UAB Enterprise Code of Conduct
Review/Revised Date: 10/1/2011
Category: Ethics and Integrity
Policy Owner: Compliance and Risk Assurance
The University of Alabama at Birmingham (UAB) Enterprise is committed to conducting its affairs in ways that promote mutual trust and public confidence. All members of the UAB community are responsible for sustaining the highest ethical standards of excellence, integrity, honesty, and fairness and for integrating these values into teaching, research, patient care, business practices, and other services. Ethical conduct is a fundamental expectation for every UAB community member.
The UAB Enterprise consists of multiple legal entities engaging in activities in support of its tri-part educational, research and patient care mission. Recognizing that the entities pursue various lines of business, the entities comprising the UAB Enterprise will adopt the standards set forth in this Code of Conduct individually. All entities that have adopted these standards are collectively referred to here as "UAB." This Code of Conduct applies to all members of the UAB community, including faculty, staff, volunteers, contractors, agents, affiliates, and others providing services to UAB or on behalf of UAB.
Students or trainees taking courses, attending classes, or enrolled in academic programs are expected to adhere to UAB policies governing academic and non-academic conduct. These student-oriented policies support and reflect the standards of conduct expected of other members of the UAB community described in this Code of Conduct. Residents and fellows are considered to be employees for purposes of the code and are expected to uphold its standards like other faculty and staff.
Standards of Conduct
The UAB Code of Conduct is a shared statement of commitment to uphold the ethical, professional, and legal standards used as the basis for daily and long-term decisions and actions. Adherence to its spirit, as well as its specific provisions, is critical to UAB's continued success. Each member is individually accountable for his or her own actions, and the UAB community is collectively accountable for upholding these standards of behavior and for compliance with applicable laws and policies that guide UAB's work.
Members of the UAB community commit to the following eight standards:
1. Provide quality education, research, healthcare, business interactions, and other services
UAB is committed to providing outstanding, high-quality services to our students, patients, families, visitors, business partners, colleagues, affiliates, and the community, whether those services are provided through teaching, research, patient care, or business interactions. In performing duties, UAB community members are expected to:
UAB community members are not to:
With respect to teaching and research, UAB community members are expected to:
With respect to patient care, UAB community members are expected to:
2. Treat individuals with respect
UAB is an institution dedicated to tolerance, diversity, and respect for differences. Central to that commitment is the principle of treating each UAB community member and those we serve with respect.
UAB community members are expected to:
3. Comply with applicable laws, regulations, and policies
UAB is committed to sustaining a culture of trust, ethics, and compliance in which legal requirements are met and individuals are comfortable raising concerns to the appropriate individuals when they have a good faith belief that actions of individuals or an entity within the UAB Enterprise are not consistent with laws, regulations, policies, or standards. Additionally, UAB leadership is committed to maintaining the community trust by ensuring appropriate actions are taken to resolve non-compliance. UAB community members are expected to:
4. Use confidential information responsibly
UAB community members are creators and custodians of various types of confidential, proprietary, and private information. Each UAB community member is required to comply with federal and state laws and regulations agreements with third parties and UAB policies pertaining to the use, protections, and disclosure of such information. UAB community members are expected to:
5. Acknowledge and appropriately manage conflicts of interest
UAB community members who are UAB faculty and staff owe their primary professional allegiance to UAB and its mission to excel in the highest levels of education, patient care, research, and scholarship. UAB community members have an obligation to be objective and impartial in making decisions on behalf of UAB. External professional activities, private financial interests, or the receipt of benefit from third parties can cause an actual or perceived conflict between UAB's interests and an individual's private interests. UAB community members are expected to:
6. Safeguard and accurately account for UAB resources
UAB is dedicated to responsible stewardship. UAB resources must be used for UAB business purposes and not for personal gain. All UAB accounts, financial reports, tax returns, expense reimbursements, time sheets, and other documents including those submitted to government agencies must be accurate, clear, and complete. All entries in UAB records must accurately reflect each transaction. UAB community members are expected to:
7. Provide a safe environment
UAB community members have a shared responsibility to ensure a safe, secure, and healthy environment for all UAB students, patients, faculty, staff, volunteers, and visitors. UAB community members are expected to:
8. Document, code, bill, and collect in accordance with applicable rules and regulations
As a comprehensive research enterprise and academic medical center, UAB must coordinate activities to ensure that clinical services and sponsored projects are billed appropriately and in compliance with relevant laws, regulations, and contractual obligations. UAB community members are expected to:
Adherence to this code requires UAB community members to bring suspected violations of applicable laws, regulations, policies, and standards to the attention of the appropriate office. UAB treats every notice of suspected compliance violation very seriously and considers reports of suspected noncompliance to be a service to UAB. Reporting a compliance concern in good faith will not jeopardize one's employment. No such protection is extended to UAB community members reporting in bad faith.
UAB prohibits UAB community members from retaliating or allowing retaliation against another community member for reporting activities suspected of violating laws, regulations, contractual obligations, or UAB policy.
Confirmed violations of this Code of Conduct will result in appropriate consequences for the violators, up to and including termination of employment or other relationships with UAB.