Compliance 411 is a quarterly newsletter published by the Office of Compliance & Risk Assurance.  We welcome suggestions and feedback from the UAB community.  Please e-mail 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:

Key topics include:

April 2021

Key topics include:

  • UAB’s implementation of the new NIH Other Support and Biosketch forms;
  • How campus vital statistics drive UAB’s COVID-19 Incident Command Committee;
  • A primer for Data Use Agreements that ensure safeguards are in place to protect data shared with other parties;
  • The importance of maintaining current records in and the potential impact of non-compliance;
  • How submitting the required Notification of Intent to Submit an SBIR/STTR Grant Application with a Small Business Concern form can optimize sponsored project administrative workflow;
  • Policy news, including an update on the new policy management platform, the revised Conflict of Interest/Conflict of Commitment policy, and development of UAB’s new Academic Integrity Code; and
  • A highlight of the UAB Enterprise Code of Conduct requirement to acknowledge and appropriately manage conflicts of interest.

January 2021
Key topics include:
  • A guide to information on preparing and reviewing Other Support Pages as response to Federal agency scrutiny of foreign influence;
  • Export control & international compliance program, now unified under VPR and directed by ECO Marilyn Thomas;
  • A checklist for supervisors, employees, and students in instances of a possible or confirmed case of COVID-19;
  • Healthcheck now required seven days a week;
  • Update on IRB ePortfolio suite of smart-forms; and
  • Policy news on what’s coming in 2021, including our new policy management platform, the revised Conflict of Interest/Conflict of Commitment policy, and new Academic Integrity Code.

August 2020
Key topics are UAB leadership’s commitment to campus-wide health & safety through enforcement of required safety precautions; UAB leadership’s call to ACT by Advocating awareness, Committing to education, and Taking action for social justice through respect, equity of opportunity, and inclusiveness; an introduction to Chief Risk & Compliance Officer Katie Crenshaw; updates on policies including the newly revised Student Conduct Code and the Freedom of Expression and Use of UAB Facilities, Title IX Sexual Violence and Sexual Harassment, and UAB Enterprise Conflict of Interest and Conflict of Commitment policies; information on required financial conflict of interest training; transfer of Export Control responsibility to the Office of the Vice President for Research; and how to comply with transfer of tangible materials in research requirements.

April 2020:
This edition focuses on the personal responsibility of all UAB faculty and staff to conduct daily operations during the COVID-19 crisis, whether on campus or remotely, abiding by our core values of integrity, collaboration, and safety. Specific topics include the current elevated False Claims Act risk driven by the massive CARES Act spending rollout; EH&S’ biosafety guidance on COVID-19 containment in research; evolving guidance from agencies sponsoring research and its impact on grantee institutions; resources for preparing Other Support documentation in sponsored projects; an interview with HIIE Director of Licensing and New Ventures Karthik Gopalakrishnan, highlighting the importance of disclosing intellectual property and the UAB innovation development processes triggered by these disclosures; UAB’s 100% score on compliance with the Food & Drug Administration Amendments Act through postings; definitions and requirements of what is considered essential research during this period of drawdown in activity; UAB community members’ duty to report wrongful conduct and appropriate avenues for such reporting; and a conversation with Teresa Bragg reflecting on the evolution of the University’s compliance program over the last decade.

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.