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Office of Compliance & Risk Assurance

Office of Compliance & Risk Assurance

Compliance Contacts

University Compliance & Risk Assurance

(205) 996-6540
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UAB Medicine Enterprises Compliance

(205) 975-0585
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  • Accreditation

    Compliance Topic: Accreditation

    Liaison: Vice Provost Office for Institutional Effectiveness and Academic Planning, Eva Lewis, Vice Provost

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-6092

  • Alabama Ethics Law/Personal Gifts

    Compliance Topic: Alabama Ethics Law/Personal Gifts

    Liaison: Office of Counsel; Office of Compliance & Risk Assurance, Courtney Champion, University Compliance Coordinator

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3474; (205) 975-4979

  • Animal Research

    Compliance Topic: Animal Research

    Liaison: Institutional Animal Care and Use Committee (IACUC), Amanda Watts, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-7847

  • Behavioral Threats

    Compliance Topic: Behavioral Threats

    Liaison: Behavioral Threat Assessment and Management (BTAM), James Erwin, Team Chair

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-5577

  • Child Protection

    Compliance Topic: Child Protection

    Liaison: Office of the Senior Vice President for Finance & Administration, Steve Murray, Executive Director Operations

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-5493

  • Clinical Billing

    Area: Community Counseling Clinic

    Liaison: Shannon McCarthy, PhD, Executive Director and Faculty Supervisor

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-2414

    Area: Dentistry

    Liaison: Kathleen Diveley, Director of Clinical Operations

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3077

    Area: Optometry

    Liaison: Melendi Morton, Clinic Operations Manager

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-6038

  • Clinicaltrials.gov

    Compliance Topic: Clinicaltrials.gov

    Liaison: Tamara Howard and Dunia Ritchey

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3796 or (205) 492-5703

  • Clinical Trials Research Billing

    Compliance Topic: Clinical Trials Research Billing

    Liaison: Clinical Trials Administrative Office, Mark Marchant, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-2098

  • Conflict of Interest with Research

    Area: Investigator

    Liaison: Office of Research, Conflict of Interest Review Board, Karen Iles, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-9690

    Area: Institutional

    Liaison: Office of Compliance & Risk Assurance, Katie Crenshaw, Chief Risk & Compliance Officer

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-6540

  • Data/Information Security

    Compliance Topic: Data/Information Security

    Liaison: Information Technology, Robert Ferrill, AVP, Chief Information Security Officer

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-2400

  • Disability Support Services

    Area: Students

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-4205

    Area: Employees

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-9973

  • Effort Reporting

    Compliance Topic: Effort Reporting

    Liaison: Departmental Effort Officer (DEO)

  • Employee Misconduct or Grievances

    Compliance Topic: Employee Misconduct or Grievances

    Liaison: Employee Relations

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-4458

  • Export Control

    Compliance Topic: Export Control

    Liaison: Office of Research, Export Control and International Compliance, Marilyn Thomas, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-2735

  • External Activities

    Compliance Topic: External Activities

    Liaison: School-level Reviewer in Dean’s Office OR VP level Reviewer

  • Gifts to UAB/ Endowments/ Donations

    Compliance Topic: Gifts to UAB/ Endowments/ Donations

    Liaison: Office of the Vice President of Advancement, Tom Brannan, Vice President

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-0180

  • HIPAA/ Patient Records/ Privacy:

    Area: Data Security

    Liaison: HIPAA - Entity Security Coordinators opens a new website

    Area: Patient Records

    Liaison: HIPAA - Entity Security Coordinators opens a new website

    NOTE: these websites are only accessible on campus on UAB-network computers

  • Hospital Compliance

    Compliance Topic: Hospital Compliance

    Liaison: UAB Hospital Compliance

    Phone: (205) 975-0585

  • HR/Employment Regulatory Compliance (FLSA/FMLA)

    Compliance Topic: HR/Employment Regulatory Compliance (FLSA/FMLA)

    Liaison: HR Records

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-4408

  • Human Subjects Research

    Compliance Topic: Human Subjects Research

    Liaison: UAB Office of Institutional Review Board

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3789

  • Insurance/Risk Management

    Compliance Topic: Insurance/Risk Management

    Liaison: Office of Risk Management and Insurance, Jeannine Bailes, Senior Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-5382

  • Intellectual Property

    Compliance Topic: Intellectual Property

    Liaison: UAB Harbert Institute of Innovation and Entrepreneurship (HIIE), Kathy Nugent, Executive Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-9911

  • Internal Audit

    Compliance Topic: Internal Audit

    Liaison: Office of Internal Audit, UAB, Greg Lemley, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-4851

  • International Travel

    Area: Employees

    Liaison: Office of Research, Export Control and International Compliance, Marilyn Thomas, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-2735

    Area: Students opens a new website

    Liaison: Office of Global Engagement – Education Abroad, Ashley Neyer, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-6611

  • Legal Matters

    Compliance Topic: la

    Liaison: Office of Counsel, UAB, John Daniel, Chief University Counsel

    Phone: (205) 975-3474

  • Media or Press Inquiries

    Compliance Topic: Media or Press Inquiries

    Liaison: University Relations, Jim Bakken, Chief Communications Officer

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3887

  • NCAA Athletics

    Compliance Topic: NCAA Athletics

    Liaison: Elisabeth B. Molen, Associate Director of Athletics Compliance

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-3055

  • Nepotism

    Compliance Topic: Nepotism

    Liaison: UAB Employee Relations

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-4458

  • Open Records Requests

    Compliance Topic: Open Records Requests

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

  • OSHA-Related Safety

    Area: Biosafety, Laboratory, and Workplace

    Liaison: Lee Stone, Executive Director of Environmental Health & Safety

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-1265

  • Patient Safety

    Area: Dentistry

    Liaison: School of Dentistry, Kathleen Diveley, Director of Clinical Operations

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3077

    Area: Optometry

    Liaison: School of Optometry, Elizabeth Steele, Associate Dean, Clinical Affairs

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-9374

    Area: Medicine

    Liaison: UAB Medicine Enterprises Compliance, Brian Bates, Chief Compliance Officer

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 731-9863

  • Records Requests

    Compliance Topic: Records Requests

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3884

  • Records Retention

    Area: Archives

    Liaison: UAB Libraries, Tim Pennycuff, Associate Professor

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-1896 or 934-9671

    Area: Scientific/ Research Records

    Liaison: Office of VP Research, Matt Ronning, Assistant Vice President

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-5063

    Area: Student Records

    Liaison: Office of the Registrar, Cynthia Terry, Registrar

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-8112

    Area: University Records

    Liaison: Office of Compliance & Risk Assurance

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-6540

  • Reporting Wrongful Conduct/ Ethics Hotline

    Compliance Topic: Reporting Wrongful Conduct/ Ethics Hotline opens a new website

    Liaison: Office of Compliance & Risk Assurance, Courtney Champion, University Compliance Coordinator

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-4979

  • Research Misconduct/ Responsible Research Practices

    Compliance Topic: Research Misconduct/ Responsible Research Practices

    Liaison: Office of VP Research, Matt Ronning, Assistant Vice President

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 975-5063

  • Safety of Persons on Campus

    Area: Emergency

    Liaison: UAB Police

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-3535

    Area: Non-emergency

    Liaison: Behavioral Threat Assessment and Management (BTAM), Jamie Erwin, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-5577

  • Sponsored Programs

    Area: Grants and Contracts Administration

    Liaison: Office of Sponsored Programs, Melinda Cotton, Associate VP

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-5266

    Area: Grants and Contracts Accounting

    Liaison: Financial Accounting, Tina Ealy, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-9388

    Area: Clinical Trials Administration

    Liaison: Clinical Trials Administrative Office (CTAO), Mark Marchant, Director

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-7130

  • Student Misconduct or Grievances

    Compliance Topic: Student Misconduct or Grievances

    Liaison: Office of Assistant VP Student Experience, Mary Wallace, Assistant VP

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-4175

  • Student Records/FERPA

    Compliance Topic: Student Records/FERPA

    Liaison: Office of the Registrar, Cynthia Terry, Registrar

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-8112

  • Title IX

    Compliance Topic: Title IX

    Liaison: Title IX, Kasey Robinson, Coordinator

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 996-1340

  • University Contracts

    Compliance Topic: University Contracts

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-0387

  • Visiting International Scientists

    Compliance Topic: Visiting International Scientists

    Liaison: Office of Global Engagement, Majd Zayzafoon, Assistant Provost, International Education

    Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

    Phone: (205) 934-5574

COMPLIANCE TOPICLIAISONEMAILPHONE

Accreditation

Vice Provost Office for Institutional Effectiveness and Academic Planning, Eva Lewis, Vice Provost

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-6092

Alabama Ethics Law/Personal Gifts

Office of Counsel;
Office of Compliance & Risk Assurance, Courtney Champion, University Compliance Coordinator

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3474;
(205) 975-4979

Animal Research

Institutional Animal Care and Use Committee (IACUC), Amanda Watts, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-7847

Behavioral Threats

Behavioral Threat Assessment and Management (BTAM), Jamie Erwin, Team Chair

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-5577

Child Protection

Office of the Senior Vice President for Finance & Administration, Steve Murray, Executive Director Operations

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-5493

Clinical Billing: Community Counseling Clinic

Shannon McCarthy, PhD, Executive Director and Faculty Supervisor

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-2414

Clinical Billing: Dentistry

Kathleen Diveley, Director of Clinical Operations

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3077

Clinical Billing: Optometry

Melendi Morton, Clinic Operations Manager

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-6038

Clinicaltrials.gov

Tamara Howard and Dunia Ritchey

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3796 or (205) 492-5703

Clinical Trials Research Billing

Clinical Trials Administrative Office, Mark Marchant, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-2098

Conflict of Interest with Research: Investigator

Office of Research, Conflict of Interest Review Board, Karen Iles, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-9690

Conflict of Interest with Research: Institutional

Office of Compliance & Risk Assurance, Katie Crenshaw, Chief Risk & Compliance Officer

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-6540

Data/Information Security

Information Technology, Robert Ferrill, AVP, Chief Information Security Officer

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-2400

Disability Support Services: Students

N/A

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-4205

Disability Support Services: Employees

N/A

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-9973

Effort Reporting

Departmental Effort Officer (DEO)

N/A

N/A

Employee Misconduct or Grievances

Employee Relations

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-4458
   

Export Control

Office of Research, Export Control and International Compliance, Marilyn Thomas, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-2735

External Activities

School-level Reviewer in Dean’s Office OR VP level Reviewer

N/A

N/A

Gifts to UAB/ Endowments/ Donations

Office of the Vice President of Advancement , Tom Brannan, Vice President

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-0180

/ Patient Records/ Privacy: Data Security

HIPAA - Entity Security Coordinators opens a new website
NOTE: this website is only accessible on campus on UAB-network computers

N/A

N/A

HIPAA/ Patient Records/ Privacy: Patient Records

HIPAA - Entity Privacy Coordinators opens a new website
NOTE: this website is only accessible on campus on UAB-network computers

N/A

N/A

Hospital Compliance

UAB Hospital Compliance

N/A

(205) 975-0585

HR/Employment Regulatory Compliance (FLSA/FMLA)

HR Records

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-4408

Human Subjects Research

UAB Office of Institutional Review Board

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3789

Insurance/Risk Management

Office of Risk Management and Insurance, Jeannine Bailes, Senior Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-5382

Intellectual Property

UAB Harbert Institute of Innovation and Entrepreneurship (HIIE), Kathy Nugent, Executive Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-9911

Internal Audit

Office of Internal Audit, UAB, Greg Lemley, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-4851

International Travel: Employees

Office of Research, Export Control and International Compliance, Marilyn Thomas, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-2735

International Travel: Students opens a new website

Office of Global Engagement – Education Abroad, Ashley Neyer, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-6611

Legal Matters

Office of Counsel, UAB, John Daniel, Chief University Counsel

N/A

(205) 975-3474

Media or Press Inquiries

University Relations, Jim Bakken, Chief Communications Officer

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3887

NCAA Athletics

Elisabeth B. Molen, Associate Director of Athletics Compliance

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-3055

Nepotism

UAB Employee Relations

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-4458

Open Records Requests

N/A

This email address is being protected from spambots. You need JavaScript enabled to view it.

N/A

OSHA-Related Safety: Biosafety

Lee Stone, Executive Director of Environmental Health & Safety

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-1265

OSHA-Related Safety: Laboratory

Lee Stone, Executive Director of Environmental Health & Safety

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-1265

OSHA-Related Safety: Workplace

Lee Stone, Executive Director of Environmental Health & Safety

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-1265

Patient Safety: Dentistry

School of Dentistry, Kathleen Diveley, Director of Clinical Operations

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3077

Patient Safety: Optometry

School of Optometry, Elizabeth Steele, Associate Dean, Clinical Affairs

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-9374

Patient Safety: Medicine

UAB Medicine Enterprises Compliance, Brian Bates, Chief Compliance Officer

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 731-9863

Records Requests

N/A

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3884

Records Retention: Archives

UAB Libraries, Tim Pennycuff, Associate Professor

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-1896 or 934-9671

Records Retention: Scientific/ Research Records

Office of VP Research, Matt Ronning, Assistant Vice President

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-5063

Records Retention: Student Records

Office of the Registrar, Cynthia Terry, Registrar

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-8112

Records Retention: University Records

Office of Compliance & Risk Assurance

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-6540

Reporting Wrongful Conduct/ Ethics Hotline opens a new website

Office of Compliance & Risk Assurance, Courtney Champion, University Compliance Coordinator

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-4979

Research Misconduct/ Responsible Research Practices

Office of VP Research, Matt Ronning, Assistant Vice President

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 975-5063

Safety of Persons on Campus: Emergency

UAB Police

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-3535

Safety of Persons on Campus: Non-emergency

Behavioral Threat Assessment and Management (BTAM), Jamie Erwin, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-5577

Sponsored Programs: Grants and Contracts Administration

Office of Sponsored Programs, Mike Matthews, 

Interim – Associate Vice President and Executive Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-6120

Sponsored Programs: Grants and Contracts Accounting

Financial Accounting, Tina Ealy, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-9388

Sponsored Programs: Clinical Trials Administration

Clinical Trials Administrative Office (CTAO), Mark Marchant, Director

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-7130

Student Misconduct or Grievances

Office of Assistant VP Student Experience, Mary Wallace, Assistant VP

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-4175

Student Records/FERPA

Office of the Registrar, Cynthia Terry, Registrar

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-8112

Title IX

Title IX, Kasey Robinson, Coordinator

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 996-1340

University Contracts

N/A

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-0387

Visiting International Scientists

Office of Global Engagement, Majd Zayzafoon, Assistant Provost, International Education

This email address is being protected from spambots. You need JavaScript enabled to view it.

(205) 934-5574

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