SAMs in Component Executive Review for the 1st Quarter, Fiscal Year 2017

The following SAMs have been recommended by University of Houston System subject matter experts for Executive Review.  To review the proposed changes, please select each policy name to view the linked document and send comments/suggestions, if any, to
uhpolicies@uh.edu by November 7, 2016 (Monday).

Note: SAM 06.A.07, Procedures for the Operation of Institutes and Centers, has been removed for additional redlines. It will be part of a future revision cycle. Also, SAM 01.B.08, Third-Party Construction, was also removed for additional redlines.

To review the proposed changes, please select each policy name to view the linked document. The column titled "Proposed Changes" briefly explains the updates that have been submitted.
SAM Number and Name Proposed Changes
SAM 01.B.05 - Signature Authority for Construction Contracts Applied revised SAM template and added new Revision Log. Removed Section 5, Index terms. Changed responsible party. No other additional changes were made by the Subject Matter Experts (SMEs).
SAM 01.B.05 was originally in the Quarter 1, FY 2011 review cycle, but was not approved. Per SAM 01.A.01, Section 7.2 on redlines received after the scheduled review date for a document, this document will receive a full review cycle.

SAM 01.D.01 - Requests for Services from the Office of the General Counsel Applied revised SAM template and added new Revision Log. Updated links and titles as needed. Removed letter being filed with General Counsel from Section 2.1. Added communication in writing for legal services in Section 2.3. Revised Section 3 per current operating practices. Updated Section 4 information regarding open record decision requests. Changed review period from every two years on or before March 1st to every five years on or before March 1st.

SAM 01.D.02 - Employment of Outside Legal Counsel Applied revised SAM template and added new Revision Log. Updated links and titles as needed. Added biannual agreement to Section 2.5. Revised Section 2.7 process for payment of services of outside legal counsel to reflect current operating requirements. Changed review period from every two years on or before March 1st to every five years on or before March 1st.

SAM 01.D.03 - Trademark Management Updated links and titles as applicable. No additional changes were indicated by the Subject Matter Experts (SMEs).
Per SAM 01.A.01, Section 7.2 on redlines received after the scheduled review date for a document, this document will receive a full review cycle.

SAM 01.E.01 - Office of Intellectual Property Management Updated links as applicable. No additional changes were indicated by the Subject Matter Experts (SMEs).
Per SAM 01.A.01, Section 7.2 on redlines received after the scheduled review date for a document, this document will receive a full review cycle.

SAM 03.C.03 - Repair and Construction Funds Corrected title in Sections 2.2 and 3 and corrected links as applicable. No additional documents changes made by Subject Matter Experts (SMEs).
Per SAM 01.A.01, Section 7.2 on redlines received after the scheduled review date for a document, this document will receive a full review cycle.

SAM 03.G.03 - Financial System Verification of Cost Center Transactions Modified Section 2.2 to remove specific verification information, and indicated the review and approval of the verification report must be documented. Revised Section 2.6 for verifications and approvals to be completed no later than 60 days after the close of an accounting period.

SAM 03.H.02 - Open Records Updated links and titles as needed. Made minor modification to Section 2.4 regarding requests from Attorney General "in most cases." No additional redlines were indicated by the Subject Matter Experts (SMEs).
Per SAM 01.A.01, Section 7.2 on redlines received after the scheduled review date for a document, this document will receive a full review cycle.

SAM 04.A.01 - Audits by External Auditors Updated links and position titles as applicable. Changed title for document in Section 2. Rephrased Section 4.2, and changed reference document. Revised Section 5.1 on periodic audits, with the addition of Houston Public Media, Cancer Prevention Institute of Texas Grant Awards, and Financial Statement Reviews for the Southern Association of Colleges and Schools.

SAM 04.A.02 - Audits by Internal Auditing Updated links as applicable. Added contracts to Section 2.1. Revised
Section 2.3 regarding the composition of the long-range audit plan, including risk-based testing of contract administration. Added Section 3.6 on investigating reports of defalcation, misappropriation or other fiscal irregularities. Added long-range audit plan to risk analysis in Section 4.1. Added Section 5.6 on written responses of reports of suspected fraud, waste, abuse and/or ineffective operations to be distributed to the Chair of the Audit and Compliance Committee and the Chancellor.


*Please note that the policies contained in this section are not official.  The changes have been submitted to University Policies and Procedures and are currently under review.  To view official System Administrative Memoranda, go to
http://www.uh.edu/af/universityservices/policies/sam/index.htm.





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Policies and Procedures Coordinator
Peggy Levy
713-743-6636

uhpolicies@uh.edu