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Offical-Function-Form-March-2010

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					                                                                        Prior Approval Form for Official Functions


Date of Request: __________________________                          Responsible Department:                                     Submitted by/Return to:

Departmental Contact Phone Number:                                                                              Fax Number:

Proposed Location of Event:                                                                            Date of Proposed Event:


Purpose of Event and Benefit(s) to UTHSC-H:




Number of Guests Expected:




Names and Affiliations of Attendees (if more than
ten, identify group; use back if necessary):




Type of Expense (check one):
Student/Fellow Award Event                                               Internal Retreat/Workshop                                Institutional Advancement

Business Meal/Employee or Student Function (>                                                         Recruitment/Honored
$2500)                                                                                                Guest (> $2500)


Chartfield:
Meals Included below (please circle):                    Breakfast          Lunch            Dinner
                                                                                        Estimated Costs                                              Actual Costs

                      Category                                              Category Costs              Costs per Person                Category Costs              Costs per Person
Food/Beverage
Meeting Room Rental
Parking

Music/entertainment
Audio Visual

Tips/Gratuity (20% max)
Other Expenses and/or Taxes
Total Costs                                                                                  $0.00                       $0.00                             $0.00                $0.00




                                                                                    Required Prior Approvals
                                                                                                                                                 Secondary Approvals
                                                                           (next level only except as noted on Matrix)
                                                                                                                                  (Required if actual Cost > 10% of Estimate; or Actual
                                                                                                                                  cost exceeds policy) – Justification required below**
Approval Type

Signature Department Chair/Head                                                                                         ___
                                                                                                      Date:________________                                        Date:___________

Print Name Department Chair/Head

Signature Dean/Vice President                                                                                            __
                                                                                                      Date:________________                                        Date:___________

Print Name Dean/Vice President

Events >$2500 or Exceptions to Policy

President; COO/CFO or designee                                                                                           __
                                                                                                      Date:________________                                        Date:___________

Print Name President; COO/CFO or designee


                                 **     Justification:




Copies of the approved and updated form with actual costs completed must be submitted with any subsequent Requisition or Voucher requests referencing this event.




                                                                                                                                                                                          Last updated: 3/29/2010
                                                             Instructions for Completing Prior Approval Form

Use this form for internal retreats/workshops; Institutional Advancement events; or fellow, resident, dissertation, student award events and departmental holiday parties and
other events > $2,500.
Cells highligted in gray contain formulas and cannot be used for data entry.

Step 1
Complete all top sections and the "Estimated Costs" section prior to the event.
If Tip/Gratuity entered exceeds 20% of food & beverage total, the field will be highlighted red. This indicates non-compliance with policy that cannot be exceeded.
Ensure estimates are within acceptable limits referenced using the Matrix on of the Policy Guidelines & Matrix tab

Step 2
Obtain next level approvals except (as noted on Matrix ) prior to event/function
The approved form will be returned to the individual noted in the Submitted by/Return to section

Step 3
Complete "Actuals Costs" sections after the event and/or function has taken place.
If the amount entered for Tip/Gratuity exceeds 20% of food & beverage, the field will be highlighted red. This indicates the amount requested must be reduced prior to
submission.
If Actual Costs Totals exceed 10% of approved Estimated Costs Totals the fields will be highlighted blue.
This requires secondary approvals and a justification provided before processing subsequent payment processing.
If actual costs exceed policy referenced on the Policy Guidelines and Matrix matrix tab--secondary approvals and justificaiton are required.
A copy of the completed and fully approved form should be submitted with each subsequent request for payment.




                                                                                                                                                              Last updated: 3/29/2010
                                                                                              Official Functions Approval Form
                                                                                                (No Prior Approval Required)


Payee:                                                                                                                                               Chartfield(s):


Requestor:                                                         Requestor Phone:

                                                                                                                                                                            Actual Costs < $2,500

                               Business Meal / Recruitment/                                                                                            Food/Beverage Tips/Gratuity    Other
                                 Employee or     Honored                                Purpose/Benefit      Number of Names/Affiliation if < 10 (if >    Amount     Amount (Max Expenses             Grand Totals
 Invoice/Request #    Date     Student Function   Guest                Location       (specify which meal)    Guests   10, include group names, etc) (excluding tip)     20%)      and/or Taxes Total        Per Person




1                                                                                                                0                                             $0.00       $0.00         $0.00         $0.00




2                                                                                                                0                                             $0.00       $0.00         $0.00         $0.00




3                                                                                                                0                                             $0.00       $0.00         $0.00         $0.00




4                                                                                                                0                                             $0.00       $0.00         $0.00         $0.00




5                                                                                                                0                                             $0.00       $0.00         $0.00         $0.00
Total Request for Payment/Reimbursement                                                                                                                        $0.00       $0.00         $0.00         $0.00      $0.00




                               Required Approvals (next level approval only):

                               Signature Department Chair/Head:                                                                                                Date:


                               Print Name Department Chair/Head:


                               Signature Dean/Vice President:                                                                                                  Date:


                               Print Name Dean/Vice President:


                               Signature COO/CFO, President or designee:                                                                                       Date:


                               Print Name COO/CFO, President or designee:




                                   Justification:




                                                                                                                                                                                                                          Last updated: 3/29/2010
                                                                           Instructions for Official Functions Approval Form
                                                                                           (No prior approval required)



Use this form for business meals or employee functions; faculty, chair, executive recruitment and honored guests dinners < $2,500. Up to 5 events can be submitted for approvals at one time.
Cells highligted in gray contain formulas and cannot be used for data entry.

Step 1
Complete columns A & B

Step 2
Mark either column C or D, as appropriate

Step 3
Complete columns E-H

Step 4
Enter appropriate amounts in columns I-K.
If column J 20% of column I, the field will be highlighted red. This indicates the amount requested must be reduced prior to submission.
Columns L & M contain formulas for totals.
Ensure the total in column M does not exceed maximum limits for the event/function referenced on the Policy Guidelines & Matrix tab.

Step 5
Obtain next level approvals referenced on the Policy Guidelines and Matrix tab.
Submit completed form with request for reimbursment (non-po voucher).


EXAMPLE
                                                                                                                                                                Actual Costs < $2,500

                           Business Meal /                                                             Number                                  Food/Beverage Tips/Gratuity    Other
                             Employee      Recruitment/H                          Purpose/Benefit        of   Names/Affiliation if < 10 (if > Amount (excluding Amount (Max Expenses         Grand Totals
  Request #       Date        Function     onored Guest         Location          (specify which meal) Guests  10, include group names, etc)        tip)           20%)    and/or Taxes Total    Per Person
                                                                                                              Yosemite Sam, SVP; Minnie
                                                                                                               Mouse, Director; Mickey
                                                                                   To discuss new             Mouse, Supervisor; Tweety
      01        10/31/09          X                              Treviso               policies        4           Bird, Manager              $73.26          $46.00         $0.00      $119.26     $29.82




                                                                                                                                                                                          Last updated: 3/29/2010
OFFICIAL FUNCTION GUIDELINES

1. - Cost identified for official functions includes food, beverage, facility charges, entertainment, parking, gratuities, taxes, etc.
2. - Gratuities may not exceed 20% of the total bill
3. - Only designated and certain restricted funds should be used for business entertainment/official function types of expenses.
4. - No state or federal funds shall be used to pay for alcohol or any invoice which includes the cost of alcohol (internal retreats / workshops).
5. - Original receipts must be submitted with appropriate documentation
6. - When the payee and organizational head are the same, the next higher authority must provide the approval signature. If the payee is the president, the COO/CFO will provide approval signature.
7. - Continuing education events that are fully supported by participant's fees are excluded from official functions dollar limits.
8. - Individual organizational units may set lower dollar limits for each type of official function, however, these limits must be enforced at the individual organization level.
9. - Amounts in excess of the event limits require prior approv al of the president or COO/CFO, in addition to reporting line approval
10. - All business entertainment/official function payment/reimbursement requests shall include one of the Official Function Forms found at http://www.uth.tmc.edu/finance/ert/erguide.htm#official_functions.
11. - Official functions related to business travel should be submitted with the request for travel reimbursement.

                                                                             Business Entertainment/Official Functions Matrix

Type of Expense                                          Required PRIOR Approv al (use orange tab approv al form)         Limitation

                                                         Requires prior approval of academic or business department
Fellow, resident, dissertation and student award         head, dean, hospital administrator, vice president, executive    $60 per person; events exceeding $2,500 require prior approval of COO/CFO, President
events, and departmental holiday parties                 vice president or president                                      or designee, in addition to reporting line approval




                                                         Requires prior approval of academic or business department       $15 per person for breakfast, $30 per person for lunch, and $60 per person for dinner; if
                                                         head, dean, hospital administrator, vice president, executive    charged daily rate for all meals, limited to $100; events exceeding $2,500 require prior
Internal Retreats/Workshops                              vice president or president                                      approval of COO/CFO, President or designee, in addition to reporting line approval



                                                                                                                          $90 per person (net of external support, i.e. sponsorship, ticket sales, etc.) Limit includes
Institutional Advancement events                         Requires prior approval of COO/CFO or president                  all costs specific to the event, e.g. flowers, music, parking, program materials

Type of Expense                                          Required Approv al (use green tab approv al form)                Limitation

                                                         Requires approval of academic or business department head,       $15 per person for breakfast, $30 per person for lunch, and $60 per person for dinner;
Business meals or employee functions - departmental      dean, hospital administrator, vice president, executive vice     events exceeding $2,500 require prior approval of COO/CFO, President or designee, in
or individual                                            president or president                                           addition to reporting line approval

Faculty, chair, and executive recruitment dinners, and   Requires approval of dean, executive vice president or
dinners with honored guests                              president                                                        $90 per person




                                                                                                                                                                                                                          Last updated: 3/29/2010
Last updated: 3/29/2010
                                                                                                                                                  Last updated: 3/29/2010

                                                      Official Function Frequently Asked Questions
1. What is defined as an official function?
Expenditures of discretionary monies for such purposes as entertaining visiting scholars at lunches or dinners, hosting social engagements to promote a particular
program or activity, recruitment activities, departmental retreats and a variety of other types of social interaction.

2. Where can you have an official function?
Official function expenditures are appropriate only in locations where business affairs can be discussed comfortably. The university will not reimburse any such
expenditure for attendance at cultural or sporting events such as the ballet, the circus, baseball games or similar functions.

3. In what instances can an official function be direct billed to the university?
Departmental or institutional advancement events which may require a contract with a vendor for catering, hotel meeting space; parking; entertainment; etc.. can be
direct billed to UT. When the total cost of the event exceeds $2,500, or there is a vendor requirement for a deposit or signed contract in advance of the event, the
contract should be processed through the Procurement Department. Direct billed events with no deposit requirement equal to or less than $2,500 can be processed
through Disbursement.

4. When can a request be processed for multiple functions and/or events?
If the functions and/or events did not require prior approval, one Non-PO voucher can be submitted with a completed Official Functions Approval Form referencing
multiple functions and/or events.

5. Is it required to complete both the estimated and the actual sections of the Prior Approval Form for Official Functions?
Yes. The Prior Approval Form must be completed and approved prior to the event. The form will be returned to the departmental contact. The Actual Costs section
should be completed on the approved form and submitted with the request for payment. Justification and additional approvals are required if the Actual Costs Total
exceed 10% of the Estimated Total or costs exceed policy.

6. When should you use a Non-PO voucher for payment or reimbursement?
- Non-routine or Non-recurrent events
- Functions/sponsorships less than or equal to $2,500 with no deposit requirement
- Prepayment for events in full with prior approval. All prepayments require Manager of Accounts Payable approval prior to processing
- Reimbursements to individuals less than $2,500
- After-the-fact or unauthorized purchases (event/function occurred but no purchase order in place)

7. What type of documentation is required for an official function payable through the Procurement Office?
Original supporting documentation for payment can include:
 - A detailed invoice
 - Order form
 - Appropriate Official Functions Approval Form
 - Request for Permission to Serve Alcoholic Beverages Form (if appropriate)
- Contract or agreement detailing negotiated terms
 - Official functions greater than $2,500 should be processed on a purchase order



                                                                               Page 7 of 8
                                                                                                                                               Last updated: 3/29/2010

                                                     Official Function Frequently Asked Questions
8. What type of events would NOT be considered official university business?
- Individual birthday parties or cakes
- Individual baby shower parties or cakes

9. How should you request reimbursement for an official function when on business travel?
Include a completed Official Functions Approval Form with the request for travel reimbursement. Traveler will not be reimbursed for meal per-diem and official functions
for the same meal.

10. Can any official function be reimbursed using Petty Cash?
Only employee appreciation functions with a total cost less than $150 can be processed using the petty cash method.




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