UAB is committed to conducting its affairs in ways that promote mutual trust and public confidence. All members of the UAB community are expected to sustain the highest ethical standards in all activities and interactions and to integrate UAB values of integrity, respect, service, and collaboration into teaching, research, patient care, and business services.

Renamed in 2010, the University Compliance Office manages UAB's Compliance Program, which serves as the framework for identifying areas of risk, addressing concerns, and measuring results. Specific benefits of UAB's Compliance Program include:

Enhancing coordination, consistency, efficiency, and effectiveness by providing an institutional perspective of the University's specific compliance assurance activities
Reducing risks of non-compliance, as well as potential penalties, by meeting the Federal Sentencing Guidelines' criteria for an effective compliance program
Providing continuous management advisory services and support regarding compliance assurance activities, using a risk-based approach
Providing a consolidated resource for compliance information and guidance for the UAB community
Conducting compliance reviews and recommending plans for improving internal controls, like policies, procedures, processes, or actions
Supporting the UAB Ethics Hotline for the reporting of ethical concerns

University Compliance Office staff are eager to help departments, programs, and other community members enhance UAB's strong ethical culture. Please contact us for more information on how we can help you reach your goals.

News

Guidance for receipt of seasonal gifts under the 2010 Alabama Ethics Law amendments

During this time of holiday sharing, it is important for UAB employees to remember that Alabama law restricts gifts they may receive. The 2010 amendments to the Alabama Ethics Law make no exception for seasonal gifts. However, items of de minimis value – such as greeting cards, plaques or other items intended solely for presentation, promotional items commonly distributed to the general public, and items that have no resale value or value to others – are permissible under state law. Holiday treats like fruit baskets, cookies, or candy are also considered to be of de minimis value and are allowed if they are shared among department colleagues or visitors. Before you accept a personal holiday gift from a vendor or a business partner, determine whether it is allowed by state ethics law and whether your school or unit has a specific policy that places additional restrictions on receipt of gifts (e.g., School of Medicine Guidelines for Relationships with Industry limiting all promotional gifts without regard to de minimis value). If a seasonal gift is not acceptable, consider returning it to the donor, paying the donor market value for it, or giving it to an appropriate charity through the UAB Benevolent Fund.

The UAB Enterprise Risk Council has approved the new UAB Enterprise Code of Conduct with an effective date of October 1, 2011. The code is designed as a tool to help guide ethical decision-making by UAB community members in the UAB Enterprise - including the University, UAB Medicine, and UAB foundations, alumni associations, and operating organizations. The UAB Enterprise Code of Conduct does NOT represent a change in policy or a response to a particular problem or set of circumstances. Rather, it expands on and combines the Research Code of Conduct, in place in the University for a number of years, with the various codes of conduct of UAB's health-related entities.

University faculty and staff will be learning more about the UAB Enterprise Code of Conduct from leadership in the coming months. For more information, visit the Code of Conduct.