Launched by Maine Law in 2017, the Certificate in Compliance is designed to develop fundamental and transferable compliance skills for both experienced compliance professionals and for newcomers in this critically important field. Our innovative programming is enhanced by a partnership with the University of Maine Graduate and Professional Center and the Maine Regulatory Training and Ethics Center (MeRTEC).

This non-J.D. program begins with an introductory course that addresses foundational principles of compliance and risk management. This course is followed by additional courses which focus on timely topics relevant to virtually all businesses and other organizations. The courses are designed to give participants hands-on experience in the various tasks expected of compliance professionals.

Courses Available Entirely Online

Courses in the Compliance program are entirely online. Students complete work asynchronously on our learning platform and have the opportunity to attend a one-hour weekly web conference session so that they can interact with their instructor and fellow learners in real time.

Anticipated Course Offerings

The program will begin again in January 2022. Dates for specific courses will be announced soon.

Professor Andrew Kaufman

This introductory course explores the foundational principles of compliance: what are the sources of compliance requirements; where are the requirements found; what behavior satisfies “compliance;” and how do compliance personnel motivate compliant behavior throughout their organization. Participants will examine the language of compliance, how to anticipate and address various compliance issues, the motivations and agendas of the various actors and actresses on the compliance stage, and the structure and elements of a successful compliance program.

Vice Dean Dmitry Bam

This course covers employment statutes and regulations relevant not only to HR and compliance professionals, but to any employer or employee seeking a basic understanding of the increasingly complex legal framework governing the workplace. Topics include the formation and termination of the employment relationship, discrimination in the workplace, the ADA and its accommodation requirements, sexual harassment, retaliation, and other key statutes and regulations, as well as important judicial decisions that interpret them. We will look at a number of problems and exercises, focusing in particular on structuring appropriate compliance strategies and initiatives for addressing the nuances and often competing interests presented by these topics.

Professor Peter Guffin

This course will introduce you to the challenging and fast evolving world of information privacy and data security compliance.  It is designed to provide you with a general understanding of the nature of privacy rights, the major sources of privacy law, and the fair information practices (FIPs).  In the course we will examine the key considerations and activities involved in building and implementing an information privacy program, including the key tasks performed by compliance professionals.  We also will explore some of the current, real-life challenges facing organizations in the digital age, including the rise of Big Data and proliferation of AI technologies.  Finally, participants will have an opportunity to work through various privacy compliance problems utilizing tools and methodologies commonly used by organizations.

Dr. Dana Kerr

This class addresses the broader scope of enterprise risk management (ERM). Specific attention is given to the vocabulary, concepts, and methodology underlying ERM, including the various approaches to risk identification, measurement, mitigation, implementation, and monitoring. Participants will develop a deeper understanding of the distinct roles that insurance and compliance have in ERM and how successful compliance programs are incorporated into a strategic risk management context.

Assistant Provost Ross Hickey

Institutions and other organizations which disregard relevant regulations and fail to comply with applicable requirements risk financial and reputational damage, fines, civil litigation, and even criminal charges. This is particularly the case for research institutions and other organizations conducting research.  This course will focus primarily on the compliance challenges posed in human and animal subject research. We will also explore the topics of data management, conflict of interest, research misconduct, gene therapy, export control, and foreign influence in research. We will examine the application of these principles more broadly to other compliance areas, as well.

Professor Jim Foorman

In their work, compliance professionals must be alert to the possibility of various types of corruption and corrupt practices.  These may occur within the organization or among its counterparties and constituents.  This course will cover some of the most prevalent kinds.  These include bribery, commercial bribery, money laundering, fraud, and conflicts of interest.  In addition, we’ll cover policies and procedures intended to detect and deflect risky practices.  We’ll also look at the dynamics of internal investigations.  The course will address compliance problems that arise across a range of industries, firms, and governmental agencies. We will look at practical difficulties that arise, as well as provide some insights into applicable legal and regulatory regimes and their enforcement processes.

Professor Dave Canarie

Contracting can create value and opportunities for all parties to a contract, but contract procurement, formation, management, and administration present countless challenges for compliance personnel in both the public and private sectors. This course will explore the fundamentals of contract formation, management, and administration from a compliance perspective. In addition, it will consider pre-solicitation requirements, the role of various stakeholders, due diligence, contract award, collateral policies and procedures, as well as the role of technology in contracting and contract management. At each stage of the process the course will highlight compliance and ethical and social justice considerations and offer practical strategies for navigating this complex area using case studies and hands on exercises.

Certificate Requirements

To earn the Certificate, participants must complete the foundational course (Introduction to Compliance: Foundational Principles) and at least four additional courses.

Participants may take individual courses without pursuing the Certificate. Participants who begin but do not complete the Certificate requirements this program year may complete their requirements in the immediately succeeding program year.

Cost and Registration

The cost to earn the Certificate is $3,000, and for each individual course is $600. Participants who have completed the five courses required to earn the Certificate may take any remaining courses in their program year at no additional cost. Register for courses.

If you have any questions, please contact mainelawcertificate@maine.edu or 207.780.4368.