SAMs in Component Executive Review for the 3rd Quarter, Fiscal Year 2015

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 June 1, 2015 (Friday).

**Note: SAM 01.D.08 (Interim 2) and SAM 01.D.09 (Interim) were removed by the request of General Counsel and Equal Opportunity Services on April 2, 2015. Both documents will be part of Quarter 1, FY 2016's Campus Review cycle for full review and approval.

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.
SAM Number and Name Proposed Changes
SAM 01.C.13 - Business Use of Vehicles Added "rented" to Section 2.1. Added information on golf carts and mobile equipment to Section 2.4. Deleted Section 3.2. Added Section 6 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. Added information on minimal limits of liability insurance in Section 7.2.

SAM 01.C.16 - Asbestos-Containing Material Changed area of responsibility from Risk Management to Environmental Health and Safety. Removed Asbestos Awareness Training in Section 2. Added information on asbestos information availability on each component university's Environmental Health and Life Safety web site.

SAM 01.H.01 - Social
Media Policy (New SAM)

Note: SAM number changed from
08.A.06 to 01.H.01 on June 9, 2015
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 02.A.11 - Staff Performance Appraisals Applied revised SAM template and added new Revision Log. Removed "regular, benefits-eligible" from Section 2.1, making staff performance appraisals applicable for all new staff employees. Added discrimination statement, plus GENDA information on sexual orientation, gender identity and gender expression to Section 2.7. Exempted individuals employed with student status from performance appraisals in Section 3.1.

SAM 02.A.20 - Hours of Work Applied revised SAM template and added new Revision Log. Added Texas Government Code, Section 605.002 to Section 1. Added discrimination statement, plus GENDA information on sexual orientation, gender identity and gender expression to Section 2.1. Added Texas Government Code, Section 658.005 to Sections 2.4 and 2.6. Replaced "CEO" with "component university President" in Section 2.4. Added Texas Government Code, Section 658.008 to Section 2.7.

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. 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 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 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.

SAM 02.D.04 - Leaves of Absence 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.
Note: SAM 02.D.03 and SAM 02.D.05 will be rescinded.

SAM 02.D.08 - Parental Leave Applied revised SAM template and added new Revision Log. Added hyperlinks for documentation as appropriate. Added Texas Government Code, Section 661.913 to Sections 1 and 2.2. Added discrimination statement, plus GENDA information on sexual orientation, gender identity and gender expression, to Section 3.3. Changed Responsible Party to AVP for Finance. Changed review period from odd numbered years on or before August 31 to every five years on or before August 31. Added Executive Vice Chancellor for Administration and Finance to approval process. Removed Section 8, Indexing Terms.

SAM 02.E.02 - Perquisites Applied revised SAM template and added new Revision Log. Corrected reference to SAM 03.A.02 in Section 1. Removed imprest accounts from Section 3.3. 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.

SAM 03.A.02 - Entertainment Expenditures Added the new Revision Log. Revised Section 3.6 on entertainment expenses for the Office of Government Relations. Revised reference to OMB Circular A-81 in Section 3.10. 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 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 Applied revised SAM template and added new Revision Log. Added information to Section 1 regarding restrictions on expenses. The 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 2.5.e to include honorariums. Updated Section 2.5.f to refer to receipt requirements in Section 2.12. Revised Section 2.9.f on reporting changes to a petty cash fund to the System Office of Treasury, the component university's Accounting or Controller office, and the component university's Police department. Revised Section 2.12 to include information about what type of information a receipt should provide. Added price of the item to Section 2.12.a. Revised Section 2.14 to include receipts received since the last request for replenishment. In Section 2.15.d, added the Accounting Department to be responsible for verifying the proper account is used. Revised Section 2.15.e for departments to submit reimbursement request in accordance with campus guidelines. 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.19 - Monthly Communication Allowance for Extensive Business Use of Personal Cell Phone and/or Internet Service Added the new Revision Log. Changed title from "Personal Use of UHS Telecommunications Equipment or Service" to current title. Removed the Communication Equipment Allowance program from the document, and replaced it with a communication allowance program. Deleted Section 2.1. 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. Added Section 2.3 on the lack of requirement to provide a communication allowance unless the component university elects to provide it to employees who request it. Removed Section 5, Indexing Terms.

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.

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.

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.

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.

SAM 03.B.02 - Contracting with Historically Underutilized Businesses (HUBs) Added African Americans, American Women, and/or Service- Disabled Veterans to Section 2, and removed discriminatory practices statement. Added Government and Administrative Codes to Section 3.2 a through e. Revised Section 5 to reflect current requirements for HUB assessments when required.

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. Revised Section 1 to include financial and physical property. 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. Added information for each component university police or security department is responsible for developing procedures for disposition of unclaimed physical personal property in Section 4.3. 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 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 AVC for Student Affairs and Enrollment Services and Dean of Students.

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 annually 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 Added new Revision Log. Revised Section 2.15 to indicate electronic images are sent to the Federal Reserve for remote deposit. Removed statement regarding cash and checks being sent in separate bank deposit bags from Section 3.16.

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.G.01 - Year End Closeout Procedures for Deficit Balances Applied revised SAM template and added new Revision Log. Corrected title of Executive Vice Chancellor for Administration and Finance throughout text. Changed "department" to "division" in Sections 2.1 and 2.1.a. 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.

SAM 03.H.01 - Records Retention Added new Revision Log. Added link to UHS Records Retention Schedule to Section 2.3. Changed the time period from three years to five years in
Section 2.3 for updating the retention schedule. Revised administrative correspondence retention from 3 years to 4 years in Section 6.1. Revised general correspondence retention from one to two years in Section 6.2. Changed the Retention Schedule reference to Item 1.1.010 in Section 6.3. 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 07.A.04 - Digital Millennium Copyright Act Applied revised SAM template and added new Revision Log. Removed Section 2.5. Added CISO acronym throughout text. Changed review cycle from every two years on or before March 1 to every three years on or before March 1. Removed Section 7, References.

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.
Note: MAPP 10.03.07 will be rescinded when this SAM is approved.

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.

SAM 07.A.08 - Data Classification and Protection (New SAM) Converted from MAPP 10.05.03 to SAM 07.A.08 with minor redlines.
Note: MAPP 10.05.03 will be rescinded when SAM 07.A.07 is approved.

SAM 08.A.01 - Management and Development of University Advancement Activities Applied revised SAM Template and added Revision Log. Added "led" to Section 2.2. Changed Section 2.3 to remove outreach strategies, marketing/branding, media relations, and publications activities. Changed System University Relations Group to System Advancement Executive Staff in Section 2.3.

SAM 08.A.03 - Gift Acceptance - Gifts from Individual Donors
(New SAM)
Applied SAM revised template and added new Revision Log. Changed SAM 03.F.01 to SAM 08.A.03, and changed all content and title to reflect current University Advancement gift acceptance procedures for individual donors.
Note: SAM 03.F.01 will be rescinded when SAM 08.A.03 is approved.

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.

SAM 09.A.01 - Governmental Relations Communications and Appearances Added new Revision Log. 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.  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.





Contact Us

Policies and Procedures Coordinator
Peggy Levy
713-743-6636

uhpolicies@uh.edu