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.
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
Key Course Takeaways
- Determine whether an investigation is necessary and what steps are required to conduct an investigation
- Acquire and apply practical tools for effective interviewing
- Determine what should be included in an investigative report and apply useful methods to prepare it
How It Works
Who Should Enroll
- HR professionals
- Compliance officers
- Finance and accounting professionals
- Health and safety managers
- Process control professionals
- Operations professionals
- Lawyers and legal professionals