On June 11, 2019, the University of Utah Board of Trustees approved University Software Policy 4-050 and University Enterprise Software Rule 4-050A. The new policy and rule apply to all University of Utah entities, including all main campus and University of Utah Health organizations.

The policy and rule are in effect as of July 1, 2019. University organizations must follow a new approval process in order to purchase, lease, develop or otherwise acquire enterprise software.

Covered by the policy/rule:

• Software that will have a broad institutional impact and affect the operations of more than one unit; and/or
• Software that will require integration with PeopleSoft, Canvas, Epic or other enterprise software system currently in use.

Not covered by the policy/rule:

• Software purchased or developed by individuals for individual use.
• Software purchased or developed by a unit solely for its own use and that does not require integration with an existing enterprise software system.

Enterprise software approval process

Prior to purchase, lease, development or another form of enterprise software acquisition, contact the Office of the CIO to begin the approval process at aimee.ellett@utah.edu  or 801- 587-1276.

The Office of the CIO will assist organizations with shepherding the request through required reviews/approvals, including:

• Completing the current version of the university’s technical Request for Proposal (RFP) document, which must then be evaluated by UIT. The evaluation will include an information security assessment.
• Gaining approval from the appropriate university IT governance committees (Enterprise Web Advisory Committee, Teaching and Learning Portfolio, IT Architecture and New Technology Committee, Strategic Information Technology Committee).
• Completing a three-year Total Cost of Ownership (TCO) form. The form must be completed and approved by both the cognizant dean/administrative director and the University CIO before substantial development work begins.

Goals of the policy and rule

• Reduce expenditures associated with enterprise software acquisition and development.
• Identify and measure the TCO for software acquired and used by the university.
• Maximize delivered functionality of the software already owned by the university.
• Measure the integration and support costs required to use software that we purchase, develop and rent.
• Create a catalog of software assets to support state and federal audit processes.
• Create an approval process for enterprise software acquisition so that application and security standards established by the university are met before the software is acquired.

The Policy and Rule have been reviewed and approved by the Strategic Information Technology Committee, IT Architecture and New Technology Committee, Institutional Policy Committee, Academic Senate, President’s Cabinet and Board of Trustees.

If you have any questions, please contact UIT’s Aimee Ellett at aimee.ellett@utah.edu or 801- 587-1276.

The Board of Trustees has approved both Policy 3-014; Financial Record Retention and Rule 3-014A; Financial Records Retention and Disposal.

New Policy 3-014 and its associated Rule establishes a records retention policy, as well as outlines the processes and best practices for the retention and disposal of University of Utah financial records. Policy 3-014 is meant to meet legal requirements, optimize use of space, and minimize cost.

This policy is binding for all University colleges, departments and units, including University Hospital & Clinics. This policy does not govern retention and disposal of non-financial University documents.

Departments should review Policy and Rule and implement retention and disposal schedules immediately.

Policy establishes:

1. Definitions of financial records, retention schedules, archives and document destruction.

2. Major categories of financial records with unique retention periods such as grants and contracts, bonds, purchasing, tax, Pcard, real property and capital equipment as well as general financial documents.

3. Disposal requirements.

Questions regarding the new Policy or the new Rule should be forwarded to Accounts Payable using the following ASK US form.

Rule 3-010A – Expenditure and Reimbursement Requirements has recently been updated with language meant to reduce university payment of Utah Sales Tax.  Effective February 1, 2015, Accounts Payable will not reimburse amounts paid for Utah Sales Tax without authorization for exception to this Rule.

These changes to R3-010A have generally been met with support from our campus community, but we have received a couple of questions from users that require the following clarification:

Large Group Business Meals (11 or more participants):

• PCards, authorized for Business Meals by the Dean or equivalent, are the preferred method of payment, although other approved direct payment methods may be used as well.
• Required documentation includes: detailed business purpose, name of association or group attending, Dean or Director (for non-academic areas) signature (in compliance with Policy 3-031).
• Personal forms of payment cannot be used, as these transactions cannot be sales tax exempt.
• Large groups should be planned well enough in advance to ensure these requirements would be met.

Smaller Group Business Meals (for up to 10 participants):

• PCards, authorized for Business Meals by the Dean or equivalent, are the preferred method of payment, although other approved direct payment methods may be used as well.
• Required documentation includes: detailed business purpose, name of individuals in attendance, Dean or Director (for non-academic areas) signature (in compliance with Policy 3-031).
• Every effort should be made to plan smaller group business meals in a way to obtain sales tax exemption, but we understand there is occasional need to host a business meal that is more spontaneous in nature and where a rigid insistence of sales tax exemption inappropriate for those in attendance.
• When PCards are not available, and personal forms of payment are necessary, Staff and Faculty may be reimbursed for the cost of a small group business meal and the association sales tax.

Student, Volunteer and other Non-Employees:

• Departments are responsible to use preferred and direct methods of payment whenever possible.  This may require departments to consider changes to their current procedures to comply.
• Departments are encouraged, in situations where an exception may be appropriate, to discuss their situation with central administrative officers.  We are interested in assisting in every way possible to find a working solution to these changes.

Petty Cash Transactions:

• Departments are responsible to ensure that petty cash expenditures do not include Utah Sales Tax.
• Petty Cash funds will not be replenished for amounts paid in Utah Sales Tax without exception authorization from the cognizant Dean or equivalent position.

Pursuant to changes in the State of Utah Procurement Code effective May 1, 2013, University policies and rules regarding procurement have been revised, consolidated and simplified.   This has been a significant effort that started with a large stakeholder team from several departments including the Office of General Counsel.  The regulations were thoroughly vetted prior to approval by the Board of Trustees and needs of faculty and the University Health Care System are reflected in these changes.  Much of the language included in the new policy comes directly from the Utah Procurement Code to ensure compliance.

The new Regulations have been approved and published in the University Regulations Library.  Two former policies, 3-112 Acquisition and Use of Printing, Duplicating and Photocopy Equipment and 3-151 Vending Services on Campus, have been incorporated into the new Restricted Purchases and Special Procurement Rule.  Also, two former rules, R3-100A Solicitation by Suppliers and R3-191A Small Dollar Blanket PO’s and Maintenance Agreements, have been incorporated into the revised rules.

The new Policy and rules are numbered as follows:

3-100                      University Procurement (Policy)

R3-100B                Solicitation of Bids, Proposals and the Award of Procurement (Rule)

R3-100C                Requisition Preparation and Processing (Rule)

R3-100D                Delegated Small Purchase Authority (Rule)

R3-100E                Restricted Purchases and Special Procurement (Rule)

Those involved with procurement should know these Regulations.  Contact the Purchasing Department at 801-581-7241 with any questions.

Based upon internal audit recommendations, Associate Vice President Jeffrey West has issued a new guideline to clarify documentation requirements when departments choose to provide cellular phone equipment and services to their employees for business use.

Cell Phone Policy