University Compliance & Ethics Program
University Ethics and Compliance Program At-A-Glance
1. Standards and Procedures
- University Policies and Procedures Library
- Report on status of new, revised, or transitioned policies and procedures in the Policies and Procedures Library according to the Policy Framework.
- University Regulations maintained by the Office of the General Counsel
2. Oversight and Exercise of due diligence
- Report of the Office of University Compliance & Integrity to the Board of Trustees
- Internal reports and meetings with compliance functions throughout the University following a “matrix” reporting model
3. Education and training
- Continuous education and training in areas such as conflict of interest, ethics, export controls, identity theft, HIPAA, as well as other regulated areas by offices including, Athletics, Environmental Health & Safety, IT Security Office, Office of the General Counsel, and Division of Research
- University Ethics and Compliance Program training is hosted by FIU Develop (powered by Canvas)
4. Auditing and monitoring
- Internal and external inquiries are received and investigated or forwarded for investigation to the appropriate university representative
- Ethical Panther Line reports reviewed and investigated
5. Reporting
- Office reports to the Compliance and Audit Committee of The FIU Board of Trustees at each meeting
- Collaboration and communication with the University’s President and other executive leaders
6. Enforcement and discipline
- Human Resources/Academic Affairs for employee and faculty personnel matters, respectively
- Ethical Panther Line metrics; percentage of reports and resolution are communicated to University partners
7. Response and prevention
- Corrective action plans developed in situations where there is an incident that must be re-mediated
- More in depth review of Ethical Panther Line cases
8. Risk Assessment
- In depth analysis/assessment per high risk subject matter area(s) with input from the University Compliance Liaisons
- Adoption of an enterprise risk management program which includes collaboration with the Office of Internal Audit