Compliance
SystemsCornell Certificate Program

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