SUN LIFE FINANCIAL COMPLIANCE TRAINING ANALYSIS & RECOMMENDATIONS

SUN LIFE FINANCIAL COMPLIANCE TRAINING ANALYSIS & RECOMMENDATIONS
PREPARED BY Damien DeBarra, Head of Instructional Design, August 2016

02 BE #SUNLIFE Please view this report in presentation mode

Contents Background and Introduction Project objective
Here’s what this document covers. Background and Introduction Project objective Summary of Workshop Design and Findings Strategic Recommendation The Business Goal The Framework - Three Strands 1. Better Learning: Quality, Consistency, Flexibility 2. Better Guidance: Advisory Governance Group 3. Better Communications Interactive Services Proposal Appendices

SECTION 01 BACKGROUND & INTRODUCTION

Project Objective Mandatory Training Transformation Project Interactive Services was invited to facilitate an Analysis and Design Workshop at the Sun Life offices in Toronto on the 12-13th July 2016. The purpose of the workshop was to look at the existing Compliance training at Sun Life and make recommendations on how to move the organization forward in this training – at a global level, outlining agreed gaps, ideas for improving existing training tracks and the creation of a global compliance “training brand.” This was born from the already identified Mandatory Training Transformation Project objective/opportunity : “Transforming mandatory training involves reducing waste in the system, regaining productive time for all employees and optimizing design effort and cost to help enhance risk management practices and the learner experience.” This document is a summary of that workshop, outlining key commentary that we heard and posing recommendations for moving forward. To that end, Interactive Services would like to suggest a three-part approach to help move the initiative forward. Before we take a look at these three strands, let’s get a quick summary of what happened at the workshop.

Design Workshop Who was there?
Content Owners Name Title Area Attended Regrets Mary O’Ryan Senior Security Governance Specialist Security Advisory Services X Sarah Cormier Director, Security/Compliance Distributed Development Frank Duffy AVP, Enterprise Records Management Shared Business Services Kelly McIsaac Director, Enterprise Records Management Enterprise Records Management Dimitri Alexander Director, Enterprise Continuity Management Enterprise Continuity Abraham Binder BC Program Manager Jeff Kleist Director, Physical Security and Tenant Services Corporate Real Estate Richard Lanktree Manager, Health and Environmental Services Enterprise Physical Security Michael Noble Manager, Physical Security and Risk Governance Arlene Morgan Learning Manager Enterprise PMO and Testing CoE Chuck Subrt AVP, Chief Ant-Money Laundering Officer Corporate Compliance Joann Sochor AVP, Corporate Compliance x Martyn Oughton Senior Regulatory Advisor Compliance The Design Workshop was facilitated by Damien DeBarra, Head of ID at Interactive Services and by: MaryAnn Baird, Director, Employee Development Bev Sauder, Senior Learning Consultant, Talent Development The workshop was attended by a variety of people and groups. The table here (and on the next page) shows the content owners who were invited.

New to Sun Life – Focus Group / Open forum
Senior Leaders –Workshop Goals / Overview Name Title Area Attended Regrets David Shuen VP & Chief Compliance Officer SLF Canada Corporate Compliance x Chuck Subrt AVP, Chief Anti-Money Laundering Officer Corporate Compliance Lyn Morris Chief Compliance Officer Asia Corporate Compliance Julie O’Neill SLF U.S Corporate Compliance Thomas Murray (delegate for Andy Harris) Director, SLIM Compliance Compliance Operations Hollie Swift Head of Compliance Risk & Compliance, Basinstoke Dominque Mailloux SVP, Shared Business Services SLF Enterprise Services Stevan Lewis SVP, Enterprise Services & Chief Technology Office Christine Robinson AVP, Talent Development Global Talent Development Stephanie Bose AVP, Corporate Communications Corporate Communications New to Sun Life – Focus Group / Open forum Name Title Area Attended Regrets Alex Arroyo Associate Director, Global Talent Development Leadership and Talent Development x Brenden Decker Document Specialist Group Ops – GB Ops X Heather Taeger Pascal Labillois Disability Claims Consultant Life & Disability Claims Working Group – Learner Journey Name Title Area Attended Regrets Arlene Morgan Learning Manager Enterprise PMO and Testing CoE X Chuck Subrt AVP, Chief Anti-Money Laundering Officer Corporate Compliance x Lori Cortina AVP, Testing CoE & Enterprise PMO Application Services Bev Sauder Senior Learning Consultant Global Talent Development Mark Doty Maryann Baird Director, Employee Development Dimitri Alexander Director, Enterprise Continuity Management Enterprise Continuity Mary O’Ryan Senior Security Governance Specialist Security Advisory Services

Action Mapping Our Design Workshop was centred around a process called Action Mapping – a series of four exploratory questions which help us to understand what the business needs. The following pages show the questions and the results that we collectively came up with.

Action Mapping 1 2 3 4 What is the business goal?
08 Action Mapping Here are the four questions we explored What is the business goal? What are the job behaviours that will help reach that goal? 1 2 3 4 What are the realistic practice activities for those behaviours? What is the essential information for those activities?

Question 1 What is the business goal? Here is the business goal we have agreed on: ” “In support of the ongoing development of our risk management culture, we empower employees with the understanding and tools to act on their responsibilities through a comprehensive, integrated enterprise-wide education program (by the end of 2017).” ”

09 Question 2 What are the job behaviours that will help reach that goal? BEHAVIOUR Demonstrate an understanding of risks and know where to go to when you spot them Identify red flags and when they may be likely to occur (e.g.: spike in phishing incidences after the summer) Understand your role and responsibilities (what’s my role and what do I have to do?) Respond consistently (maintain habits across the whole year) to risks Engage the community (talk to your manager, your staff, your group, speakers summits, blogs, newsletters, ‘Sun Life Survival Guide’) NOTE: a consistent communication platform for this is needed Here are the behaviours which we have identified as key to the business goals’ success.

Activity 3 What are some activities to help build those behaviours?
09 Activity 3 What are some activities to help build those behaviours? BEHAVIOUR ACTIVITIES Demonstrate an understanding of risks and know where to go to when you spot them E-learning courseware with: Scenario based learning approach Ask the expert interviews Access to take-away learning materials (quick cards, Online FAQs) ‘Nudge’ programme of timed reminder summaries (videos, infographics, podcasts) driven by a ‘guiding coalition’ of compliance experts who are tasked with responding to the business when incidents arise throughout the year Identify red flags and when they may be likely to occur (e.g.: spike in phishing incidences after the summer) As above Understand your role and responsibilities (what’s my role and what do I have to do?) Respond consistently (maintain habits across the whole year) to risks These are examples of some the activities we want to see to help make these behaviours ‘stick’

Activity 4 What is the essential information for those activities? 09
BEHAVIOUR PRACTICE ACTIVITIES ESSENTIAL INFORMATION Demonstrate an understanding of risks and know where to go to when you spot them E-learning courseware with: Scenario-based learning approach ‘Ask the expert’ interviews Access to take-away learning materials (quick cards, Online FAQs) ‘Nudge’ programme of timed reminder summaries (videos, infographics, podcasts) driven by a ‘guiding coalition’ of compliance experts who are tasked with responding to the business when incidents arise throughout the year - Source will be mapped during individual Design Workshops after deliverables are agreed Identify red flags and when they may be likely to occur (e.g.: spike in phishing incidences after the summer) As above Understand your role and responsibilities (what’s my role and what do I have to do?) Respond consistently (maintain habits across the whole year) to risks This is where the practice activities will get their content from.

Quality Flexibility Consistency What did we do? And what did we hear?
In addition to the Action Mapping process which we did with content owners, we also met with some other Sun Life staff to canvas thoughts and opinions on current compliance training. We asked: What do you think of compliance training at Sun Life in general? What specifically did you like and dislike? How ready to you feel to deal with real compliance issues? What can we do to move training forward? The next slide quickly summarizes some of the most striking commentary we heard. Quality Flexibility Consistency

Multimedia mix isn’t right – people are not listening!
Summary of Findings Training needs to be tailored to the audience – one size does not fit all. We need something that adapts to the individual learner, giving them the learning they actually need. We want to connect training to existing Sun Life initiatives, such as Dean’s Four Pillars or the Brighter Way. We want people to understand that compliance is not a ‘once-a-year’ thing, but a part of the fabric of Sun Life. Can we build accountability into the process? Can we make compliance discussions operational? Can we tie compliance to The Brighter Way? Learning needs to have simple ‘takeaways’ that I can quickly grab at the moment that I need them. What else can we provide, beyond e-learning? Multimedia mix isn’t right – people are not listening! We want learners to have a better experience – with something more like modern websites and apps, whilst using scenario-based learning. Not everybody has a desk – we have agile workers – what performance support tools can we offer people? Tools need to be accessible at the moment of need. There’s too much training, all at once – can it be staggered? Can we build a calendar of training and a communications strategy to help support it? We need tools and plans to support our culture of compliance when teachable moments arise throughout the year. Training doesn’t stop at the classroom door.

SECTION 02 STRATEGIC RECOMMENDATION

The below is our agreed business goal, derived from the Action Mapping Process. But how do we achieve it? We believe there are three strands to this. Let’s take a look.

Three Strands Better Training, Better Guidance, Better Communication
Conversations with Sun Life revealed that there are three main strands to making compliance culture operational. It’s important to note that while the desire of the Business Team is to see consistently designed training delivered to these audiences, there also needs to be room for other future interventions and initiatives and flexibility within those identified to allow for local flavor. We’ll explore each strand in detail, but first let’s look at how all three would tie together as an experience for the business. Move to the next page to see the Learner Journey. 1. Better Training Upgrade the entire training experience by using off-the-shelf course content - providing best-in-class compliance learning which is tailored by role 2. Better Guidance Create an Advisory Group of content owners who take responsibility for learning governance and communications within the organisation 3. Better Communication Roll-out a calendared and responsive communications strategy - leveraging s, videos, infographics and other learning assets as business needs arise throughout the year

We will take a deep dive into each of the three strands in turn, but first let’s get a helicopter view of how the whole experience would knit together, over a 12 month period. This will help us to see things from the perspective of not just the learner, but the proposed Advisory Group and the business as a whole.

Learner Journey – New Hire
We suggest that SLF continue to adopt the convention of a formal ‘training window’ – that is a period of time in which all e-learning courses must be done. We suggest the first two months of the year, as shown below. A ‘grace period’ of another two months can be offered to delinquents, but perhaps not explicitly advertised as being available. Learners who are new to Sun Life should take all mandatory training within a 60-day period from starting work. Learner Journey – New Hire A 12 month learning and communications plan: Part 1 Day 1 Day 60 MONTH 1 MONTH 2 1. Launch 13. Catch-up Huddle 11. Huddle 10. Records MGMT. 12. Security Awareness 3. Financial Crime Awareness 4. Huddle 5. Health, Safety & Emergency Preparedness 6. Privacy 8. BCM 9. Training Reminder 14. Final training reminder mail 2. Code of Conduct 7. Huddle Profiling note needed – mature learners journey need to be explained! ‘Formal’ training window E-Learning Online learning modules, spread out across a 60-day period of completion. Learners are encouraged to take their time and complete learning properly. The modules also include downloadable resources such as infographics. Average module length = 30 minutes maximum. Communications A calendared/responsive communications strategy, leveraging s, videos, infographics and other learning assets as business needs arise throughout the year. Orange mails indicate scheduled comms, yellow responses to events that arise. The latter may happen as often as needed! Huddles Weekly/fortnightly meetings with manager (example, as per SLF management initiatives). These will enable leaders to make compliance issues operational, rather than annual concerns.

Learner Journey - Annual
We suggest that ‘mature’ audiences (those in their second year and on) will continue to be asked to complete mandatory during the annual ‘training window’ of January and February. Learner Journey - Annual A 12 month learning and communications plan: Part 2 19. Nudge with infographic booster 21. Nudge with video booster 16. Nudge with video booster 18. Huddle Day 0 Day 365 15. Performance Support App Access 17. Update mail (as required) 20. Refresher Quiz 22. Update mail (as required) Q1 Q3 Q4 Q2 See previous slide ‘Formal’ training window/Grace period E-Learning Online learning modules, spread out across a 45-day period of completion. Learners are encouraged to take their time and complete learning properly. The modules also include downloadable resources such as infographics. Average module length = 30 minutes maximum. Communications A calendared/responsive communications strategy, leveraging s, videos, infographics and other learning assets as business needs arise throughout the year. Orange mails indicate scheduled comms, yellow responses to events that arise. The latter may happen as often as needed! Huddles Weekly/fortnightly meetings with manager, as per the Brighter Way initiative. These will enable leaders to make compliance issues operational, rather than annual concerns.

Calendar The First 60 Days EVENT CALENDAR MODALITY Code of Conduct
24 Calendar The First 60 Days EVENT CALENDAR MODALITY Code of Conduct Week 1 E-learning (New Build) Financial Crime Awareness E-learning (Topics TBD from off-the-shelf library) Health, Safety & Emergency Preparedness Week 2 Privacy BCM Week 3 E-learning & Classroom (Topics TBD from IS CLC Library) Security Awareness & Records MGMT. Week 4/5 Catch-up/Grace Period Week 6-8 TOTAL TIME Max 8 Hours Note needed to explain that order could change and be streamlined – i.e. courses can be amalgamated e.g. Records Management

STRAND 1 BETTER TRAINING

In order to help Sun Life learners achieve annual compliance (and get an enjoyable training experience!), we recommend the adoption of a simple, consistent model for all compliance e-learning courses. This Instructional Design Model is based on a tried and tested learning methodology. Additionally, during the course creation process, this will allow Sun Life content experts to focus all their attention on the content, making review cycles faster and easier. Let’s see how it works.

Instructional Design Model
” This is the Sun Life ID model, designed to be simple, scalable and easy to follow Instructional Design Model ” A simple, three-step model “Tell me what I need to do” LEARN IT – The facts. The figures. What to do. What not to do. Learn what you need to learn in a fast, snappy fashion. “Let me practice doing that” WORK IT – A chance to practice and apply what you just learned. Explore a scenario. Make a decision. Learn from your mistakes and get feedback from experts. “Let me prove I’m compliant” PROVE IT – Time to walk the walk: use this assessment to demonstrate you know how to keep yourself and the business safe.

Test “Matt and James, how do we engage learners without relying on gimmicks” #1 Our audience is intelligent Establish the learners trust Emotional connection Content learners choose to view From eLearning to best web experience (it shouldn’t feel like training) Storytelling through conceptual imagery Premium magazine experience (BBC, This is a sample of a Learn It screen. In this instance the learner watches a short, snappy video telling them what the law says and what they need to do..

Test This is a sample of a Work It screen, where the user works their way through a realistic-scenario, helping them apply what they learned in the Learn It screen.

Test This is a sample of a Prove It screen, where the user now has an opportunity to prove that they know what to do. This enables Sun Life to be confident that the learner has demonstrated compliance.

Let’s take a look at some other key principles we would like to embed into the training which reflect ‘what we heard in the room’.

Learners told us they want short, punchy learning
Learners told us they want short, punchy learning. We recommend that all courses have an average duration of 30 minutes per module/content area, with topics of about 5-7 minutes each.

Users and learners told us that they want to be able to tailor content to their needs. So we recommend that localized and streamlined content should be delivered via profilers. This will help streamline content for both new and mature learners. Additionally, we strongly recommend ‘test-downs’ for learners from year 2 onwards, with refresher pieces for certain areas of learning.

We heard that training should be connected to existing initiatives
We heard that training should be connected to existing initiatives. So here we can see a screen (from a CoC concept) that shows how Sun Life’s core principles are embedded throughout. We could take this further and (perhaps via audio or video) connect training to Dean’s Four Pillars and then connect risk management to those pillars. Exact details can be determined in later design and content workshops for each learning area.

STRAND 2 BETTER GUIDANCE

Sun Life compliance training needs to go beyond the formal training event and become a business habit. To that end, the group has agreed that an Advisory Governance Group of dedicated experts should be created to help make that happen. Let’s take a closer look…

Why an Advisory Group? Why isn’t ‘good training’, good enough? 20
In its 20 plus years of experience, Interactive Services has overseen the creation and roll-out of hundreds of compliance learning solutions across dozens of industries. Whilst we all always expect a strong focus on the mechanics of creating ‘good training’, oftentimes the means by which that good training is supported can be overlooked by our clients. This can lead to what we sometimes call the ‘fire and forget’ nature of compliance training, which sees considerable energies spent on creating great training and then almost no effort in supporting it and communicating its availability, as soon as it’s loose ‘in the wild’. To put it another way, we often see what can seem like a waste of investment in training because the availability and improved quality of the training is unknown within the business. Training is often the spear point for a broader change management initiative. Our experiences tell us that as ‘guiding coalition’ of people within the business, driving excellence and communication can make that difference, ensuring that the training is known about and used, and that ROI is maximized. We recommend the creation of a ‘guiding coalition’ to help drive great training into the business at an operational level. This group will ensure that training is taken for mandatory and regulatory purposes, on time. The group will also ensure that the ‘habit’ of compliance is supported throughout the whole year and not just the formal training window.

Communications to the Business
The Advisory Group What will the group do? This group will establish an internal line of communication (e.g. group, or an online page) to allow for easy alignment across the year. This platform should have an executive owner, chosen from within the group. It’s crucial that there be a balance between frequent activity and not too overwhelming a load for group members. Group member should expect to commit a few hours a month of their time. Group Communications The group will have oversight of any required content updates for e-learning courses and work with an external vendor to oversee the creation of new e-learning materials, working to agreed instructional design principles. After that, annual reviews will be held to implement any changes arising from legislation or business needs. Individual content owners will need to be assigned. Content Governance Individual members will be assigned responsibility for business-wide communications around compliance, by using a ‘ready to go’ communications strategy as events both inside and outside the business prompt them. This ‘nudging’ is vital and the responsiveness of the content owners will be as vital. Communications to the Business The following areas will continue to need owners: Code of Conduct Financial Crime Awareness Health, Safety & Emergency Preparedness Privacy Business Continuity Planning Security Awareness and Record Management Content Owners

A core function of the Advisory Group will be taking control of the ownership of communications around compliance. The third strand of our recommendation shows you how this would work.

STRAND 3 BETTER COMMUNICATIONS

To help go beyond formal training and enable compliance as a business habit, we propose that Sun Life adapt a communications strategy with six elements. We would suggest that this communications strategy is as important as the training itself. Not only will this help re-boot the experience as a whole, we also wish to create with a campaign which ‘nudges’ the business at critical moments, helping to keep good habits on peoples minds. Let’s take a look…

Communication & Awareness Campaign
Build your culture of compliance 1. Kick-Off Campaign 2. 100% Workforce Competency 3. Compliance Is Everyday 4. Sustain the Buzz 5. Support Me In the Moment 6. Keep Me Updated Template Kit January Primary Learning January- February Intranet Banner Ad All Year Video Booster Mar/Jun/Sep/Dec Infographics and Performance Support App All Year Updates & Refreshes Calendared and Just in Time

Build your culture of compliance 1 1. Kick-Off My Campaign Template Kit Business-wide broadcast to generate buzz and re-set the business’ perception of compliance training.

Build your culture of compliance 2 2. 100% Workforce Competency Online Learning January- February (Within 60 days for new hires) Full rollout of new online learning with support from local managers

3. Compliance Is Everyday
Communication & Awareness Campaign Build your culture of compliance 3 3. Compliance Is Everyday Intranet Banner Ads All Year Selection shown on intranet, portal pages and other appropriate internal facing locations

This is an example of one of the mails sent to the business as events arise throughout the year. In this instance, we have unbolted a video from an e-learning course and embedded into a mail. Build your culture of compliance 4 4. Sustain the Buzz Video Booster Mar/Jun/Sep/Dec As required throughout the year, individual videos can be unbolted from the courses and sent to the organization when teachable moments arise or at schedule quarterly dates.

Build your culture of compliance 5 5. Support Me In the Moment Infographics and Performance Support App All Year Downloadable and easily accessible quick summaries of key subjects – perfect for agile and remote workers. Can be made available from an Sun Life intranet page or a online FAQ tool. Infographics Can be accessed online or sent via when required. Unbolted from the main CLC course. Performance Support App Can be accessed online for ‘Just in Time’ information.

Build your culture of compliance 6 6. Keep Me Updated Updates & Refreshes Timed updates to the business at key ‘danger times’ throughout the year. These should be calendared releases. Alternatively, these can also be sent as responses to events in the news.

SECTION 03 INTERACTIVE SERVICES PROPOSAL

The first real and relevant compliance learning for adults.
The Compliance Learning Centre Adaptable. Flexible. Smart. ” As we described earlier, we believe there are three strands to moving Sun Life forward with its’ compliance training offerings. The first of these is the training offering. Interactive Services is proud to present the Compliance Learning Centre (CLC) a best-in-class e-learning solution. The first real and relevant compliance learning for adults. ”

Award Winning Global Learning
CLIENT PERSONNEL OFFICE GLOBAL CLIENTS 80+ STAFF WORLDWIDE COMPLIANCE TRAINING EXPERTS Our Firm at a Glance

42 International Clients
204 Projects Completed 76 Compliance Programs 23 Languages Translated

70+ essential compliance topics Available in multiple languages
Add your story Guaranteed LMS Integration Unlimited enterprise license REDUCE LEARNING TIME REACH A GLOBAL AUDIENCE TACKLE INFO OVERLOAD KEEP CONTENT FRESH MANAGE CUSTOMIZATION GAIN STAKEHOLDER BUY-IN REWARD COMPLIANCE SUPPORT MOBILE LEARNERS UPGRADE YOUR TECHNOLOGY ENGAGE AUDIENCE

Anti-Bribery & Corruption Anti-Harassment & Discrimination
What is Anti-Bribery & Corruption? Consequences of Bribery & Corruption High Risk Activity High Risk Locations Cash, Gifts and Entertainment Tactics to Prevent Bribery & Corruption Books & Records Politically Exposed Persons Red Flag Locations Taking Action on A-B & C Anti-Harassment & Discrimination What is Harassment? What is Discrimination ? What is Retaliation? Impact of Harassment and Discrimination Laws, Protected Groups & Harassment Sexual Harassment Sexual Orientation & Gender Identity Intent vs. Perception Taking Action on H&D Information Security What is Information Security? Consequences of a Data Breach and Messaging Welcome1 is not a Password Secure Social Media Protect the Workplace Secure Out of the Office Social Engineering & Cybercrimes Taking Action on Info Security Healthcare Compliance Who Are Healthcare Providers? Interacting with Healthcare Providers Marketing Best Practices Interacting with Patients & Advocacy Groups Adverse Events Clinical Trial Transparency Got It! Taking Action Anti-Trust What is Anti-Trust? Dealing with Competitors Dealing with Customers Communication & Document Creation Taking Action on Anti-Trust Workplace Conduct What is Workplace Conduct? Bullying in the Workplace Abusive conduct Violence in the Workplace Substance Misuse Social Media Risks Taking Action on Workplace Conduct Data Privacy What is Data Privacy? Personally Identifiable Information HIPAA Basics PCI DSS Working with the Cloud Storing Data Disclosures Taking Action on Data Privacy Anti-Money Laundering What is Money Laundering? Consequences of Money Laundering Placement, Layering, Integration Tactics to Prevent Money Laundering The Money Laundering Risk Lifecycle Sanctions and Embargos Internal Reporting for AML Taking Action on AML California Expansion Pack Preventing H&D Recognizing H&D Managing H&D Ethics in the Workplace Business Ethics Gifts & Entertainment Conflicts of Interest Diversity Inclusive Workplace Inclusive Manager Taking Action on Business Ethics Insider Trading What is Insider Trading? Consequences of Insider Trading Material Non-Public Information Tipping Designations, Restrictions & Trading Windows Taking Action on Insider Trading Language Offering Brazilian Portuguese, French Canadian, German, Japanese, LATAM, Spanish , Simplified Chinese French, Italian, Polish, Russian, Spanish, Traditional Chinese Plus client specific localization support PCI DSS What is PCI DSS? Sensitive Data & Vulnerable Areas Handling & Storing Data Preventing Breaches Taking Action on PCI DSS

03 Our Legal Partner Meet Cordery Compliance CORDERY, A LEXISNEXIS BUSINESS, PROVIDES EXPERT LEGAL AND COMPLIANCE ADVICE TO MULTINATIONAL BUSINESSES. Each CLC suite is reviewed and updated annually by Cordery for: Conformity to federal, state and international legislation Legally robust nomenclature Current and upcoming regulatory changes

COMPLIANCE LEARNING ADVISORY BOARD
UBS Citi Take Two Jefferies Credit Suisse DTCC Commvault Bank of America L3 Comms Avon Bertelsmann BBH ADP Daymon PDI Sterling Bank Pernod Ricard BlackRock Crystal & Co Marsh Sonnenborn Regeneron Standard Chartered BNP Paribas Morgan Stanley Guardian Life BNY Mellon Godiva Deutsche Bank Lloyds Bank Barclays Scotiabank Credit Suisse HSBC COMPLIANCE LEARNING ADVISORY BOARD

Test EFFICIENT, ACTIVE LEARNING REAL LIFE, REAL IMAGES
MEANINGFUL INTERACTIONS ACTION FOCUSED INTUITIVE DESIGN & NAVIGATION

Test 1 EFFICIENT, ACTIVE LEARNING Go at your own pace Audio on demand
“Matt and James, how do we engage learners without relying on gimmicks” #1 Our audience is intelligent Establish the learners trust Emotional connection Content learners choose to view From eLearning to best web experience (it shouldn’t feel like training) Storytelling through conceptual imagery Premium magazine experience (BBC, Go at your own pace Audio on demand Learner driven Freedom to access information

Test REAL LIFE 2

Test MEANINGFUL INTERACTIONS 3

Test ACTION FOCUSED 4

Test INTUITIVE DESIGN 5

Test ADD YOUR BRANDING ADD YOUR COMPLIANCE LINGO ADD YOUR SCREENS
PICK YOUR TOPICS LINK TO YOUR POLICIES ADD YOUR SPEAK-UP HOTLINE LMS Integration Support Dedicated Account Manager Annual Legal Update Bi-Annual Refresh Launch kit Access to infographic library Access to compliance video library Invitation to the Advisory Board

Tier I Tier II Client Specific
Full localization including local voice over Brazilian Portuguese Cantonese French Canadian German Japanese LATAM Spanish Tier II Comprehensive text and subtitles French Italian Mandarin Polish Russian Spanish Client Specific Comprehensive text and subtitles Arabic Bengali Czech Danish Dutch Finnish Greek Hungarian Indonesia Javanese Korean Malay Norwegian Portuguese Punjabi Thai Turkish Urdu Vietnamese

Damien DeBarra Interactive Services Unit 1 Damastown Walk,
Damastown Business Park, Dublin 15, Ireland Damien DeBarra HEAD OF INSTRUCTIONAL DESIGN

APPENDIX 1 Analysis Workshop Agenda & Action Mapping Briefing

Analysis Workshop Agenda
Two day onsite Day 1 Topic Audience 9:00 – 10:15 Welcome and Introductions Workshop goals – what are we here to do? Overview Vision and Goals of the Sun Life Compliance Development Program Interactive Services – Scope of Services Senior Leaders 10:30 – 11:00 Open forum/focus group with Sun Life Group – What did they wish they knew about compliance before they started Front line, new to SLF etc. 11:00 – 1:00 Lunch and break 1:00 – 4:00 Workshop #1 Welcome and Introductions (first time meeting this group) Audience Analysis – who are we training? What is the existing training? What is the gap? Action Mapping 1: What is the business goal for Sun Life? Action Mapping 2: What are the desired behaviours/habits for Sun Life staff? (Learning outcomes) Action Mapping 3: What are realistic practice activities for those habits? Action Mapping 4: Where does the source live for those activities and the information that supports them? Modalities discussion: how do we believe this training and learning is best delivered? What infrastructure does Sun Life have to deliver it? What future state to we want? Content Owners (10 participants – ES group) 4:00 Finish Day 2 Topic Audience 9:00 – 12:00 Workshop #2 (repeat/re-cap of Workshop #1) Content Owners (5 participants – Corporate Compliance and Mark Doty) 12: :30 Lunch 12:30 – 2:00 Welcome and Intro (first time speaking with this group) (repeat) Vision and Goals of the Sun Life Compliance Development Program (repeat) Modalities discussion (repeat) Open forum with Sun Life group – sense check of initial Learner Journey ideas Executive Sponsors 2:00 – 4:30 Learning Journeys for individual roles: applying Action mapping to create a learner journey for each of Role 1, Role2, Role 3 etc. Visualizing the journey through wireframes Working Group (Business Owners - optional 4:30 Finish

We addressed four key questions. Let’s take a look at them
21 17 What is Action Mapping? A behavior-driven approach We use the Action Mapping process to help us focus on the business goals of our training product. This enables us to design a product that focuses on performance and behaviour change, rather than simple information. Action Mapping helps us identify what learners need to do, not just what they need to know. As a result it helps us map out realistic practice activities which encourage desired behaviours, helping us meet the business goal. We addressed four key questions. Let’s take a look at them

APPENDIX 2 Interactive Services Offering Costs

WORK IN PROGRESS Costs to be included after updated feedback from Sun Life Team

SUN LIFE FINANCIAL COMPLIANCE TRAINING ANALYSIS & RECOMMENDATIONS

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