Travel and Expense Management Hierarchy Discussion May 2013

Agenda  Approval Flow  Review of Roles  TEM Maintenance Forms  Training Requirements  Best Practices 2

Approval Flow 3

Wharton’s Approval Flow Traveler Submit (or Approve) Report DEFAULT REVIEWER Preparer/ Admin Person Will need to assign SUPPLEMENTAL APPROVER (or the appropriate person) when necessary BA/TAC Cost Object Approver Traveler or Delegate (Preparer) Enter Report User Added Approver - School Level HLA (Maureen) for Old C5 Check boxes *AUTOMATICALLY PROMPTED* Supplemental Approver (HLA) if >=$500 for all Name selected from “pick list” User Added Approver ALL STAFF HLA (< $500) Or Use Checkbox on Report Header User Added Approver - Total Expense Dollar Amount >$15,000 – select F&A These roles can select/confirm the User Added Approvers! Multiple User Added Approvers may be necessary based on role of Traveler and/or Business Purpose

Wharton’s Approval Flow Traveler DEFAULT REVIEWER CAN BE BA/TAC BA/TAC Cost Object Approver Supplemental Approver HLA

Review of Roles 6

Travel and Expense Roles  Traveler Role  Systemically granted to all identified users  Expense Role  Systemically granted to all Faculty/Staff  Manually assigned for Students as needed  Delegate administrating as the Traveler – can be systemically loaded 7

Default Reviewer  Defined in each user’s profile (one-to-one relationship).  Can generally be anyone within your organization.  Responsible for ensuring the expense report submitted is complete and accurate.  Review the expense report to ensure appropriate forms and documentation are submitted to support the expenses claimed.  For those expense items requiring receipts, they agree the amount claimed on the expense report matches to the receipts or documentation provided.  Review the accounting information for completeness and accuracy. 8

Cost Object Approver  Based on CNAC-ORG-BC-FUND entered  Responsibility over the accounts being charged for the expenses claimed.  Ensure the expenses claimed are in compliance with all University policies and tax requirements.  Ensure the correct account information is listed on the expense report.  Ensure all expense report requirements, including valid business purpose, all documentation, and justification forms have been fulfilled before the report is approved and submitted for reimbursement.  If applicable, they ensure expenses claimed are allowed under the sponsored program guidelines. 9

Supplemental Approver  Selected from drop down list by Default Reviewer or Approver  Not based on S/C, complete list is available  The Supplemental Approver is an individual who is at a higher level of organizational responsibility than the traveler and is familiar with the traveler and the expenses claimed.  Ensure the expenses claimed were incurred while conducting valid University business.  Review expenses to determine if they are necessary, reasonable, and consistent with University policies and the stated business purpose.  Ensure supporting justification forms contain valid reasons and the connection for the expenses claimed support the business purpose.  Where applicable, they ensure expenses claimed are allowed under the sponsored program guidelines.  Responsible to ensure the requirements for the Default Reviewer and Approver have been met. 10

User Added Approver  Must be designated as some type of Approver  Should be added by Cost Object Approver  For staff reimbursements under $500 (or use checkbox on report header)  For travel reimbursements over $15,000 to forward to F&A for approval  For school-level approval of old C-5 form exceptions  Greater than 182 days  Higher class of service  Unnecessary fees/ Meal thresholds 11

Role & Access Administrators  Establishes approver roles  BEN Financials responsibility  Training will be required  Initially, this responsibility will be managed centrally within F&A. After the system is up and running, ongoing maintenance will be delegated out to the departments. 12

TEM Maintenance Forms 13

Faculty & Staff Maintenance Forms 1.Will individual ever be a Supplemental Approver (Y/N)? 2.Review Default Funding Source and update if necessary  Systemically defaulted to 070-HomeOrg  The default cannot be set to grant funds  Format MUST be: Assign Default Reviewer  One-to-one relationship  Will review all expense reports regardless of funding source  Format MUST be: – FRENKEL, SAMUEL 14

Funding Source Maintenance Form 1.Assign “Level 1 Approver” for every fund (regardless of whether it is excluded or not)  Format MUST be: – FRENKEL, SAMUEL  Level 2 and Level 3 are optional  Linear approval flow – not alternates 2.Review Funding Source list– mark any funding sources that you do not want expenses to hit using “Y” in “Exclusion Flag” column. 15

TEM Maintenance Forms - Action Items Copies of Faculty and Staff as well as Funding Source Maintenance Forms have been deposited into your Pillar Drive (one spreadsheet, two tabs) Please complete by Monday, June 17 16

Student Maintenance Form  Generally, in order to process an expense reimbursement for students, they will need to be made expense users in the system  If you have students that need to be reimbursed, you will need to send the following to  Penn ID  Full Name  Default Funding Source (e.g )  Default Reviewer  Current local address 17

Additional Funding Source Maintenance Form  Add a new combination not created by the default logic  Not required for new grants, endowment, or gift funds  Only required for special “granted’ cross charging for first time charges  If you need a new combination added, the funding source details (e.g ) to 18

TEM - Included Funding Sources ▫only Numeric values in any of the 4 segments (CNAC-ORG-BC- FUND) ▫only enabled code combinations ▫only CNAC values ending in zero ▫restricted funds (4, 6 ledgers funds) combination based on responsible org ▫with budgeted 5XXX object codes in this FY ▫restricted funds (4, 6) any BUDGETED 5xxx combinations to non- Resp ORGs ▫agency funds (9 ledgers) only combinations to CNAC 990 and funds beginning with”9” and budgeted 5xxx combinations in this FY ▫COA strings created in PennERA for sub awards with budgeted 5xxx combinations ▫only combinations for fund that have the SERVCENT as the ORG Category budgeted 5xxx activity budgeted in the current FY ▫for S/C specific funds 01XX01, 01XX02, 01XX03, 01XX04 and 10XX05 include only those combinations where XX is equal to the first two digits of the CNAC value 19

TEM - Excluded Funding Sources ▫Any combination using fund with a BC other than 1 ▫Any combination with Org 0000 and CNAC not equal to 000 ▫000006Debt Service Fund ▫000007University Development Fund ▫000008Research Assistantships Matching Fund ▫000009Insurance Fund ▫000013University Bank Fund ▫02xxxx *exception* INCLUDE ▫3xxxxx Endowed Loan Funds ▫47xxxx Controller’s Adjustment Accounts (accruals) ▫48xxxx Outside Held Trusts ▫49xxxx Trustees Held Annuities ▫599996, , , Budget Planning Only ▫64xxxx Controller’s Adjustment Accounts ( accruals) ▫65xxxxCapital Gift Funds 20

Delegate Addition Maintenance Form  Under design based on feedback from the TEM Advisory board.  Will provide you with the ability to load delegate(s) for travelers so others can enter the expense reports.  The Delegate will still be required to login and switch to administering as the Traveler to enter the expense report.  The Traveler must login to Concur to submit the report. 21

Training Requirements 22

Training Requirements  Traveler/Delegate end user training recommended for all. Two sessions currently scheduled. RSVP to  Wednesday, July 17 from 1-3 pm  Thursday, July 25 from 10-12pm  Instructional guides and how-to videos also available at:  Required KnowledgeLink courses for Default Reviewers and Cost Object Approvers:  Concur Expense Report Approver Knowledge Building  Concur Expense Report Approver Application Training  Approver training recommended, but not required, for Supplemental Approvers. 23

Best Practices 24

Hierarchy Approval Set-up Best Practices  At least two individuals should review every expense report  Although the Default Reviewer and Cost Object (budgetary) approver can systemically be the same person if that person is subordinate of the Traveler, the best practice is to have an additional approver.  A default reviewer needs to be set for EVERYONE  A cost object approver needs to be set for EVERY funding source 25

Questions ? Thank you! 26