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 10: No 01

Before we jump into our review of the events of 2017, I wanted to speak briefly about last month's column. In the nine years of publishing this newsletter, the topic of ''stupid rules'' generated more comments from readers at a wide variety of institutions than any other. I'm not sure what that means other than perhaps we all need to evaluate some things! I also wanted to say I greatly appreciated the feedback and interaction from those of you who responded. While our subscriptions grow each month, it is always nice to hear what you think. Please drop me an email if something we publish here resonates with you.

As we do each year, we will review the stories from 2017 and look for emerging risk trends and perhaps even make a few predictions of what may be coming next. We linked 491 stories in total last year. By category they break down as follows:

  • Information Security & Technology: 14% (up 5% from 2016)
  • Fraud & Ethics: 14% (down 2% from 2016)
  • Compliance & Legal: 43% (up 4% from 2016)
  • Campus Life & Safety: 28% (down 2% from 2016)
  • Other: 1% (down 1% from 2016)

As we have seen for several years, the Compliance & Legal category continues to have the largest number of stories we see and link. There is no doubt our industry is among the most (if not the most) regulated out there, and while there have been discussions on ways to ease this burden, we haven't really seen much relief come to fruition. We shall see if that occurs during 2018, although in my opinion, national scandals that generate major media attention reduce the likelihood relief will occur. Unfortunately, there have been several during 2017 and now continuing in 2018.

Next month we will dive into the Information Security & Technology category. Until then, we invite you to review the events of the past month across higher education with the view toward proactive risk management. As always, we welcome your comments.

(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: October 31, 2016