About the Division of Risk, Ethics and Compliance

DREC Leadership

Kevin P. McGinnis serves as Vice President and Chief Risk, Ethics, and Compliance Officer at Texas A&M University and is also a member of the President’s executive cabinet. In his role, Kevin responds to alleged violations of rules, regulations, policies and procedures, and ethical misconduct, and ensures that issues are appropriately evaluated and resolved.

Kevin brings years of experience and expertise into his current role as Chief Risk, Ethics, and Compliance Officer. Previously, he served as Director of Risk Management, and later became Executive Director of Risk Management and Benefits Administration for Texas A&M University System.

Kevin is a graduate of Texas A&M class of 1990, and holds degrees in economics and political science. He is also a Certified Compliance and Ethics Professional (CCEP).

Kevin McGinnis Chief Compliance Officer

Kevin McGinnis

☎ 979-458-8191
✉ mcginnis@tamu.edu
🏢YMCA Bldg, Suite 101A

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Our Mission

The Division or Risk, Ethics, and Compliance fosters a university culture of ethical conduct and individual accountability.

Key Principals:

  • Respect
  • Integrity
  • Service
  • Education

Respect: A good compliance program is built on a framework of respect for those in our community.  DREC confronts discrimination, harassment, and related retaliation, and we work to foster a culture of respect across the University, regardless of a person’s  race, color, religion, sex, national origin, age, disability, sexual orientation, gender identity or veteran status.

Integrity:

Service: We approach our students, staff and faculty challenges with enthusiasm and diligence, using our skills and knowledge, to advance the genuine well-being of our community and those we encounter.

Education: Provide awareness opportunities, education, and training to help ensure proper understanding and knowledge of expectations and requirements in TAMU’s highly regulated environment.

Overview: How Can We Help?

The Division of Risk, Ethics, and Compliance (DREC) provides leadership and university-wide services that strengthen accountability, mitigate significant risks, and reduce the consequences of noncompliance with federal and state laws. DREC provides executive and senior management information for oversight and monitoring responsibilities. Our services strengthen transparency and:

  • Promote a culture of ethical conduct and compliance with legal obligations;
  • Systematically address university-wide risks;
  • Enhance effective response to risks identified in audits; and
  • Communicate standards that clarify regulatory and operational requirements and responsibilities.
University Compliance Officer

System Regulation 16.01.01, Ethics and Compliance Programs

As chair of the university’s Compliance Committee, the Compliance Officer:

  • Develops a TAMU Compliance Plan through the Enterprise Risk Management process;
  • Coordinates TAMU’s Compliance Plan with Texas A&M University at Galveston (TAMUG) and Texas A&M University at Qatar (TAMUQ);
  • Implements the TAMU Compliance Plan with the assistance of the Compliance Committee, and monitors effective mitigation of risks;
  • Reports Compliance Plan activities and processes quarterly to the TAMU Chief Executive Officer (CEO) and System Ethics and Compliance Officer (SECO);
  • Reports to the CEO and SECO any suspected compliance violation involving imminent risk of injury or harm to persons, property or the surrounding community, or significant reputational harm; and
  • Conducts compliance reviews at the request of the SECO, and performs other compliance monitoring activities that are modeled on the Federal Sentencing Guidelines.

Title IX of the Education Amendments of 1972; 20 U.S.C., sections 1681-1688 and 34 C.F.R. Part 106

TAMU’s Title IX Coordinator chairs the Title IX stakeholder committee.

Learn more about Title IX and the Department of Civil Rights and Equity Investigations at Texas A&M University

Section 504 of the Rehabilitation Act of 1973; 29 U.S.C., section 701 and section 794[a] and 28 C.F.R. section 35.107; and the 20 U.S.C.; 42 U.S.C., Chapter 126, beginning at section 12101, as amended

The Compliance Officer, TAMU’s ADA Coordinator, chairs the university wide committee that addresses regulatory requirements related to ADA.

Learn more about ADA Compliance at Texas A&M University

Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act; 20 U.S.C., Section 1092[f], as amended

TAMU’s Compliance Officer chairs a university committee that addresses Clery Act regulatory requirements and assesses compliance for federally mandated reports (Clery Annual Security Report and Annual Fire Safety Report).

Learn more about Clery Act Compliance at Texas A&M University

Drug Free Schools and Communities Act of 1989; 20 U.S.C. 1011i, and Education Department General Administrative Regulations Part 86

TAMU’s Compliance Officer chairs a university committee and assesses compliance regarding drug and alcohol abuse prevention and coordinates preparation of the federally required Drug Free Schools and Community Act Biennial Report.

Learn more about Drug Free Schools and Communities Act Compliance at Texas A&M University

The Office of Risk, Ethics, and Compliance coordinates the development, review, approval and distribution of the rules and standard administrative procedures that govern Texas A&M University, including the Galveston and Qatar campuses.

Learn more about Texas A&M University Rules and SAPs

System Policy 24.01, Risk Management; and University SAP 03.01.01.M0.1, Enterprise Risk Management

  • Oversee a systematic university-wide ERM process to identify significant risks and strategies that manage risks.
  • Assess and document actions implemented by TAMU to identify, mitigate, and monitor risks that negatively impact the achievement of strategic plan goals. Verify the mitigating activity information with accountable persons and enhance awareness.
  • Perform reviews of significant mitigating and monitoring activities in areas of significant risks, and report results to the TAMU President and executive management.
  • Integrate ERM at the operational level through facilitated risk assessments of university units, and educate operational management in identifying significant risks, developing effective mitigation strategies, and performing on-going monitoring.
  • Chair and participate on committees that mitigate significant risk areas, e.g., communication of and response to imminent threats (Task Force for Campus Emergencies/Code Maroon). 

Learn more about Enterprise Risk Management at Texas A&M University

Management Advisory Services provides cost-effective consulting services by a staff that understands Texas A&M operations, procedures, policies, and rules. Services include reviews of business process improvement, organizational structures, compliance reviews, internal controls, management analyses, and consultations on emerging issues. 

Learn more about Management Advisory Services at Texas A&M University

OREC personnel:

  • Work with system auditors and TAMU constituents to establish effective communication, cooperation, and mutual understanding of the audit process.
  • Attend audit related meetings (i.e., entrance conferences, status meetings, end of field work meetings, etc.)
  • Assist management in reviewing and responding to draft audit findings, recommendations, and reports.
  • Identify options for effectively incorporating control processes and monitoring in management’s responses to fully address the recommendations and risks identified by the auditors.
  • Serve as a point of contact regarding the overall process including drafting and routing management’s responses.
  • Route audit tracking forms, and work with units in reporting implementation status.
  • Review supporting documentation and/or perform detailed procedures to verify actions taken are working effectively.
  • Monitor implementation timelines.
  • Communicate issues and implementation status through various methods.
  • Prepare and distribute information to TAMU management for use in Board of Regents Audit Committee meetings.

Learn more about Audit Liaison Services at Texas A&M University

Texas Public Information Act

The Texas A&M University Office of Open Records is dedicated to the principles of open government and strives to ensure compliance as set forth by the Texas Public Information Act.

Learn more about Open Records at Texas A&M University

Texas A&M University HIPAA Notice of Privacy Practices; FERPA Notice to Student; FERPA for Faculty & Staff; Access to Educational Records for Research 

A culture of privacy is central to the day-to-day function of the University.  To help foster this culture of privacy, our office trains the University community on privacy concepts,  conducts investigations when there have potentially been violations of relevant privacy laws and University rules, and offers guidance to the University community to help ensure the privacy of those under our care.

Learn more about Privacy at Texas A&M University.

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