Designed for non-lawyers, Maine Law’s Compliance Certificate Program, stresses skill building for compliance professionals.

The individual courses in the program provide “envelopes” for delivering the skill building and development components and are designed to give participants hands-on experience in the various tasks expected of compliance professionals. In addition to the introductory course and a course addressing Enterprise Risk Management, other courses will address a variety of topics relevant to important sectors of Maine’s business, not-for-profit, and government communities.


Course Offerings

Instructor: Andrew Kaufman
Fall Presentation: September 19, 2019 (4:00 – 8:00 pm), September 20, 2019 (9:00 am – 5:00 pm)
Winter Presentation: January 16, 2020 (4:00 – 8:00 pm), January 17, 2020 (9:00 am – 5:00 pm)

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.

Instructor: Dana Kerr
October 3, 2019 (4 hours, late afternoon/evening), October 4, 2019 (8 hours, all day)
Specific times for each course to be announced.

The second of our two foundational courses, this class addresses the broader scope of enterprise risk management (ERM). Specific attention is given to the vocabulary, concepts, and methodology underlying ERM, various approaches to risk identification, measurement, and mitigation, and the distinct roles that insurance and 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.

Instructor: Peter Guffin
October 24, 2019 (4 hours, late afternoon/evening), October 25, 2019 (8 hours, all day)
Specific times for each course to be announced.

The myriad state, federal, and foreign regimes governing information privacy, cyber security, and data breach notification raise serious compliance challenges for virtually all organizations today. This course examines the principal regulatory, litigation, innovation, competitor, reputational, and other risks within these realms and offers practical skills and guidance for mitigating these risks and navigating complex related compliance and ethical issues. Participants will gain understanding and knowledge about how to build and implement a compliance program (including defining roles and responsibilities and drafting documentation), the compliance challenges in this area, and the major tools and methodologies used to operationalize the compliance program, including privacy impact assessments, security incident risk assessments, privacy by design, and privacy by default.

Instructor: Ross Hickey
February November 14, 2019 (4 hours, late afternoon/evening), November 15, 2019 (8 hours, all day)
Specific times for each course to be announced.

If organizations connected to the life sciences disregard relevant regulations and other compliance requirements in health care and research, they risk fines, civil litigation, and even criminal charges. Focusing primarily on the compliance challenges posed by human and animal subject research and clinical trials, time permitting we will also explore compliance considerations relevant to health care more broadly, including HIPAA and other patient privacy rights, and public health considerations including quarantines and vaccinations.

Instructor: Michele Pfannenstiel
December 5, 2019 (4 hours, late afternoon/evening), December 6, 2019 (8 hours, all day)
Specific times for each course to be announced.

Course description coming soon.

Instructor: Interim Dean Dmitry Bam
January 23, 2020 (4 hours, late afternoon/evening), January 24, 2020 (8 hours, all day)
Specific times for each course to be announced.

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. We will focus in particular on structuring appropriate compliance strategies and initiatives for addressing the nuances and often competing interests presented by these topics.

Instructor: David Chesney
February 13, 2020 (4 hours, late afternoon/evening), February 14, 2020 (8 hours, all day)
Specific times for each course to be announced.

Course description coming soon.

Instructor: Dave Canarie
March 5, 2020 (4 hours, late afternoon/evening), March 6, 2020 (8 hours, all day)
Specific times for each course to be announced.

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 considerations and offer practical strategies for navigating this complex area using case studies and hands on exercises


Attendees may register for any number of courses, which cost $1,000 each. Completion of at least five courses (including the introductory course) is required for the certificate. Each course will be presented live.

For additional information, please contact or 207.780.4368.


Classes will be held in Payson Smith Hall (Room 41), University of Southern Maine, 96 Falmouth Street, Portland.