Compliance 411 is a quarterly newsletter published by the University Compliance Office.  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:

October 2018: Coming soon!

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.