University Risk and Compliance (URC) provides leadership and university-wide services that strengthen accountability, mitigate significant risks, and reduce the consequences of noncompliance with federal and state laws. URC 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.
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.
- TAMU’s Title IX Coordinator chairs the Title IX stakeholder committee.
(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.
- 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).
- 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.
- University Risk 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.
- 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).
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.
- 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.
- The Associate Vice President for URC is designated as the university’s contact person for fraud prevention and elimination activities.