This Is Auburn Office of Audit, Compliance & Privacy
Division of Institutional Compliance & Privacy
The Division of Institutional Compliance & Privacy promotes and supports a culture of compliance and ethical conduct at Auburn University. Institutional Compliance & Privacy does not assume the duties of existing substantive compliance areas which were created to address specific legal and regulatory requirements. All ongoing compliance activities continue in their existing reporting structures. Institutional Compliance & Privacy's role is to centralize the information produced by these activities, provide coordination to ongoing efforts, and to assess Auburn University's overall compliance performance. With this goal, we can provide to Senior Administration and the Board of Trustees consolidated, organized and risk-based information in an objective manner.

Alabama Statement of Economic Interests

Alabama state law (AL Code § 36-25-4.3 (2013)) stipulates that all Auburn University employees whose position(s) were budgeted at $81,000+ (per year) during the previous calendar year, or who served in a supervisory capacity (regardless of annual salary), complete a Statement of Economic Interests. AU (Main Campus, AUM, AAES, ACES) employees who met either one or both criteria, will be notified via email of the requirement to complete the form by April 30 each year. Retirees or employees who left University employment at any point during the previous year, even if they did not earn the full $81,000 during the year have also been notified via U.S. Mail.

State Law stipulates that failure to file a timely annual Statements of Economic Interests with the Ethics Commission may result in fines of $10.00 per day not to exceed $1,000.00, or be charged with a Class A misdemeanor for intentional failure to file [36-25-14(d) & (e)].

You can access and file the form on the Alabama Ethics Commission website under "Online SEI Form." There are also "Online Instructions" available for completing the form.

Employees with questions about why they must complete the form should contact our office For all other issues, contact the Alabama Ethics Commission via email or by telephone at (334) 242-2997.

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

Source: Case In Point: Lessons for the proactive manager

Last Updated: January 22, 2020