ProcessandInstructions

April1,2011BackgroundInformation

ThePenn StateConferencesunitischargedbytheUniversitywithprovidingexpertiseandqualityservicesin supportofPennState educational eventssuch asconferences,workshops,shortcourses,andcampsforexternalparticipants,aswellasassuringthatall suchactivitiesfollowPennStatepoliciesandproceduresdesignedtoprotecttheinstitution.

Thisdocumentanditsattachmentsaredesignedtohelpdeterminewhetheraprogramshould beconsideredforanexceptiontoUniversityPolicyAD03,therebyallowingthe academicunittotakeonthe functionsnormallyhandledbyConferences.Thisdetermination isafour-stepprocess, involving1) an initialdiscussionofelementswhich mightprecludeanexceptionbutmaybemodifiable,2)thesubmissionoftherationale requestinganexception, 3)avoluntaryself-reviewofapolicychecklist toassisttheacademicunit in meetingthekeyelementsrequired bythe University,and4)thecompletionoftheexceptionsignatorypage.

Process

Step1 InitialDiscussion-A discussionshouldtakeplacebetweenthe academicunitandtheDirectorofProjectManagementatPenn StateConferencesregardingthefollowingquestions:

1.ShouldtheprogramrunthroughConferencesaccordingtoPolicyAD03(Ifno, it isnotnecessarytopursueanexception.)

2.Doestheprogramplanto offer CEU’sorotheraccreditations?Ifso,anon-credit studentrecordmust bemaintainedforeachparticipantintheofficialUniversitysystem,whichrequirestheregistrationprocesstorunthroughConferences.Such programsshouldnotbeconsideredfor anexception,thoughotheroptionsmaybeavailable.

3.Willtheprograminvolveon-campushousing(seePolicyAD02)?

Step2 Rationale- Forcompletionbytherequesting unitandsubmissionto Conferences

Provideashortwrittenrationaleforthe requestforanexceptiontotheDirectorofProjectManagement,orasotherwiseinstructed.Pleasebespecificabouttheuniqueprogramelementsthat youbelieverequireservicesbeyondthosethatcan bereasonablyprovidedbythe Conferencesunit.Therationalemaybelimitedto oneor moreparagraphsand isnotmeanttobetime consuming.

Step3VoluntarySelfReview-Forrecommendedcompletionandconsiderationbytherequestingacademicunit;officialsubmissiontoConferencesisnotrequired

Conferenceshasdevelopedtheattached“IsYourCollegeReady?” checklist asaplanningtoolfor your College. It isintendedtobeusedforinternal completionanddiscussioninconjunctionwiththeCollege’sfinancialofficer andoutreachassociatedean.Suchdiscussionhelpsto ensuretheproperstructuralandorganizationalsupportisavailabletotherequestingunitfor success,Universitycompliance,andlimitationsonliabilityoftheprogram.PleasefeelfreetoconsultwiththeDirectorofProjectManagementorothersifyou wouldlikeclarificationorassistanceregardingtheitemsonthischecklist.

Theofficial listing ofcollegefinancialofficers canbefoundat: Contact/staffcontact.html).

Step4– SignatoryPageFor completionbyrequestingacademicunitandsubmissiontoConferences

Completetheattached AD 03ExceptionSignatoryPage intriplicateandreturntoPamDriftmier,orasotherwiseinstructed.

TheAssistant VicePresidentforOutreach,towhich Conferencesreports,shouldthen signofftoapprovetheexception.A signedoriginal copywill be retainedbyConferencesandadditionaloriginalssenttotherequestingprogram sponsor’sfinancialofficerand to RiskManagement.Finalsupervisionofthe programwillresidebetweentheprogram’ssponsoringcollegeandRiskManagement.

Questions?Contact:PamelaA.Driftmier,M.Ed.

DirectorofProjectManagement,Conferences225PennStater

UniversityPark,PA16802(814)863-5118

(814)863-5190(fax)

IsYourCollegeReady?

Conferenceshascreatedthischecklisttoolforyour College’sinternaluseso that yourCollege isfullyawareofthe responsibilitiesandactivitieswhicharepartofrunningprogramsincompliancewith Universitypoliciesand procedures.ItishighlyrecommendedthatthisdocumentbeusedfordetaileddiscussioninconjunctionwiththeCollege’sfinancialofficer andassociatedeanforOutreachpriortoobtainingtherequiredsignatures.Thishelpsto ensure theCollege hasthecapabilityandcapacitytofulfilltheUniversity’srequirementswithinthetimelinerequiredtomeet theprogrammaticneeds.ThisdocumentneednotbereturnedtoConferences.

AREASFORREVIEW / Yes / No / NA
RegistrationandStudentInformation/Records
Isaregistrationfeebeingchargedtoparticipants?
If yes,isthereaUniversity-approvedmethodfortakinginandmanagingfunds?
Willall Universityfinancial policiesbefollowed?
Willpeoplebeallowedtoregisterviacredit cards?
If yes, isthereanapprovedsysteminplacetocollectandprotectcreditcardandotherpersonalinformation?
Isa system inplacetomeetall PCIDSS (PaymentCardIndustryDataSecurityStandards)requirements,includingsystemrequirementsaswellashard copydocumentones?
Doestheunithaveane-commercemerchant IDaccountinplace?
Willallparticipant informationbesecuredaccordingtoUniversityguidelinesandmaintained fortheappropriateperiod oftime?
FinancialManagementandBudget
Willsomeonewithexperiencein programbudgetingbeinvolvedwithdevelopmentandoversightoftheprogrambudget?
Willalcoholbeincludedintheevent?
If yes,doesthechairhave eithernon-restricteddonorfundsto absorbthecostor anexceptionfromthePSUCorporateController’sofficetochargealcoholtogeneralfunds?
Will theappropriatealcoholformbefiledandallUniversityguidelinesfollowed?AD18
Willinvoicingberequired?
If yes, doestheunithavean accountwiththe Universityinwhichtorecordaccountsreceivable?
If not,doestheunithavepermissionfromtheuniversity
AREASFORREVIEW / Yes / No / NA
toinvoiceoutsideofan IBIS-based receivableaccount?
Willfaculty/speakersbepaid?
Ifyes, isthereasystemin placefor managingthisprocesswithinUniversityguidelines,includingbackgroundchecks,emergencyrehiresandeVerifyifrequired?
Willinternationalspeakersbeused intheevent?
Ifyes, isaqualifiedpersonavailabletohandlepayrollpaperworkandtooverseetheeligibilityof internationalstowork inthe U.S.?
Isthereaprocedureforprocessingrefunds?
Doestheunithavea waytopursuecollections inthecaseofunpaidbills?
Hastheunitagreed to assumethefinancialriskfortheprogramin theeventofcancellationorfinanciallosses?
Iftheprograminvolvesworkingwith an externalagency,isthatagencytaxexempt?
If not,havethe taximplicationsbeendiscussedwiththeunit’sfinancialofficer?
Hasthecollegefinancialofficerreviewedallofthe above programprocessestoassurethattheyare incompliancewithuniversitypolicy?
RiskManagementIssues
Isthereahotelcontract?
If yes, isthere anagreedupon internalentitythatwillassumethisfinancialrisk?
WillRiskManagement and/orPurchasingbeinvolved inthereviewofanycontracts?
IndemnifyingPennState?
LiabilityInsurance-$1,000,000perincidentlistingPennStateasadditional insured?
Correct legallanguage includingPenn Statepolicies?
RiskManagementapproval?
ProgramMarketing
Willthenameoftheuniversitybeusedinprogrammarketingorothermaterials,includingpostingonaPennStatewebsite?
If yes,willauniversityeditor reviewthemarketingtoolsandprovide aU.Ed.number?
Willsomeonewithmarketingexpertiseoverseethedevelopmentofthemarketingmaterials,includinganywebsites?
AREASFORREVIEW / Yes / No / NA
WilltheUniversity’sstatementonaffirmativeaction,equalopportunity,anddiversitybe includedonthepromotionalmaterials?
ProgramQuality
Isthere amechanism inplace for assessingcontent andinstructorquality?
Willevaluation dataabouttheprogrambecollectedfromparticipantsandusedinfutureprograms?
IstheAssociateDeanforOutreachortheindividual withthoseresponsibilitiesinthecollege awareandsupportive oftheprogramand theuseofcollegepersonneltosupport andmanageit?
Staffing
Aretheprogramplanningpersonnelattheappropriatejob levelfortheresponsibilitiestheyarebeingaskedtoassume?(Note:Thismayvarydependingonthenature andcomplexityoftheprogram.)
Doestheplanningstaffhavethe appropriatebackgroundandexperiencetocarryoutthoseresponsibilities?
Isthereagreementwithin the workunitthat staffsupport forthisprogramwill not affectthe abilityofthose individualsto meettheirprimaryjobresponsibilities?
DeliveryModes
Willeventsbecatered?
If yes,will Universityapproved caterersbeusedforallcateredevents?
If alcoholisbeingservedat anyevents,willundergraduatestudentsbeattendingthoseactivities?
Ifyes,isRiskManagementawareoftheevent?
Haveproceduresbeenestablishedtoensurethatunderageindividualsdonothaveaccesstoalcohol?
WillUniversityHousingbe used?
If so, isthereaprogramcontactindividualavailable 24hoursadayto addressproblemsthatmayarise?
Doestheprogram adheretoHousingFoodService (H&FS)policiesandproceduresasdescribedintheH&FSConferencesMemorandumofAgreementTermsandConditions,includingpropertydamageissues?
HavesecurityandtransportationneedsbeenaddressedaccordingtoUniversitypolicy?
Willhotelfacilitiesbeused?
AREASFORREVIEW / Yes / No / NA
Ifyes,issomeonedesignatedtoreviewbanqueteventorders?
Willtherebea contacton-sitewiththeauthorityto makeappropriatedecisionsregardinghotelarrangements?
Willtherebeahotelroom block?
If yes, isthereanappropriatecontactto monitorthatblockwiththeauthoritytomakedecisionsregardingincreasing/decreasing/cancellingtheblock?
Istheunitpreparedtocover costsassociatedwith roomblockattritionorothercancellation/attritionfees?
Willentertainersbepaid?
Ifyes,willtheUniversityentertainmentcontractbeused?
Will copyrightissuesbeaddressedforall materials usedbypresenters?
Willawards, gifts,ordoor prizesbe given?
If yes,willUniversitypoliciesbefollowed?FN10
RiskManagementandOtherIssuesforYouthEvents
Doestheprogram adhere toPennStatePolicyAD39?
Ageofcounselorsandresponsibilities?
Adult/youth/genderratios?
Trainingof counselors?
Emergencyprocedures?
Behaviorrules?
Parentalcommunication?
WorkingwithPennStateHousingFoodServicesandPoliceServices?
Doestheprogramadheretobackgroundclearancepoliciesdescribed inHR96aswell asproceduresfor individuals workingwith minorsasapprovedbyHumanResourcesandRiskManagement?
Doestheprogramadhere tothefollowingsafetyprocedures?
Firstaid–SY21?
Medicalformsandpermission totreat?
Reportingofhealthandsafetyincidents– SY05?
Communicablediseaseprocedures–UniversityHealthServices/RiskManagement?
UniversityADApolicies–HR09?
Willthefollowingparentalreleasesbeobtainedaspertinenttotheprogram?
Medicalinformation,permissiontotreatandHIPPA?
Permissiontoreside in campushousing?
Photoforprogrampromotionpurposes?
AREASFORREVIEW / Yes / No / NA
Liabilityreleases?
Propertydamages?
Fieldtrips?
Doestheprogram adheretoHousingFoodService (H&FS)policiesandproceduresasdescribedintheH&FSConferencesMemorandumofAgreementTermsandConditions,includingpropertydamageissues?
Willyou contact RiskManagementtoassureadherencetothepoliciesandproceduresaddressed above?
Aretheproposedfacultyandinstructorsexperienced inworkingwiththisagegroup?

PolicyAD03Exception

SignatoryPage

ProgramName: ProgramDates: DatesofRequestedException: OfferingUnit andCollege: ProgramChair: ProgramChairContactInformation:

Theprogramchairisresponsibleforobtainingthefollowingsignaturesaffirmingthattheprogramcanand willcomplywith Universitypolicies,procedures,andacceptedstandards.Inparticular,those most widelyusedandoverlookedwithprogramsfallingunderAD 03are:

  • AD02Non-UniversityGroupsUsingUniversityFacilities
  • AD18Possession,UseandDistribution of AlcoholicBeverages
  • HR96ReferenceandBackgroundCheckingforOther-than-AcademicAppointments
  • FN 10OtherBusinessExpensesand Activities
  • SY05Persons, OtherthanStudentsorEmployees,WhoareInjuredorBecome IllonUniversityProperty
  • ADACompliance
  • HealthInsurancePortabilityandAccountabilityAct (HIPPA)
  • PaymentCardIndustryDataSecurityStandards(PCIDSS)

andifminors areinvolved:

  • AD39MinorsInvolved inUniversity-SponsoredProgramsorProgramsHeldattheUniversityand/orHoused in UniversityFacilities

Additionaldetailed informationregardingconsiderationsforthepoliciesmaybefoundin the“IsYourCollege Ready?”checklistplanningtoolpreviouslyprovidedtotheprogramchair.

Iagreeto abidebyUniversitypoliciesandproceduresincludingthoseasidentifiedabove,aswell astoassume suchresponsibilitiesin allotheradministrativeareasrelatedtothisprogram.

(SignatureofProgramChair)

Ihavereviewedtheitemsdescribed abovepertinenttomyareasof responsibilityandagreethattheyhavebeenadequatelyaddressedbytheprogramchair.

AcademicandDeliveryAreas:

(Signatureof CollegeAssociateDeanforOutreach)

RegistrationandFinancialAreas:

(Signatureof College FinancialOfficer)

RiskManagementAreas:

(SignatureofRiskManagementRepresentative)

On thebasisoftheabove endorsements,Outreach agreestogrant anexceptiontoAD-03fortheprogram listedaboveuntil .

(date)

(Signatureof JeffHand,AssistantVicePresidentforOutreach)

Originalsignedcopieswillreside withConferences,theSponsoringCollege’sfinancialofficer,andRiskManagement.Anexecutedphotocopywillbeprovidedto the programchairforhis/herrecords.

AD03ExceptionsFinal11.6.09.docx11/1/10;11/17/10;11/18/10;12/17/10rcs;1/11/11rcs