Audit and Compliance Committee Meeting

AGENDA

University of Houston System
Audit and Compliance Committee Meeting

DATE:    January 30, 2013

TIME:    8:45 a.m.

LOCATION:      Hilton University of Houston Hotel
                           Waldorf Astoria Ballroom E, Second Floor
                           4800 Calhoun
                           Houston, Texas  77204

Chair:              Nandita V. Berry
Vice Chair:     Roger F. Welder
Members:       Jarvis V. Hollingsworth
                           Nelda Luce Blair, Ex Officio

AUDIT AND COMPLIANCE COMMITTEE MEETING
**Complete Committee Package - 268 pages**

A.   Call to Order

B.   Approval of Committee Minutes:

  • August 15, 2012, Audit and Compliance Committee Meeting

C.   Report on External Audit Reports - University of Houston System

  • UH Athletics Department Independent Accountants’ Report on the Application of Agreed-Upon Procedures for Year ended August 31, 2012
  • Audit Report and Financial Statements for University of Houston Charter School for FY 2012
  • Report on UHS Public Broadcasting Basic Financial Statements and Independent Auditor’s Report for FY2012 and FY 2011
  • UHS Endowment Fund, Financial Statements and Independent Auditor’s Report for FY 2012 and FY 2011

Item:    AUDIT-C1

Action:  Information

Supporting Documentation:

  • UH Athletics Department Independent Accountants’ Report on the Application of Agreed-Upon Procedures for Year ended August 31, 2012
  • Audit Report and Financial Statements for University of Houston Charter School for FY 2012
  • Report on UHS Public Broadcasting Basic Financial Statements and Independent Auditor’s Report for FY2012 and FY 2011
  • UHS Endowment Fund, Financial Statements and Independent Auditor’s Report for FY 2012 and FY 2011

D.   Report on Institutional Compliance Status Report for the Six Months ended December 31, 2012 – University of Houston System

Item:    AUDIT-D2

Action:  Information

Supporting Documentation:

  • Institutional Compliance Status Report

E.   Report on Internal Audit Report - Briefing Booklet – University of Houston System

Item:    AUDIT-E3

Action:  Information

Supporting Documentation:

  • Internal Audit Briefing Booklet

F.   Report on Ethics and Conflict of Interest Policies of the Board of Regents and Each of the Universities - University of Houston System

Item:    AUDIT-F4

Action:  Information

Supporting Documentation:

  • Ethics and Conflicts of Interest Policies Summary (including changes during the past year).  Table of Contents, and Ethics and Conflict of Interest Policies of the Board of Regents, University of Houston System, University of Houston, University of Houston-Clear Lake, University of Houston-Downtown, and University of Houston-Victoria

G.   Report on Annual Fraud Prevention and Awareness Report – University of Houston System

Item:   AUDIT-G5

Action:  Information

Supporting Documentation:

  • Annual Fraud Prevention and Awareness Report

H.   Report on Identity Theft Prevention Program – University of Houston System

Item:    AUDIT-H6

Action:  Information

Supporting Documentation:

  • Identity Theft Prevention Program - Executive Summary

I.   Report on Annual Procurement FY2012 - University of Houston System

Item:    AUDIT-I7

Action:  Information

Supporting Documentation:

  • Board of Regents Annual Procurement Report, FY2012

J.   Report on Board of Regent's Internal Audit, Institutional Compliance, and Identity Theft Policies – University of  Houston System

Item:    AUDIT-J8

Action:  Information

Supporting Documentation:

  • Board of Regent's Internal Audit, Institutional Compliance, and Identity Theft Policies

K.   Report on UHS Annual Financial Statements/Certifications – University of Houston System

Item:    AUDIT-K9

Action:  Information

Supporting Documentation:

  • Financial Statements Certification Letters - FY2012 (all components) and Financial Certification Process

L.  Report on University of Houston System, Internal Auditing Department - Annual Report, Fiscal Year 2012 – University of Houston System

Item:    AUDIT-L10

Action:  Information

Supporting Documentation:

  • University of Houston System, Internal Auditing Department - Annual Report, Fiscal Year 2012

M.   Report on Anonymous Reporting Mechanism Summary Report, FY2012 - University of Houston System

Item:    Audit-M11

Action:  Information

Supporting Documentation:

  • Anonymous Reporting Mechanism Summary Report, FY2012

N.   Report on Multihazard Emergency Operations Plan - Safety and Security Audit - University of Houston System

Item:    AUDIT-N12

Action:  Information

Supporting Documentation:

  • Report on Multihazard Emergency Operations Plan - Safety and Security Audit

O.   Adjourn