Compliance 411 is a quarterly newsletter published by the University Compliance Office.  We welcome suggestions and feedback from the UAB community.  Please e-mail compliance@uab.edu to contact us or join the newsletter distribution list.

Objectives of Compliance 411 are:

  • To raise awareness,
  • To communicate important developments, and
  • To foster transparency.
Click on a link below to access a pdf of Compliance 411:

This edition focuses on areas for greater transparency as determined by UAB’s Productive International Partnerships Taskforce and on Information Governance and Data Security, including the personal responsibility of all UAB faculty and staff to use confidential and restricted information responsibly. Specific topics include promoting productive international partnerships; how complete Other Support information demonstrates commitment to transparency; faculty appointments at outside institutions; the requirement for new employees to disclose existing intellectual property; data security requirements for international travelers; and the revised Student Conduct Code, which takes effect on January 2, 2020, and lab safety over the holidays.

August 2019:
As we continue our series on management of risks associated with UAB activities as prioritized by the President's Risk Cabinet, this issue of Compliance 411 highlights INTEGRITY.  The University has focused attention and resources on integrity through new risk mitigation activities surrounding the UAB Academic Honor Code and Responsible Conduct of Research. Specific topics in this issue include the work of the Academic Misconduct Policy Review Committee; an update on the NIH sexual harassment reporting requirement; Dept. of Justice guidance on what makes a robust compliance program; work of the Comprehensive Conflict of Interest Committee; and a guide for UAB researchers on protecting research data and IP from foreign interference.

In this issue, you will find articles on one of several President’s Risk Cabinet strategic risk management priorities, Sponsored Programs & Grant Management, and the personal responsibility of all UAB faculty and staff to safeguard and accurately account for UAB resources. Specific topics include steps UAB community members can take immediately to protect U.S. biomedical research; NIH and NSF harassment reporting requirements; compliance monitoring focused on effort reporting and subrecipient agreements; UAB’s Data Reduction Initiative and how to remove, redact, or replace SSNs; UAB’s Visiting International Scholars and Scientists Taskforce; and the uupcoming revision of the Indirect Cost Reimbursement Policy.

November 2018:

This issue will focus on the personal responsibility of UAB faculty and staff to acknowledge and appropriately manage conflicts of interest and conflicts of commitment. Topics include compliance with Alabama Ethics Law and related UAB policies; requirements for professional service outside of UAB employment; and other subjects such as appropriate records management, UAB’s proposed policy on closed-circuit television cameras, and when to apply export controls. 

June 2018:

Key topics are data security and context-based access; UAB’s Student Records Policy, FERPA, and responsible student records management; Export Control Advisory Group risk assessment refresh; Title IX response guidance for responsible UAB employees; benefits and responsibilities of the practice of academic freedom; and UAB’s Code of Conduct standard of responsible stewardship of information & data.

Winter 2018:

Key topics are records management, the University's risk mitigation process, UAB's taskforce on visiting international scientists and scholars, new Single IRB sponsor requirements, sponsored research enforcement areas, policy governance, and RCR training for undergraduates.

Fall 2017:

Key topics are the fostering of a strong ethical culture and promotion of mutual trust and public confidence through collaborative work of the University Compliance Office with its partners across the University; schools' Executive Risk Oversight Committees (EROCs); shared governance in policy development; intellectual property and what you need to know; the UAB Enterprise Code of Conduct standard of compliance with applicable laws, regulations, and policies; and transparency in support of an ethical institutional culture.

July 2017 :

Key topics are UAB's core values of equity and inclusion and all UAB community members' obligation to treat individuals with respect. Specifically, the July Compliance 411 focuses on UAB's Disability Support Services, Title IX Office, AWARE Program (for employees with disabilities), Title IX Sexual Violence and Sexual Misconduct Policy and Procedures, and Bias Incident Response Team.

April 2017:

Key topics are the personal responsibility of all UAB community members to raise ethical concerns, the various avenues for reporting such issues, and UAB's prohibition against retaliation against anyone doing so in good faith.

January 2017:

Key topics are UAB’s Behavioral Threat Assessment and Management Team, Safety Measures Required by the Jeanne Clery Act and the Violence Against Women Act, Violence Prevention and Response Policy, UAB Emergency Management Update, the Protection of Children at UAB, Safety Abroad and the Importance of UAB’s Travel Registration Process, and a reminder about the new required Effort Reporting Training.

October 2016:

Key topics are UAB’s Bold Approach to Information Technology, and UAB’s New IT Security Leader Brian Rivers, each addressing data security and information governance; information security tools PhishMe and Keeper; Using Confidential Information Responsibly; Effort Reporting Policy & Procedure Changes; and Alabama Ethics Law and Receipt of Gifts during the holidays.

July 2016:

Key topics are responsible conduct of research and research integrity; new Recertification of Effort Form and process; a profile of Research Integrity Officer Pam Bounelis, PhD; defining fabrication, falsification and plagiarism; new research data management requirements; and the new chemical inventory system.

April 2016

Key topics are State of Alabama Ethics Law and Ethics Commission Statement of Economic Interests, export control, disclosing financial interests, acknowledging and appropriately managing conflicts of interest, and Open Payments Law (formerly known as Physician's Sunshine Act).

January 2016:

Key topics are effort reporting basics, State of Alabama ethics law, recent government actions resulting from grant audits, an interview with University Compliance Officer Teresa Bragg, and safeguarding and accurately accounting for UAB resources.