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 Auburn University, Auburn University at Montgomery, the Alabama Cooperative Extension System, and the Alabama Agricultural Experiment Station (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

Last month, we offered our suggestions for the best way to use Case in Point when it hits your inbox each month. We believe Case in Point does a good job of helping you become aware of the risks within higher education, but simply having that knowledge is not enough to protect your organization. With that in mind, we turn our attention to the topic of developing a proactive risk management culture within your organization.

At its heart, risk management is a very simple process and one we intuitively use regularly. We can break the risk management process down into five simple steps:

  1. What are we in business to do? (The Mission)
  2. What are the things we do to carry out this business? (The Activities)
  3. What are the bad things that could happen (or not happen) to keep us from being successful? (The Risks)
  4. Which of these bad things do we think are the biggest deal and the most likely to occur? (Risk Assessment)
  5. What can we proactively do to reduce the chances that these bad things will happen and increase the chances of success? (Risk Management)

Next month we will continue this topic with a focus on how you might incorporate this process into your organization's culture. The five steps are fairly easy to walk through—the culture is often the real challenge for most organizations.

As you reflect on this month's stories across higher education, we hope you will look through the lens of the risk management process and consider how you can proactively increase the odds of success. As always, we invite your comments and suggestions.

Read this month's issue of Case In Point

Case In Point Archives

Anonymous Reporting Hotline

The 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: February 02, 2021