SAMs in Component Executive Review for the 2nd Quarter, Fiscal Year 2013

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 March 20, 2013 (Wednesday).

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.D.07 - Discrimination and Harassment Policy This SAM is being submitted for review
and approval to remove Interim
designation from Quarter 1, FY 2013.

Executive Review Comment: Minor redlines were provided by Equal Opportunity Services. Section 5.5 was renamed "Response to a Complaint."
SAM 01.D.08 - Sexual Misconduct Policy This SAM is being submitted for review
and approval to remove Interim
designation from Quarter 1, FY 2013.

Executive Review Comment: Minor redlines were provided by Equal Opportunity Services to Section 6.4.

Redlines were added on 05/21/2013 based on the Campus SaVE Act and other sources.

SAM 01.D.09 - Student Academic Adjustments/ Auxiliary Aids Policy This SAM is being submitted for review
and approval to remove Interim
designation from Quarter 1, FY 2013.

Executive Review Comments:

Section 5.1.2: The new ADAAA Law does not make providing documentation mandatory. Shouldn't the statement read "the student may be required to provide documentation?"
Response: Changes applied.

Section 5.3: Concerning the Academic Accommodation Evaluation Committee, as a small campus with limited faculty with this expertise, it would be cumbersome to work with a committee for every request. Could we use this committee for appeals only? We also have a concern regarding confidentiality using electronic communication.
Response: EOS and OGC feel that such a change is not appropriate. First, the process should not be cumbersome because the meeting of the AAEC can take place electronically or by telephone, and not necessary in-person. (The confidentiality concern about electronic communication is being addressed by the UH IT department.) Second, we believe that a standard process is necessary across the System for equity and legal reasons. EOS is committed to working with all of the other components to provide the necessary resources and training to implement this policy effectively.

Additional redlines were provided by Equal Opportunity Services to
Section 5.6 to provide complete documentation on the Student Appeals process, adding eleven (11) subsections.

Section 5.1.2: Additional links to documentation were added to
Section 5.1.2.

Additional Redlines: Redlines after the approval process was completed on 05/22/2013 were submitted by Legal Counsel for an additional approval cycle on 05/28/2013.

SAM 01.G.01 - Sponsored Research Activities Added information to Section 3.1 concerning the Cancer Prevention Research Institute of Texas (CPRIT) requirements to provide a tobacco-free workplace for sponsored-funded research locations.

Executive Review Comment:
SAM 02.A.04 - Discipline and Dismissal of Regular Staff Employees Applied revised SAM template and added new Revision Log. Added GENDA information on sexual orientation, gender identity and gender expression to Section 3.2. Removed the requirement in Section 3.3 to for the Executive Director of Human Resources to keep a hard copy of component university procedures on file. Changed the responsible party to the Associate Vice Chancellor for Finance. Changed the review period from odd numbered years on or before August 31st to every five years on or before September 1st. Added the Executive Vice Chancellor for Administration and Finance to the approval process. Removed Section 6, Indexing Terms.

Executive Review Comment:
SAM 02.A.06 - Reduction in Force of Regular Staff Employees Applied revised SAM template and added new Revision Log. The affirmative action director was removed from all processes except Section 6, Hearing Process. In Section 3.2.e, the component human resources officer is responsible for determining that the policy is being followed and that the proposed RIF does not adversely impact protected classes. Added Section 3.8 for employees removed from the worksite due to a RIF to be given a work assignment to be completed away from the worksite. In Section 4.6, a non-probationary employee dismissed due to a RIF who returns to the same component university following an interruption in service is subject to the probationary provisions outlined in
SAM 02.A.18. Removed Sections 6.2 through 6.8 of the Hearing Process. The affirmative action director appoints an appeals panel to hear appeals in
Section 6.1. Changed the Texas Employment Commission to the Texas Workforce Commission in Section 6.2. Changed the responsible party to the Associate Vice Chancellor for Finance. Changed the review period from odd numbered years prior to August 1st to every five years on or before
December 1st. Added the Executive Vice Chancellor for Administration and Finance to the approval cycle. Removed Section 9, Indexing Terms.

Executive Review Comment:
SAM 02.A.08 - Consulting and Paid Professional Service Added new Revision Log. Applied the link to the official written request form for consulting and paid professional service to Sections 2.2.5, 2.2.6, and 4.0. Redlines were applied to various sections to emphasize the responsibility of the employee's duties with the System, plus information on managing or eliminating any actual or potential conflict of interest.

Executive Review Comment:
SAM 02.A.09 - Conflict of Interest Applied revised SAM template and added new Revision Log. Added Texas Government Code 572.051 to Section 1. Revised Section 2.3 to reflect current phrasing for disciplinary action and termination. Removed Section 5, Indexing Terms.

Executive Review Comment:
SAM 02.A.21 - Nepotism Applied revised SAM template and added new Revision Log. Provided redlines to Sections 2.2 and 3.2 per the BOR Policy. Added Section 2.3 per the BOR Policy. Changed the responsible party to the EVC for Administration and Finance. Changed the review period from every three years on or before
December 31st to every five years on or before December 1st. Corrected title for EVC for Administration and Finance in Section 6. Removed Section 7, Indexing Terms.

Executive Review Comment:
SAM 02.A.37 - Criminal Background Checks for Employment Document from Quarter 2, FY 2012 Executive Review cycle with additional redlines. Applied revised SAM template and added new Revision Log. Changed title from "Security Sensitive Positions" to current title. Added access to a computer terminal to the "security sensitive" requirements in Section 2.2.b per Section 51.215 of the Texas Education Code. 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 2.2 a through e. Added information on sexual orientation, gender identity or gender expression in Section 2.5. 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 working days to explain or rebut the information included in the report. Also added any law enforcement agency (local, state, county, or federal) to FCRA requirement. 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.

Executive Review Addition: Information was added to Section 2.4 regarding advertisement of security sensitive positions, and applicants who decline to submit to a criminal history record investigation will be denied employment.
SAM 02.E.02 - Perquisites Applied revised SAM template and added new Revision Log. Corrected reference to SAM 03.A.02 in Section 1. Changed the responsible party to Associate Vice Chancellor for Finance. Changed review cycle from every three years on or before August 31st to every five years on or before December 1st. Corrected title of Executive Vice Chancellor of Administration and Finance throughout text. Removed Section 7, Indexing Terms.

After Executive Review Revision: Removed imprest accounts from
Section 3.3.
SAM 02.E.05 - Employee Assistance Program Applied revised SAM template and added new Revision Log. In Section 3.2, added information that the component university may contract with an external provider for EAP professional services in absence of a formal EAP. Added prohibiting of discrimination on the basis of sexual orientation, gender identity or gender expression in Section 3.3.
Added EAP assistance for financial or legal issues or concerns to Section 4.1. Revised Section 4.4 regarding the EAP supplementing the existing procedures dealing with an employee's deteriorating or unsatisfactory job performance or conduct. Added Section 4.5 on the process of referrals to the EAP by an employee's supervisor in consultation with human resources. Changed the responsible party to AVC for Finance. Changed the review period from every three years on or before August 31st to every five years, on or before December 1st.

Executive Review Comment:
SAM 02.E.09 - Reasonable Workplace
Accommodations for Employees With
Disabilities
This is a new SAM document. This SAM addresses the submission and processing of workplace accommodation requests by component system campuses.

Executive Review Comment:
SAM 03.A.03 - Business
Travel
This SAM is being submitted for review
and approval to remove the Interim designation from Quarter 1, FY 2013.

Executive Review Comment:
After Executive Review, added
Section 1.6 regarding travel payments and accountable plan rules and modified Section 2.5.d to include accountable plans.

SAM 03.A.19 - Personal
Use of UHS Telecommunications Equipment or Services
Added the new Revision Log. Removed
the Communication Equipment
Allowance program from the document. Removed references to a Personal Digital Assistant (PDA) and emphasized cellular telephones and Internet services in Section 2.2. The employee's department may elect to contribute to the operation of the cellular phone and/or Internet services by providing a monthly cell phone and/or Internet 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.

Executive Review Comment:
SAM 03.A.21 - Employee's Family Travel Expenses This SAM is being submitted for review
and approval to remove the Interim designation from Quarter 1, FY 2013.

Executive Review Comment:
SAM 03.D.03 - Employee
Time Reporting
This SAM is being submitted for review
and approval to remove the Interim designation from Quarter 1, FY 2013.
Added sentence to Section 2.6 regarding the process for unforeseen absence, such as sickness or bereavement.

After Executive Review Redlines: The Chief Human Resources Officers (CHROs) made extensive redlines after Executive Review to address the new TRAM system.

Changes are highlighted in yellow.

Added "non-exempt employees and benefits-eligible employees" to Section 1 guidelines. Revised information regarding non-exempt employees recording time using a web clock or time collection device, and removed the requirement to sign a timesheet in Section 2.5. Removed most of the documentation in Section 2.6, except for the requirement for benefits-eligible employees to submit absence reports for time to be deducted. Revised Section 2.7 concerning the process for reviewing electronic timesheets from non-exempt employees, and the documentation of due dates via the UH System payroll calendar.

SAM 03.E.07 - Fleet Management Plan Applied revised SAM template and added new Revision Log. Changed the Texas Building and Procurement Commission (TBPC) to the Comptroller of Public Accounts (CPA) throughout the procedure. Added two responsibilities to the fleet manager in Section 3.4.d and 3.4.e on auto insurance card distribution. Added Section 4.1.f on safety requirements. Added EVC for Administration and Finance to the annual assessment process. Changed the responsible party from the AVC for Plant Operations to the AVC for Administration. Changed the review period from every three years on or before May 1st to every three years on or before September 1st. Removed Indexing Terms.

Campus Review Comment: Per Texas Government Code, Section 2171, each component university is not responsible for composing a Fleet Management Plan. Please revise to remove component universities from this requirement.
Response: The Fleet Management Plan, when applicable, is only for state-funded vehicles, utilization and mileage reporting of state-funded fleet, as required. Sections 1, 2, 3.1 and 4.1 were changed to to the University of Houston System.

Campus Review Comments: For
Section 3.3.a, please specify who has the authority to make changes to the insurance program. For Section 3.4.c, what follows the review? For
Section 4.1b, please define "field employees." For Section 4.1.e, please define the specific details for "Best Practices." Please remove
Section 4.1.g.
Response: Please see highlighted redlines for responses to questions. Changes incorporated.

SAM 05.C.01 - Campus Programs for Minors This SAM is being submitted for a review and approval cycle to remove Interim designation. Added information to Section 2.1 on campus program lasting for all or part of two or more days. Revised Section 3.3 for training course to be approved by TDSHS. Added volunteers to Section 3.7 requiring background checks, and included information regarding minors and component university students working at a campus program in fulfillment of required class work not being subject to background checks. In Section 4.1.2, revised the requirement from "7 days before" to "before" the campus program occurs for each applicable individual to complete the required training. Added a link to OGC-S-2012-13 to Section 4.2.1. Added information regarding the current verification form location in
Section 4.2.2. Added OGC-S-2012-13 to Section 8, References.
Executive Review Comment:

*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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