Travel and Expense Management Hierarchy Discussion

1. Travel and Expense ManagementHierarchy Discussion May 2013

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

3. Approval Flow

4. Wharton’s Approval Flow These roles can select/confirm the User Added Approvers! *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 - School Level HLA(Maureen) for Old C5 Check boxes DEFAULT REVIEWER Preparer/ Admin Person Will need to assign SUPPLEMENTAL APPROVER (or the appropriate person) when necessary Traveler or Delegate (Preparer) Enter Report Traveler Submit (or Approve)Report User Added Approver -Total Expense Dollar Amount >$15,000 – select F&A BA/TAC Cost Object Approver Multiple User Added Approvers may be necessary based on role of Traveler and/or Business Purpose

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

6. Review of Roles

7. 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 Travel and Expense Roles

8. 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. Default Reviewer

9. 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. Cost Object Approver

10. 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. Supplemental Approver

11. 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 User Added Approver

12. 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. Role & Access Administrators

13. TEM Maintenance Forms

14. Will individual ever be a Supplemental Approver (Y/N)? • Review Default Funding Source and update if necessary • Systemically defaulted to 070-HomeOrg-1-000000 • The default cannot be set to grant funds • Format MUST be: 070-0700-1-000000 • Assign Default Reviewer • One-to-one relationship • Will review all expense reports regardless of funding source • Format MUST be: 10070837 – FRENKEL, SAMUEL Faculty & Staff Maintenance Forms

15. Assign “Level 1 Approver” for every fund (regardless of whether it is excluded or not) • Format MUST be: 10070837 – FRENKEL, SAMUEL • Level 2 and Level 3 are optional • Linear approval flow – not alternates • Review Funding Source list– mark any funding sources that you do not want expenses to hit using “Y” in “Exclusion Flag” column. Funding Source Maintenance Form

16. 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 TEM Maintenance Forms - Action Items

17. 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 whartonconcur@wharton.upenn.edu: • Penn ID • Full Name • Default Funding Source (e.g. 070-0700-1-000000) • Default Reviewer • Current local address Student Maintenance Form

18. 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, email the funding source details (e.g. 070-0700-1-000000) to whartonconcur@wharton.upenn.edu Additional Funding Source Maintenance Form

19. 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 000011 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 TEM - Included Funding Sources

20. Any combination using fund 000000 with a BC other than 1 • Any combination with Org 0000 and CNAC not equal to 000 • 000006 Debt Service Fund • 000007 University Development Fund • 000008 Research Assistantships Matching Fund • 000009 Insurance Fund • 000013 University Bank Fund  • 02xxxx  *exception* INCLUDE 020200 • 3xxxxx Endowed Loan Funds • 47xxxx Controller’s Adjustment Accounts (accruals) • 48xxxx Outside Held Trusts • 49xxxx Trustees Held Annuities • 599996, 599997, 599998, 599999 Budget Planning Only • 64xxxx Controller’s Adjustment Accounts ( accruals) • 65xxxx Capital Gift Funds TEM - Excluded Funding Sources

21. 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. Delegate Addition Maintenance Form

22. Training Requirements

23. Traveler/Delegate end user training recommended for all. Two sessions currently scheduled. RSVP to whartonconcur@wharton.upenn.edu • Wednesday, July 17 from 1-3 pm • Thursday, July 25 from 10-12pm • Instructional guides and how-to videos also available at: https://cms.business-services.upenn.edu/tem-beta.html • 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. Training Requirements

24. Best Practices

25. 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 Hierarchy Approval Set-up Best Practices

26. Questions ? Thank you!