Management Assessment Tool (MAT)

Overview

Fiscal Management

Purchasing

Historically Underutilized Business (HUB)

Business Services Contracts

Capital Assets Management 

Gifts

Human Resources

Equal Employment Opportunity Compliance

Environmental Health, Safety and Risk Management

UTSA Police

Key and Card Access

Emergency Preparedness

Information Security

My Training

• Emphasize to all employees the importance of completing online compliance training. Employees will be notified via email when training has been assigned and will be given a deadline to complete the training. Supervisors and Vice Presidents will be notified of non-completion.
• New employees will be assigned training within 30 days of hire.
• UTSA provides annual training and existing employees are required to complete this training on an annual bases.
• Student employees are required to take compliance training as well.
• It is important that email addresses in UT Share/PeopleSoft are accurate so employees receive their training notifications.

HOP 4.01 - Code of  Ethics

HOP 4.31 - Conflicts of Interest

HOP 1.33 – Conflict of Interest, Conflict of Commitment and Outside Activities

• Encourage employees to bring questions or observations of unethical activity to their supervisor. Supervisors should direct employees to the appropriate offices.
• Inform employees they can report suspected issues of non-compliance anonymously through the Compliance Hotline 1-877-270-5051 or via the web at https://www.reportlineweb.com/Welcome.aspx?Client=UTSA More information about the Hotline is available on the Office of Institutional Compliance & Risk Services Website.
• Ethical or legal concerns can be reported to the Chief Legal Officer (Legal Affairs) at 458-4105.
  
  

• Define department/area mission statement.
• Develop long-term strategic goals.
• Develop measurable annual goals based on your department’s mission and strategic goals.
• Create an action plan to achieve annual goals.
• Communicate goals and action plan to all employees.
• Evaluate action plan and goals annually.
• Provide new employees with an orientation regarding their duties and responsibilities. An On-the-Job Orientation Checklist is available on the Human Resources Website.

4. I am aware that it is important to have written procedures for critical systems/processes in my area/department.

• Identify critical operations.
• Develop written procedures and review and update them annually.

5. My area/department has a system for reviewing/reconciling Cost Centers/Project IDs on a monthly basis to determine whether the University’s accounting records match my area’s/department’s records. Procedures are in place to ensure appropriate action is taken in the event errors and/or unauthorized transactions are identified, and all Cost Center/Project ID reviews/reconciliations are dated and signed by the preparer and the reviewer.

UT Systemwide Policy UTS142.1
- Policy on the Annual Financial Report

Financial Management Operational Guideline (FMOG) – Monthly Financial ReportReconciliation Process

FMOG - Monitoring Plan for Segregation of Duties and Reconciliation of Accounts

FMOG - Procard Program

Training for Monthly Financial Report reconciliation
(see the Accounting section)

• Department Managers should have a working knowledge of their budgets (information can be viewed in UTShare/PeopleSoft).
• Implement a departmental system for tracking and reviewing departmental expenditures and revenue. The type of system used may vary depending on the complexity of the department’s Cost Center(s)/Project ID(s). Review the training and other resources provided in the Accounting section of the Financial Affairs training website and also in Financial Management Operational Guideline (FMOG) - Monthly Financial Report Reconciliation Process.
• If possible, assign different individuals the responsibility for entering data into the departmental system and reconciling the departmental system to UTShare/PeopleSoft.
• Check departmental reviews/reconciliations monthly and ensure all transactions are appropriate and there are no misstatements or omissions.
• Ensure errors are corrected immediately.

FMOG - Processing Cash Payments

FMOG - Monitoring Plan for Segregation of Duties and Reconciliation of Accounts

UT Systemwide Policy UTS142.1
Policy on the Annual Financial Report

• Proper segregation of duties in a department ensures no single individual handles all aspects of a transaction or business process, thus reducing the possibility of undetected errors or fraudulent activity.
• Ensure no single individual handles all phases of a transaction (e.g., creates, approves, and reconciles).
• Proper segregation of duties is essential for reducing the risk of fraud in a cash operation. Having one person in charge of all phases of a cash operation is risky - there should be at least two sets of eyes on every transaction. Ideally you should ensure the individual responsible for record keeping (e.g., reconciling cash/checks received to cash register tapes, registration or other income records) is different from the person who has custody of the cash/checks (opens mail, prepares deposit, etc.). In small departments this can be a challenge; however, there are ways to compensate if you cannot fully segregate duties (e.g., have someone outside of the process analyze sales and deposits for reasonableness or monitor for unusual trends).

7. There is a process in my area/department for reconciling cash and check income records to deposit documentation.

FMOG - Processing Cash Payments

FMOG - Cash Handling and Management

Departmental Cash Handling Request Form

• A department that receives cash and/or checks should have a system in place for recording those receipts (e.g., cash register or log).
• Cash register logs should be compared to actual deposits on a routine basis to ensure all income is being deposited.
• Income trends should be analyzed to determine whether actual income matches expected income.
• Receipts should be issued for all in- person transactions, and the department should maintain documentation that a receipt was provided.
• To reduce manual cash and check processing, contact The Office of Financial Services to find out more about the new product, Marketplace, which can be customized to serve as an eCommerce website for your event/department.

8. Cash/checks are adequately secured at all times, access is restricted to the extent possible and checks are immediately endorsed when received.

FMOG - Cash Handling and Management

• As a minimum requirement, keep cash/checks locked in a drawer or a safe at all times.
• Establish accountability for cash/checks by limiting access to the key or combination to as few individuals as possible.

9. Cash and checks received totaling $500 or less are deposited with Fiscal Services once per week, and cash and checks received totaling over $500 are deposited within one business day.

UT Systemwide Policy UTS166- Cash Management and Cash Handling Policy

FMOG - Cash Handling and Management

FMOG - Processing Cash Payments

• Depositing cash and checks timely is key to reducing the risk of theft and should be a priority when organizing employees’ duties.

FMOG - Procard Program

• Managers should have a working knowledge of Procard policies and procedures.
• Managers should be aware of Procard limits and restrictions as described in FMOG - Procard Program and should ensure cardholders are aware of these items as well.
• Maintain a transaction log and retain adequate supporting documentation as required by FMOG - Procard Program for all Procard purchases.
• Suspected misuse of the Procard should be reported to the Procard/Travel Card Administration (PTCA) office immediately.
• Review all Procard transactions to ensure they are reasonable and appropriate for the purpose/mission of the department/unit prior to approval in UTShare PeopleSoft. Unusual transactions should be questioned and investigated.
• Ensure sales tax is not charged on Procard transactions.
• Approve Procard transactions in UTShare PeopleSoft before the designated date.
• Submit a completed Card Maintenance Request to PTCA for requested changes to an existing Procard (e.g., limits, default cost center, card cancellation).
• Establish and document the departmental Procard control environment and retain a copy with the Procard transaction logs. Documentation must be readily available for audits and reviews.
• Ensure that employees who make Procard purchases attend initial Procard training (followed by subsequent refresher courses) as required. MyTraining provides a number of training classes concerning purchasing procedures MyTraining provides a number of training classes concerning Procard procedures. MyTraining can be accessed online or by calling HR Training and Development at 458-4658.
• Contact the PTCA office by email at procard.travelcard@utsa.edu or by telephone at 458-7993 if you have questions or problems with the Procard.

Purchasing Department Website

• Department Managers should have a working knowledge of purchasing policies and procedures.
• Employees are stewards of University funds; therefore, purchases must be business related and consistent with the department’s mission.
• If possible, to ensure proper segregation of duties, the person making purchases should not also reconcile the Monthly Financial Report.
• Ensure that employees who perform purchasing duties attend initial purchasing training (followed by subsequent refresher courses) within 30 days of starting employment. MyTraining provides a number of training classes concerning purchasing procedures and the use of Procards. MyTraining can be accessed online or by calling HR Training and Development at 458-4658.
• Emphasize the importance of following purchasing regulations.
• Ensure supporting documentation is filed and maintained in accordance with the UTSA Records Retention Schedule - https://www.utsa.edu/openrecords/docs/Retention Schedule SLR 105 - UTSA 03-2018 (amended).pdf
• Utilize the UTSA Procard for purchases under $15,000 when possible (items purchased must comply with Procard regulations and restrictions).
• Notify the Purchasing Office immediately when discrepancies or problems occur with vendors or contractors. Call the Purchasing Office if you have questions.

Purchasing Department Website

Contract Management Handbook

• Maintain adequate supporting documentation for all purchases in the event of an audit or other requests for information.
• Ensure employees who initiate and approve transactions are familiar with guidelines and restrictions for different Cost Center(s)/Project ID(s).
• Expenditure transactions and related vouchers must be independently reviewed for completeness, accuracy, and compliance with University policies and in agreement with supporting documentation before being approved for payment.
• Standardize specifications and requirements for commodities and services where possible.

• Ensure employees who receive goods in your department are aware they should create receipts in the UT Share/PeopleSoft system immediately to ensure timely vendor payments. Departments may incur monetary penalties under the Prompt Payment Law if vendors are not paid within 30 days.
• If goods delivered to a department are damaged or are not what was ordered, the supplier should be contacted immediately. Disbursements and Travel Services should be notified once the vendor has remedied the situation to your satisfaction so the vendor can be paid.
• Ensure items are inspected and counted prior to signing and dating the receiving report/form from the vendor.
• Departments should have a system for tracking outstanding purchase orders, e.g. an internal filing or accounting system.

UTSA HUB Program Website

UTSA Purchasing Department Website

HOP 9.26 - Historically Underutilized Business Program

• Gain a working knowledge of UTSA’s HUB Mission Statement.
• Take steps to ensure HUB vendors are utilized whenever possible on purchases under $15,000.
• When applicable, utilize HUB information provided by the HUB Office or the Purchasing Office to make purchasing decisions.
• Partner with the HUB Office to identify and invite HUBs to make presentations on future contracting opportunities.
• HUB vendors can be found on the State of Texas Centralized Master Bidders List (CMBL) maintained by the Texas Comptroller’s Office https://mycpa.cpa.state.tx.us/tpasscmblsearch/tpasscmblsearch.do or the UTSA HUB Office Website at http://utsa.edu/hub/

Regent’s Rules No: 10501

UT Systemwide Policies: UTS145, Processing of Contracts

UTS126, Processing of Space Lease Agreements

UTSA Business Contracts Office Website

• Ensure contracts comply with applicable UTSA and UT System contracting policies and procedures, including the Board of Regents’ Rules and Regulations related to contract delegation.

• The Board of Regents’ Rules and Regulations require that all contracts be approved by the President or his/her official, authorized delegate (ref. Series 10501, §§ 5 & 6). Only an individual with a written delegation of authority from the President may execute and deliver contracts on behalf of the University. A University contract without an authorized signature may be invalid and unenforceable.

Resources and offices for processing contracts are:

• Vice President for Business Affairs
• Business  Contracts Office

• Ensured an Inventory Contact Person (ICP) or person(s) was designated to physically locate, scan and complete the Annual Physical Inventory (API) for all controlled/capital property on my DeptID(s) annually (each fiscal year).
• Ensured capital/controlled property was accessible at all times for internal/external audit/equipment reviews throughout the year to test fixed asset controls.
• Certified the completion of the Annual Physical Inventory (API) of all capital/controlled property in my area/departments, centers, and designated offices during each fiscal year.
• As the Department Administrator, I delegated INSIGHT access to the ICPs for information relating to capital/controlled computer resources to aid in completing the Annual Physical Review.

State Property Accounting Fiscal Policies & Procedures - Chapter 2 - General Policies

HOP 8.02 - Property Accounting Responsibilities

FMOG - Property and Equipment Management and Control, Capital Asset Property Accounting

• Ensure the Annual Physical Inventory (API) of all capital / controlled property in the area/department is conducted/completed each fiscal year.
• Appoint UTSA staff/faculty member(s) as the Inventory Contact Person (ICP) or persons, to be responsible for daily oversight of the department’s inventory and to perform the Annual Physical Inventory.
• Ensure the primary and alternate ICP(s) are identified at the beginning of each fiscal year for each Dept ID within my administrative unit and the ICP Appointment Form is submitted to the Inventory Department. NOTE: All designated ICPs must attend mandatory inventory training annually prior to conducting the department’s annual inventory.
• The Inventory Department will determine what type of training is needed (initial or refresher) and contact the ICP(s) to schedule that training.
• The Inventory Department will submit the UT Share Support and Sustainment Center (SPOC)ticket to ensure ICP(s) have access to inventory records for each Dept ID he/she is responsible for tracking, scanning, reporting and updating locations and custodians.
• Ensure the ICP(s) are in the notification process on all Employee Separations so that custodial updates can be completed in PeopleSoft.
• Ensure only UTSA barcodes physically affixed to departmental capital and controlled items are scanned; ensure staff do not scan barcodes from paper documents.
• Ensure your department’s Annual Physical Inventory is completed and inventory documentation is reviewed before signing the mandatory Certification of Departmental Annual Physical Inventory.
• Ensure completed copies of all inventory documentation is maintained for the department and is used as a management tool to control capital/controlled property throughout the year; these files may be subject to varying Internal/External Equipment Reviews.
• Delegate ICP(s) InSight authority to manage capital/controlled and non-inventoried property.
• Although not required by policy, it is a good management practice to structure duties so that the individual maintaining inventory records does not also perform the annual physical inventory (if staffing permits).

18. I promote responsible stewardship of UTSA property within my area/department by ensuring appropriate inventory forms are prepared, maintained, and that inventory records are updated in a timely manner. In addition, all employees paid from my Cost Center(s)/Project ID(s) have been informed that during the annual physical inventory each UTSA (faculty/staff) employee assigned capital/controlled property under my DeptID(s) must:

• • Keep property in good working condition.
  • Be trained on safe use of the equipment.
  • Inform the ICP(s) of all changes to the location and status of inventoried property to include equipment upgrades, warranty exchanges, trade-ins, out for repair, off campus or other enhancements, or impairments.
  • Sign the Inventory Custody Report for all capital/controlled property for which they are assigned custodial responsibility.

HOP 8.02 - Property Accounting Responsibilities

FMOG - Property/ Equipment Management and Control, Capital Assets Property Accounting

• Ensure that UTSA (faculty/staff) employees assigned custodianship of capital/controlled property have been fully trained on the use of that property and are aware of their responsibilities for the safeguarding, care and reporting changes made to that property i.e., trade-ins, upgrades, enhancements, etc. to the designated ICP(s).
• Ensure the ICP(s) maintains inventory forms, records and all inventory related support documentation for all property owned by the department.
• UTSA Inventory Forms are available on the Inventory Webpage that relate to managing UTSA - owned capital/controlled property.
• Ensure that all UTSA (faculty/staff) employees sign the List/Inventory/Custody Report for departmental property they are responsible for.

HOP 8.02 - Property Accounting Responsibilities

FMOG - Property/Equipment Management & Control

• Emphasize to all employees the importance of vigilance to prevent loss of or damage to UTSA property and identify those responsible for such damage whenever it occurs.
• Ensure Capital/Controlled Property and other items vulnerable to theft (laptops, tablet computers, projectors, etc.) are in secured rooms or locked cabinets when not in use and limit the number of individuals who have keys/access.

• Reasonable care was not exercised in the safekeeping, maintenance and service of the property; or
• The loss is a result of an intentional wrongful or negligent act.

HOP 8.02 - Property Accounting Responsibilities

University of Texas at San Antonio - Police Department - Support Services Division

• Ensure employees are familiar with rules regarding accountability for University property.
• Ensure all Stolen and Missing capital/controlled property is reported to the UTSA Police Department at 458-4242, Support Services Division, Criminal Investigations Section and an Officer will be assigned to investigate.
• Ensure a Stolen/Recovered Property Report or Missing Property/Reinstatment Report with the attached copy of the Police Report (university, local, abroad, etc.) or UTSA PD Dispatch Entry number is completed/submitted to the UTSA Property Manager for negligence determination.
• Ensure all previously reported missing or stolen capital/controlled property that is later FOUND is promptly reported to the UTSA Police Department to suspend their investigation and to the Inventory Department for physical verification, recovery and reinstatement processing.

21. I or my ICP(s) ensure separating employees, paid from my Cost Center(s)/Project ID(s), have returned all capital/controlled property assigned to them and have been cleared by the ICP.

FMOG -  Property/Equipment Management & Control - Administration and Management of Capital Assets & Controlled Property, The Role of the Inventory Contact in the Human Resources Employee Separation Process

• Ensure separating employees are cleared by the designated ICP(s), so that any capital/controlled property assigned to the separating employee can be reassigned to a new user in PeopleSoft prior to final clearance confirmation.

HOP 4.14 Separation of Employment for UTSA Personnel

FMOG - Property/Equipment Management & Control - Administration and Management of Capital Assets & Controlled Property, Moving Furniture, Furnishings and Equipment

• Ensure (outgoing) Faculty requesting to transfer capital/controlled property to other state agencies, do not remove any capital/controlled property from the university until the request has been final approved by the UTSA Property Manager.
• Ensure capital/controlled property remains secured until approved or denied.
• Note: Property transfers from/to a Non-State and Out-of-State agencies, colleges, universities, private organization etc. are subject to federal/state restrictions and costs.
• Ensure a State Property Transfer Receipt Form is initiated and completed to document these transfers.

• Assumes legal and oversight responsibility for the care of that capital/controlled property.
• Ensures all capital and/or controlled items taken off campus are made available for scanning during the Department’s annual physical inventory.
• Agrees to return the university property when it is no longer needed for business purposes, or the approval period expires; (whichever occurs first).

University-owned property taken off- campus or abroad (travel outside the U.S.) must ensure that property is returned to my area when no longer used for University business.

HOP 8.02 - Property Accounting Responsibilities

HOP 10.01 - Export Controls

UTSA Export Control For Researchers, Research Integrity Guidelines, Export Control

FMOG - Administration and Management of Capital Assets & Controlled Property – Removing Equipment from UTSA Premises

• Ensure all Removal of Equipment Forms (ROE) have the final approval signature of the authorized Department Manager before any property is removed from University premises.
• Ensure capital/controlled property leaving the country is cleared by the Office of Research Integrity and annotated on the Certification of Temporary Export of UTSA Property and Review of U.S. Export Control Regulation form and Removal of Equipment Form (ROE) in advance of foreign travel.
• Ensure capital/controlled property removed from university premises is used only to conduct offical university business.
• Ensure ICPs maintain an accurate log(s), a copy of the approved ROE form for all departmental capital/controlled property removed from UTSA premises, tracks to ensure that property is returned to the University and that new/renewal forms are submitted annually.

24. Capital/controlled (restricted commodities) property and equipment has not been purchased using a Department Pro-card. Capital/controlled property and equipment has not been purchased by my faculty/staff using a personal credit card without PRIOR approval.

HOP 8.02 - Property Accounting Responsibilities

FMOG - Non-Payroll Disbursements - Procard Program Limits and Restrictions

• Ensure Procard cardholders are trained and familiar with the rules that capital ($5000/above) and controlled property are restricted commodities and cannot be purchased with the Procard.
• Ensure that capital and controlled property are not purchased with "Personal" credit cards for subsequent university reimbursment.

25. Any unused, obsolete, or nonfunctional University property that is surplus to the needs of my area/department has been transferred to the University’s Surplus Property Department on a completed Surplus Property Turn-In Form. These transfers are coordinated through my area/departments ICP and signed by the Department Manager for the DeptID. I and/or an authorized employee in my area ensures cannibalized property (capital/controlled and other univeristy equipment disassembled to used for parts) is documented according to University procedures, and have received approval prior to removing such parts, and prior to transferring the remaining items to Surplus Property for disposal.

HOP 8.02 - Property Accounting Responsibilities

Surplus Property

• Ensure employees do not dispose of university property by any means, other than a transfer to the Surplus Property Department for further handling, via the Surplus Property Turn-In Form.
• Ensure employees do not store surplus, obsolete, broken, or damaged property in building fire lanes and/or egress/ingress areas.
• Ensure employees do not cannibalize university capital/controlled property or personal property without prior approval of the Inventory and Surplus Property Department.
• Ensure cannibalized parts are tracked, as they are subject to audit/review.

26. All gifts to the University shall be deposited within 24 hours of receipt with the gift services unit of the Office of Development and Alumni Relations. All campus units are to deliver cash/checks/credit card gifts and other cash equivalents along with a completed Gift Processing Form and all related documentation from the donor to the Office of Development and Alumni Relations. When the gift is deposited, the donors will receive a tax receipt and an acknowledgment letter thanking them for his/her gift from our donor relations/development officer. In-Kind gifts are processed using the Gift In-kind Acceptance form which is processed through the respective Dean’s office and delivered to Office of Development and Alumni Relations for completion. Receipts and acknowledgment letters are issued in conjunction with the formal acceptance of in- kind gifts. Note: For UTSA purposes, "gifts" are described as "a contribution of cash or gift-in-kind in which the donor voluntarily gives us all control of the asset to the University for its benefit."

Regent’s Rules No: 60101

HOP 9.23 - Procedures Governing Private Gift Solicitation

UTSA Office of Development and Alumni Relations

• Review information on UTSA's Office of Development and Alumni Relations Website.
• Department Managers should have a working knowledge of gift policies in the HOP and Regents’ Rules (see web links provided)
• Ensure designated employees know where to find and how to fill out the Gift Processing Form and the Gift In-Kind Acceptance Form.
• Ensure employees know contact information for the Unit/College Development Officer (if applicable) or the Office of Development and Alumni Relations.
• Procedures for receiving gift checks should be followed in the same manner as any cash and/or check transaction, e.g. segregation of duties, log, etc.
• Use the Gift Transmittal List Form to record gifts delivered to the Office of Operations and Advancement Services; this is the delivery receipt vehicle.

• The Department Manager and the Director of Endowment Compliance and Gift Services work together to manage gift Cost Center(s)/Project ID(s) and reconcile data with UTSA Fiscal Services.
• There are written procedures on managing gift Cost Center(s)/Project ID(s).
• Files are kept current, organized and easily identifiable in electronic Form. Copies of gift documentation are scanned and confidential information is redacted. Access to this information is restricted and not readily accessible to non-departmental staff.
• Files contain copies of the Gift Processing Form, any correspondence from the donor, check, and department chair/director’s acknowledgment letter. (All original documentation is forwarded to Operations and Advancement Services.) All credit card or bank account numbers are removed or hidden on retained paperwork.

28. There is a process in my area/department to keep track of all gift Cost Center(s)/Project ID(s) for which we are responsible and ensure that current files are maintained.

• Designate an employee to manage gift Cost Center(s)/Project ID(s).
• Document policies/procedures for expenditures including donor’s intentions for each gift Cost Center(s)/Project ID(s).
• Ensure employees know policies and procedures regarding appropriate expenditures.
• Prior to approving expenditures from gift Cost Center(s)/Project ID(s), ensure the expenditure is in compliance with the donor’s intentions.
• Randomly sampled gift cost centers expenditures are reviewed to ensure the expenditures made are in compliance with the donor’s intentions.

HOP 3.01 - Annual Non-Faculty Performance Evaluation Program

HOP 2.11 – Annual Faculty Performance Appraisal for Merit Consideration

UTSA Human Resources Standard Evaluation Forms

• Every supervisor is expected to conduct an annual performance evaluation for all regular Classified and Administrative and Professional employees that report to them. Standard Evaluation Forms are available on the Human Resources website.
• Evaluations should be completed no later than the first work day in March of each year covering the period Feb 1st of the previous year through Jan 31st of the current year.
• Place the original evaluation form in the employee’s departmental personnel file, provide a copy to the employee and send a copy to the Human Resources Department.
• Ensure probationary employees are evaluated during the first six months of employment. A probationary evaluation should be conducted on the 30th, 90th, and 160th day of employment. Results of these evaluations should be the basis for retention or release of the employee. Probationary Evaluation Forms are available on the Human Resources website.
• Develop performance standards for all positions (you may consult with your employees when developing standards for the position).
• Communicate the standards for the position to the employee upon hire and at the onset of the evaluation period.
• When evaluating an employee, consider the employee’s performance in the position in relation to the standards previously set by the supervisor.

Payroll Office Website Payroll Forms

Payroll Calendar (Monthly)

Payroll Calendar (Semi-Monthly)

• Time sheets/cards should be used to record hours worked for hourly employees and are available on the Payroll Website: hourly employee time card.
• Time sheets/cards should be signed and dated by the employee and supervisor and kept on file in the department.
• Hourly employees are generally paid on a semi-monthly basis. Ensure that the electronic payroll voucher is created and approved by the payroll deadline on the payroll calendar (month or Semi-Monthly).

• Whenever possible, notify employees in advance when business demands require they work non-standard or overtime hours.
• Develop a departmental procedure for requests to work additional or nonstandard hours (explanation for supervisor, supervisor’s approval, etc.) and maintain copies of documentation.

• • • Employee workdays are monitored and leave balances are routinely reviewed by someone in their management chain.
    • Vacation, sick leave and compensatory time balances are reconciled and entered to PeopleSoft on a weekly basis.
    • Leave balances (vacation, sick and compensatory) are available online to employees via the Employee Self Service (ESS) module.

• Ensure the department keeps copies of appropriate documentation/records.
• Employees are encouraged to review their leave balances in Employee Self Service for accuracy.

HR Recruitment Guidelines

• A set of job related interview questions should be prepared in advance of the interviews.
• Interview questions should be designed to permit a fair and objective evaluation of each applicant and consist of objective, job-related inquiries.
• Each applicant should be asked the same questions; all responses should be recorded in writing. A list of acceptable questions can be found at: Sample Interview Questions.
• To facilitate the hiring decision, the Applicant Screening Matrix should be used to objectively and accurately assess and compare applicants’ qualifications, and to screen applicants for interviews.
• Use the Interview Matrix to assist in the selection of a “finalist” from the interview process.
• The matrices, questions and responses should be maintained by the department for a minimum of two years.

HOP 9.24 – Sexual Harassment and Sexual Misconduct

• Recognize sexual harassment includes conduct that interferes with an individual’s work performance or creates an intimidating, hostile or offensive work environment. Sexual harassment may include telling sexually explicit jokes, making inappropriate comments, or sending e- mails to one another containing jokes of a sexual nature.
• Offensive behavior and comments in the workplace can constitute a hostile work environment, even if other people deem such conduct harmless, insignificant or they take no offense to it.
• A workplace can easily develop into a culture that tolerates inappropriate behavior and comments if it is not addressed. This creates the potential to: negatively impact employees and the work environment, fall below acceptable standards for professional conduct and create a sense of discomfort that results in behavior that violates university policy.
• Set expectations, communicate them to your employees, and remind employees about the sexual harassment policy and procedures.
• Ensure employees know where in the HOP they can find the policies on Sexual Harassment and Sexual Misconduct (HOP 9.01 and 9.24).
• Ensure you comply with the sexual harassment policies and procedures by not initiating inappropriate actions, participating in inappropriate discussions, or condoning such actions or discussions by choosing to remain silent.
• Ensure employees know the requirements for reporting acts of sexual harassment and sexual violence and relationship violence reported to them by students in accordance with Title IX of the Education Amendments of 1972 and the Campus SaVE Act.
• Ensure all responsible employees and employees with heightened obligations for reporting sexual harassment, sexual violence and relationship violence receive Title IX and Campus SaVE training.

HOP 9.01- Nondiscrimination

UTSA Office of  Equal Opportunity Services Website

• • Recognize your role and responsibilities as a manager in taking action to prevent discrimination, including:
    • Examining your own behavior and making sure you lead by example.
    • Identifying early signs of unprofessional behavior that may require preventive measures.
    • Identifying specific behaviors requiring proactive measures or immediate intervention.
  • Ensure employees know where in the HOP they can find the policies on Nondiscrimination (HOP 9.01).
  • UTSA prohibits discrimination in all areas of employment, including recruitment, hiring, training, assignments, promotion, discipline and termination.
  • Employment discrimination occurs if it is based on race, color, religion, sex, national origin, age, disability, veteran status, or sexual orientation, gender identity or gender expression.
    • Treating one employee differently than another who is similarly situated.
    • Any employment practice no matter what the intent, if it has a disparate impact on any employee including members of a protected class, which includes women, minorities, individuals with disabilities, veterans, persons over 40 years old and Lesbian, Gay, Bisexual, Transgender and Queer/Questioning.

HOP 9.01- Nondiscrimination

HOP 9.24 – Sexual Harassment and Sexual Misconduct

HOP 9.04 - Consensual Relationships

UTSA Office of Equal Opportunity Services Website

• The Office of Equal Opportunity Services investigates complaints of discrimination and harassment for students, faculty, staff and visitors/guests of the University.

HOP 9.01- Nondiscrimination

HOP 9.24 – Sexual Harassment and Sexual Misconduct

HOP 9.04 - Consensual Relationships

Office of Equal Opportunity Services Website

• As a University official, report incidences and/or complaints to the Office of Equal Opportunity Services (EOS) immediately.
• Review information on the EOS Website and encourage employees to review the site and make note of the contact names and numbers.

HOP 9.01- Nondiscrimination

HOP 9.24 – Sexual Harassment and Sexual Misconduct

Whistleblower Policy

UTSA Office of Equal Opportunity Services Website

• UTSA is committed to an environment which prohibits retaliation for engaging in protected activities such as reporting or filing an EOS complaint of discrimination or harassment.
• Encourage employees to report allegations of discrimination and harassment.
• Prohibit unlawful retaliation against employees for reporting and/or participation in an investigation pertaining to discrimination and harassment.

• • • Use and disposal of hazardous chemicals, biological agents and other regulated waste materials in areas where applicable such as labs, Facilities shops and art studios;
    • Proper preventative measures for maintaining equipment and facilities in a safe working order for all employees, students and visitors; and
    • Keeping my work area in compliance with NFPA 101 - Life Safety Code by keeping exit pathways clear, not using electrical extension cords, not obstructing access to fire alarms or extinguishers, and keeping at least 18 inches of clearance between storage or installed equipment and the ceiling or wall mounted fire sprinklers.

UTSA Office of Environmental Health, Safety and Risk Management Website

HOP 9.05 - Occupational Safety and Health Policy

HOP 9.06 - Procedures for Compliance with the Texas Hazard Communication Act

• Inform your staff that policies and safety manuals governing health and safety are referenced on the Office of Environmental Health, Safety and Risk Management (EHSRM) website.
• The NFPA 101 Life Safety Code is enforced by the Texas State Fire Marshal who is the Authority Having Jurisdiction (AHJ) for fire and life safety at all state owned buildings and property. UTSA EHSRM is designated as the local AHJ / Fire Marshal for UTSA buildings and property.
• Contact the EHSRM Office at 458-5250 for more information, concerns or questions and you will be directed to appropriate divisional personnel regarding occupational health and safety, hazardous waste disposal or fire safety.

41. There is a process in my area/department to ensure department staff attend applicable safety training courses mandated by the UTSA Environmental Health, Safety, and Risk Management Office, State of Texas and federal regulations to include:

1. 1. Texas Hazard Communication Act, and TX Blood Borne Pathogen Rule; and
   2. Texas Commission on Environmental Quality (TCEQ) and Federal EPA/OSHA/DOT regulations governing hazardous waste operations.

UTSA Office of Environmental Health, Safety and Risk Management Website

UTSA Human Resources Training and Development

• Ensure clinical, emergency response, Facilities employees attend appropriate hazard communication safety training prior to working with hazardous chemicals, paints, glazes, or toxins.
• Ensure research, clinical, emergency response and Facilities employees who may be exposed to human or non-human primate blood, cells, tissues and body fluids attend initial bloodborne pathogens training, are offered the HBV Vaccine, and the annual refresher training.
• Ensure clinical, Facilities and Art studio employees generating hazardous biological, chemical or radioactive material waste attend Hazardous Waste Generator’s Safety Training.
• Training is mandated by the following rules and regulations: Texas Department of State Health Services (DSHS) in the Texas Hazard Communication Act and TX Bloodborne Pathogen Rule; and federal CDC/USDA Select Agent Rules as per the UTSA Occupational Health Program and TCEQ /EPA / OSHA/DOT regulations governing hazardous waste operations.
• Contact EHSRM at 458-5250 with any questions regarding this training.

HOP 9.05 - Occupational Safety and Health Policy

HOP 9.06 - Procedures for Compliance with the Texas Hazard Communication Act

HOP 9.25 - Hazardous Waste Management Program UTSA Office of Environmental Health, Safety and Risk Management Website

• Contact EHSRM at 458-5250 if there are any concerns or questions regarding reporting a work related injury, exposure, or illness and you will be directed to the appropriate individual to assist you.
• You can also refer to the EHSRM website for specific contact persons, information and forms for reporting injuries or exposures, and the UTSA Return to Work Program.
• Dial “911” or 4911 on campus phone for emergencies.
• Off campus and on cellular phones dial 458-4911 to contact the UTSA Police Department in an emergency (non-emergency number is 458- 4242).
• The UTSA Police maintain emergency information for EHSRM personnel to respond to accidents, fires, hazardous material spills and other emergencies as necessary

UTSA Office of Environmental Health, Safety and Risk Management Website

• Ensure employees exposed to potentially hazardous levels of noise, particulate dust, hazardous chemicals, ionizing radiation, infectious biological agents, or work with research animals are enrolled in the UTSA Occupational Health Program (OHP) and evaluated for respiratory protection, vaccination status, and/or hearing conservation
• Contact the Occupational Health Coordinator, RN at 458-5304 for more information and questions about enrollment in the OHP.
• Contact the Occupational Health & Wellness Manager at 458-6102 for more information and questions about job hazard assessments or ergonomic evaluations in the workplace.

• Most equipment falls under UTSA’s general Comprehensive Property Protection Plan insurance coverage which has a $250,000 deductible. All claims over $25,000 must be reported to UT System Office of Risk Management (UT-ORM) and should be routed through UTSA’s Risk & Life Safety Manager.
• UT-ORM offers low cost, low deductible insurance coverage for equipment valued under $250,000 or to help with covering the first
• $250,000 of value. Contact the UTSA Risk & Life Safety Manager at 458-4420 to assist with the equipment risk assessment and to obtain insurance coverage.

UTSA Police

• From a cellular phone, dial 210-458-4911 to contact UTSA Police.
• Ensure a list of essential phone numbers and contact persons is available and can be easily accessed by all employees.
• All employees should know that University Police is located at BOS 1.100, (1604 Campus), BV 1.303 (DTC), Security Desk (ITC)
• Information regarding reporting crimes and hazards can be found on the UTSA PoliceWebsite

• From a cellular phone, dial 210-458-4911 to contact UTSA Police.
• Ensure a list of essential phone numbers and contact persons is available and can be easily accessed by all employees.
• Information regarding reporting crimes and hazards can be found on the UTSA PoliceWebsite.
• All employees should know that UTSA Police is located at BOS 1.100, (1604 Campus), BV 1.303 (DTC), Security Desk (ITC)

• Managers should be aware of the policies regarding keys and access to university facilities.
• Managers should ensure their employees know and adhere to University policy on keys and access to University facilities.
• Supervisors shall limit the number of master key requests to only those who absolutely need a master key.
• It is the responsibility of the supervisor to retrieve keys, return them to Security Services and request to have card access removed from terminating or transferring employees.
• Lost or stolen keys may result in a re-key of a space as determined by the Director of Security Services.

UTSA Security Services Information

• All employees should know the Security Services Department is located at BOS 1.200, can be contacted at 458-6855 or Emailed at security.services@utsa.edu.
• No transfer of keys is permitted, per HOP 8.04.
• No keys will be issued to doors that have electronic access control such as card readers.
• The Access Request Authorization form is available on the Security Services section of the UTSA Police Website.
• The department’s designated authorized requestor should request for access by use of the Security Services electronic forms. It is the responsibility of the supervisors to remove authorized requestors from any Security Services record.

• Managers should ensure their employees are familiar UTSA Emergency Response Guide.
• Ensure a list of essential phone numbers and contact persons is available and can be easily accessed by all employees.
• Know your building floor captains. Managers can obtain the name and contact number of the appropriate Floor Captain Safety Liaisons in their building by emailing the UTSA Office of Emergency Management at BePrepared@utsa.edu or by calling 210-458-6851.

50. I am aware and all employees paid from my Cost Center(s)/Project ID(s) (as applicable) have been informed of emergency evacuation procedures and that all employees are required to participate in all evacuation drills.

• Communicate to employees that all evacuation drills should be taken seriously.
• Have a plan for helping employees who need additional assistance in an evacuation.

UTSA Community Emergency Response Guide

Training: See the Emergency Preparedness of the Training & Development Class Schedule.

http://alerts.utsa.edu/utsa-community-emergency-response/

• Know your Floor Captain Safety Liaisons. Managers can obtain the name and contact number of the appropriate Floor Captain Safety Liaisons in their building by emailing the UTSA Office of Emergency Management at BePrepared@utsa.edu or by calling 210-458-6851.You are encouraged to participate in the Floor Captain Safety Liaison program.
• If your office does not have a Floor Captain, please identify someone who can serve that role, and connect them to Emergency Management by emailing BePrepared@utsa.edu or x6851 to register for training.

UTSA Office of Emergency Management

Bomb Threat Checklist

• Review with employees the FBI Advisory on Suspicious Packages
• Review and distribute the bomb threat checklist.

53. All users of UTSA information resources in my area are aware of and comply with the requirements of the UTSA Standard for Passphrase and Password which include selecting a strong passphrase, never disclosing, writing down or sharing account passphrases and enabling a passphrase protected screen saver (or logging off) when computing devices are left unattended.

HOP 8.15 – Acceptable Use Policy

• When assigning work or computers to your employees, ensure that each user has a separate computer account.

54. I am aware and have informed my area/department staff that all computers should have screensavers with passphrase protection activated.

• When users leave their computers unattended, passphrase protected screensavers reduce the risk of access by an unauthorized user.

HOP 9.11 - Reproduction of Copyright Materials

UTSA Standard for Software Licensing

UTSA Standard for Unauthorized File Sharing

• State-owned computer equipment, including personal computers/servers and the UTSA network, may not be used to download or share copyrighted files.
• In some cases, companies may permit the purchaser of a CD/DVD to make a single backup copy or may allow transferring of music files to a portable device.
• If software is to be used in your office, check with the Office of Information Technology (OIT) to ascertain the licensing status, before purchasing or duplicating the software.
• Managers should ensure that their departments are in compliance with licensing rules for the various types of software used in their departments.

HOP 8.17 - Information Security Incident Response

• An incident is the use of a computer to violate statutes or regulations; such misuse frequently results in disciplinary action. Be familiar with the Information Security standards and be sure that any irregular use of computing is reported.\
• Incidents should be reported to 458-5555.

UTSA Standard for Network Access

• Always check IT procedures before connecting to the network or installing new hardware. Follow the standard, check with OIT Connect and contact the Information Security Team if you have specific questions.
• In order to protect the integrity of the University’s network, devices which have been connected without prior approval may be removed or otherwise be prevented from connecting to the network.

58. All data stored in my area (paper-based and electronic, including email) has been evaluated to ensure it has a legitimate business purpose and is retained in accordance with policy requirements. It is critical that records be destroyed when the retention requirement has been met.

HOP 9.21 - Records and Information Management and Retention

• Ensure information is removed or destroyed in accordance with the Retention Schedule.

59. A review of all computers and/or servers in my area has been performed to determine whether Confidential (Category I data per the UTSA Standard for Data Classification) is being stored electronically and the data is physically and technically safeguarded to allow access only to those employees who need the information to perform their job responsibilities.

Note: Category I data includes: Student records, litigation, law enforcement data, Social Security Numbers, Credit Cards, health related research, reports marked confidential, passphrases.

UTSA Standard for Data Classification

UTS 165 (UT System Information Resources Use and Security Policy)

HOP 4.01 - Code of Ethics

UTSA Standard for passphrase and Passwords

• Do not share passphrase(s).
• Lock up confidential information and restrict access.
• Identify those within your office or department who might use confidential information and be sure they have been trained in the rules regarding privacy.
• Be sure that backup tapes and computers with confidential information are not available to those who are not approved to handle such records.
• Do not transmit personally identifiable information via e-mail or through other electronic means.
• Category 1 data should only be stored on the I – Drive.
• The UTSA Information Security Officer is Kevin Kjosa.

60. All laptops must be encrypted. Also desktops purchased after September 1, 2013 or store Category 1 data must be encrypted.

• All category 1 data will be stored on a network storage drive if possible.

HOP 8.15 – Acceptable Use Policy

UTSA Standard for Enterprise Backup and Data Recovery

• Create a backup and recovery plan that allows for business continuity in the event of data loss or no availability.
• Off-site backup options should meet or exceed the UTSA standards as well as any applicable state laws.
• Testing should be performed to ensure proper recovery will occur in the event of an outage.
• The plan should be reviewed and updated yearly.

UTSA Standard for Portable Computing Security

UTSA Standard for Information Resources Users

• Device must be protected by a PIN or other protection method native to the device.
• Device should be encrypted.
• Device should have remote wipe (reset) enabled, if that feature is available.
• Before a mobile device that contained UTSA data is sold, transferred or returned, the user must ensure that all of the data has been deleted.

63. All UTSA owned computing devices must be entered into Insight. Devices tagged by UTSA Inventory Control are automatically loaded into Insight. Non-inventoried assets are not being recorded in the UTSA Inventory system because of cost limits (under $500) or other rules. Department ID owners and their delegates must enter them into InSight at the Computer Categorization Summary page. Computing devices are defined as desktops, laptops, tablets, and smart phones.

UTSA Standard for Configuration and Asset Management

• Add Non-inventoried assets to InSight.

If you have any questions regarding the Management Assessment Tool (MAT), please contact Institutional Compliance and Risk Services.

Institutional Compliance and Risk Services
210-458-4992
Institutional.Compliance@utsa.edu