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

The following courses were offered during Fall 2018 and Spring 2019. The course offerings for the next academic year will be announced soon.

Instructor: Andrew Kaufman
Fall Presentation: October 5, 2018 (9:00 am – 5:00 pm), October 6, 2018 (9:00 am – 1:00 pm)
Winter Presentation: January 18, 2019 (9:00 am – 5:00 pm), January 19, 2019 (9:00 am – 1:00 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 19, 2018 (9:00 am – 5:00 pm), October 20, 2018 (9:00 am – 1:00 pm)

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: Thomas Brems
November 2, 2018 (9:00 am – 5:00 pm), November 3, 2018 (9:00 am – 1:00 pm)

The import and export of goods and services present a myriad of legal considerations and regulatory compliance requirements, as well as other practical business and logistical challenges. Established on a framework of international trade laws and treaties, as implemented by various regulatory agencies, this course will navigate the import/export process from origin to destination with a practical approach to strategizing and implementing effective compliance programs and will provide participants the opportunity to learn important and readily-transferable compliance methodologies and skills. Participants in this course will gain experience in researching, navigating, and communicating the requirements of importing or exporting a particular good or service.

Instructor: Associate Dean Dmitry Bam
November 30, 2018 (9:00 am – 5:00 pm), December 1, 2018 (9:00 am – 1:00 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. 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: Peter Guffin
February 1, 2019 (9:00 am – 5:00 pm), February 2, 2019 (9:00 am – 1:00 pm)

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: Dean Danielle Conway
March 1, 2019 (9:00 am – 5:00 pm), March 2, 2019 (9:00 am – 1:00 pm)

Procurement programs and procedures present countless challenges for compliance personnel. This course will explore the fundamentals of contract formation and contract administration from a compliance perspective, including pre-solicitation requirements, contract award, collateral policies and procedures relevant to contractors and procurement officers, protests and claims, and ethical considerations (including issues of fraud and conflicts of interest), and will offer practical strategies for navigating this complex area. While these issues are often identified with government procurement and contract programs, they permeate the private sector as well.

Instructor: Ross Hickey
April 5, 2019 (9:00 am – 5:00 pm), April 6, 2019 (9:00 am – 1:00 pm)

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.


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. The final two courses will also be offered online.

For additional information, please contact or 207.780.4368.