Office of Research Compliance

UAB has a strong and abiding commitment to ensure that its research affairs are conducted in accordance with all applicable laws and regulations. Its research compliance efforts are designed to establish a culture that promotes ethical research practice and operates to prevent, detect, and resolve instances of conduct that do not conform to research-related federal and state laws and regulations. Compliance in these areas is challenging because the statutory and regulatory requirements governing such research practice issues are complex and changing. To underscore and enhance its commitment and to better assist all employees, including physicians and other healthcare providers, UAB has formed an Office of Research Compliance. The following individuals staff the office:

· Research Compliance Officer, Samuel Tilden, MD, JD, LLM

· Research Compliance Manager, Carolyn P. Whitmire, MBA

· Research Compliance Specialist, Lou Ann Faulkner

· Research Compliance Specialist, James E. Pockstaller, MAc, CPA, JD

· Research Compliance Specialist, Candy Cleveland

· Office Associate, Amy Cook

The Research Compliance office performs education and training, internal monitoring and auditing, and investigations. In order to enhance communications between the University community and this office, the Office maintains a confidential hotline (975-5600). It allows individuals an outlet to express concerns about the manner in which research and the administration of research is conducted at UAB. Use of this communication mechanism gives UAB an opportunity to proactively assist investigators in the development of systems and procedures that comply with federal, state and local regulations, as well as internal UAB policy. Individuals may bring forth questions or report issues of concern about research-related conduct that may be unethical or may potentially or actually violate federal or state laws and/or regulations.

The Research Compliance Office currently reports to Mr. Richard Margison, Vice President of Finance in Central Administration, and Sarah Morgan, MD, RD, who joined the administrative staff of the School of Medicine in 2001 to serve as Associate Dean for Research Compliance for the School of Medicine. Additionally, the UAB Committee for Oversight of Research Compliance (CORC), a UAB-wide committee appointed by the President, provides oversight of the Research Compliance Program. Ongoing activities for the Office include:

· monitoring and auditing effort reports,

· analysis of delinquent effort reports,

· monitoring and auditing clinical trials billing, and

· participating in the development of an electronic clinical trial management process.

In addition, the Office conducts risk assessments and assists with policy development.

The Office of Research Compliance web site contains information on educational offerings, recent developments in research compliance, and guidance documents related to research at UAB. It is accessible from the UAB home page, by clicking on Compliance under the Research heading. The site can also be accessed by clicking here.

Approved by: Sarah Morgan, MD, MS, RD, FADA, FACP, Associate Dean for Research Compliance

Date: October 9, 2007

Click here to return to the SOM Research Web Site's home page.