GAP 200.034, Expense Reports - Workflow

I. Overview

Workflow associated with expense reports ensures designated departmental and funding source approvers have the opportunity to thoroughly review expense reports before Employee Travel and Reimbursement (ET&R) receives reports for audit and posting to Duke’s general ledger. Departments must understand and routinely maintain workflow to minimize workflow breakdowns.

II. Workflow Approvers

Concur stores workflow approvers in Concur, with nightly updates from SAP for specific data fields.

Back-up Approvers

Every Concur approver should have an assigned back-up approver to act on the person’s behalf if they are unavailable to approve reports. The back-up approver “follows” the approver in any approval role they have in Concur since the back-up is assigned to the person, not to the workflow approval step.

Departmental Approvers

Business units have two options for assigning departmental approvers:

• Designate individual departmental approvers.
• Use the primary approver identified through the SAP supervisor relationship.

Funding Source Approvers

Funding source approval works differently for business units in Company 0010 (Duke University and Duke University School of Medicine/Nursing) and business units that are part of Duke University Health System.

Company 0010 business units

SAP master data determines the primary funding source approver.

• Workflow routes to the Alternate Travel 1 field regardless of the cost object type. If Alternate Travel 1 is not populated, workflow routes to the Grant Manager 1 field of WBS elements and the Responsible Financial Person 1 for cost centers.
• If no master data is populated for the business unit, workflow routes to the Funding Approver assigned at the organizational unit level.

DUHS business units

DUHS does not typically use master data; therefore, workflow routes to the Funding Approver assigned at the organizational unit level.

Alternate Approvers

To support Duke’s internal control requirements by ensuring departmental approvers can’t approver their expense reports and are not assigned to approve expense reports of individuals in their supervisory chain, business units must identify alternate approvers for all primary departmental approvers and senior employees whose expense reports should not be approved by primary departmental approvers.

Maintaining Concur Approvers

Several guidance documents are available providing detailed instructions for maintaining Concur approvers.

• Concur Back-up Approvers: SAP Security Tool is used to maintain back-up approvers following these steps.
• Master Data Funding Approvers: Alternate Travel Approver 1, Grant Manager1, and Responsible Financial Person 1 are maintained via master data for cost centers and WBS elements.
• SAP Supervisor Relationship Departmental Approvers: Update via iForms tab following these steps.
• Users can find guidance on updating all other approvers here.

Accessing Workflow Approvals

Expense report approvers receive email notifications when an expense report is ready for approval. Approvers take action on reports via the Approval page in Concur.

Back-up approvers are required to “act on behalf” of the primary approver in Concur to display reports requiring their approval in a back-up capacity.

III. Workflow Routing

Workflow routing is the same for each type of expense report. In all instances, the employee kicks off workflow by selecting “Submit Report” after reviewing the expense reports details. Once the employee signs off on the “Employee Attestation: workflow begins.

All expense reports require departmental and funding source approval. The department approval level allows the business unit that owns the employee’s position to approve the Duke business purpose of the expense. The funding source approval level allows the owner of the funding source to confirm the Duke business purpose and that expenses are allowable, allocable, and reasonable based on the funding source selected. If an expense report includes multiple funding sources, Concur requires all funding source approvers to approve the report before it moves to the next workflow step.

The business unit owning the funding source may set optional approval thresholds based upon dollar amounts. Additionally, ET&R flags certain departmental leaders when management center approval is required.

Workflow for expense reports route for department, funding source, and ET&R approval before posting to the general ledger.

Based on a business unit’s preference, departmental approval can occur by individuals specifically designated by the department or based upon the supervisor relationship maintained in SAP. For Duke University (Company 0010), funding source approval occurs based upon the master data information associated with the cost object. For Duke University Health System, funding source approval occurs based upon the organizational unit where the cost object is assigned.

IV. Workflow Communication

Concur workflow builds in several communication tools to assist with workflow management. The following are standard workflow email notifications:

• While not directly related to workflow, employees receive an automated email notification when an expense delegate indicates an expense report is ready for review.
• Approvers receive an automated email notification when action occurs to move the expense report to the next workflow step.
• If an approver takes no action after 20 days, the expense report escalates to the next workflow step. The original approvers receive notification of escalated expense reports. Escalation occurs as follows:
  • Departmental/Supervisor approval level – system escalates to the approver’s approver.
  • Funding Source – system escalates to the subsequent approval step.
  • Any optional approvals – system escalates to the subsequent approval step.
• Employees receive an email when an approver returns an expense report.
• Expense delegates and back-up approvers may receive emails based upon an employee’s profile settings.

V. Workflow Best Practices

Adhering to the following best practices helps to ensure workflow consistently moves expense reports effectively and efficiently through the approval process.

• As employees cannot approve their expense reports, identify alternate approvers to ensure workflow does not skip steps.
• If using the department designee model for departmental approval, business units should work with their TRaC Rep/Business Manager to update the ET&R Decision Point Spreadsheet and make changes to departmental approvers as needed.
• Departments using the supervisor model for departmental approvers should work with their Department Payroll Representative to update the supervisor relationship as needed.
• Duke policy states employees should not provide departmental approval for others to whom they report directly or indirectly. To support this policy, business units must establish alternate approvers.
• If an individual is identified as the departmental approver and the funding source approver, workflow will only route to them as the departmental approver and will skip the funding source approval.
• Funding source approval is based upon Duke Unique Identification Numbers of the employees assigned to the approvals and must be updated when employees change positions or responsibilities change. Funding source approval when using Alternate Travel 1 or Responsible Financial Person 1/Grant Manager 1 is maintained at the departmental level by updating master data for cost centers or master data for WBS elements.
• Funding source approval for the Organizational Unit Designee is position-based and is maintained using the ET&R Decision Point Spreadsheet.