Ethics Hotline Report Review & Investigation Process


UAB follows this administrative process in reviewing reports made through the Ethics Hotline: 

  1. When a report is received by UAB, a case manager from either the Office of General Counsel, Office of Internal Audit, or University Compliance Office is assigned to the report.  The case manager reviews the facts.  In some cases, the individual's concerns can be addressed by referring him or her to applicable laws, regulations, grant requirements, or university policies and, as such, will not warrant further investigation.
  2. If the fact-finding process reveals there is sufficient information to proceed with an ethics review, the case manager then assigns the report to a lead rviewer within the appropriate functional area.  The functional area to which the matter is assigned is based on location and type of the incident reported.  Functional areas include:  Human Resources, Office of the Provost, Financial Affairs, Research, and Student Affairs, as well as the University Compliance Office and the compliance offices within the UAB health-related entities.  Most issues relating to faculty are assigned to the Office of the Provost.
  3. The lead reviewer notifies and interviews the appropriate persons who are in positions to be knowledgeable about the issue. 
  4. Once the ethics review is complete, the lead reviewer presents the findings to the case manager.  Outcomes of the review may include no required action, disciplinary action, training, and/or other actions.  The case manager and lead reviewer ensure that any recommended actions are implemented.

UAB recognizes the importance of balancing the need to arrive at the truth with respectful consideration of the confidentiality and/or anonymity of the parties involved.  Every attempt will be made by the reviewers to be attentive to those considerations in the course of an ethics review.  Therefore, if you are asked to participate in a review, you should be open and truthful in answering any questions, cooperate fully, and respect the privacy of the matter by not discussing it with others, unless as directed by the reviewer.  You may also be asked to assist in developing and implementing corrective actions.  Any questions you may have as a participant in an ethics review may be directed to the University Compliance Office.