Richard T. John is a general practice lawyer, consultant, and businessperson located in Ithaca, NY. Professor John is a member of the Tompkins County Legislature, chair of the Public Safety Committee, and chair of the T.C. Industrial Development Agency. He has taught as an adjunct professor at the Cornell Law School for the past several years, teaching “Functions of the General Counsel” and “Compliance Systems.” Professor John served nine years as the North American General Counsel and Vice President of Compliance at Intertek, a global product and commodity testing, inspection, and certification company.
Overview and Courses
A robust compliance function will have a significant effect on an organization, positively impacting its daily operations and helping to mitigate risk. This certificate program will introduce you to the role of compliance within organizations and how it is maintained through internal rule systems.
Throughout this program, you will explore the rules of compliance and how they can be maintained sustainably for your organization. First, you will analyze the manner in which rules and policies serve an organization. Through this process, you will take away best practices on the elements of effective rule design and the use of policing techniques to ensure rules are followed. In anticipation of potential issues, you will delve into the process for investigating violations and consider the available responses to those violations. By the end of this certificate program, you will have developed an in-depth understanding of how to design, enforce, and continuously improve your own organizational compliance policies in a way that can benefit your business and your career.
The courses in this certificate program are required to be completed in the order that they appear.
Course list
Effective rule design requires you to follow a number of principles. This course will focus on those principles and guide you through the process of creating rules for your business needs. You will start by exploring the importance of clarity and simplicity in rule design and apply these skills by finding ways to make your rules more accessible and engaging. You will then acquire tools that will help you identify your audience and allow you to design rules that are relevant and clear to them. Finally, as a means of enhancing comprehension and application, you will examine design approaches to make your rules easier to implement using psychology, advertising, and visual principles. The skills you take away from this course will help ensure that you and your team are set up for success.
You are required to have completed the following course or have equivalent experience before taking this course:
- Rule Systems as Designed Systems
The value of rules depends on their implementation, and no other effort is as important to rule implementation as training. This course will explore the principles of rule training and provide you with pragmatic tools to introduce new rules into your organization. You will begin by identifying the most important elements for a successful training program, including the cost of training and potential training alternatives. You will then examine specific training modes that will help your audience internalize new rule systems and use them effectively. Finally, you will focus on presentation tactics for effective training. By the end of this course, you will have acquired useful tools and powerful techniques that will support your training efforts and help to successfully implement your rule system.
You are required to have completed the following courses or have equivalent experience before taking this course:
- Rule Systems as Designed Systems
- Rule Design
The policing of rule systems is almost as important as the rules themselves. This course will focus on selecting and designing effective policing tools to enforce your rule system. You will explore the importance of policing as a means of maintaining your rule system and you will analyze ways to make policing both impactful and sustainable for your organization. Additionally, in preparation for any concerns, you will address the issue of intentional rule breakers whose actions cannot be prevented with standard policing methods. Overall, the information you gain in this course can help assure you and your stakeholders that your rule system is dependable and sustainable for your organization.
You are required to have completed the following courses or have equivalent experience before taking this course:
- Rule Systems as Designed Systems
- Rule Design
- Rule System Training
Investigating rule violations in your organization is essential to the prevention of future violations. This course focuses on planning and conducting investigations in response to such violations.
You will determine the circumstances that necessitate an investigation and the steps required to lead one, including the development of an investigation capacity in your organization. You will then acquire and apply practical tools for effective interviewing — an extremely important source of information during an investigation. Finally, best practices for reporting your findings will support you in your compliance process. This includes preparing an effective report, determining its scope, and considering the advantages and disadvantages of publicizing it; all are tangible takeaways to support your organization in high-risk situations.
The following course is required to be completed before taking this course:
- Rule Systems as Designed Systems
Additionally, you are required to have completed the following courses or have equivalent experience before taking this course:
- Rule Design
- Rule System Training
- Policing of Rule Systems
In this course, you will consider possible responses to instances of rule violations. Using a case study format, you will review different categories of rule violations and choose the most effective response based on a process of assessment and improvement. By investigating the sources of such violations and the actions required to limit them in the future, you will take away techniques to help avoid further damage to your organization. Finally, through iteration and assessment, you will determine how to analyze your rule system, ensuring sustainability and effectiveness that benefits your organization for years to come.
The following course is required to be completed before taking this course:
- Rule Systems as Designed Systems
Additionally, you are required to have completed the following courses or have equivalent experience before taking this course:
- Rule Design
- Rule System Training
- Policing of Rule Systems
- Investigation of Rule System Violations
How It Works
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Faculty Author
Key Course Takeaways
- Map policy systems in your organization to their intended purposes and functions, and identify incongruities and failure points
- Create rules that serve their underlying purpose and are understandable to their target audiences
- Select and develop effective policing tools to monitor compliance
- Plan and conduct effective investigations in response to compliance system violations
Download a Brochure
Not ready to enroll but want to learn more? Download the certificate brochure to review program details.What You'll Earn
- Compliance Systems Certificate from Cornell Law School
- 60 Professional Development Hours (6.0 CEUs)
Watch the Video
Who Should Enroll
- HR professionals
- Compliance officers
- Finance and accounting professionals
- Health and safety managers
- Process control professionals
- Operations professionals
- Lawyers and legal professionals
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Compliance Systems
Select Payment Method | Cost |
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$3,900 | |