This Is Auburn OFFICE OF AUDIT, COMPLIANCE & PRIVACY
Office of Audit, Compliance & Privacy

Our Mission

The mission of the Office of Audit, Compliance & Privacy is to assist the University in fulfilling its vision of being a preeminent comprehensive land-grant university. Our office provides services in three distinct yet related disciplines - audit, compliance, and privacy - in support of Auburn University's three-pronged mission of teaching, research, and service.

The Office of Audit, Compliance & Privacy functions in partnership with University leadership to:

  • improve the internal control system and culture;
  • improve and enhance the management of operational, financial, compliance, strategic and reputational risks;
  • enhance governance processes;
  • ensure strong stewardship and management accountability at all levels of the University.

Case In Point: Lessons for the proactive manager
Volume 11: No 01

This month we begin our annual review of the stories we linked in Case in Point: Lessons for the Proactive Manager in 2018. This month we will look at the categories as a whole, and in future months we’ll examine trends and possible emerging issues in each specific category.

The 2018 breakdown of stories by category was relatively consistent with 2017:

  • Information Security & Technology: 10% (down 4% from 2017)
  • Fraud & Ethics: 15% (up 1% from 2017)
  • Compliance & Legal: 40% (down 3% from 2017)
  • Campus Life & Safety: 34% (up 6% from 2017)
  • Other: 1% (same as 2017)

We don’t see any major changes in the overall reporting categories, but we may note some subtle changes as we dive into each category over the coming months. A few years ago we saw major growth in the Compliance & Legal category, but now the numbers in each reporting category seem to have stabilized. In fairness, the stories included in CIP are not scientifically selected, but we do employ what we believe is a fairly methodical and consistent process of selection.

We've had a substantial number of new subscribers over the past few months, so I thought it might be helpful to give a few suggestions for you to consider to get the most out of this publication.

  1. Scan the headlines and stories from the entire newsletter, not just the area or topics for which you are responsible. If you see an interesting story, forward the newsletter to your colleague who you believe owns that specific risk and let them know you thought the story might be of interest. Developing a risk-intelligent institution takes each of us working together to help educate and inform each other. Who knows? Perhaps you will share information with a colleague that will help prevent your institution from becoming a headline.
  2. Read the articles that detail any specific risks or topical areas that apply to you. Think honestly about your own operations and whether you have proactive processes, procedures, or activities in place that reduce the risk to a level that you can live with.
  3. Talk to your employees who are responsible for managing any specific area of risk that catches your eye in the newsletter. Don’t make the assumption that they are aware of what is happening at other institutions. In conversation, send the message that proactive action is important to you and your institution. You may learn that the proactive actions you think are occurring have not made it to those doing the daily work.

We'd also like to ask you a favor. If you see articles in your local media you believe may be of interest, please send us the links. Some stories may not reach the newsfeeds we monitor, and we want to stay as informed as possible of new or emerging issues. Once again, we invite you to review the issues happening across our industry with a view toward proactive management.

Kevin
PS – Follow Case in Point on twitter @AUOACP

(Read more of Case In Point)

Anonymous Reporting Hotline

Auburn University uses the EthicsPoint anonymous Reporting System to enhance communication and empower individuals to promote safety, security, and ethical behavior. Use this anonymous, confidential system to report situations, events or actions by individuals or groups that you believe unethical or otherwise inappropriate. Frivolous or unfounded reports do not help foster a positive workplace. This hotline service does not replace our existing reporting methods for reporting fraud, waste, abuse or other potentially illegal activities. The University continues to encourage stakeholders to report concerns or suspected violations to their supervisor or other campus entities as appropriate. If you are uncertain if a situation violates University policy, is illegal or constitutes harassment or discrimination, you may use EthicsPoint to obtain clarification. We would much rather have you ask questions than let potential problems go unchecked. However, EthicsPoint should not be used for immediate threats to life or property. If the situation presents an immediate threat to life or property call emergency -- 911

Last Updated: June 27, 2018