SAMs Approved in Quarter 2, Fiscal Year 2011

The following System Administrative Memoranda were approved by the Chancellor as official system policy during December 2010 and January 2011:

SAM Number and Name
Date Approved
Summary of Changes
SAM 01.C.01 – Risk Management Policy
12/01/2010
Position titles were updated and wording was updated throughout to be consistent with other SAMs. Due to a reorganization, “Environmental Health and Risk Management” was changed to “Risk Management,” and the responsible party was updated. These changes were proposed by the Office of Risk Management.
SAM 01.C.05 – Executive Travel
12/01/2010
System administration and university officials were clarified as positions of vice chancellors and vice presidents or above in SAM 01.C.05. The responsible party was also updated. These changes were proposed by the System Office of Risk Management
SAM 01.C.10 – Return-To-Work Program On-The-Job Injuries
12/01/2010
The term “temporary” replaced “special” when referring to assignments throughout Section 4.0. Two types of temporary assignments, modified duty and alternate duty, were defined in this section and replaced the four types of special assignments that were previously outlined. Sections 4.3 and 4.4 were added, which allow a maximum of 6 months in temporary assignments and require supervisors to submit the employee's position description, including physical requirements and essential functions. Section 4.5 was removed which prohibited assignments that would endanger the employee or others. Training was added to the offer letter requirements in Section 5.1. The responsible party was also updated. These changes were proposed by the System Office of Risk Management.
SAM 02.A.05 – Employee Relations, Grievance, and Appeal
12/01/2010
SAM 02.A.05 was submitted for its scheduled review. Position titles and the responsible party were updated. These changes were proposed by the chief human resources officers.
SAM 02.A.08 – Consulting and Paid Professional Service
12/01/2010
The subject title was updated from “Consulting and Other Outside Employment” to "Consulting and Paid Professional Service," and the policy was edited for Board policy alignment. Executive management employees are no longer eligible for exemption from this policy through employment agreements. Section 2.2.7 was edited for clarity and time reporting information was removed, as this is covered in another policy. Section 5.0 was updated to require Board approval before any officer may hold other non-elective state or federal office/position. The language was updated to be consistent with other SAMs and the responsible party was revised. These changes were proposed by University Policies and Procedures and the chief human resources officers.
SAM 02.A.13 – Recruitment, Job Posting and Selection of Staff Employees
12/01/2010
Section 2.2 was updated to require a minimum posting of 5 days for all regular staff positions. The chief human resources officer was given authority to waive this requirement. Section 6.1 was edited to require all applicants to submit an application for employment and any other required paperwork before they may be considered for a position. References to merit and ability were removed from Section 6.2, as the employment section screens applicants for minimum requirements only. The responsible party was also updated. These changes were proposed by the chief human resources officers.
SAM 02.A.14 – Promotion and Transfer of Staff
12/01/2010
An appraisal of job performance was removed from the requirements for eligibility for promotion and transfer. Employees must complete their probationary period for eligibility, and exceptions must be granted by both transferring departments. The language was updated to be consistent with other SAMs and the responsible party was revised. These changes were proposed by the chief human resources officers.
SAM 02.A.24 – Employees and Independent Contractors
12/01/2010
SAM 02.A.24 was submitted for its scheduled review. The language was updated to be consistent with other SAMs, and the EEO/AA statement was updated to reflect current policy. The responsible party was also revised. These changes were proposed by University Policies and Procedures and the chief human resources officers.
SAM 02.A.40 – Staff Attendance and Punctuality
12/01/2010
SAM 02.A.40 was submitted for its scheduled review. The language was updated to be consistent with other SAMs, and the EEO/AA statement was updated to reflect current policy. The responsible party was also revised. These changes were proposed by the chief human resources officers.
SAM 02.B.01 – Classification of
12/01/2010
SAM 02.B.01 was submitted for its scheduled review. The language was updated to be consistent with other SAMs, and the EEO/AA statement was updated to reflect current policy. The responsible party was also revised. These changes were proposed by the chief human resources officers.
SAM 02.E.07 – Staff Service Awards
12/01/2010
In SAM 02.E.07, the maximum cost per staff award when purchased with state funds was increased from $50 to $100. The responsible party was also revised. These changes were proposed by the chief human resources officers.
SAM 02.E.08 – Employee Health Fitness and Education
12/01/2010
In SAM 02.E.08, Section 2.2 was removed, as this plan and the related approval are no longer required by the state. This section was replaced with an outline of acceptable uses of state funds for related fitness programs. The responsible party was also revised. These changes were proposed by the chief human resources officers.
SAM 03.A.01 – Expenditures of all Funds Administered by the University Of Houston System
12/13/2010
Section 4.3 of SAM 03.A.01 was edited to remove the requirement to update and maintain a centralized list of authorized transaction approvers. A receiving report and a copy of the purchase order were removed from the required supporting documentation for payment of materials and services in Section 4.4. Sections 4.4b and 4.4c were added. Procedures for the retention of an original contract were removed from Section 4.6, which are outlined in a separate policy. Section 5.0 was updated to remove the specific sections of various laws and regulations where state fund expenditure restrictions may be found and replaced with the general appropriations act and guides from the state comptroller's office. Section 5.3 was removed. All references to documents were updated, along with applicable links. These changes were proposed by the Office of Finance.
SAM 03.A.02 – Entertainment Expenditures
12/01/2010
Entertainment expenses were identified as ineligible charges to all designated tuition funds, unless the event primarily involves students. A definition for entertainment expenses was included, and Section 4.3 was added to clarify the use of designated tuition funds for non-entertainment expenses associated with conferences, workshops, and meetings. These changes were proposed by the Office of Internal Audit and the Office of Finance.
SAM 03.A.04 – University Credit Cards
12/01/2010
In SAM 03.A.04, telephone charge cards were removed from the list of direct pay credit cards in Section 2.3, and executive corporate credit cards were added with the requirement that local funds be used for payment. References to exceptions to the SAM were removed throughout. These changes were proposed by the Office of Finance.
SAM 03.A.17 – Disclosure of Related Party Interests
12/01/2010
In SAM 03.A.17, Section 3.2 was revised to align the policy with current reporting practices. All faculty and exempt staff as well as non-exempt staff with purchasing responsibilities are required to annually complete a disclosure statement regarding related party interests. References to “chairman” were changed to “chairperson” in Sections 3.3 and 3.4. These changes were proposed by the Office of Finance.
SAM 03.A.21 – Employee’s Family Travel Expenses
12/01/2010
In SAM 03.A.21, the last sentence in Section 2.2 clarifies that the Chancellor approves family travel for the component university presidents; as such, “Chancellor or” was removed from the previous sentence. These changes were proposed by the Office of Finance.
SAM 03.A.24 – Extension of Credit by University of Houston System Component Universities
12/01/2010
SAM 03.A.24 was submitted for its scheduled review by the Office of Finance. The language was updated to be consistent with other SAMs. These changes were proposed by the Office of Finance.
SAM 03.A.28 – Tax-Exempt Bond Post-Issuance Compliance
12/01/2010
This new policy was drafted to establish the requirements and procedures for ensuring compliance with federal laws relating to the issuance and post-issuance monitoring of tax-exempt bonds. Each campus has its own space reporting, and this SAM addresses that each campus is responsible for reporting this information to the Treasurer. This procedure was written by the Office of Finance.
SAM 03.D.04 – Check Distribution
12/01/2010
SAM 03.D.04 was updated to comply with changes to SAM 03.D.07. Paychecks may be printed for the first and possibly second paydays. Section 2.1 requires checks to be available for pick up on payday. Component university check distribution addresses were updated in Section 2.2. Section 2.3 was updated to allow individual employees to pick their paychecks directly from the distribution office upon presentation of proper ID. Previously only designated department representatives were allowed to pick up checks. Section 3.3 was also adjusted as Payroll processes stale-dated checks. Clarified in Sections 2.2 and 2.3 that information applies to UH and UHS only. Added a section stating "Each component university will establish procedures for distribution of checks to employees of that component.” These changes were proposed by the Office of the Treasury.
SAM 03.D.05 – Payroll Deductions
12/01/2010
SAM 03.D.05 was submitted for its scheduled review. The language was updated to be consistent with other SAMs. These changes were proposed by the component university chief human resources officers.
SAM 03.E.01 – Physical Inventory of Goods for Resale, Manufacture, or Repair
12/01/2010
In SAM 03.E.01, Section 2.7 was updated to include a statement that allows reselling departments to offer obsolete goods (such as computers) at a discounted price. These changes were proposed by the Office of Finance.
SAM 03.E.02 – Property Management
12/01/2010
In SAM 03.E.02, a statement was added to Section 3.4 to require coordination between the disposing department and IT to ensure the appropriate disposal of data processing equipment that is not capitalized or controlled. Included data storage devices in the last sentence. These changes were proposed by the Office of Finance.
SAM 03.F.04 – Cash Handling
12/01/2010
In SAM 03.F.04, “Remote Deposit” was defined. Section 3.16 now requires cash and check deposits to be sent to the bank in separate deposit bags. When applicable, checks will be sent to the bank via remote deposit. These changes were proposed by the Office of Finance.
SAM 03.G.06 – Bank Account Reconciliation Procedures
12/01/2010
In SAM 03.G.06, Section 2.1 was edited so that the System Treasurer is responsible for providing bank statements to component universities only if these statements are not available via the bank websites. The time limit for completion and review of reconciliation reports was also increased from 15 to 20 days in Section 2.3. These changes were proposed by the Office of Finance.
SAM 03.H.01 – Records Retention
12/01/2010
SAM 03.H.01 was submitted for its scheduled review by the Office of Finance. The purpose was expanded to include best practices and fiscal responsibility/efficiency. Included new Sections 2.5 and 2.6 to address component university records retention officer liaison requirements and equality of hard copy and electronic records in relation to the policy. Included a new Section 5.0 to provide guidelines for retention of correspondence. Also added a new Section 7.0 to outline legal holds and open record requests. Throughout the document, updated language to refer to business transactions (where currently defined as “financial transactions”) and “PeopleSoft or other institutional” instead of “Finance” system. These changes were proposed by the Office of Finance.
SAM 05.B.01 – Principles Guiding the Operation of Intercollegiate Athletics
12/01/2010
In SAM 05.B.01, the guiding principles were updated to reflect those of the Second Century Imperatives on Intercollegiate Athletics created by the NCAA Presidential Task Force. Section 2.1.e was also edited to assign responsibility of judgement for the admission of student-athletes to an academic review panel. Section 2.2.f was edited to remove the statement that students who cannot demonstrate that they will graduate in 5 years will not play. These changes were proposed by the Athletics Department.
SAM 06.A.01 – Off-Campus Resident Credit Course Instruction
12/17/2010
Section 3.1 was updated to require notification rather than approval of the Texas Higher Education Coordinating Board for new off-campus programs and courses in SAM 06.A.01. Section 3.3 was edited for clarification of “significant expansion” and a business pro-forma was added to the list of considerations made by the Provosts Council for the establishment or addition of off-campus sites or programs. The responsible party was also updated. These changes were proposed by the Office of Planning and University Outreach.
SAM 08.A.02 – Private Support Organizations and Foundations
01/12/2011
Section 5.6 of SAM 08.A.02 was adjusted to expand the EVC for Administration and Finance's responsibilities to include the review of IRS Form 990's and the implementation of procedures to ensure the proper accounting of all support provided to the System. These changes were proposed by the Office of University Advancement.
SAM 09.A.01 – Governmental Relations Communications and Appearances
12/17/2010
SAM 09.A.01 received a housekeeping change to remove the title of "Internal Auditor" and replace it with "Chief Audit Executive" to reflect current operating practices. This change was proposed by the University Policies and Procedures.




The updated documents are available at the Official System Administrative Memoranda website at
http://www.uh.edu/policyservices/sam.






Contact Us

Policies and Procedures Coordinator
Kathleen Milford
713-743-6885

uhpolicies@uh.edu