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 two courses that address foundational principles of compliance and enterprise risk management.  These are 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.

Available Online in 2021

Beginning with our Winter/Spring 2021 program, the courses will be delivered entirely in an asynchronous, online format.  Each course will be available for a period of 16 days, and the courses will run sequentially.  Supplementing the asynchronous presentations, participants will be invited to join periodic virtual sessions in order to get to know each other, discuss topics of common interest, and form a cohesiveness within their cohort.

Anticipated Course Offerings for Winter/Spring 2021

Professor Andrew Kaufman
Anticipated availability: January 8-24, 2021

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.

Dr. Dana Kerr
Anticipated availability: January 29 – February 14, 2021)

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, 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.

Professor Peter Guffin
Anticipated availability: February 19 – March 7, 2021

This course explores the unique compliance challenges faced by organizations in the areas of information privacy and data security.  We will examine the major regulatory and ethical frameworks governing these areas, the key risks to organizations resulting from noncompliance, and the common ways in which organizations attempt to mitigate these risks.  Participants will gain a practical understanding of how to structure and operationalize an effective compliance program in these areas.  Through small group break-out sessions, participants will be given an opportunity to work through various compliance problems utilizing tools and methodologies commonly used by organizations to operationalize privacy and data security compliance, including privacy impact assessments and data security incident risk assessments.

Vice Dean Dmitry Bam
Anticipated availability: March 12-28, 2021

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.

Assistant Provost Ross Hickey
Anticipated availability: April 16 – May 2, 2021

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, and additional material will be included on COVID-19 related topics such as clinical trials and public health research. We will also explore the topics of data management, conflict of interest, research misconduct, gene therapy, export control, and foreign influence in research, and we will examine the application of these principles more broadly to other compliance areas, as well.

Professor Dave Canarie
Anticipated availability: May 7-23, 2021

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:

  • Both foundational courses: Introduction to Compliance: Foundational Principles and Enterprise Risk Management.
  • And, at least three 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. To register for the program, please visit: http://bit.ly/melaw-compliance.

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