SAMs in Component Campus Review, Quarter 4, Fiscal Year 2013

The following SAMs have been recommended for review by University of Houston System Subject Matter Experts (SME). To review the proposed changes, please select each policy name to view the linked document and send your comments, if any, to palevy@central.uh.edu by ______________.

The column titled "Proposed Changes" briefly explains the updates that have been submitted by the SME for Component Campus Review.

SAM Number and Name
Review Initiated By
Proposed Changes
SAM 01.C.13 - Business Use of Vehicles
System Office of
Risk Management
Added Section 7.0 on high profile vehicles to address safety concerns with rollovers; 15-passenger vans are prohibited for component university business. In addition, current 15-passenger vans in component university fleets will be phased out via a five-year plan.
SAM 01.C.16 - Asbestos-Containing Material
System Office of
Environmental
Health and Life
Safety
Changed area of responsibility from Risk Management to Environmental Health and Safety. Revised Asbestos Awareness Training to Asbestos Disturbance Prevention Presentation in Section 2. Added information on asbestos information availability on the Environmental Health and Life Safety web site.
SAM 01.F.01 - Public Safety Standards
System Office of Public Safety
SAM 01.F.01 is submitted for a housekeeping revision.
Added new Revision Log. No additional changes were required per the Subject Matter Expert (SME).
SAM 02.A.37 - Background Checks for Employees
Chief Human Resources Officers/
System Office of
Legal Counsel
This SAM went through initial review in Quarter 2, FY 2013, but never received approval. This is a new review cycle for
SAM 02.A.37.

Applied revised SAM template and added new Revision Log. Changed title of SAM from "Security Sensitive Positions" to "Background Checks for Employees." Added student employment to policy in Section 1.2. Rewrote Section 2 to emphasize the operating procedures for administration of criminal background checks. Removed Section 3.1. In
Section 3.5, changed CEO to appropriate vice president, and designee to division head. Added information to Section 3.8 on Fair Credit Reporting Act (FRCA) procedure. Updated
Sections 4.2 and 4.3 on maintenance of records for two years and procedure for destroying data. Added references to
41 C.F.R Section 60-1.12 and Texas Government Code
Section 411.094 to Sections 4.2 and 4.3. Changed responsible party to Associate Vice Chancellor for Finance. Changed review period from annually on or before September 1 to every five years on or before December 1st. Added Executive Vice Chancellor for Administration and Finance to approval process.
SAM 02.A.39 - Political Aid and Legislative Influence
Chief Human Resources Officers/
Legal Counsel
Applied revised SAM template and added new Revision Log. Added Section 2.9.f on use of facilities for political purposes.
SAM 02.B.10 - Shift Differential
Chief Human Resources Officers
Added GENDA statement to Section 2.3. "Regularly" was removed from all sections in this document. Removed "fulltime" from documentation. Redlined Section 3.5 for definition of day shift.Redefined 2nd shift in Section 3.6 and 3rd shift in
Section 3.7. Changed hours for 2nd shift in Section 4.1, and hours for 3rd shift in Section 4.2. Removed Section 4.3. Revised Section 4.6 for employee's supervisor to verify that the biweekly time sheet correctly calculated the appropriate shift differential pay.
SAM 02.D.04 - Leaves of Absence
Chief Human Resources Officers
Retitled SAM 02.D.04 to be "Leaves of Absence." Rewrote this SAM to include information from SAM 02.D.03 and
SAM 02.D.05. SAM 02.D.03 and SAM 02.D.05 will be rescinded.
SAM 03.A.01 - Expenditures of all Funds Administered by the University of Houston System
System Office of Finance
SAM 03.A.01 is submitted for a housekeeping revision.
Added new Revision Log. Removed Section 8, Indexing Terms. No additional changes were required per the Subject Matter Expert (SME).
SAM 03.A.02 - Entertainment Expenditure
System Office of Finance
This SAM went through an initial review in Quarter 4, FY 2012, but never received approval. This is a new review cycle for SAM 03.A.02.
Added the new Revision Log. Revised Section 3.6 on entertainment expenses for the Office of Government Relations. Updated Section 4.6 to remove the University of Houston Hotel, Continuing Education Center and University of Houston-Victoria from the topic of club memberships. Added information to Section 4.7 regarding approved business meals for System employees.
SAM 03.A.06 - Establishment, Maintenance, and Discontinuance of Credit Card Services
System Office of Finance and
System Office of Treasury
Added "Acquiring Bank" to Section 2.2 definitions, and "Merchant" to Section 2.3 definitions. Redefined Data Security Standards as "DSS" throughout text. Provided links to all forms in document. Added PCI Security Standards Council responsibility to Section 3.1. Redefined the responsibilities for the UHS Treasurer's Office (Section 3.2), the Chief Financial Officer (CFO) (Section 3.3), PCI DSS Compliance representatives (Section 3.4) and Merchants (Section 3.5). Added the responsibility of UH Information Technology department to Section 3.6. Removed Sections 3.9, 3.10, 3.11, and 3.12.
SAM 03.A.07 - Petty Cash Procedures
System Office of Finance and
System Office of Treasury
Applied revised SAM template and added new Revision Log. Added information to Section 1 regarding restrictions on expenses. The maximum allowable petty cash fund amount of $500 was added to Section 2.3. A note was added after Section 2.3 regarding exceptions being approved by the System Office of the Treasurer. Section 2.5.c was added regarding transactions split between two or more receipts. Revised Section 2.9.f on reporting changes to a petty cash fund to the System Office of Treasury, General Accounting, and the component university's Police department. Revised Section 2.12 to include information about what type of information a receipt should provide. In Section 2.16, petty cash funds are audited at least once each fiscal year; included information regarding unannounced reviews and documentation in SAM 03.F.04.
SAM 03.A.17 - Disclosure of Related Party Interests
System Office of Finance
SAM 03.A.17 is submitted for a housekeeping revision.
Added new Revision Log. No additional changes were required per the Subject Matter Expert (SME).
SAM 03.A.19 - Personal Use of UHS Telecommunications Equipment or Services
System Office of Finance
This SAM went through a previous review cycle in Quarter 2, FY 2013, but never received approval. This is a new review cycle for SAM 03.A.19.
Added the new Revision Log. Removed the Communication Equipment Allowance program from the document. Removed Internet services from Section 2.2. Removed references to a Personal Digital Assistant (PDA) and emphasized cellular telephones in Section 2.2. The employee's department may elect to contribute to the operation of the cellular telephone by providing a monthly cell phone communication allowance in Section 2.2. Changed the Vice Chancellor for Administration and Finance to the Executive Vice Chancellor for Administration and Finance in the approval cycle. Removed Section 5, Indexing Terms.
SAM 03.A.22 - Reporting Financial Accounting Information to External Parties
System Office of Finance
Applied revised SAM template and added new Revision Log. Updated Section 2.2 for system-wide financial information requiring review by the System Chief Fiscal Officer or designee. Added link to SAM 09.A.01 to Section 2.4, and changed titles to reflect current operating requirements.

SAM 03.A.23 - Court Ordered Restitution
System Office of Finance and
System Office of General Counsel
Applied revised SAM template to meet current documentation standards. Updated Sections 2.2 and 2.4 with the title of System Director of Risk Management or designee. Changed title of Board of Regents 55.05 title to current BOR title in Section 2.9.

SAM 03.A.24 - Extension of Credit by University of Houston System
Component Universities
System Office of Finance
Added new Revision Log. Added information to Section 2.3.4 for requirement when receivable is maintained in an enterprise system with required reporting information.
SAM 03.A.28 - Tax-Exempt Bond Post-Issuance Compliance
System Office of the Treasury
Added Section 2.1 on the policy for standard contracts and agreements and Section 2.3 on the policy for non-standard research agreements. Removed Section 4.1. Made minor changes to Sections 7 and 8 regarding Treasurer and Legal Counsel consultation for contracts and research agreements. Added Section 9 on Naming Rights Agreements. Added the Executive Director of Accounting Services to the ability to request Treasurer reimbursement from bond proceeds. Added communication of rules to appropriate System staff for taxexempt bond training in Section 13.
SAM 03.B.01 - Purchasing Guidelines
System Office of Finance
This SAM went through a previous review cycle in Quarter 2, FY 2012, but never received approval. This is a new review cycle for SAM 03.B.01.
Applied revised SAM template and added new Revision Log. Removed Section 2.3 on State Comptroller of Public Accounts (CPA) delegations and purchase responsibilities. Revised Section 3.2 to add a web site for purchasing guidelines, with the caveat that each component university may have additional procedures.
SAM 03.B.02 - Historically Underutilized Businesses (HUBs)
System Office of Finance
SAM 03.B.02 is submitted for a housekeeping revision.
No additional changes were required per the Subject Matter Expert (SME).
SAM 03.D.04 - Check Distribution
System Office of Finance
Added new Revision Log. Updated information in Section 3.2 concerning the process of voided check copies forwarded to System Bank Reconciliations by System Payroll. Updated Section 3.3 to have stale dated checks forwarded to System Bank Reconciliations for processing.
SAM 03.E.02 - Property Management
System Office of Finance
SAM 03.E.02 is submitted for a housekeeping revision.
Applied revised SAM template and added new Revision Log. No additional changes were required per the Subject Matter Expert (SME).
SAM 03.E.03 - Disposition of Abandoned and Unclaimed Financial and Personal Property
System Office of Finance
This SAM went through a previous review cycle in Quarter 4, FY 2009, but never received approval. This is a new review cycle for SAM 03.E.03.
Applied revised SAM template and added new Revision Log. Changed SAM title from "Disposition of Abandoned and Unclaimed Personal Property" to current title. Added
Section 2, Policy. Revised Section 3 definitions for financial personal property and physical personal property. Changed Section 4 to Terms of Abandonment, and revised section. Removed information regarding gift cards, money orders, and traveler's checks, since they are not issued by UHS. Updated Sections 5.1, 5.2, and 5.3 with current information regarding reporting and delivery processes. Changed review period from every three years on or before August 31st to every three years on or before September 1st. Removed Section 8, Indexing Terms.
SAM 03.E.08 - Student Travel to Component University-Funded Activities
System Office of Finance/
System Office of Student Affairs
Changed title of SAM to "Student Travel to Component University-Funded Activities." Revised Section I to define component university student travel criteria. Added Section 2.3 on motor vehicle record evaluations required for anyone authorized to operate a vehicle owned or leased by a component university. Added Section 7.0 on High Profile Vehicles. Updated the title of AVP for Student Affairs and Dean of Students.
SAM 03.F.03 - Distribution of Income from Selected Endowments
System Office of Finance/
System Office of the Treasury
This SAM went through a previous review cycle in Quarter 4, FY 2009, but never received approval. This is a new review cycle for SAM 03.F.03.
Applied revised SAM template and added new Revision Log. Removed the Southland Paper Mills Foundation Endowed Scholarship Fund from Section 2.b, and replaced with the International Paper Endowed Scholarship Fund. Specified the Cullen Leadership Endowment Scholarship in Section 3.2 for a $1,000 minimum award. Revised Section 3.3 for funds to be distributed by November 30th of each based on income amounts in the general ledger on August 31st. The International Paper Endowment Scholarship Fund was added to Sections 3.5 and 4.2. In Section 3.6, the System Office of Stewardship obtains the enrollment figures for the Enron Endowment. Corrected titles throughout the document. Changed the review period to every five years on or before September 1st. Removed Section 7, Indexing Terms.
SAM 03.F.04 - Cash
Handling
System Office of Finance
Added new Revision Log. Removed statement regarding cash and checks being sent in separate bank deposit bags from Section 3.16.
SAM 03.F.07 - Foreign Bank Accounts
System Office of Finance/
System Office of Treasury
Added Section 2.2 on parameters for unsecured deposits in a foreign bank. Revised Section 4.1.b on approval process for establishment of a foreign bank account. Removed
Sections 4.1.d and 4.1.g. Added "as soon as practical" timeframe for returning entire balance to component in
Section 4.5.c.
SAM 03.G.01 - Year End Closeout Procedures for Deficit Balances
System Office of Finance
SAM 03.G.01 is submitted for a housekeeping revision. Originally submitted in Quarter 2, FY 2010, SAM 03.G.01 was never approved.
Applied revised SAM template and added new Revision Log. Corrected title of Executive Vice Chancellor for Administration and Finance throughout text. Removed "normally" qualifier from the sentence in Section 2.3 on component universities not covering deficits within agency cost centers. Removed
Section 5, Indexing terms. No additional redlines were needed per the Subject Matter Expert (SME).
SAM 03.H.01 - Records Retention
System Office of Finance/
System Office of Legal Counsel
Added new Revision Log. Added link to UHS Records Retention Schedule to Section 2.3. Revised administrative correspondence retention from 3 years to 4 years in
Section 6.1. Revised general correspondence retention from 1 to 2 years in Section 6.2. Changed "correspondence" to "information" in Section 6.4 per the Texas State Records Retention documentation. Added information on transitory information reference in Section 6.4. Revised "System General Counsel" to "System Office of General Counsel" in Section 7.1.
SAM 06.A.11 - Procedures
for the Operation of International Programs
System Office of Academic Affairs
SAM 06.A.11 is submitted for a housekeeping revision.
Applied revised SAM template and added new Revision Log. Provided minor redlines and hyperlinks to procedure; changed Responsible Party to be Interim Vice Provost and Dean, University of Houston Graduate School. No additional changes were required per the Subject Matter Expert (SME).
SAM 07.A.06 - E-Mail Retention
University Information Technology/
System Office of
Legal Counsel
SAM 07.A.06 is a New SAM.
This new SAM policy is adopted in order to comply with state and federal law, to preserve e-mails which are state records of the University of Houston System (System) and its component universities, to demonstrate fiscal responsibility by eliminating the need for unnecessary computer file storage space, and to apply best practices for e-mail retention throughout the System. MAPP 10.03.07 will be rescinded when this SAM is approved.
SAM 07.A.07 - Use of Electronic Messaging Services by Employees
University Information Technology/
Chief Human Resources Officers/
System Office of
Legal Counsel
SAM 07.A.07 is a New SAM.
The purpose of this policy is to define the appropriate use of and employee access to University of Houston System (UHS) electronic messaging services by faculty and staff employees.
SAM 08.A.05 - Gifts by
System Employees Through Payroll Deductions
System Office of University Advancement
Added information to Section 2.2.b regarding payroll deductions through PASS or contacting the Office of Development at the component university. Changed the example for Section 2.3.b from UH System at Sugar Land to UHD College of Business. Made minor redline changes to Sections 2.2.d and 2.2.e.
SAM 08.A.06 - Social Media Policy
System Office of University Advancement/
Marketing and Communication
SAM 08.A.06 is a New SAM.
This new SAM defines the rules and procedures for the use of Official University Social Media Sites to ensure that university-sponsored social media is both legal and in compliance with University policies.
SAM 09.A.01 - Governmental Relations Communications and Appearances
System Office of Governmental Relations
Added new Revision Log. Changed title from VC for Governmental Relations to Executive Director of Governmental Relations throughout procedure. Office title changed to University of Houston System Office of Governmental Relations throughout procedure. Added information to Section 2.3 to include travel related to for system-wide communication to be coordinated by the University of Houston System Office of Governmental Relations, and communication for on-campus visits. Added Section 2.8 regarding process for coordination of responses to specific requests for the use of system facilities by governmental entities. Changed the responsible party, and added the Executive Vice Chancellor for Administration and Finance to the approval cycle.


Please note that the policies contained in this section are not official. These changes have been submitted to the 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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713-743-6885

uhpolicies@uh.edu