Our Compliance Program

Promote Integrity

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.

Our Compliance Program is built on the elements of an effective compliance program as established in the U.S. Federal Sentencing Guidelines (§8B2.1).



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  1. Standards & Procedures
  2. Prevent & detect criminal conduct
  3. Oversight
  4. Knowledgeable governing body; delegate responsibility
  5. Due Diligence
  6. Hire ethical individuals
  7. Communication, Training & Education
  8. Train and inform employees
  9. Monitoring & Auditing
  10. Evaluate program; anonymous reporting system
  11. Enforcement & Discipline
  12. Consistent; incentives, disciplinary measures
  13. Reponse & Prevention
  14. Take action; prevent misconduct; make modifications

Compliance Areas

Our office is operationally responsible for the following compliance areas: conflicts of interest, data privacy (including HIPAA Privacy), and youth protection programs.

Compliance Partners

Several units at Auburn University main campus and Auburn University at Montgomery have functional compliance responsibilities. We work closely with our compliance partners including Research Compliance, the Registrar, Cybersecurity, Title IX, and Human Resources to name a few.

Functional Compliance Units

Alabama Ethics Law

Public employees must comply with the Alabama Ethics Law. We provide guidance and facilitate compliance with the Statement of Economic Interest disclosure requirement.

Statement of Economic Interests

About Us

What We Do

Last updated: 01/11/2023