing with competitors The risks associated with distribution and supply agreements and how to deal with them The concepts of market power and market dominance The competition law rules that apply to dominant firms Guidelines on appropriate price setting practices Guidelines on appropriate document drafting

11 Competition Law (continued) We offer the following services: Assistance with the drafting of a competition law compliance programme that complies with the requirements of the South African Competition Authorities A range of competition law e-learning programmes, including: A practical guide to Competition Law How to deal with a Dawn Raid Competition law for Industry Associations Competition law for the Construction Industry Competition law for the Mining Industry Competition law for the Pharmaceutical Industry Competition law for the Telecommunication Industry Competition law for the Retail Industry Competition law: a refresher A Dawn Raid Alert tool that allows for instant electronic step-by-step instructions to be sent to all employees and your external lawyers in the event of a dawn raid Awareness raising and workshop tools COMPLY! Let us help you gain a competitive edge through compliance contact us for more on our competition law programmes.

12 Dawn Raid Training A "dawn raid" is an unannounced visit by a regulatory authority or the police to a company's premises to inspect documents and interview staff where the authority suspects that the company or its employees may have been involved in illegal activities. BE PREPARED! There are many authorities which have the power to conduct unanounced site visits to your business premises. These include: Commission for Employment Equity Competition Commission Department of Environmental Affairs and Tourism Department of Health Department of Safety and Security South African Police Service South African Revenue Service Companies and individuals who obstruct any lawful inspection by a regulatory authority or the police may be guilty of an offence and subject to sanctions. Contact us and be prepared! On completion of this programme, the trainee will be familiar with: What is a dawn raid Who can execute a dawn raid What can be done to prevent a raid What the key steps are when the authorities arrive What is likely to happen on the day and how to behave The powers of investigators The rights of employees during a dawn raid The penalties for non-cooperation during a dawn raid

13 Vervet Alert: Don't monkey around in a crisis, bring clarity in a moment of chaos Vervet Alert is an emergency mass notification system that cuts down response times through a visually engaging, easy to use solution. It focuses on providing all the information a recipient needs to make an informed decision before, during and after an event or disruption. Vervet Alert can send any combination of an , a SMS or an automated phone call at the push of the button. Use Vervet Alert for: Dawn Raid notifications Health and Safety inspections Employee acknowledgements Crisis notifications Evacuation procedures 愀渀椀渀渀漀瘀愀琀椀漀渀昀爀漀洀嘀攀爀瘀攀琀匀漀氀甀琀椀漀渀猀 Vervet Solutions (Pty) Ltd 88 Main Road, Paarl, info@vervetsolutions.com

14 Protection of Personal Information Act (POPI) The Protection of Personal Information Act (POPI) sets conditions for how your business may process personal information. It has been signed by the President and is law. Once the commencement date is announced, your business will have one year to comply or face significant consequences. IMPORTANT! Let us help you assess your risk and train your employees on this important legislation. Our programme allows for employees to provide feedback on the type of information that they process and their view on how compliant your current processing is with POPI. This tool offers a unique opportunity to obtain a high level assessment of the potential risks your business may be exposed to in regard to POPI. Let us help you prepare for POPI contact us to assist you with a pro-active approach to raise awareness about POPI in your business. On completion of this programme, the trainee will be familiar with: What is POPI and who must comply What is personal information When is information "processed" What are the rules that you must comply with when processing information What are the practical steps your business needs to take to ensure compliance with POPI What are the consequences for non-compliance

15 Consumer Protection Act (CPA) The CPA creates a myriad of consumer rights and corresponding obligations for all businesses that supply goods or services to consumers. POLICY Whether your business is a producer, importer, distributor, franchisor or retailer, it needs to train its employees on the CPA. Let us help you identify your CPA risks and implement a training programme that addresses those risks adequately and appropriately. We offer a range of CPA modules from which you can select the appropriate combination to compile a unique CPA programme that addresses the needs of your business. Let us help you unpack the CPA contact us for a comprehensive and easy-to-understand training programme. On completion of this programme, the trainee will be familiar with: Powers of the Consumer Authorities The CPA and who it applies to and protects The powers of the Consumer Authorities Marketing and the CPA Labelling, pricing and the CPA Your agreements and the CPA The CPA and supplier warranties and liability The CPA and lay-byes, pre-paid facilities and returns The CPA and Business names and trade marks Franchise agreements and the CPA Fixed term agreements and the CPA

16 Social Media Social media is defined as all means of interaction among people in which they create, share, and/or exchange information and ideas in virtual communities and networks. Social media includes, but is not limited to, Facebook, Twitter, Instagram, YouTube and LinkedIn. ASK! Our social media programme is up to date with the newest trends in social media to ensure that you understand how to conduct yourself online. While there are numerous social media courses that tell you how to build your brand online, we'll show you how to protect it. It has become increasingly important for employees to properly understand the risks associated with being publicly social. Our programmes cover the legal aspects and your rights and responsibilities online. Your employees will understand what defamation is and how to avoid it, what their responsibilities are and what the legal and disciplinary consequences of irresponsible social media usage are. Let us help you protect your brand online. On completion of this programme, the trainee will be familiar with: What are social media and social networks Why social media can be dangerous What is defamation How social media has changed communication Legal and disciplinary consequences of social media slip-ups What employees and employer rights on social media entail What is a personal social media audit Good social media etiquette

17 Anti-corruption and Financial Intelligence Centre Act (FICA) Corruption in all its different forms is now recognised to be one of the world's greatest challenges. It has a negative impact on everyone: individuals, communities, businesses and the country as a whole. Our anti-corruption programme contains modules that explain in plain language the relevant provisions of a broad range of legislation that aim to curb corruption. GUIDELINES These modules can be combined with modules offered in our Ethics programme to offer your employees a comprehensive Code of Conduct training programme. A company that tolerates corrupt practices will develop a bad reputation which will erode internal trust and confidence as well. The legal and reputational risks associated with corruption are great. Contact us to empower your employees with the knowledge to fight corruption. We offer programmes on: The South African Prevention and Combating of Corruption Act (the "Anti-bribery Act") The Foreign Corrupt Practices Act (the US anti-bribery legislation) The UK Anti-corruption Act The Protected Disclosure Act (the "Whistle blowing Act") The Access to Information Act Anti-money laundering legislation The Financial Intelligence Centre Act (FICA)

18 Ethics Ethics training represents an earnest attempt on the part of a business to train employees to engage in morally proper behaviour when conducting business. The goal of ethics training should not be to teach morality, but rather to help employees make the right decision from a position that is morally acceptable to both the business and the employee. Our ethics training programmes are aimed at forcing employees to ask questions about their past and future ethical decisions and the consistency of these decisions with the values of the business. ASK! The ethics programmes are usually based on the client's Code of Conduct and/or ethics policies and explain in simple language aspects such as: What is a Code of Conduct/Ethics Why is it important to comply with your company's Code of Conduct/Ethics Policies and procedures relevant to the implementation of the Code of Conduct/Ethics Conflict of Interest Ethical interaction with competitors and customers Ethical interaction with other employees Ethical management of the environment Health and Safety Contact us for a holistic approach to your ethics programme. Also included in our ethics programmes: The case for business ethics Identifying organizational core values Safeguarding company resources Dealing with conflicts of interest Working with electronic resources Dealing with bribery and facilitation payments Creating an open and respectful working environment Dealing with information and company assets Reporting unethical conduct or whistleblowing

19 National Credit Act The National Credit Act (35 of 2005) is legislation designed to protect the Consumer and make credit and banking services more accessible. The National Credit Act (NCA) was introduced "to promote and advance the social and economic welfare of South Africans, promote a fair, transparent, competitive, sustainable, responsible, efficient, effective and accessible credit market and industry, and to protect Consumers". We offer a short introductory course on the National Credit Act. The course provides a concise overview of the scope and application of the National Credit Act and explains the prescribed essential actions a credit provider must take during each step of the credit-granting process. We'll help your employees understand why the NCA is important and when it is applicable. Your employees will have a clear and practical understanding of how to comply and how to uphold the rights afforded to consumers by the NCA. The course also covers the prescribed essential actions a credit provider must take during each step of the credit granting process and what the consequences of non-compliance with the NCA. Contact us for more information. WHEN? On completion of this programme, the trainee will be familiar with: The purpose of the NCA and who enforces it The definition of a credit agreement and the types of credit agreements that are governed by the NCA Who must register as a credit provider When the NCA applies to a credit agreement and when not The consumer rights provided for in the NCA The prescribed essential actions a credit provider must take during each step of the credit providing process The consequences of non-compliance with the NCA

20 Our Clients Our other clients include: AECI Ltd. AEL Mining Services Ltd. African Rainbow Minerals Ltd. AfriSam (Pty) Ltd. Aveng Ltd. Barloworld Defy Appliances (Pty) Ltd. Heinz Foods Kaap Agri Oceana Group Ltd. Omnia Holdings Pioneer Foods (Pty) Ltd. Senwes Ltd. Shoprite Checkers (Pty) Ltd. Stefanutti Stocks (Pty) Ltd. Universiteit/University Stellenbosch Western Cape Government

21 Contact Us complianceonline.co.za CAN T WAIT!