SAMs in Component Executive Review for the 4th 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 ___________________.

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.13 - Business Use of Vehicles Added Section 7 on high profile vehicles to address safety concerns with rollovers;
15-passenger vans are prohibited for component university business.

Campus/Executive Review Comment:
Question: What is being done to address the current 15-passenger vans in the fleets at System campuses?
Response: Added a note to Section 6.3 regarding five-year plan to phase out older vehicles as well as current
15-passenger vans.

Question: Suggest removing references to SUVs and pick-up trucks since it will be extremely difficult to monitor compliance due to personal vehicle use.
Response: All drivers of pick-up trucks, vans, and sport utility vehicles for component university business will need to take the training described in
Section 6.2.

SAM 01.C.16 - Asbestos-Containing Material 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.

Campus/Executive Review Comment:

SAM 02.A.37 - Background Checks for Employees 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.

Campus/Executive Review Comment:

SAM 02.A.39 - Political Aid and Legislative Influence Applied revised SAM template and added new Revision Log. Added Section 2.9.f on use of facilities for political purposes.

Campus/Executive Review Comment:

SAM 02.B.10 - Shift Differential Added GENDA statement to Section 2.3. "Regularly" was removed from all sections in this document. Removed "full-time" 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.

Campus/Executive Review Comment:
Question: In Sections 3.5 and 3.7, there is a contradiction on times. Recommend for Section 3.7 to remain at 4:00 a.m. to agree with documentation in Section 3.5. Section 4.2 also needs to remain at
4:00 a.m.
Response: Section 3.5 needs to be changed to 6:00 a.m. to be consistent with Section 3.7. TRAM calculates night shift differential for all hours between 10:00 p.m. and 6:00 a.m.. Section 4.2 was modified per TRAM guidelines.

Question: In Sections 3.6 and 3.7, there is a contradiction on times. Both evening shift and night shift documents "or ends after 10 p.m." So regardless of the start time, if the shift ends after 10 p.m., the existing language causes confusion regarding the appropriate shift.
Response: Changes incorporated.

SAM 02.D.04 - Leaves of Absence Retitled SAM 02.D.04 to be "Leaves of Absence." Rewrote this SAM to include information from SAMs 02.D.03 and 02.D.05. SAMs 02.D.03 and 02.D.05 will be rescinded.

Campus/Executive Review Comment:
Question: Suggest dropping the first word in Section 5.1, "Written," and start the sentence "Requests for leave must ..." This phrasing is more correct use for the Absence Management system.
Response: Change incorporated.

Question: Should Section 3.2 say Texas Fiscal Year or University Fiscal Year?
Response: University Fiscal Year. Change incorporated.

Question: Should we have VP approval in Section 6.4?
Response: Yes. "This leave must be approved by a Vice President prior to being granted." Change incorporated.

SAM 03.A.02 - Entertainment
Expenditures
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.

Campus/Executive Review Comment:

SAM 03.A.06 - Establishment, Maintenance, and Discontinuance of
Credit Card Services
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.

Campus/Executive Review Comment:
Comment: Please provide links to the forms that are cited in the document.
Response: Changes incorporated.

SAM 03.A.07 - Petty Cash Procedures 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.

Campus/Executive Review Comment:

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 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.

Campus/Executive Review Comment:

SAM 03.A.22 - Reporting Financial Accounting Information to External Parties 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.

Campus/Executive Review Comment:

SAM 03.A.23 - Court Ordered Restitution 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.

Campus/Executive Review Comment:

SAM 03.A.24 - Extension of Credit by University of Houston System Component Universities 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.

Campus/Executive Review Comment:

SAM 03.A.28 - Tax-Exempt Bond Post-Issuance Compliance 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 tax-exempt bond training in Section 13.

Campus/Executive Review Comment:

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.

Campus/Executive Review Comment:

SAM 03.D.04 - Check Distribution 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.

Campus/Executive Review Comment:

SAM 03.E.03 - Disposition of Abandoned and Unclaimed Financial and Personal Property 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.

Campus/Executive Review Comment:

SAM 03.E.08 - Student
Travel to Component University-Funded
Activities
Changed title of SAM from "Travel by Students to Component University Funded Activity" to current title. 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.

Campus/Executive Review Comment:

SAM 03.F.03 - Distribution of Income from Selected Endowments 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.

Campus/Executive Review Comment:

SAM 03.F.04 - Cash Handling Added new Revision Log. Removed statement regarding cash and checks being sent in separate bank deposit
bags from Section 3.16.

Campus/Executive Review Comment:

SAM 03.F.07 - Foreign
Bank Accounts
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.H.01 - Records Retention 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.

Campus/Executive Review Comment:

SAM 07.A.06 - E-Mail Retention
(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.

Campus/Executive Review Comment:

SAM 07.A.07 - Use of Electronic Messaging Services by Employees
(New SAM)
The purpose of this new SAM 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.

Campus/Executive Review Comment:

SAM 08.A.05 - Gifts by System Employees Through Payroll
Deductions
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.

Campus/Executive Review Comment:

SAM 08.A.06 - Social
Media Policy
(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.

Campus/Executive Review Comment:

SAM 09.A.01 - Governmental Relations Communications and Appearances 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.

Campus/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/af/universityservices/policies/sam/index.htm.





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Kathleen Milford
713-743-6885

uhpolicies@uh.edu