Managing a Monitoring Plan

The following guidelines are provided to assist with managing your approved monitoring plan.

Investigator Responsibilities

Principal Investigators are required to:

a. Submit their Monitoring Plan Renewal Form 60 days prior to their renewal date.

b. Promptly report any changes to their monitoring plan at

c. Continuously submit the Exhibit B. Employee Disclosure Statement to as new students/employees are hired.

d. Adhere to high ethical standards.

e. Comply with the requirements in the approved Monitoring Plan.

Submitting Renewals

a. The employee must email the completed Monitoring Plan Renewal Form to 60 days prior to the renewal date. ORI will ensure that all required information is provided.  If the information is not complete, it shall be returned to the employee for completion.

b. Once the require form is complete, ORI shall (1) forward the Monitoring Plan Renewal Form and the Approved Original Monitoring Plan to the following persons; and (2) schedule a meeting for them to discuss the matter:

  • The employee’s Chair or supervisor (or other Department representative if deemed appropriate by ORI);
  • The representative designated by the employee’s Dean’s Office or, if the employee is from an independent center, a representative designated by the Center Director;
  • A representative from ORED.

The foregoing persons shall meet to review if the conflict continues to be managed and if so, shall extend the monitoring plan by signing the Monitoring Plan Renewal Form.

c. ORI shall also include the following personnel at the meeting, who shall attend only for the purposes listed below:

  • The employee who submitted the Monitoring Plan Renewal Form shall attend to answer questions from the meeting participants and shall be excused from the meeting when no further questions remain;
  • A representative from the Office of Technology Management and Commercialization (TMC) if the matter involves FIU intellectual property. The TMC representative shall attend the meeting only to provide information requested by the participants regarding the intellectual property at issue;
  • A legal representative (generally, Diana Firvida-Oliva) who shall attend to answer any legal questions.

d. If the monitoring plan has no changes, then ORI will issue a re-approval memorandum for the period approved by the representatives.