SAMs in Component Executive Review for the 1st Quarter, Fiscal Year 2016

The following SAMs have been recommended by University of Houston System subject matter experts for Executive Review.  To review the proposed changes, please select each policy name to view the linked document and send comments/suggestions, if any, to
uhpolicies@uh.edu by November 13, 2015 (Friday).

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.B.02 - Selection of Architectural and Engineering Firms Added new Revision Log. Added Texas Government Code 2254.004 for selection of architect, engineers and other professional services in Section 2.2. Changed responsibility for project delivery rules and procedures from the Associate Vice Chancellor for Plant Operations to the Associate Vice Chancellor for Administration in Section 2.3. Changed responsible party from Associate Vice Chancellor for Plant Operations to Associate Vice Chancellor for Administration.

Campus/Executive Review Comment:
SAM 01.B.03 - Temporary Buildings Applied revised SAM template and added new Revision Log. Added Section 2.4 with requirement of all temporary structures must be in accordance with all local, state and federal laws. Revised Section 2.5.e to add deposit of funding identified for care and maintenance of the temporary structure. Revised Section 2.5.f to add requirement for appropriate project funding before installation of the temporary structure, which will also be used for removal of the structure at the end of the installation term. Revised responsible party from Associate Vice Chancellor for Plant Operations to Associate Vice Chancellor for Administration.

Campus/Executive Review Comment:

SAM 01.D.08 - Sexual Misconduct Policy SAM 01.D.08 was approved by the Board of Regwents on August 20, 2015, and signed by Chancellor Khator on August 25, 2015. Revisions from BOR approval on August 20, 2015 include all current information regarding sexual misconduct policy guidelines from Texas Penal Code Title 5, Offenses Against the Person, specifically Section 21 on Sexual Offenses and Section 22 on Assaultive Offenses.

Campus/Executive Review Comment: Here are the errors noted to numbering: Page 4 : Section 3.2 jumps to 3.4 – missing 3.3 Page 21: Section 14.6 Step Seven should be Step Six Page 23: Section 14.7 Step Eight should be Step Seven Section 14.8 Step Nine should be Step Eight Page 24: Section 14.9 Step Ten should be Step Nine Page 25: Section 14.10 Step Eleven should be Step Ten Page 26: Section 16.10.9 should be 14.10.9 Page 27: Section 14.11 Step Twelve should be Step Eleven Section 16.11.3 should be 14.11.3 Section 15 Step Thirteen should be 14.12 Step Twelve. After these, all the numbering is wrong.
Response: Changes incorporated. Will also fix references to different sections after Executive Review.
Question: On Page 22, under Section 10.10, "Reporting To Outside Entities," a Google search indicates that for the Southwest (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), that the "U.S. Department of Health and Human Services" is the reporting area, not the U. S. Department of Education.
Response: It is Department of Education, since the reporting requirement is different for sexual misconduct cases.

SAM 01.D.09 - Student Academic Adjustments/ Auxiliary Aids Policy This SAM is being submitted for review and approval to remove the Interim designation. Revised Section 2.1, 2.2, 2.3, and 2.4 definitions to reflect current operating requirements. Added Section 2.5 definition regarding Fundamental Alteration, Section 2.8 definition of Student Disability Services Office, and Section 2.9 definition of Student Disability Services Director/Manager. Capitalized Student Disability Services Office throughout text. Changed Section 4 to Instructor Responsibilities. Added Student Disability Services Office Director/Manager or their designee to Section 4.1, and removed AAEC and ADA/504 Coordinator as contact for instructor questions. Revised course syllabi statement in Section 4.2. Indicated use of the component's student disability services web site regarding documentation in Section 5.1.2. Changed Academic Adjustments/Auxiliary Aids Request Form to an Accommodations Form in Section 5.2 and throughout text. Updated process for signature to either electronic online system or on printed form in Section 5.2.3. Added Director/Manager of Student Disability Services Office as a voting member on the AAEC in Section 5.3.2. Added Section 5.3.4 on the process regarding alternative accommodation for students. Updated Section 5.4.1 regarding process for receiving instructor's signature on student submission in Section 5.4.1, and removed Section 5.4.2. Updated process in Section 5.5.1 regarding actions taken after seven business days, and also updated process for denying a recommendation accommodation in Section 5.5.2. Added recommendation in Section 5.5.3 for instructor's supervisor to provide a requested accommodation. Added process for ADA/504 Coordinator to notification of final decisions in Section 5.5.4. Added Section 5.5.6 on review if accommodation is not deemed feasible, and recommendation of an alternative accommodation. Removed Section 5.6 on Appeals.

Campus/Executive Review Comment:

SAM 02.A.29 - Ethical Conduct of Employees Applied revised SAM template and added new Revision Log. Provided minor redlines to Section 1. Changed "College" to "University" in Section 2.2. Updated title for SAM 02.A.08 throughout document. Changed title to Interim Vice Chancellor for Administration and Finance in Sections 2.3, 5.3, and 7.0. Fixed information to reflect current documentation in Exhibit A.

Campus/Executive Review Comment: Comment: Please do not capitalize "individuals" in Paragraph 1.1.
Response: Change incorporated.
SAM 02.B.02 - Overtime
and Compensatory Time
Applied revised SAM template and added new Revision Log. Modified Section 2.2 to remove Chief Executive Officer authorization, and include information on supervisory responsibility on authorized overtime for non-exempt employees. Removed Sections 2.3, 2.4, 2.5, and 2.6. Added links to documentation as applicable. Added web site for schedule of standard workweeks to Section 3.5.a. Added information on weighted average hourly rate to Section 4.1.b. Changed title in Section 6 to Interim Vice Chancellor for Administration and Finance.

Campus/Executive Review Comment:
SAM 02.B.04 - Salary Guidelines for Non-Faculty Personnel Changed "mid year" to "midyear" throughout text. Removed Section 4.2, Changed review period from even numbered years on or before May 1st to every five years on or before May 1st. Added Interim Vice Chancellor for Administration and Finance to Sections 5 and 6.

Campus/Executive Review Comment:

SAM 02.F.03 - Employee Time Reporting Changed SAM number from 03.D.03 to SAM 02.F.03 to move Payroll information to Human Resources' area. Revised Section 2.5 to remove hard copy timesheets and include new electronic timesheet for non-exempt employees. Documented new electronic timesheet process for benefits-eligible exempt employees in Section 2.6. Outlined new process for reviewing and approving electronic timesheets in Section 2.7. Changed title in Section 4 to Interim Vice Chancellor for Administration and Finance.

Campus/Executive Review Comment:
The first sentence in Section 2.6 does not indicate that the absence request is done electronically. It should read like this: "Each benefits-eligible exempt employee (including faculty, administrative and professional staff) is required to submit absence requests in the Personal Advantage Self Service (P.A.S.S.) for time to be deducted for vacation, sick leave or other periods not at work during regularly scheduled workdays, as applicable."
Response: Change incorporated.
Comment: In Section 2.8, Circular A-21 cost principles should be replaced with the Uniform Guidance reference.
Response: Change incorporated.

SAM 02.F.05 - Payroll Deductions Changed SAM number from 03.D.05 to 02.F.05, and changed Section from Fiscal Affairs to Human Resources. Added new Revision Log. Changed title in Sections 2 and 6 to Interim Vice Chancellor for Administration and Finance. Added electronic signature on electronic forms for voluntary deduction to Section 3.0.

Campus/Executive Review Comment:
SAM 02.F.06 - Taxable Fringe Benefits Changed SAM number from 03.D.06 to 02.F.06, and Section from Fiscal Affairs to Human Resources. Spelled out FIT and FICA in Section 2.3. Revised "Accounts Payable" to "applicable department" in Section 3.1. Changed gift certificates to gift cards in Section 3.3.b. Added temporary housing to Section 3.3.i., for Taxable Non-Direct Expenses. Changed 180 days to 120 days after the trip ends to account for travel Advance in Section 3.3.m. Changed title in Section 6 to Interim Vice Chancellor for Administration and Finance. Removed Social Security Number field from Exhibit B. Changed PS Account Numbers and Payroll Earning Codes in Exhibit B as applicable. Also changed phone number for System Tax Department in Exhibit B. Added redlines to Exhibit C, including five (5) descriptions of payment, and changes to PS Account, Payroll Earnings Code, and Taxable Benefit to Individual as applicable.

Campus/Executive Review Comment:
SAM 03.A.05 - Contract Administration This document is submitted for review and approval cycle to remove Interim 2 designation.

Campus/Executive Review Comment: Comment: In Section 5.5, last line, please remove repeated "Board of."
Response: Change incorporated.

SAM 03.A.25 - Representation
Allowance
Removed Section 1.1 formatting. Added "payable" to reimbursable expense in Section 2.1.b. In Section 3.1, removed the President's Business Office from allocation of allowance; also removed the information on the beginning balance being allocated by the Chancellor. Added the Foundation Payment Request Form as part of the method for requesting reimbursements in Section 4.3, including link to form. Added requirement for itemized receipts, cancelled checks or credit card statements being accepted as support documentation in Section 4.4. Removed Section 4.4.a. on faxed reports. Removed Section 7, Indexing Terms, and added Section 7, References.

Campus/Executive Review Comment:
SAM 03.A.29 - Tuition, Fees and Charges
(New SAM)
This new SAM document provides the requirements for approval of tuition, fees and charges and requires that roles and responsibilities of persons involved in the request, review, approval, implementation and record retention process be defined by policy.

Campus/Executive Review Comment:
SAM 03.B.01 - Purchasing Guidelines Resubmitted to remove "Interim" designation. Changed title in Section 6 to Interim Vice Chancellor for Administration and Finance.

Campus/Executive Review Comment:
Comment: At the end of Section 3.2, "Each component university may issue . . .". Consider adding, "as long as they comply with Texas Education Code 51.9335."
Response: Change incorporated.

SAM 03.E.02 - Property Management Added examples of controlled assets to Section 3.2.

Campus/Executive Review Comment:
Comment: 3. DEFINITIONS, Section 3.1, Capital Assets: The sentence beginning "Generally, a capital asset. . . " is cumbersome -- consider breaking it up. The following sentence, "Items not meeting these criteria are expendable, with generally two exceptions," would read better as, "Generally, items not meeting these criteria are considered expendable, with two exceptions."
Response: Not changed per decision of SME.
Comment: Section 3.2, Controlled Assets: First sentence, "Assets that the State Comptroller's office determines . . ." Consider, "The State Comptroller's office determines which assets must be secured and tracked, depending on the nature of the items. Considerations include cost, ranging from $500 to $4,999.9, and an estimated useful life of more than one year."
Response: Not Changed per decision of SME.
Comment: For Section 3.3, Property Management: ". . . related to accounting for and . . .". Consider, " . . . related to the accounting and control of capital and controlled assets."
Response: Change incorporated.

SAM 03.F.05 - Sale, Lease, Purchase or Conveyance
of Real Property
Applied revised SAM template and added new Revision Log. Changed title from Conyeyance of Real Property to Sale, Lease, Purchase or Conveyance or Real Property. Added information to Section 1 about the responsibilities of the Office of Real Estate Services (ORES). Added lease of real property to Section 2.3. Added Section 3.7 on leases including options to renew and termination rights. Removed original Section 3.8, and added Section 3.8 on requirement for ORES to review and approve leases. Added Section 4.0, Additional Information. Added Section 4.1 on involving ORES early in negotiation of all leases, and Section 4.2 on possible requirement for General Counsel to review and approve documentation and contract for Board approval. Updated Section 4.3 with information on deviation from Chancellor executing Board approved contracts unless noted by the Chancellor's Delegation of Authority.

Campus/Executive Review Comment:
SAM 03.F.08 - Requests for Services from the Office of Real Estate Services
(New SAM)
The purpose of this new SAM document is to prescribe policies and procedures related to the roles and responsibilities of the UHS Office of Real Estate Services. In concert with these responsibilities, UHS component universities shall be responsible for timely notification of potential real estate transactions to the UHS Office of Real Estate Services.

Campus/Executive Review Comment:
Question: Under Section 2.2, "University of Houston System component universities may directly enter into lease contracts for space in accordance with the terms of this policy." What about ORES approval?
Response: Change incorporated.
Comment: In Section 2. REQUEST FOR LEASE NEGOTIATIONS, INFORMATION AND MARKET INTERPRETATIONS, AND LEASE ACQUISITIONS AND EXECUTIONS: There are two "2.3" references and there should be a comma after "...but not limited to..."
Response: Change incorporated.
Comment: Section 4.2.5 should read "including, but not limited to, ..."
Response: Change incorporated.

SAM 05.C.01 - Campus Programs For Minors
["ON HOLD" due to UCC Non-Vetted Process.]
Revised Section 3.7 to remove requirement for background checks for component university students. Updated responsible party information to current operating requirements.

Campus/Executive Review Comment: This SAM is currently "ON HOLD" due to UCC Non-Vetted process.
SAM 06.A.11 - Procedures for the Operation of International Partnerships

(Will be part of Quarter 2,
FY 2016 Review Cycle)
Applied revised SAM template and added new Revision Log. Changed SAM title from "Programs" to "Partnerships," and revised all text to meet current operating practices. Revised Section 1 to emphasize the standards of portfolios. Updated Section 2.3 to emphasize areas to be assessed for international partnerships. Signed agreements will be for a period of five years per redlines to Section 2.4. Changed the responsible party from AVC for International Studies and Programs to Vice Provost, Global Strategies and Studies.

Campus/Executive Review Comment:
This document was removed from "On Hold" status by the Provost's Office on 11/04/2015, after being placed "On Hold" on 10/19/2015. Since this document missed most of the Executive Review cycle, it will be brought forward in Quarter 2, FY 2016 for a full review cycle.
SAM 08.A.04 - Naming Opportunities Applied revised SAM template and added new Revision Log. Changed System Office of Stewardship to System Office of Gift Compliance throughout text. Updated Section 2.6 to have Naming Opportunities Committee Chair notified before discussing donations with donors. Removed all subsections in Section 2.6 except gifts of new facilities and landscaping. Added Section 2.11 that naming opportunities are not established for gifts in-kind. Changed web site location for Naming Opportunity Request form in Section 3.3.

Campus/Executive Review Comment:
Question: All asked amounts for endowments, professorships, chairs, etc. are being eliminated? Why? How does colleges respond to a donors when asked "how much" to fund a specific program? Are new giving guidelines (amounts and names of programs) being determined? When will they be announced?
Response:
Question: Section 2.1 states that "Naming opportunities may also be used to recognize an individual or other entity on distinguished leadership and/or service to the System or one of its component universities." However, the policy seems to imply that all naming opportunities must include a donation. What if the name is just to honor someone, and does not include a gift? This might be especially important in the case of rooms/smaller areas (not whole buildings). Sometimes, a department may wish to name an area after someone to serve as an inspiration to students. (Example: a living/learning floor after someone famous for excelling in that floor's theme.)
Response:

*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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Peggy Levy
713-743-6636

uhpolicies@uh.edu