Compliance Management at FLI

At the FLI, adherence to rule conformity in all processes and activities is strictly observed. To be able to comprehensively consider and check all relevant questions and problem statements, a Compliance Management System (CMS) was established in October 2018.

Research-related compliance areas include:

• Integrity of Research

• Animal Keeping

• Animal Welfare

• Data Protection/Information Security

• Biosafety

• Radiation Protection

• Occupational Safety

• Equal Opportunities/Family/Diversity

• Occupational Health Management

In addition to the established compliance areas, there is a supplementary area called "Further Legal and Procedural Questions" that encompasses topics not relevant to the other areas.

The activities within the compliance areas are subject to comprehensive legal requirements, regulatory ordinances, or internal company agreements.

Each compliance area is overseen by a compliance expert who instructs, trains, and advises employees. For the area of "further legal and procedural questions", experts are appointed on a case-by-case and topic-specific basis.

The compliance team is in continuous exchange with the compliance experts and meets regularly or on a case-by-case basis at the invitation of the compliance coordinator.

The FLI's Board participates in the compliance team's meetings. The compliance team submits a confidential compliance report to the FLI's management board every year.

The goals of the CMS

• To establish an organizational structure to capture all research-relevant processes and ensure their rule-conformant implementation ("Compliance").

• To create a superior controlling structure to ensure the rule-conformant implementation of all research-relevant processes.

• To establish a superior controlling structure to optimize all processes and measures to ensure rule-conformant research activities.

• To establish a responsible body (Compliance Team) that motivates all FLI employees to maximize their attention and participation in realizing rule-conformant actions and qualifies them through further employee training.

• To directly involve the institute's management in all aspects of securing rule-conformant research activities.

• To provide a documentation system to record all compliance measures of the FLI (reporting system).

• To establish a structure for education and communication on all compliance topics, targeted at the internal relationship (FLI employees), external presentation (public relations), and regarding reporting to supervisory bodies.