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London December 2005

DRAFT – NOT DISTRIBUTED. DS SOX404 Embedding Introduction to Knowledge Transfer and Training. London December 2005. SOX404 Knowledge Transfer & Training…. …is the term given to the process which provides a structured framework to ensure that all SOX404 stakeholders are identified and

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London December 2005

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  1. DRAFT – NOT DISTRIBUTED DS SOX404 Embedding Introduction to Knowledge Transfer and Training London December 2005

  2. SOX404 Knowledge Transfer & Training… …is the term given to the process which provides a structured framework to ensure that all SOX404 stakeholders are identified and • are equipped with the appropriate skills and subject-matterexpertise • have on-going access to supporting tools and processes to enable effective, sustainable and continual SOX404 compliance KT&T is not… • A one-off exercise. KT&T is an evolving process which requires: continual review for appropriateness, constant reinforcement for effectiveness and regular monitoring for success. • Just a set of training courses. Although training courses are an integral part of KT&T to develop skills, they do not in themselves ensure competencies are built and embedded into the organisation. • Stand-alone. KT&T needs to be fully integrated into end-to-end operating activities and is dependent on the appropriate architecture (structure and processes) being in place.

  3. Generic AoO KT&T Guidelines and Deliverables Identify Stakeholders Identify required SOX404 Skills Develop & Roll Out Training Strategy Customised AoO KT&T Requirements & Deliverables Monitor Update Share Match SOX404 Methodology Skill gaps to Training Programmes Match SOX404 Business Knowledge gaps to Project team/SME knowledge Develop & Roll Out Knowledge Transfer Strategy SOX404 Knowledge Transfer & Training: Process A high-level process has been developed to assist Embedding Focal Point’s in developing fit-for-purpose KT&T requirements and delivering against these to support the embedding efforts to date Supporting Templates

  4. Understand training needs (SOX404 and related) WHAT • Match existing training programmes to stakeholder skill requirements • Identify skill gaps for which no existing training exists INPUTS • Schedule of Training Programmes OUTPUTS • Completion of Stakeholder Analysis* template • Completion of Request for New Training* form Generic AoO KT&T Guidelines and Deliverables Identify Stakeholders Identify required SOX404 Skills Develop & Roll Out Training Strategy Customised AoO KT&T Requirements Monitor Update Share Match SOX404 Methodology Skill gaps to Training Programmes Match SOX404 Business Knowledge gaps to Project team/SME knowledge Develop & Roll Out Knowledge Transfer Strategy SOX404 KT&T Process… Match SOX404 Methodology Skill gaps to Training Programmes Develop & Roll Out Training Strategy • Training Material • Level of Customisation • Delivery Method • Classroom/Interactive • Net-meeting/Web-based • Required Resources • Centrally provided • Train-the-trainer • Local SME/Project • Timeline with Synergies • Other AoOs/Businesses • Annual SOX Cycle • High priority/demand • On-going Support • Tools/Processes Identify required SOX404 Skills Identify Stakeholders Prepare Stakeholder Analysis Identify Requirements & Gaps WHAT • Transition Organisation Positions - SOX404 activities converted into roles • Wider-business targets • New recruits (future on-boarding) INPUTS • RASCI Charts • Resourcing Plan • Control Registers OUTPUTS • Completion of Stakeholder Analysis* template WHAT • Classify stakeholders with common skill requirements • Identify and address skill-gaps • Consider related skill gaps (i.e.risks & controls) INPUTS • RASCI Charts • Resourcing Plan OUTPUTS • Completion of Stakeholder Analysis* template Match SOX404 Business Knowledge gaps to Project team/SME knowledge Develop & Roll Out Knowledge Transfer Strategy • Presentation Material • Content • Engagement Sessions • Interactive Classroom • One-2-One • Required Resources • Facilitator • Local SME • Timeline • Project team roll-off • High priority/demand Understand SOX404 Business Knowledge needs WHAT • Identify critical knowledge • Identify where existing body of knowledge (information, subject matter, tools) resides • Match existing body of knowledge to stakeholders INPUTS • Project Team • Control Registers • Guidance on Knowledge Retention OUTPUTS • Completion of Stakeholder Analysis* template • Completion of Knowledge Retention* form *To be provided

  5. SOX404 Knowledge Transfer & Training: Responsibilities DS SOX404 Embedding KT&T Lead will… • Provide guidance to AoO Embedding Focal points for KT&T: toolkit/templates, engagement sessions • Co-ordinate and consolidate AoO Training strategies (timelines/requirements) to ensure maximum synergy across DS • Liase with Central SOX404 Training team to ensure DS requirements/issues are escalated/addressed in a timely manner and Central requirements are cascaded/delivered • Ensure DS learnings are shared across all AoOs and minimal duplication of effort. • Distribute Centrally provided information to ensure EFP’s are well-informed regarding other the activities and progress of both the Central team and other Businesses DS SOX404 Embedding Focal Points will… • Advise KT&T Lead of all locally developed/customised SOX404 training programmes to enable effective sharing across DS • Complete Stakeholder Analysis templates to provide structured framework for KT&T and ensure completeness • Complete Training Strategy to enable KT&T Lead to fully understand AoO requirements/timetables and obtain a complete overview to ensure maximum synergy (main source of input into a consolidated plan for Central team) • Complete Knowledge Transfer strategy to ensure effective and efficient transfer of knowledge from Project/Other SME into DS Business Central SOX404 Training Team will… • Integrate DS training requirements with wider-Shell training requirements and roll out programmes accordingly • Provide appropriate resources to deliver and facilitate Knowledge Transfer and Training sessions as required • Provide resources to assist with customisation/development of training programmes for which high demand exists • Steer the development and roll out of web-based training • Take overall responsibility for SOX404 Training programmes for on-going Business needs • Develop GRA competencies to ensure training programmes are complete and required skill-sets developed.

  6. SOX404 Knowledge Transfer & Training: Next Steps • Dedicated KT&T Lead to be appointed • KT&T Lead will deliver a detailed toolkit/templates to DS EFPs: • Deliverables, Instructions and Timeline • Stakeholder Analysis template (with up-to-date training programmes) • Knowledge Retention guidelines and template • Request for New Training form • Strawman for Training and Knowledge Transfer Strategies • EFP’s undertake deliverables based on local AoO requirements (NB resource plan is critical to determining timelines and priorities • KT&T lead will co-ordinate activities and deliverables and provide central support

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