Designed for non-lawyers, the University of Maine School of Law’s new Certificate in Compliance addresses the needs of Maine’s business, not-for-profit, and government sectors, enabling them to navigate the modern regulatory landscape and enhance their prospects for success.

With this venture, Maine Law combines its established foundation of curricular excellence with active learning, student engagement, and hands-on application of skills and concepts.

Download the brochure.

Course Descriptions

During the academic year of 2017-2018, Maine Law offered the following courses in the Certificate in Compliance Program. Courses for the 2018-2019 academic year will be announced soon.

Instructor: Andrew Kaufman
October 13, 2017 (1:00 – 5:00 pm)
October 14, 2017 (9:00 am – 5:00 pm)

This course explores the essential principles of regulatory compliance, including its overlap with enterprise risk management and corporate culture. Participants learn the language of compliance, how to anticipate and address regulatory issues, the motivations and agendas of regulatory actors, and the structure of a successful compliance program.

Instructor: Jeff Thaler
November 3, 2017 (1:00 – 5:00 pm)
November 4, 2017 (9:00 am – 5:00 pm)

Participants consider the breadth and depth of the modern regulatory environment, developing the ability to identify statutes, regulations, and best practices that are essential to an effective compliance program. Among other topics, the curriculum includes case studies examining both legal and ethical issues.

Instructor: Ross Hickey
December 1, 2017 (1:00 – 5:00 pm)
December 2, 2017 (9:00 am – 5:00 pm)

If organizations connected to the life sciences disregard relevant regulations in health care and research, they risk fines, civil litigation, and even criminal charges. This course investigates human and animal subject research and clinical trials, HIPAA and other patient privacy rights, public health (including quarantines and vaccinations), health care system regulations such as MaineCare and Medicare, and Maine licensing rules for health care providers and residential facilities.

Instructor: Dmitry Bam
February 2, 2018 (1:00 – 5:00 pm)
February 3, 2018 (9:00 am – 5:00 pm)

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, FMLA, FLSA, and other key regulations, as well as important judicial decisions that interpret them.

Instructor: Peter Guffin
March 2, 2018 (1:00 – 5:00 pm)
March 3, 2018 (9:00 am – 5:00 pm)

The myriad state and federal regulatory regimes governing information privacy, cyber security and data breach notification raise serious compliance challenges for virtually all enterprises today. This course examines the principal regulatory, litigation, and reputational risks within these realms and offers guidance for navigating complex related compliance and ethical issues, including risk assessment tools to operationalize the compliance program.

Instructor: Dana Kerr
April 6, 2018 (1:00 – 5:00 pm)
April 7, 2018 (9:00 am – 5:00 pm)

Drawing together themes introduced in other courses, this course addresses the broader scope of the enterprise risk management (ERM) process. Specific attention is given to the distinct roles that insurance and regulatory compliance have in ERM. The regulation of insurance markets is explored, along with the influence of regulatory compliance on the operations of insurance organizations and other financial institutions.


Each course costs $1,000, and the total for the five-class certificate is $5,000. For those individuals interested in taking all six classes, the sixth course is included at no charge. For additional information, please contact or 207.780.4368.