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

Beginning in August 2013, the Federal Open Payments Law (also known as the Physician Payment Sunshine Act) requires pharmaceutical and medical device/supply companies to report to Centers for Medicare & Medicaid Services both direct and indirect transfers of value to certain providers and teaching hospitals. See the Office of Compliance & Risk Assurance Open Payments Law Fact Sheet for guidance and more information on this important federal law.

 

Effective July 1, 2016, the Recertification of Effort Form will be used for recertifying a previously certified effort report and certifying a delinquent effort report. The Recertification of Effort Form, which replaces the form entitled ORC Review Request (commonly referred to as a “request to recertify effort”/”RFR”), is accessible on the Financial Affairs forms webpage.

The new UAB Enterprise Conflict of Interest and Conflict of Commitment Policy is now available. Since August 2012 when this enterprise-wide policy was last updated, there have been significant changes in public expectations for transparency, research regulatory environment, and approaches UAB’s peer and aspirant peer institutions are taking to identify and manage conflicts of interest and commitment.  To respond to the current landscape, a committee of representatives from academic and administrative offices across the University and UAB Health System collaborated to review and edit the document to address these concerns and to provide greater clarity in requirements, restrictions, and processes established in this overarching governing document. The result is a new policy that:

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.

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