Florida Internatioanl University Logo. Abbreviation FIU. University Compliance & Integrity

Ethical Panther line: phone icon 1-844-312-5358

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University Compliance Program

University Ethics and Compliance Program At-A-Glance

Elements of a Successful Compliance Program Metric
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
  • 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
4. Auditing and monitoring
  • Internal and external inquiries received and investigated or forwarded for investigation to the appropriate university representative
  • Convercent reports reviewed and investigated
5. Reporting
  • Office reports to the Finance and Audit Committee of The FIU Board of Trustees at each meeting
  • University Compliance Advisory Committee presentation to Operations Committee (expected)
6. Enforcement and discipline
  • Human Resources/Academic Affairs for employee and faculty personnel matters, respectively
  • Convercent metrics; percentage of reports and resolution
7. Response and prevention
  • Corrective action plans developed in situations where there is an incident that must be remediated in the event of IT security/privacy incidents
  • Review of Conflict of Interest reports filed on the OA/COI portal
  • More in depth review of Convercent cases
8. Risk Assessment
  • Next phase, in depth analysis/assessment per high risk subject matter area(s) with input from the University Compliance Advisory Committee
  • Adoption of enterprise risk management as a tool to conduct these assessments