Challenged by regulatory ‘minefield’? New Maine Law certificate program might help


Courtesy / University of Maine School of Law
Courtesy / University of Maine School of Law
Andrew Kaufman, an experienced lawyer and Maine Law professor, will direct the new certificate program in regulatory compliance launched by the University of Maine School of Law this fall.

Sidebar: Course descriptions

Here are the courses being offered:

Regulatory compliance: An introduction and overview

Instructor: Andrew Kaufman

Oct. 13-14

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.

Administrative law and regulation: A foundation for compliance

Instructor: Jeff Thaler

Nov. 3-4

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.

Regulatory compliance in health care and research

Instructor: Ross Hickey

Dec. 1-2

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, including 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.

Employment and human resources

Instructor: Dmitry Bam

Feb. 2-3, 2018

This course covers various employment statutes and regulations relevant not only to HR and compliance professionals, but to any employer and employee seeking a basic understanding of the increasingly complex legal framework governing the workplace. Topics will include the formation and termination of the employment relationship, discrimination in the workplace, the Americans with Disabilities Act and its accommodation requirements, sexual harassment, Family and Medical Leave Act, Fair Labor Standards Act, and other key statutes and regulations, as well as important judicial decisions that interpret them.

Information governance: Privacy and cybersecurity

Instructor: Peter Guffin

March 2-3, 2018

The myriad state and federal regulatory regimes governing information privacy, cybersecurity 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.

Regulatory compliance in risk management and insurance

Instructor: Dana Kerr

April 6-7, 2018

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


A new certificate program in regulatory compliance launched by the University of Maine School of Law this fall will help non-lawyer professionals at businesses, nonprofits and government agencies across Maine navigate the regulatory minefield in such areas as finance, health care, environment and energy.
Maine Law’s innovative program — created in response to a growing need in Maine’s business community — is the first of its kind in the state and one of the few such programs in the nation offered by a law school to non-lawyers. It is designed to meet the needs of executives and managers overseeing compliance and risk management functions, entrepreneurs and small business owners — essentially, anyone responsible for monitoring and complying with new laws and regulations applicable to their organizations.
“Regulatory requirements continue to proliferate in volume and complexity and no organization in the state is immune,” said Andrew Kaufman, an experienced lawyer and Maine Law professor who is directing the program and will teach the introductory course on regulatory compliance on Oct. 13-14. 
“This new program provides Maine business and industry, both large and small, with a convenient and thorough way to learn about the regulatory pitfalls and develop effective compliance programs that protect their organizations,” he said in a news release. “Because the courses will be presented locally, organizations will no longer need to send managers out of state or bring in private consultants for compliance training.”

The initial slate of weekend courses for the 2017-18 year is designed for limited enrollment to enhance a small and collaborative learning environment. For more information or to apply, visit the program’s website here.  Maine Law plans to expand the program in the future by increasing class size and offering online courses to accommodate professionals in more remote areas of the state and around the country.
The certificate program consists of six intensive two-day weekend courses (1 p.m. to 5 p.m. on Fridays and 9 a.m. to 5 p.m. on Saturdays), with three courses offered in the fall (October, November and December) and three more in the spring (February, March and April). All courses will be held at the University of Maine School of Law, located at 246 Deering Ave. in Portland. Certification requires completion of five of the six courses. The cost is $1,000 per course.

The courses will be led by an experienced slate of instructors drawn from the faculties of Maine Law, the University of Southern Maine and from private practice. In addition to Kaufman, the instructors include Jeff Thaler, Ross Hickey, Dmitry Bam, Peter Guffin and Dana Kerr.
The instructors are taking an interactive approach, combining lectures with case studies examining legal and ethical issues and simulations to encourage attendees to interact and learn from one another and the situations they face.
Topics covered include compliance and regulatory issues related to health care and research, privacy and cyber security, employment and human resources, enterprise risk management and insurance, and administrative law.
Attendees will be taught to think proactively and preventively about compliance, Kaufman said.
Those who complete the certificate program will learn:

  • The foundations, principles, and language of regulatory compliance
  • The structure and operation of an effective compliance program
  • The role of compliance programs and principles in overall enterprise risk management
  • How to align a compliance program with the overall vision, mission, and goals of an organization — an alignment that is essential to the success of any compliance program.
“Noncompliance can threaten the success and the very survival of an organization and put its personnel at risk for civil and even criminal sanctions,” Kaufman said. “So we felt it was important to offer this program to help organizations develop compliance programs that allow them to navigate the regulatory minefield and actually enhance their prospects for success.”
The certificate program is made possible through a partnership with the University of Southern Maine’s Office of Research Integrity and Outreach and the Center for Technology Enhanced Learning and corporate sponsors UNUM and WEX.