Most workplaces have compliance requirements. Often compliance training is canned though it may incorporate learning scenarios designed to engage learners. Often the scenarios are too broad. In this scenario, the learner engages in a scenario that is oriented to the learner's context. This requires more time but works well where compliance issues are likely or there is a particular need to ensure compliance. It can be developed so that it builds on a more general "canned" training. In that regard, it becomes more of a summative assessment. However, in some contexts it could be used as a formative assessment to help guide subsequent training.
This can be done at the individual level but works better in a team context. The team can then be encouraged to develop the solution integrating the team's operating practices and goals. The team is provided with a scenario that is related to the compliance training. For example, in an academic setting this might be a group of faculty teaching in a specific school and the scenario related to a FERPA situation. In a defense contractor, this would be a scenario where the team must access and use classified computer equipment in a special area.
The team is given a situation. The situation should be relevant to the specific work/needs of the team. The scenario should involve a couple of concepts from the compliance requirements. For example, using the academic example, it could be protecting student information while needing to involve others to solve an issue with a student. In the defense contracting example it could involve how to protect information while accessing classified materials during unusual hours (something that tends to raise red flags in that environment).
Participants must work together to develop the proper way to handle the scenario and why, citing both compliance sources as well as organizational sources (mission, strategy, etc.) and team /unit resources (faculty guide, team processes, etc.). This can be done in person or virtually. It could be done synchronously or asynchronously since many of today's teams are virtual and widely distributed.
The team can develop the solution as a presentation or better yet, as a process for handling similar situations moving forward.
This form of assessment draws from multiple theories. Making it relevant to the learner's context can help make it easier to show the reason why the knowledge and skill (compliance often requires individuals to engage in certain steps) is important. From an andragogy theory point-of-view, making the learning meaningful has value for motivation and engagement. The scenario is also designed to build on student's past experience. Socially, the team is constructing new knowledge together (constructivist learning theory) while requiring individuals to engage in the mental processes necessary for problem solving (cognitivism).
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Alycia Harris, PhD, MBA, CPTD, SHRM-CP
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