SAMs in Component Executive Review for the 2nd Quarter, Fiscal Year 2012

The following SAMs have been recommended by University of Houston System subject matter experts for review.  To review the proposed changes, please select each policy name to view the linked document and send comments/suggestions, if any, to
palevy@central.uh.edu by May 8, 2012 (Tuesday).

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. The column titled "Review Comments" indicates the comments/suggestions received during the Component Draft Review, Campus Review, and the System Executive Review of the policies listed below.

SAM Number and Name Proposed Changes Review Comments
SAM 01.C.04 - Reporting/Investigating Fradulent Acts Applied revised SAM template and added new Revision Log. Corrected the reference to the Report to Nations on Occupational Fraud and Abuse to reflect the most current version in Section 8, and removed it from Section 3. These changes were proposed by the System Offices of Audit and Fiscal Affairs. Campus Review Comments: Add "(or other police agency)" to Section 2.4 for clarity.
Response: Changes applied.
Section 4.1 already contains a reference to My Safe Campus, and other concerns regarding referring evidence to law enforcement is covered in the policy.

Executive Review Comment: Please add reporting to appropriate law enforcement authority to Sections 2.2, 4.0, 4.2, 4.4, and Exhibit B.
Response: Changes applied.
SAM 01.C.07 - Safety Administration Applied revised SAM template and added new Revision Log. Added appropriate training to Section 3.7. Changed responsible party to AVC for Finance. These changes were proposed by the System Office of Risk Management. Campus Review Comment: Need to remove UH-Victoria from Section 2.3, since the city police could be involved in any System safety activity.
Response: Changes applied.

Campus Review Comment: Add "Active Shooter" and "Severe Weather" situations to Section 3.8.
Response: Changes applied.

SAM 01.C.16 - Asbestos-Containing Material SAM 01.C.16 replaces MAPP 06.03.01 on the topic of Asbestos-Containing Materials. This procedure applies to all System projects with related asbestos. This new SAM was drafted by the System Office of Risk Management.
SAM 01.D.03 - Trademark Management Applied revised SAM template and added new Revision Log. Removed Section 2.4 on the trademark advisory committee. Changed the title from the Vice Chancellor of Research to the Vice Chancellor of Research and Technology Transfer throughout the document. Provided web links to Board of Regents policies. Changed review period from every two years on or before January 31st to every two years on or before December 1st. Removed Section 11, Indexing Terms. These changes were proposed by the System Offices of Legal Counsel and Research/Technology Transfer. This SAM went through an initial review in Quarter 1, FY 2010, but never received approval. This is a new review cycle for SAM 01.D.03.
Campus Review Comment: Change Section 5.3 to read "All apparel shall meet the standards set forth by the System or its designee." We use a company other than Collegiate Licensing for our apparel, and we would like to have the flexibility to change companies for budgetary considerations if necessary.
Response: Changes applied.

After Executive Review: Added information to new Section 2.4 that licensing revenue contracts managed by the Athletics department remain with Athletics.
Response: Changes applied.
SAM 01.D.05 - Equal Employment Opportunity Applied revised SAM template and added new revision log. Completed revisions to Sections 1.0 and 2.0 to reflect current operating practices, including the addition of genetic information, sexual orientation, and pregnancy to EEO factors. Removed Section 5.0, Index terms. These changes were proposed by the System Office of Legal Counsel. Campus Review Comment: In Section 2, please add "gender identity and expression" after the words "sexual orientation."
Response: A final decision was received from the Office of Legal Counsel; changes applied to Section 2.

SAM 01.D.06 - Protection of Confidential Information Applied revised SAM template and added new revision log. Replaced "Privacy Officer" with "General Counsel" throughout procedure to reflect current operating practices. Provided web links to FERPA, HIPPA and GLB Act in Section 1.0. Rewrote Section 2.1 to outline duties of the Privacy Coordinator. Added documentation to Section 2.2 on activities and web site for reporting a security incident/breach. Added Section 2.3.e on component university taking appropriate steps during a security incident. Documentation added to Section 2.4 on possible termination for disclosure of confidential information. These changes were proposed by the System Office of Legal Counsel.
SAM 01.E.01 - Office of Intellectual Property Management Applied revised SAM template and added new Revision Log. Changed the title from the Vice Chancellor of Research to the Vice Chancellor of Research and Technology Transfer throughout the document. Provided web links to Board of Regents policies. Changed review period from every two years on or before January 31st to every two years on or before December 1st. Removed Section 6, Indexing Terms. These changes were proposed by the System Offices of Legal Counsel and Research/Technology Transfer. This SAM went through an initial review in Quarter 1, FY 2010, but never received approval. This is a new review cycle for SAM 01.E.01.
SAM 01.G.01 - Sponsored Research Activities Applied revised SAM template and added new Revision Log. Added information to Section 3.1 on complying with all regulations from state and federal funding agencies. Added hyperlinks as appropriate. Changed the title for the VC from Research and Intellectual Property Management to Research and Technology Transfer. Removed Section 6, Indexing Terms. These changes were proposed by the System Office of Research and Technology Transfer.
SAM 02.A.25 - Termination Clearance Guidelines Applied revised SAM template and added new Revision Log. Updated Section 3.4 to have the supervisor inform the employee of the termination process, not to perform part of the process. Added genetic information to Section 3.12. These changes were proposed by the Chief Human Resources Officers. Executive Review Addition: Added GENDA information to Section 3.12.

Executive Review Comments: Add Section 3.2.h and i concerning computer equipment, e-mail, and providing out of office messages for business continuity purposes. Add information to
Section 3.4 on verifying university data and notification of the component Information Security Officer for any information security risks.
Response: Changes applied.
SAM 02.A.31 - Access to and Maintenance of Personnel Files Applied revised SAM template and added new Revision Log. Removed "Staff" from title of SAM and throughout procedure. Removed Section 2.4. Added information to Section 3.2 on possible additional retention time period for certain records until no longer administratively valuable. Reorganized information in Section 3.5, and removed the statement on obtaining forms concerning the confidentiality of home addresses and telephone numbers from the component human resources department. Removed Section 3.6.e on grievance records storage in a separate location. Changed the responsible party to AVC for Finance. Changed review period from every three years on or before May 31st to every five years on or before March 1st. Removed Section 6, Indexing terms. These changes were proposed by the Chief Human Resources Officers. Originally reviewed in Quarter 3, FY 2008, but never received approval. This is a new review cycle for SAM 02.A.31.

Campus Review Comment: In Section 2, please add "gender identity and expression" after the words "sexual orientation."
Response: GENDA information was added to Section 2.4.

Executive Review Comment: Include grievance process in Section 3.3 for documentation in personnel folders.
Response: Changes applied. Any appeals to be heard by appropriate VP/designee or President.
SAM 02.A.35 - Search Committees for Executive and Staff Positions Applied revised SAM template and added new Revision Log. Removed "Staff" from title of SAM and throughout procedure. Removed Section 2.4. Added information to Section 3.2 on possible additional retention time period for certain records until no longer administratively valuable. Reorganized information in Section 3.5, and removed the statement on obtaining forms concerning the confidentiality of home addresses and telephone numbers from the component human resources department. Removed Section 3.6.e on grievance records storage in a separate location. Changed the responsible party to AVC for Finance. Changed review period from every three years on or before May 31st to every five years on or before March 1st. Removed Section 6, Indexing terms. These changes were proposed by the Chief Human Resources Officers. Originally reviewed in Quarter 1, FY 2010, but never received approval. This is a new review cycle for SAM 02.A.35.

Executive Review Addition: Added GENDA information to Section 3.7.
SAM 02.A.36 - New Staff Orientation and Processing Applied revised SAM template and added new Revision Log. Activated links to references within the document. Removed Section 2.1 on filling out the UH application for employment. Modified Section 2.3.b to remove the requirement for filling out forms and authorizations during orientation sessions. Removed Section 2.7 on the requirement for establishing procedures for SAM 02.A.36. Changed the responsible party to the AVC for Finance. Changed the review period from every three years on or before September 1st to every five years on or before March 1st. These changes were proposed by the Chief Human Resources Officers. Originally reviewed in Quarter 3, FY 2008, but never received approval. This is a new review cycle for SAM 02.A.36.

Campus Review Comments: Please add "Information Security topics" to
Section 2.4b for orientations.
Response: Changes applied.

Executive Review Addition: GENDA information added to Section 2.6.
SAM 02.A.37 - Security Sensitive Positions Applied revised SAM template and added new Revision Log. Added access to a computer terminal to the "security sensitive" requirements in Section 2.2.b. In Section 2.3, added the requirement that no other positions can be designated as security sensitive positions that do not meet the parameters in Section 2.2a through e. In Section 3.2, the hiring authority must contact the component university human resources department to request the criminal history record examination. In Section 3.6, only a vice president or division head can authorize hiring an applicant with a positive criminal history. Added Section 3.8 on criminal history information obtained from a third party agency with additional information on the Fair Credit Reporting Act (FCRA); the applicant has five business days to explain or rebut the information included in the report. Removed Section 3.9. In Section 4.2 and 4.3, the component university chief of police destroys the criminal history information obtained after two years of the personnel action per Texas Government Code Section 411.094. Changed the responsible party to AVC for Finance. Added the EVC for Administration and Finance to the approval cycle. Changed the review period from annually on or before September 1st to every five years on or before December 1st. These changes were proposed by the Chief Human Resources Officers and the System Office of Legal Counsel. Campus Review Question: Does the "computer terminal" requirement include faculty and students?
Response: Yes, it does.

Campus Review Question: Can we include more specific information for Section 2.2(b) on having access to a computer terminal?
Response: The phrase is taken directly from Texas Education Code, Section 51.215(c), and we were purposely broad so as to require component universities to consider nearly every position on campus as a security sensitive position, requiring a crminal background check. The language will stay "as is."

Campus Review Question: Could we include any law enforcement agency (local, state, county, or federal) to Section 3.8?
Response: Changes applied.

Campus Review Question: Can we include a section on conditions for employees terminated for cause due to misuse of resources related to the security sensitive nature of the position? If not recorded in an area where System offices can see, this information will not show up in a background check if the former employee moves to another System campus to apply for a job.
Response: No. There are processes currently in place to take care of termination due for cause.

Executive Review Comment: In
Section 2.2.b, "computer terminal" is too broad. We understand that this came from the Texas Education Code, however, we should have some clarification of the word "terminal," since these days the word is more loosely used than it should be. e.g., some time ago, personal computers.
Response: The wording needs to remain "as is" to address the Texas Education Code definition (Texas Education Code, Section 51.215(c)).

Executive Review Addition: GENDA information added to Section 2.5.
SAM 03.A.26 - Employee Training Program Applied revised SAM template and added new revision log. Activated links to references within the document. Removed Section V, Index terms. These changes were proposed by the Chief Human Resources Officers.
SAM 03.B.01 - Purchasing Guidelines 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. These changes were proposed by the System Offices of Fiscal Affairs and Purchasing.
SAM 03.E.01 - Physical Inventory of Goods for Resale, Manufacture, or Repair Added new Revision Log. Added software to obsolete items in Section 2.7. These changes were proposed by the System Office of Fiscal Affairs.
SAM 04.A.02 - Audits by Internal Auditing Applied revised SAM template and added new Revision Log. Added clarifying language related to Internal Auditing Standards and government auditing standards in paragraph 2.2 to be consistent with Board of Regents' Policy 41.01.2.C. and the Texas Government Code 2102.011. These changes were proposed by the System Office of Audits.
SAM 07.A.04 - Digital Millennium Copyright Act Applied revised SAM template and added new Revision Log. Removed Section 2.5 on Chief Information Officer. Applied minor editorial changes. Changed review period from everytwo years to every three years on March 1st. Removed Section 7, References. These changes were proposed by University Information Technology.
SAM 07.A.05 - Federal Communications Commission Applied revised SAM template and added new Revision Log. Changed Section 2 from System Configuration Engineer to Departmental Responsibilities. Added the Office of General Counsel in the process for determining any broadcasting stations licensed to the System or component universities In Section 3.1.b. Copies of licenses will be maintained by the department in Section 3.1.c. Removed the System Configuration Engineer from the procedure. In Section 3.3, the Office of General Counsel will be informed of any Notices of Violations and Notices of Apparent Liability and involved in the response to these notices. Applied minor editorial changes. Removed Section 6, Indexing Terms. Changed the responsible party to be the AVC for Information Technology. Added the EVC for Administration and Finance to the approval cycle. These changes were proposed by University Information Technology and the System Office of Legal Counsel.

*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/policyservices/sam/.





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Kathleen Milford
713-743-6885

uhpolicies@uh.edu