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 pro-active manager
Volume 09: No 02

This month we begin our annual review of the past year, looking for any possible trends and emerging items. This is a good time to remind our readers of the purpose of Case in Point. Our goal in this publication is to encourage proactive risk management. We believe it is much less painful to proactively manage a risk than deal with a crisis.

While it may be cliché, it really is important to remember that if you ''see something, say something.'' Many of the events you see linked in our publication each month could have been prevented - or at least the impact dramatically reduced - had certain steps been taken. The risks we face in higher education are extremely diverse, and we believe it takes all stakeholders working together to help create a proactive culture we all benefit from.

During 2016, we linked to 449 stories. The breakdown among categories was as follows:

  • Info Security & Tech - 9%
  • Fraud & Ethics - 16%
  • Compliance & Legal - 47%
  • Campus Life & Safety - 26%
  • Other - 2%

As has been true the past few years, the Compliance & Legal category contained the most news articles. While we will delve deeper into each category over the coming months, Compliance & Legal will certainly be one we pay close attention to during 2017. Much of the impact from compliance related issues comes from the sub-regulatory guidance issued by various governmental agencies. Sub-regulatory guidance essentially lets us know how the government will enforce certain laws. This is important since these are the standards that external regulators will use to evaluate our operations. With the change in administration in Washington D.C., it is probable that substantial changes will occur with respect to sub-regulatory guidance. We will do our best to keep you informed of any major changes we note.

We again invite you to review the events occurring throughout higher education with a view towards proactive risk management. If you see areas of concern or risks you have influence over, take action before you become the crisis. As always, we invite your comments and suggestions.

(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