SAMs in Component Executive Review for the 3rd 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 May 20, 2016 (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 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 Facilities/Construction Management in Section 2.3. Changed responsible party from Associate Vice Chancellor for Plant Operations to Associate Vice Chancellor for Facilities/Construction Management.
SAM 01.B.02 was in the Quarter 1, FY 2016 review cycle, but received a documented change in process.

Campus/Executive Review Comment:
SAM 01.C.04 - Reporting/ Investigating Fraudulent Acts Made minor redlines to reflect current operating processes. No additional changes were indicated by the Subject Matter Expert (SME).
SAM 01.C.04 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 01.C.08 - Environmental Review for Acquisition of Real Property Updated links and changed all references for SAM 03.F.01 to SAM 08.A.03, Gift Acceptance – Gifts from Individual Donors. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 01.C.08 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 02.A.05 - Employee Relations, Grievance, and Appeal Applied SAM Template to reflect current documentation standards and added new SAM Revision Log. Added Section 3.2 GENDA statement. Changed responsible party from Associate Vice Chancellor for Finance to Assistant Vice Chancellor for Human Resources. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 02.A.05 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 02.A.13 - Recruitment, Job Posting and Selection of Staff Employees Added new SAM Revision Log. Added Texas Government Code Section 656.024 to Section 2.2, extending the minimum of posting regular staff jobs to 10 working days. Removed internal employment bulletin board and extenuating circumstances in Section 2.2. Added revised GENDA statement to Section 2.3. Added "Job" to "Position Description" in Section 3.2, and removed information about relationship between position and other positions in the department. Remove "Security Sensitive" from Section 3.4.r, and replaced with information on "Background check." Added "screening" to search committee for Section 4.3. Changed responsible party from Associate Vice Chancellor for Finance to Associate Vice Chancellor for Human Resources. Campus/Executive Review Comment: Question: In Section 3.4, change the word "applicant" to "candidate," since background checks are performed on candidates, not on applicants.
Response: Change incorporated.
Question: We also need to include a statement on "Veterans Preference," in compliance with Texas State Senate Bill 805 in Section 5.4.
Response: Requirement for statement has been placed in Section 5.4.
Question: In Section 5.2, can we change "will advertise position" to "will post position"? The language is not consistent with the section.
Response: Change incorporated.
Question: In Section 5.3, can we remove "staff" from "All staff advertisements"? This SAM is staff-based.
Response: Change incorporated.
Question: Can we change "formal search committee" to "formal search/screening committee"? This change would keep previous language updates consistent.
Response: Change incorporated.
Status: Replaced GENDA/Title IX Statement in Section 3.2.

SAM 02.A.14 - Promotion and Transfer of Staff Applied revised SAM template and added new SAM Revision Log. Revised definition for promotion in Section 3.3. Removed Section 4.2. Removed "director of" the component university chief human resources officer in Section 5.3. Changed responsible party from Associate Vice Chancellor for Finance to Associate Vice Chancellor for Human Resources.

Campus/Executive Review Comment:
Status: Replaced GENDA/Title IX Statement in Section 2.0.
SAM 02.A.24 - Employees and Independent Contractors Applied revised SAM template and added new Revision Log to meet current documentation standards. Revised Section 3.5 GENDA statement. Changed numbering in Section 4.1. Changed responsible party from Associate Vice Chancellor for Finance to Assistant Vice Chancellor for Human Resources. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 02.A.24 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 02.A.33 - Employment of Foreign Nationals Applied revised SAM template and added new SAM Revision Log. Removed information in Section 1.2 on FTE, appointment period and funding source. Added new definitions to Section 2 for Staff Employee (Section 2.2), Faculty Employee (Section 2.3), and Permanent Resident or Resident Alien (Section 2.4). Removed definition in Section 2.7 on Firm Employment Offer. Extensively revised both Section 3 and Section 4 on policies and responsibilities regarding the process of employment for foreign nationals. Added Section 3.10 with current GENDA statement. Changed review period from every three years on or before May 31st to every five years on or before May 31st. Changed titles as applicable

Campus/Executive Review Comment:
Question: Should we include student workers, since some of them are foreign nationals?
Response: Although students are not mentioned specifically, they are covered under Section 3.3, which addresses all possible employment-eligible visa types: "Any offer of employment to a foreign national under a nonimmigrant program is considered temporary and is subject to the terms and conditions of the specific program's work authority."
Status: Replaced GENDA/Title IX Statement in Section 3.10.
Status: General Counsel rephrased component campus limit to H1-B approval for faculty positions in
Section 3.6.

SAM 02.A.40 - Staff Attendance and Punctuality Applied revised SAM Template and added new Revision Log. Deleted Section 3 and Section 3.3 and moved Job Abandonment to Section 2.6 and Termination as a Result of No Personal Leave to Section 2.7. Revised Section 2.8 to indicate that internal procedures can be developed by system component campuses, but must be approved by the Component Chief Human Resources Officer before implementation. Added revised GENDA statement to Section 2.9. Changed responsible party from Associate Vice Chancellor of Finance to Associate Vice Chancellor for Human Resources.

Campus/Executive Review Comment:
Status: Replaced GENDA/Title IX Statement in Section 2.9.

SAM 02.B.01 - Classification of Staff Jobs Added new SAM Revision Log. Revised Section 2.4 GENDA statement. Changed responsible party from Associate Vice Chancellor for Finance to Assistant Vice Chancellor for Human Resources. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 02.B.01 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 02.E.07 - Staff Service Awards Added new SAM Revision Log. Changed responsible party from Associate Vice Chancellor for Finance to Assistant Vice Chancellor for Human Resources. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 02.E.07 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 02.E.08 - Employee Health Fitness and Education Added new SAM Revision Log. Changed responsible party from Associate Vice Chancellor for Finance to Assistant Vice Chancellor for Human Resources. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 02.E.08 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 02.F.07 - Direct Deposit of Salaries Added new SAM revision log. Changed SAM number 03.D.07 to 02.F.07, and Section location from Fiscal Affairs to Human Resources’ new Payroll section. Added that employees are required to have direct deposit in Section 2.2. Removed Section 3.2. Added electronic ePAR to Section 3.6. Added requirement for employees to provide previous banking information for security purposes in Section 3.8. Added process for paper payroll check in extraordinary circumstances in Section 3.9. Changed responsible party from Associate Vice Chancellor for Finance to Assistant Vice Chancellor for Human Resources. Changed review period from every three years on or before June 1st to every five years on or before June 1st.

Campus/Executive Review Comment:
Comment from System Office of General Counsel (OGC): Paragraph 3.2 should read as follows, since the previous paragraph was deleted: "On regular and subsequent paydays, employees may print the earnings statement portion of their paycheck from P.A.S.S."
Response: Change incorporated.

SAM 03.F.02 - Endowment Management Added new SAM Revision Log. Adding "managing" endowments to Section 1. Revised Section 2.2 with realized gains or losses. Added Section 2.10, Net Asset Value. Changed title to Senior Vice Chancellor for Administration and Finance, "System Treasurer" to "Treasurer," and System Office of Stewardship to System Office of Gift Compliance throughout text, and removed all references to Endowment Establishment agreement throughout text, along with Memorandum of Understanding. Removed endowment requests from Section 3.1.3. Added Section 3.1.5 on responsibilities for Executive Director of Accounting Services. Separated UHCL from UHD and UHV in Section 3.3.1, and added Hawk Advantage Scholarships to UHCL. Removed minimum and maximum funding levels from Section 3.3.2, and made requirement for funding within five years. Added University Advancement assessment fee to Section 3.3.4. Added timely treasurer notification to process in Section 3.3.6. Added Tier One Scholarship program to Section 3.3.9. Added reference to Section 3.15 to Section 3.4.2. Made facilitating signature approvals part of System Office of Gift Compliance's responsibilities in Section 3.5.2. Removed Section 3.5.3 and Section 3.5.6. Added General Counsel, and the Associate Vice Chancellor to the signature process in Section 3.6.1. Removed requirement for Treasurer to provide documentation on a Quasi endowment linked to a true or term endowment in Section 3.6.3. Changed link to SAM 08.A.03 in Sections 3.8 and 3.9. Added case for UH Tier One Scholarship and UHD Red Rose Ball Scholarship to Section 3.11.1 to allow pooling of distributed income. Added net asset to Sections 3.11.4, 3.12.3, and 3.12.4. Added responsibility to Treasurer to work with investment consultants in Section 3.12.6. Added current procedure to Section 3.14.10. Removed Senior Vice Chancellor for Administration and Finance from approving exceptions in Section 3.15.4. Removed Section 3.18, and Exhibits A, B, and C.

Campus/Executive Review Comment:
Comment: Our reading of Section 3.3.4, is that it permits University Advancement to assess a fee (i.e., draw down assets) of endowments that would otherwise make a zero payout to the purpose they were created to support --- either professorships, centers of excellence, scholarships, etc. This gives University Advancement a claim on endowment payouts that is senior in priority to the purpose for which the endowment is created.
Because the purpose for which endowments are created should have a priority claim on endowment payouts, fee assessments should be limited to years in which (i) the endowment pays out the full 4% to its beneficiary, *and* (ii) the investment return exceeds the 4% payout percentage. This will ensure the fee is neither competing with the beneficiary on payout, nor drawing down on the endowment assets in a manner that will impair future payouts.
Response: These concerns have been addressed per the Board of Regents (BOR) meeting on May 19, 2016. A new Endowment Investment Policy was approved during the BOR meeting on May 19, 2016.

SAM 03.G.03 - Financial System Verification of Cost Center Transactions Changed Section 2.2 and 2.6 verification review deadline to once a quarter for the previous three accounting periods. Added information to Section 2.5 on completion of verification no more than 60 days after the close of the accounting period being verified. Removed information in Section 2.6 on transactions in 1074 Verification worksheets being reviewed and approved at least twice each fiscal year. Modified Section 2.7 about retaining documentation on verification of reports for all periods of the current and previous fiscal years. Added inactive condition information to Section 2.9 for cost centers to have no open or soft commitments, and the original budget (base budget) must be zero.

Campus/Executive Review Comment:

SAM 06.A.07 - Procedures for the Operation of Institutes and Centers Added additional revisions to document in Revision Log. No additional changes were made by the Subject Matter Experts (SMEs).
SAM 06.A.07 was submitted as a "Housekeeping Change" for Quarter 3,
FY 2016.

Campus/Executive Review Comment:
SAM 06.A.07 has been removed from the Executive Review cycle on 05/05/2016 for additional redlines to reflect current operating requirements. Future Review cycle needed for document after redlines.

SAM 07.A.03 - Responsibilities for Information Technology Resources Added new SAM Revision Log. Changed Section to Information Technology. Changed title to "Responsibilities for Information Technology Resources." Revised Section 1 (and document) to reference designation of Information Resources Manager and Information Security Officer to share information. Document was completely revised to reflect current operating requirements in the responsibilities for the Information Resources Manager (Section 2.1), Information Security Officer (Section 2.2), and Reporting Requirements (Section 2.3). Added links to new references throughout document.

Campus/Executive Review Comment:

SAM 08.A.06 - Gift Acceptance - Gifts-In-Kind From Companies
(This is a New SAM)
This document is intended to articulate the types of in-kind gifts that can be accepted and the criteria for acceptance of those gifts, to manage potential risks to the UH System in the acceptance of gifts, and to ensure that gifts contributed to the UH System by companies can be effectively used to further the UH System's charitable purpose and mission..

Campus/Executive Review Comment:
Comment: Section 5.5, Page 5 - Minor edit suggested in 1st sentence, 2nd line to read: The Chair of the Gift Acceptance Committee shall submit all recommendations to the Chancellor or the Chancellor's designee for approval (instead of "its designee for approval").
Response: Changes incorporated.
Comment: Section 6.6, Page 8 - Minor edit in heading suggested to read: Shares of Limited Partnerships/Entities (not "Shared").
Response: Changes incorporated.
Comment: Additional redlines incorporated by the System Office of University Advancement to reflect current operating requirements.


*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