What's New in Financial Affairs?
Effective October 1, 2023, UAB will amend the In-State Travel Guidelines to allow, with PRE-APPROVAL, reimbursement of actual and necessary out of pocket expenses incurred in the course of UAB business.
Financial Affairs Leadership
Chief Financial Officer and Associate Vice President of Financial Affairs
Stephanie Mullins has been Chief Financial Officer and Associate Vice President of Financial Affairs since September 2016. As CFO, Mullins manages the departments, systems, and delivery of communication and training related to UAB financial policies, guidelines, and procedures.
The CFO serves as the direct point of contact for the Senior Vice President for Finance and Administration to the University of Alabama System Office, UA System Office of Counsel, UA System and UA sister campuses, as well as other affiliated entities as it relates to the financial integrity and fiscal responsibility of UAB.
Department Leadership
The Division of Financial Affairs is organized into six areas of focus:
Budget Administration and Reporting • Payroll, Cost Analysis, and Asset Management • Procurement • Treasury • Controller’s Office • University Contracts
Andy Hollis
Assistant VP - Financial Affairs
Asset Management, Budget Administration, Cost & Payroll
Bernard Mays
Assistant VP - Controller
Controller's Office
Ron Collins
Executive Director - Procurement
Procurement
Robin Lucas
Administrative Director - Financial Affairs
Financial Affairs Training & HR
Libby Morgan
Assistant VP - Treasurer
Treasury
Rachel Jones
Director
University Contracts
Useful Links
Useful Links
The Payment Card Industry (PCI) Security Standards Council (SSC) is an open global forum launched in 2006 by the major payment card associations (MasterCard, Visa, American Express, and Japan Credit Bureau) to establish a unified set of standards for securely processing, storing, and transmitting payment card information. To protect its customers, the PCI SSC has implemented the PCI Data Security Standards as a security requirement for all merchants and service providers to safeguard sensitive data for all card brands. In order to meet these PCI compliance requirements, the Office of Financial Affairs & Administration has been designated as the central authority for oversight of all UAB payment card processing and related PCI compliance activities, and has partnered with the Office of Information Technology to assist in aligning appropriate technical compliance strategies.
As a result, the UAB PCI Compliance Committee has developed central policies and procedures to provide the functionality and security required to manage various types of transactions at UAB, including web-based and/or traditional processes. Departments desiring to accept payment cards as a form of payment should review the content of this PCI Compliance Support site, or contact the office of the Chief Financial Officer to discuss their business need. All UAB payment card merchants (departments/units) who are approved for accepting payment cards must comply with all UAB and PCI DSS policies, procedures, and standards described on this website.
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Getting Started with PCI Compliance
Payment Card Processing and Security Policy – Establishes a campus wide requirement for campus merchants to meet and maintain compliance requirements established in the PCI DSS.
Payment Card Privacy Statement – Explains UAB’s intent to securely maintain the privacy of all payment card customers.
PCI Entity Account Request Form – The Office of the CFO is the UAB focal point for handling the PCI Entity approval and registration process. In order to be granted payment card processing authorization, UAB PCI Entities must complete the approval and registration process with the Office of the CFO, which includes requesting and completing a PCI Entity Payment Card Account Request Form. A valid business reason is required for approval to move forward in the process.
In order to complete the payment card account request and be issued a merchant account ID, Entities must complete the following steps:
- Obtain approval signatures on the request form by the Department Head and the Dean or Associate Vice President.
- Obtain approval from the Office of the CFO.
- PCI Entity to complete SAQ (Self-Assessment Questionnaire), Business Process and other required PCI documentation.
- PCI Entity Account Request Form
For questions relating to how to complete the requirements outlined above, refer to The PCI Entity Handbook or call (205) 934-5121.
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PCI Compliance Training
Financial Affairs has updated the PCI training course. The course provides valuable information regarding protection of credit card data as it relates to payment processing at UAB.
It is required for everyone involved in processing credit card payments across UAB Campus and Hospital. To enroll in the course, contact Financial Affairs at 934-5121.
About Financial Affairs
The mission of UAB Financial Affairs is to provide a flexible, creative, and customer service-oriented approach to safeguarding UAB's financial integrity.
The financial management of the University of Alabama at Birmingham is the focal point of UAB Financial Affairs. Financial affairs manages financial operations by:
- Communicating financial policies and procedures
- Receiving and depositing University Funds
- Overseeing the University’s payroll
- Ensuring settlement of University payments and commitments
- Maintaining budgeting, accounting, and financial reporting systems
- Ensuring compliance with State/Federal financial regulations and tax laws
- Preserving University assets and reporting accurate financial results
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UAB Chief Financial Officer
The Office of the UAB Chief Financial Officer is responsible for overall management of UAB Financial Affairs.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- Phone: (205) 934-5121
- For scheduling information, please call (205) 934-5121.
Management
Name
Contact Information
Title/Areas of Responsibility
Stephanie Mullins
Chief Financial Officer
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Accounts Payable
Accounts Payable is responsible for processing all UAB cash disbursements other than those made through the UAB Payroll Department. The staff of account representatives and data entry operators performs a wide variety of functions to ensure accurate and prompt payment of vendor invoices issued in accordance with UAB policy and procedures.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- email: UABAPinvoices@uab.edu
- Phone: (205) 934-4146
- Fax: (205) 975-5546
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Asset Management
The Asset Management Department serves the UAB community by providing accurate capitalization of assets and the management of the capital equipment inventory in conformance with external and internal requirements. The department maintains the official UAB property records for all capital equipment items.
General Contact Information
- Hours: Monday - Friday, 8:30 a.m. - 12:00 p.m. and 1:00 p.m. - 4:30 p.m.
- email: Fa-ead@uab.edu
- Phone: (205) 934-5144
- Fax: (205) 934-5290
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Budget Administration
Budget Administration is responsible for all aspects of administering the University's operating budget, including: planning, projecting, developing, analyzing, monitoring, modifying, and training.
This involves close coordination with schools/units fiscal officers, comprehensive support to UAB's administration, and detailed reporting to the University of Alabama System Office and Board of Trustees, the State of Alabama, outside auditors, and any other individual or organization requiring information on the University's Operating Budget.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- email: budgetadmin@uab.edu
- Phone: (205) 934-4118
- For scheduling information, please call (205) 934-5121.
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Controller's Office
The Office of the Controller oversees financial accounting services (general ledger; grants and contracts), and student accounting services. In addition, the areas of tax and benefits accounting and post transactional audit review are functions of the staff.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- Phone: (205) 996-1277
- For scheduling information, please call (205) 996-1277.
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Cost and Space Analysis
The Cost Analysis Department is responsible for two distinct functions: Cost Analysis and Space Analysis. Although each function has a separate set of responsibilities, both work together to provide financial analysis and cost accounting studies to UAB management and ensures compliance with rapidly changing state and federal laws.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- email: FA-Costing@uab.edu
- Phone: (205) 934-5121
- Fax: (205) 975-9746
Management
Name
Contact Information
Title/Areas of Responsibility
Andy Hollis
Assistant Vice President, Financial Affairs
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Educational Foundation
The UAB Educational Foundation exists for the sole purpose of supporting the University of Alabama at Birmingham in its scientific and educational mission. This support includes managing and disbursing funds, acquiring real property, and providing general operational flexibility for the benefit of the University.
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Financial Accounting
Financial Accounting manages the accounting for:
- General Operating Funds
- Miscellaneous Unrestricted Accounts (including Professional Service Funds, and Service Centers)
- Miscellaneous Restricted Accounts which are unrelated to Student Financial Aid
- Agency Accounts
- Grant Accounts
- Grant-related Income Accounts
- Mandatory Cost Sharing Accounts
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- Phone: (205) 934-9330
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Financial Affairs Operations Center
Oracle Self Service Stations are available on the second floor of the Administration Building.
General Contact Information
- Phone: (205) 934-4151
- email: FA-OpsCenter@uab.edu
- General Hours: 8:00 a.m. - 5:00 p.m.
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Payroll Services
Payroll Services remits information and/or payment to employees, governmental agencies, companies, and UAB departments in a timely and accurate manner within federal, state, local and university guidelines. The Payroll staff is responsible for processing and distributing the monthly, biweekly, and extra payrolls. We provide many services for our employees such as mandatory and voluntary payroll deductions, direct deposit, and salary verifications.
General Contact Information
- Hours:
- General Hours — Monday - Friday 8:00 a.m. - 5:00 p.m.
- Phone: (205) 934-4523
- Fax: (205) 975-4739
- Department Representatives: Payhelp1@uab.edu
- Faculty, Staff, and Outside Agencies: Payhelp2@uab.edu
Mailing Address: 1720 2nd Ave South, Birmingham, AL 35294-1801.
- Hours:
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Shipping and Receiving
General Contact Information
- Hours: 7:30 a.m. - 4:00 p.m.
- email: FA-ShipReceive@uab.edu
- Phone: (205) 975-4454
- Fax: (205) 975-4441
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Storage Warehouse
General Contact Information
- Storage Warehouse Hours: Monday - Friday, 7:30 a.m. - 4:00 p.m.
- email: jmendez6@uab.edu
- Phone: (205) 975-4454
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Student Account Services
The Student Account Services Department manages Miscellaneous Restricted Accounts related to Financial Aid.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- email: FA-StudAcct@mail.ad.uab.edu
- Phone: (205) 934-3570
- Fax: (205) 934-9107
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Surplus Warehouse
Learn more about the Surplus Warehouse.
General Contact Information
- General Warehouse Hours: Monday - Friday, 7:00 a.m. - 12:00 p.m. and 1:00 p.m. - 4:00 p.m.
- Department Shopping Hours: Monday - Friday, 9:00 a.m. - 12:00 p.m. and 1:00 p.m. - 2:30 p.m.
- email: Surplus@uab.edu
- Phone: (205) 934-3344
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Training
The Financial Affairs training team is dedicated to providing training and instruction material to assist users of a variety of UAB Administrative Systems. To accommodate the training needs of the campus community, a variety of training methods have been developed.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- email: FA-Train@uab.edu
Management
Name
Contact Information
Title/Areas of Responsibility
Robin Lucas
Administrative Director
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Treasury
UAB Treasury strives to provide excellent customer service to all internal UAB customers while fulfilling our role as guardians of UAB’s liquid financial assets. Treasury Management is a broad category and comprises everything under the Treasury umbrella. Cash (Liquidity) Management is a subset of Treasury Management involving collection, handling, usage, and reporting of cash. Cash Management ensures that UAB has sufficient liquidity reserves on hand to meet daily expected and unexpected operating expense requirements. Treasury Management and Cash Management are sometimes used interchangeably. Treasury Management is larger and includes funding and investment activities.
General Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- Phone: (205) 934-2172
Management
Name
Contact Information
Title/Areas of Responsibility
Libby Morgan
Assistant Vice President / Treasurer
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University Contracts
The University Contracts team oversees the contract review process and administers the Contract Management System (CMS), which serves as the central repository for UAB's contracts. Departments are responsible for entering the contract information into CMS, along with the requested contract and all other necessary documents (e.g., departmental routing sheet and other supporting documents, such as a Vendor Disclosure Statement, if applicable).
University Contracts will then coordinate the central review of the contract in order to be signed by the appropriate board signatory. Individual faculty members and employees are not authorized to sign on behalf of the University, or to bind the University in any manner. Individuals who are not authorized, and who enter into an unauthorized agreement, may be held personally liable for the cost of the goods or services purchased.
Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- For contract-related questions:
- email: UABContracts@uab.edu
- Phone: (205) 934-0387
Management
Name
Contact Information
Title/Areas of Responsibility
Rachel Jones
Director
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University Purchasing
University Purchasing is responsible for establishing and awarding UAB purchase contracts. The staff of buyers and contract managers supports the institution in the contracting and acquisition of supplies, services, and equipment exceeding the requirements set by the State of Alabama Bid Law and UAB policy. The staff assists departments in applying procurement policy and procedures, establishing pricing, negotiating terms and conditions on contracts, agreements, leases, rentals, etc. for high-dollar purchases.
Purchasing Contact Information
- Hours: 8:00 a.m. - 5:00 p.m.
- email: purchasing@uab.edu
- Phone: (205) 934-4515
- Fax: (205) 934-6719
- For vendor-related questions:
- email: uabisupplier@uab.edu
- Phone: (205) 975-2920
P-Card Services
P-card Services Management
Name
Contact Information
Title/Areas of Responsibility
Ron Collins
Executive Director
UAB Tax Services strives to monitor and facilitate compliance with federal, state, and international tax laws that affect the University. Tax Services also endeavors to create and maintain a working relationship with the diverse University areas as to tax considerations for current transactions and to assist in planning for future tax situations. In meeting these objectives, Tax Services is entrusted with protecting the integrity and tax exempt status of UAB.
1098-T is handled by Student Accounting, FA-Studacct@uab.edu, (205) 934-3570.
Due to increased enforcement policies by the IRS and other taxing agencies, it is imperative that the University handle any and all tax matters in a timely manner. Any UAB area that receives notice, correspondence, forms to complete, or other communication from the IRS or any other taxing agency should forward the information to Tax Services via email at Tax@uab.edu, or through campus mail (801 5th Ave S, Financial Services Building).
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Legal Entity Information and Form Links
The Internal Revenue Service (IRS) certified the federal income tax exempt status of the Board of Trustees for the University of Alabama, a body corporate. The University of Alabama at Birmingham is a division of this corporate body. A letter from the IRS dated June 17, 1974 affirmed this classification.
This letter is often referred to as a 501(c)(3) letter or IRS Determination Letter and may be requested by outside entities to confirm the federal income tax exempt status of UAB.
UAB was issued a tax identification number (TIN) from the IRS. The number is 63-6005396. This number may also be referred to as an employer identification number (EIN). The UAB TIN may only be used for official UAB business activities. When using the UAB TIN, the official name must be used as well. The legal name associated with the TIN is University of Alabama at Birmingham.
UAB vendors may request a copy of UAB's Form W-9 in order to satisfy the IRS requirement of Name/TIN matching.
Entities associated with UAB (e.g. UAB Educational Foundation, UAB Health Services Foundation, UAB Health System, UAB Highlands Hospital, UAB Research Foundation, etc.) should be contacted directly for Form W-9 requests.
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Tax Forms Issued by UAB
Educational institutions are required to file a Form 1098-T, Tuition Statement, with the IRS and to provide a copy of the form to the student, for each enrolled student for whom there is a reportable transaction. A reportable transaction includes payments received, amounts billed or refunds made for tuition and related expenses.
In order to provide a Form 1098-T for tax purposes, the Internal Revenue Service requires that students provide their Social Security Number (SSN) or Individual Taxpayer Identification Number (ITIN) to their school. Students who fail to provide a SSN or ITIN to their school can be subject to a $50.00 fine by the IRS.
- International students are NOT automatically generated a 1098-T tax form. The Internal Revenue Service (IRS) does not require UAB to file a Form 1098-T for nonresident aliens. This is because nonresident alien students are not eligible for education tax benefits. Since UAB cannot determine which foreign students are residents for tax purposes, Student Accounting Services will create a manual form per request.
- For students who have a SSN or ITIN and just need to update their file with UAB they should visit One Stop Student Services in person. They should remember to bring their Social Security Card.
Student Accounting Services manages the 1098-T process for UAB.
The Form 1099-MISC is used to report miscellaneous income for individuals and companies who have been paid $600 or more in non-employee service payments during a calendar year. The exception to this is royalty payments of $10 or more must be reported.
Please note that amounts for wages and other compensation paid to an employee are NOT reported on a Form 1099-MISC. These amounts are reported on a Form W-2.
The Controller’s Office manages the 1099-MISC process for UAB.
A W-2 form is a wage and tax statement used to report wages paid and the taxes withheld from those wages for a given calendar year. A copy of this form is given to the employee, the IRS and the state taxing authority (if applicable) each January for the prior calendar (tax) year.
Payroll Services manages the W-2 process for UAB.
Form 1042-S (pdf)For matters related to the 1042-S form, please contact International Student and Scholar Services.
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Additional Taxes
UBI Tax
The Internal Revenue Service (IRS) certified the federal income tax exempt status of the Board of Trustees for the University of Alabama, a body corporate. The University of Alabama at Birmingham is a division of this corporate body. The Internal Revenue Code provides that the exempt purposes of state colleges and universities include charitable, scientific, testing for public safety, literary, educational, to foster national or international amateur sports competition, or for the prevention of cruelty to children or animals. The University is not, however, exempt from tax imposed by Code Sections 511, 512 and 513 on activities which are unrelated to those exempt purposes and must file Form 990-T on gross income from an unrelated trade or business of $1,000 or more. Therefore, each activity must be scrutinized to determine whether an exempt purpose is also being served.
Three elements must be present for an activity to be considered unrelated to the University’s tax-exempt purposes:
- the activity must be a “trade or business,”
- it must be regularly carried on, and
- it must not be substantially related to the University’s exempt purposes.
Property Tax
As a public university created by the Constitution of the State of Alabama, UAB is also treated as a state governmental entity. As a governmental entity of the State of Alabama, all property owned by UAB is state property. Therefore, real estate owned by UAB located in the State of Alabama is exempt from property taxes imposed by the State of Alabama or by Alabama counties and cities.
Lodging Tax
The Alabama lodging tax law does not contain any exemption for governmental entities. Therefore, UAB must pay state lodging taxes at hotels or other lodging facilities required by the state to collect lodging taxes.
Lease or Rental Tax
Rental or lease tax associated with the leasing or rental of tangible personal property are generally the responsibility of the lessor, not the lessee. However, some vendors leasing tangible personal property to UAB choose to pass on the associated rental tax (sometimes known as lease tax) to UAB as the lessee.
These taxes may be incorporated into the rental rate or may be separately designated. If UAB is contractually obligated to pay the rental of lease tax, they should be accounted for as additional rent expense.
Responsibilities
UAB Tax Services is responsible for the following University actions/activities.
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Reporting and/or Payment of Payroll Tax Withholding
Tax withholdings vary according to an individual's specific situation. Learn more about employee tax information.
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Sales Tax
See information about sales tax on purchasing and selling of goods on the Doing Business with UAB sales tax page.
- State of Alabama Rules and Regulations
Chief Financial Officer/Associate VP for Financial Affairs
This position oversees Financial Affairs. The following divisions report to the CFO/Associate VP:
- Budget Administration and Reporting
- Payroll, Cost Analysis and Asset Management
- Procurement
- Controller
- Financial Affairs Training
- University Contracts
- Treasury
The divisions of Budget Administration and Reporting, Financial Affairs Training, Treasury, and University Contracts have no subdivisions. The other divisions contain the following subdivisions:
Payroll, Cost Analysis and Asset Management
- Asset Management
- Cost and Space Analysis
- Payroll Services
- Shipping and Receiving
Procurement
- Accounts Payable
- Purchasing
Controller
- Financial Accounting General Ledger and Grants
- Financial Affairs-Operations Center
- Student Account Services
- Audit and Reporting
- Educational Foundation