Setting Up Approvals and Audit Rules

This chapter provides an overview of setting up approvals and audit rules and discusses how to:

• Define approver types for PeopleSoft Expenses.

• Configure transaction types for PeopleSoft Expenses.

• Set up approval privilege templates for PeopleSoft Expenses.

• Set up approval refinement templates in PeopleSoft Expenses.

• Set up risk templates in PeopleSoft Expenses.

• Define approver profiles for PeopleSoft Expenses.

• Set up approver assignments in PeopleSoft Expenses.

• Set up approver routing lists in PeopleSoft Expenses.

• Copy approval setup to another set ID.

• Configure summary approval options.

• Reassign work for expense transactions.

• Set up receipt verification rules and lists.

Note. PeopleSoft Expenses delivers an approval and workflow configuration as part of system data. You can activate or inactivate transactions and approver types to match your business requirements. Oracle's PeopleSoft recommends that you manage your approval rules only through the PeopleSoft Expenses configuration pages; otherwise, modifications to the Approval Framework configuration data could disrupt approval routing. PeopleSoft Expenses only supports user lists based on Application Class. Using other user list sources may require customizing your system.

Understanding Setting Up Approvals and Audit Rules

PeopleSoft Expenses provides flexibility in managing approvals and audits by allowing users to configure workflow rules that are specific for their organization. PeopleSoft Expenses delivers preconfigured approval and audit rules that you can inactivate or modify. All you have to do is identify your internal process for managing the approval and audit functions and disable those roles, rules, and routings that do not apply to your organization. Approvals can be performed online or using any device capable of receiving or sending emails, including mobile devices.

You can configure policies for business units to approve expense transactions, such as; travel authorizations, cash advances, expense reports, time reports, and time adjustments. You can also set up rules to audit expense transactions before or after payment has been made to employees.

Configuring PeopleSoft Expenses approval and audit rules is broken down into these major areas:

• Approval installation options

• Approver types

• Transaction definitions

• Refinement templates

• Risk templates

• Privileges

• Approver profiles

• Approver lists

• Approver assignments

• Auto approval thresholds

• Approval preferences

• Summary approval options

Approval Installation Options

On the Installation Options - Expenses page, you determine how PeopleSoft Expenses handles and routes expense documents for approvals. Enable workflow at the installation option level to automate your expense-related business processes for expense reports, approvals, cash advances, and so forth. Select approver settings to indicate how PeopleSoft Expenses routes expense transactions for approval.

If you use PeopleSoft Project Costing, you can select the project approver setting, which enables project managers to approve expense documents before final processing.

You can determine if the approver receives an email that includes the transaction details and an approval option by selecting the Enable Email Approvals check box on the Installation Options - Expenses page. If you do not select the Enable Email Approvals check box on the Installation Options - Expenses page, then the approver receives an email notification through workflow. The email notification informs the approver that there is a report that needs to be reviewed, and provides a link to the database to sign into the Expenses system and approve the report. Risk templates override the Enable Email Approvals option on the Installation Options - Expenses page when a risk template is associated with the approver profile and the risk criteria is met.

You can determine the urgency level of expense report, time report, time adjustment, travel authorization, and cash advance approvals. This enables approvers to sort transactions based on the urgency of the transaction.

See Defining Expenses Installation Options.

Approver Types

Approver types map to the appropriate transaction registry entry and process definition for the approval framework.

Transaction Definitions

Transaction definitions activate specific PeopleSoft Expenses transactions for the approval process. The definition is where you determine the types of approvers authorized for the transaction, the nature of their approval, and the actions an approver can take on the transaction type. PeopleSoft Expenses supports these transactions for approvals and workflow:

• Travel authorizations

• Cash advances

• Expense reports

• Time reports

• Time adjustments

Refinement Templates

Approval refinements are filters for expense transactions that are subject to approval.

Risk Templates

Risk templates enable you to configure risk levels by set ID and transaction type, and are associated with an approver profile. You can define up to five levels of risk for each transaction type as well as the criteria that determines the type of risk. For example, if the amount of an expense report exceeds the amount on the travel authorization, the system indicates a level of risk to the approver.

When risk templates are associated with an approver profile, the system assigns risk:

• At the header and line levels for expense reports and travel authorizations.

• At the header level for time reports, time adjustments, and cash advances.

When expense transactions that contain risk are routed for approval, you determine if the transactions are routed through an email or an email notification. For example, low risk reports can be routed to an approver with an email and the approver can approve, deny, or send the report back for revision by responding to the email. High risk reports can be routed to the approver with an email notification (by not selecting the Enable Email Approval option on the Risk Template page), which requires the approver to log on to the Expenses system to review the report's line items before making a decision to approve, deny, or send the report back.

Approvers can use the summary approval pages to approve transactions, or you can require approvers to use the detail pages to approve transactions that have risk.

The system displays risk using a visual indicator on the summary approval and the detail approval pages. An approver can click on the visual indicator to access the Risk/Exception Comments page to view risk details. Viewing the risk details enables approvers to make informed decisions before approving, denying, or sending a transaction back to the originator.

Privileges

Privileges enable or deny the authority for approvers to modify areas of transactions. These areas include the general ledger ChartFields, project ChartFields, expense line information, distributions, and accounting defaults.

Approver Profiles

An approver profile is associated with a set of attributes that govern what transaction types are assigned to the role or profile. You can define profiles and assign them to any number of the approver population in your organization. The properties of the profile:

• Authorize the types of transactions that are eligible for the approver.

• Refine their approval and audit activity by assigning refinement templates.

• Control the approver's access to view and make changes to transactions assigned to them by assigning privilege templates.

• Determine the risk level that is applied to a transaction and whether email approvals are enabled by assigning risk templates.

• Determine whether email approvals are allowed when not using risk templates.

Approver Lists

Approver lists enable you to route expense transactions based on the routing ChartFields and monetary amounts.

Approver Assignments

When using approver list routing, approvers must be assigned to profiles by business unit and range of routing ChartField values that they are authorized for.

Auto Approval Thresholds

Use the Expenses Definition – Business Unit 2 page to establish thresholds and variance percentages for PeopleSoft Expenses to automatically approve expense transactions. This page also enables you to indicate if the system automatically approves expense transactions that have no risk, if you are using risk templates.

See Defining Specifications for a Business Unit.

Approval Preferences

Use the Expenses Options page to select a preference for how you want PeopleSoft Expenses to behave when approving expense transactions.

See Defining Payment Defaults for a SetID.

Summary Approval Options

Summary approval options enable you to configure approval workflow in your system using the Summary Approval Options page. Use this page to enable or disable Summary Approvals, define approver actions, set exception alerts in the summary page, and define conditions when reports can not be approved using the Summary Page.

See Configuring Summary Approval Options.

Email Approvals

Expense transactions that require approval can be routed to any system that displays HTML emails, including mobile handheld devices. This streamlines the approval process and allows busy professionals to approve reports using handheld devices without having to be connected to the company's intranet.

PeopleSoft Expenses uses Email Collaboration within the approval framework, which allows applications to send, receive, and process emails with interactive content.

There is a hierarchy to the email approval option:

• Select the Enable Email Approvals check box on the Installation Options - Expenses page.

  This option indicates that email approvals are sent for all Expenses business units. However, if a risk template is associated with an approver profile and the risk criteria is met on the transaction, then the Enable Email Approvals check box on the Risk Template page overrides this option.

• Select the Enable Email Approvals check box on the Approver Profile page.

  When selecting this option, it indicates that email approvals are sent to only the approvers that are associated with the approver profile.

  This option is only available when there is no risk template associated with the profile. This option is overridden by the Enable Email Approvals check box on the Installation Options - Expenses page

• Select the Enable Email Approvals check box on the Risk Template page.

  If you define risk templates and associate them with an approver profile, the Enable Email Approvals check box is disabled on the Approver Profile page for all transactions that have a risk template. The Enable Email Approvals check box on the Risk Template page is an optional field and it overrides the option selected on the Installation Options - Expenses page.

  When selecting this option, it indicates that email approvals are sent to only the approvers that are associated with the approver profile and that qualify for the risk template that is entered on the Approver Profile page.

This table describes the email approval flow, depending on how your system is defined:

To set up your system to send emails to approve expense transactions you must:

• Set up email collaboration using PeopleTools Integration Broker.

• Select the Enable Email Approvals check box on one of these pages:

  • The Installation Options - Expenses page.

  • The Approver Profile page.

  • The Risk Template page.

• If using risk templates, then assign risk templates to an approver profile on the Approval Profile page.

  Risk templates are not required for email approvals.

Use these values to set up email collaboration:

See PeopleSoft Enterprise FSCM  PeopleBook: Approval Framework, "Using Email Collaboration"

Additional Setup for Approvals

Additionally, there are areas of the approval framework configuration that contain PeopleSoft Expenses-related information, and are defined in detail in the PeopleSoft Enterprise Approval Framework PeopleBook. For each action listed below, PeopleSoft Expenses delivers preconfigured data, and in most cases additional configuration is not required:

• Register the approval transaction.

  Use the Transaction Registry page to register the approval transaction. The approval transaction registry is the interface that application developers use to register an application with the approval framework.

• Configure approval transactions.

  Use the Transaction Configuration page to setup worklist notifications, email approvals and ad hoc approver options for existing approval transactions.

• Define workflow approval process stages.

  Use the Approval Process Setup page to define workflow approval process stages for expense transactions.

• Maintain user-list definitions.

  Use the User List Setup page to define user sources for use with steps in the approval process.

• Define email notification messages.

  Use the Generic Template Definition page to create email messages used for event notifications such as Report Approval.

See PeopleSoft Enterprise FSCM  PeopleBook: Approval Framework, "Defining the Approval Transaction Registry", "Defining Dynamic Approvals", and "Defining Notification Templates and Users for Approval Framework"

Defining Approver Types for PeopleSoft Expenses

Valid approver types must be defined and mapped to the appropriate approval framework transaction registry entry and process definition. PeopleSoft Expenses delivers approver types data as part of system data, which can be used as is.

This section discusses how to define approver types.

Page Used to Define Approver Types

Defining Approver Types

Access the Define Approver Types page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Approver Types).

Approver Type

An approver type represents an approval role. You can change the descriptions of the approver types to match titles or roles in your organization. PeopleSoft Expenses delivers these approver types: EXAPPROVER: A department or expenses manager who may be required for supplemental approvals that you define through rules. POSTPAYAUD: Post payment auditors can take action on expense transactions that have completed the processing cycle. Certain combinations of transactions and approval actions are not allowed for this role. Note. Email approvals is not supported for this approver type. PREPAYAUD: This approver type supports an auditor process prior to payment processing for review and approval. You can configure this role to allow changes to approved transactions. PROJAPPRVR: The person designated for project time and expense approvals can be the project manager as defined in PeopleSoft Project Costing, or the HR Supervisor as an option in PeopleSoft Expenses. PROJSUPP: This approver type is a supplemental or conditional approver for expense transactions relating to projects. The system currently only routes by project ChartField. REVIEWER: Department reviewer can screen expense transactions for policy compliance prior to the approval process. When you use this approver type, PeopleSoft Expenses does not process approvals until a reviewer has reviewed the transactions. SUPERVISOR: This role is the supervisor to whom the employee, contractor, or consultant directly reports to, as defined in your HR system. It is the type associated with the HR Supervisor setting on the Installation Options – Expenses page.

Configuring Transaction Types for PeopleSoft Expenses

To configure transaction types, use the Transaction Definition (EX_TRANS_DEFN.GBL) component.

This section provides an overview of transaction definitions and discusses how to configure transaction definitions.

Understanding Transaction Definitions

PeopleSoft Expenses uses transaction definitions to activate or inactivate transactions that are subject to approvals and the types of approvals that are required for each transaction type. In each transaction definition, you can activate or inactivate approver types and configure the approval actions required for each approver in the transaction. Transaction types can be associated with one or more transaction definitions. If a transaction definition is set to an inactive status for a specific transaction type, the workflow engine bypasses any inactive transaction definitions and uses the first active transaction definition associated with the transaction type for approval workflow processing. If all transaction definitions associated with a specific transaction type are set to an inactive status, then all transactions associated with that transaction type are not subject to approval workflow, and are automatically approved during processing.

PeopleSoft Expenses delivers system data for the five transaction types (cash advance, expense report, travel authorization, time report, and time report adjustment) that maps valid approver types to the appropriate stage in approval framework for expense transaction routing and notifications.

There are some constraints enforced by PeopleSoft Expenses to avoid data or accounting integrity problems. PeopleSoft Expenses does not deliver a mapping configuration for project managers to approve cash advances. PeopleSoft Expenses also does not deliver mapping configuration for post payment auditors to approve travel authorizations, time reports, or time adjustments.

For Post payment auditors, you cannot select the Hold, Deny, or Send Back check boxes for cash advances; you cannot select the Hold or Send Back check boxes for expense reports.

Page Used to Configure Transactions for Approval

Configuring Transaction Definitions

Access the Transaction Definition page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Transaction Definition).

Effective Date	Enter an effective date for the transaction type definition. The system compares the last submitted date of the transactions to the effective-dated transaction definitions to select the appropriate configuration for approval processing.
Status	Select Active or Inactive to turn approvals on or off for all approvers of this transaction type. When all effective dated rows for the transaction definition component for a specific transaction type is set to a status of Inactive, all transactions associated with that transaction type are automatically approved, and the approval routing for the transaction type is bypassed.
Object Owner ID	Select the product that is associated with this transaction.
Approval System Administrator	Select a person to receive notifications for transactions that fail the normal approval routing process. Routing failure occurs if an approver is not properly defined and there is no other business defaulting rule in place. The Approval System Administrator can use the reassign functionality to route these transactions to the appropriate approvers.
Transaction Unit of Measure	Select whether the transaction type is a monetary amount based transaction, such as travel authorizations, cash advances, and expense reports or is a hours based transaction, such as time reports and time report adjustments.

Mapping Tab

Page elements on the Mapping tab enable you to map defined approver types to preconfigured approval stages and process definitions in approval framework.

Properties Tab

Page elements on the Properties tab enable you to select specific attributes of an approver type for the transaction type. Only the rows that you selected in the Active column on the Mapping tab are available. This section also contains the approval actions—such as Approve, Deny, Send Back, Hold, and Review — that you can enable for an approver for the transaction. These settings control which buttons appear on the transaction approval pages.

Rerouting Rules Tab

Page elements on the Rerouting Rules tab enables you to reroute transactions after a specified number of days or hours. The system determines the age of the approvals in an approver's queue. If the duration meets the criteria that you establish in the rerouting rules, PeopleSoft Expenses reroutes transactions to the HR supervisor or another approver that you specify. Establish rerouting rules for each transaction type and approver type.

Setting Up Approval Privilege Templates for PeopleSoft Expenses

To set up approval privilege templates, use the Privilege Template (EX_PRIV_TMPL.GBL) component.

This section provides an overview of approval privilege templates and discusses how to set up approval privilege templates.

Understanding Approval Privilege Templates

Approval privilege templates consist of a collection of attribute privileges that define the type of access to fields and records that approvers can access in their approval queue. You can create your own templates; however, PeopleSoft Expenses delivers approval privilege templates, which you can modify for your organizational needs and requirements. Every approver must have an approval privilege template associated with them to access the transaction approval pages and perform reviews or approvals.

The approval privileges range from viewing accounting dates to adding expense lines. You configure the privilege attributes for a specific type of access, depending on the nature of the attribute. Privileges enable approvers to view and modify areas of a transaction and, in some cases, to add or delete other areas of a transaction. Some privileges may supersede others. For example, if an approver has the authority to add or delete an expense line, they automatically have the authority to add or delete distributions, change amounts, and change ChartFields. PeopleSoft Expenses disables privileges that are not applicable to the transaction type. For example, Receipt Required is not relevant to a time report transaction type.

Approval privilege templates are effective-dated to enable you to create future-dated changes to approver privileges. You can create templates only for active transaction types; however, you can create multiple templates for the same transaction type. When you create a template, PeopleSoft Expenses sets all the attributes to View and you can reset each attribute to an appropriate access type for your organization.

The approval privilege types are:

• View: Approvers can only read the attribute on the transaction; they cannot change or delete the attribute.

• Modify: Approvers can modify the attribute on the transaction.

• Add: Approvers can add this attribute on the transaction.

• Delete: Approvers can delete this attribute from the transaction.

• Full: Approvers can modify, add, or delete the attribute on the transaction.

• Hide: Do not display this attribute on the transaction.

Each approval privilege attribute can be set to an appropriate access type. Field attributes, such as Receipt Verified and Accounting Date, can only be viewed or modified. Record row type attributes, such as Transaction Lines and Distributions, can be viewed, modified, added, or deleted. Some attributes supersede others. For example, if you select full access for Transaction Lines and Distributions,PeopleSoft Expenses also grants full access for GL ChartFields and PC ChartFields.

PeopleSoft Expenses disables privilege attributes for some transaction types to prevent system administrators from selecting attributes that do not apply. For example, travel authorizations and time reports do not need privilege attributes that pertain to cash advances, so PeopleSoft Expenses disables those attributes. The following table shows the attributes that PeopleSoft Expenses enables for expense reports (ER), travel authorizations (TA), cash advances (CA), time reports (TR), and time adjustments (TJ) and the privilege type that you can grant:

Note. Selecting the Change All check box on the Approver Profile page enables an approver type to modify all details of a transaction type and overrides the privilege attributes that you set up on the Approval Privilege Template page.

Page Used to Set up Approval Privilege Templates

Setting Up Approval Privilege Templates

Access the Approval Privilege Template page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Privilege Template).

Default Accounting	Select a privilege type for approvers to modify the default accounting for travel authorizations and expense reports, and reset accounting lines based on the modified defaults. Privilege types for this attribute are Hide, Modify, and View.
Transaction Lines	Select a privilege type for approvers to access the transaction lines. The lines represent expense lines for expense reports and travel authorizations, time lines for time reports and time adjustments, and advance source lines for cash advances. This privilege also allows access to the general ledger and PeopleSoft Project Costing ChartFields that are associated with distributions for the lines in expense reports and travel authorizations. If you enable an approver to add lines or have full privileges for transactions, PeopleSoft Expenses stamps the newly added lines with the approver's user ID and date. The approval framework routes the transaction lines to any subsequent approvers based on the ChartField values entered for the new transaction line by the approver, to complete the approval process. Each approver can review and take action on the transaction lines based on their own approval privileges. The operator ID and data entry details for the newly added transaction line displays on the Detail Lines page for an expense report or travel authorization, and on the Approval pages for cash advances and time reports. Privilege types for this attribute are Add, Delete, Full, Modify, and View.
Receipt Required	Select a privilege type for approvers to access the receipt required flag on expense reports. Privilege types for this attribute are Hide and View.
Receipt Verified	Select a privilege type for approvers to access the receipt verified flag or check box on expense reports. Privilege types for this attribute are Hide, Modify, and View.
User Defaults	Select a privilege type for approvers to access the employee's user defaults. Privilege types for this attribute are Hide and View.
Accounting Date	Select a privilege type for approvers to access the accounting date on transactions. Privilege types for this attribute are Hide, Modify, and View.
Cash Advance Applied	Select a privilege type for approvers to access the cash advance amount that is applied to an expense report. Privilege types for this attribute are Hide, Modify, and View.
Cash Advance Tax	Select a privilege type for approvers to access cash advances. The privilege extends to applying tax. Privilege types for this attribute are Hide, Modify, and View.
Cash Advance Adjustment	Select a privilege type for approvers to create cash advance adjustments. A cash advance adjustment is needed only if an employee owes money to the organization or a post payment auditor denied one or more lines on an expense report that was reimbursed to an employee. Privilege types for this attribute are Hide, Modify, and View.
Distributions	Select a privilege type for approvers to access the distribution lines for an expense. Privilege types for this attribute are Full, Hide, Modify, and View. If you select Full or Modify, approvers can add or delete distribution lines and edit amounts, and it enables them to access the general ledger and PeopleSoft Project Costing ChartFields.
GL ChartFields	Select a privilege type for approvers to access the general ledger ChartFields in travel authorizations, expense reports, time reports, or time adjustments. Privilege types for this attribute are Hide, Modify, and View.
PC ChartFields	Select a privilege type for approvers to access the PeopleSoft Project Costing ChartFields in travel authorizations, expense reports, time reports or time adjustments. Privilege types for this attribute are Hide, Modify, and View.
VAT Information	Select a privilege type for approvers to access the calculated VAT information on expense transactions. Privilege types for this attribute are Hide, Modify, and View.
Document Sequence Type	Select a privilege type for approvers to access the document sequence type that the system assigns to expense transactions. Privilege types for this attribute are Hide, Modify, and View.

Setting Up Approval Refinement Templates in PeopleSoft Expenses

To set up approval refinement templates, use the Refinement Template (EX_REFINE_TMPL.GBL) component.

This section provides an overview of approval refinement templates and discusses setting up approval refinement templates.

Understanding Approval Refinement Templates

Approval refinements are filters for expense transactions that are subject to approval. Filters are used most often for special approvers or auditors who may not review every transaction but only those meeting specific criteria such as expense reports containing charges to projects. You can create your own templates; however, PeopleSoft Expenses delivers refinement templates, which you can modify for your organization's needs and requirements.

Approval refinement templates are effective-dated and you can refine the filters based on values in transaction fields or other criteria. You create refinement templates for active transaction types and approver types.

PeopleSoft Expenses enables or disables fields on the Approval Refinement Template page based on the transaction type that the refinement is associated with. For example, if the transaction type is Expense Report, PeopleSoft Expenses disables the check boxes that relate to time reports, such as the Billable Hours and Non-Billable Hours check boxes.

When you enable multiple refinements, PeopleSoft Expenses evaluates the criteria as an OR condition. For example, if you select Credit Card Feed and Non-Preferred Merchant on the approval refinement template for expense reports to be approved by an expense manager, expense reports with transactions from a credit card feed or transactions where the employee did not use a preferred merchant, PeopleSoft Expenses forwards those expense reports to the expense manager for approval.

In addition to selecting refinements, you can also select to review expense transactions based on business units, departments, employee IDs, expense codes, and time codes. PeopleSoft Expenses evaluates the criteria for these lists as an OR condition. If you select business units or departments, the system routes transactions based on the employee's home business unit and department, not the business unit and department listed in the transaction distributions.

Note. When using Business Unit or Department criteria in the refinement template, routing will be based on the employee's home business unit and department, not the business unit and department contained in the distributions.

Note. If you create a refinement template, PeopleSoft Expenses requires that you select at least one refinement.

Page Used to Set Up Approval Refinement Templates

Setting Up Approval Refinement Templates

Access the Approval Refinement Template page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Refinement Template).

Amount Exceeded	Select to review expense transactions containing an expense item that is more than the defined expense location amount or the per diem amount.
Items with Tax Implications	Select to review an expense report that include reimbursements for which an employee can be taxed.
VAT Items	Select to review expense reports containing expenses that have value added tax.
No VAT Receipt	Select to review expense reports for employees who have not provided a receipt for VAT expenses that normally require one.
Duplicates Exist	Select to review expense reports where an expense item appears more than once in the same expense report or the item appears in another expense report for the same employee ID. When employees submit expense reports, the system automatically detects duplicates by checking each line. A program extracts the expense type, transaction date, amount, and currency code fields, then looks for an expense line within the same expense report that has identical values as the extracted line. If the system finds an identical expense line, it flags the line. The program also searches for the same line in all expense reports for the employee and adds a comment to indicate that a duplicate exists. Some duplicates are legitimate; for example, if your organization pays moving expenses for an employee and a spouse, there may be two airline tickets to the same destination on the same day for the same amount. You can still submit an expense report when it has acceptable duplicates. Note. When the expense type has an edit type of per diem, only the expense type and the transaction date is considered when checking for duplicates.
Credit Card Feed	Select to review expense reports containing an expense item that originated from a credit card transaction.
Non-Preferred Merchant	Select to review expenses reports that contain an expense item that was purchased from a merchant who is not defined as a preferred merchant for that expense type.
Total Amount Limits	Click the link to access the Expenses Definition – Business Unit 1 page and view the pre-payment and post-payment total amount limits that you defined for your business unit. If the total expense amount during Pre-Payment auditing exceeds the limit amount defined on the Expenses Definition – Business Unit 1 page, then the transaction is flagged and approval is required.
No Receipt	Select to review expense reports where the employee has not provided a receipt for an expense that normally requires one.
Approve Every [number] Report	Select this option and enter a number to specify how often to select an expense report or cash advance for approval or audit. PeopleSoft Expenses calculates whether a particular report is subject to the approval or audit process by dividing the number you enter in this field into the report ID or cash advance ID number. If there is a remainder, no action is required. If there is no remainder, the system selects the expense report or cash advance to undergo an approval or an audit.
Project Expenses	Select to review expense reports or travel authorizations containing expense transaction lines that are charged to projects.
Total Hours > and Total Hours <	Enter total hours greater than or total hours less than to indicate when you want PeopleSoft Expenses to direct time reports or time adjustments to the approver.
Project Hours > and Project Hours <	Enter the total project hours greater than or total project hours less than to indicate when you want PeopleSoft Expenses to direct time reports or time adjustments to the approver.
Billable Hours	Select to review time reports or time adjustments that contain billable hours.
Non-Billable Hours	Select to review time reports or time adjustments that contain non-billable hours.
Business Unit	Select an active business unit or a list of active business units. The system routes expense transactions based on the employee's home business unit, not the business unit listed in the transaction distributions.
Departments	Select an active department or a list of active departments. The system routes expense transactions based on the employee's home department, not the department listed in the transaction distributions.
Employees	Select an active employee or a list of employees.
Expense Types	Select an active expense type or a list of active expense types.
Time Report Codes	Select an active time report code or a list of active time report codes.

Setting Up Risk Templates for PeopleSoft Expenses

To set up risk templates use the Risk Template (EX_RISK_TMPL.GBL) component.

This section provides an overview of risk templates and discusses how to set up risk templates.

Understanding Risk Templates

Travel and entertainment expenses represent a major source of discretionary spending for organizations. Risk templates are used to control spending and enforce corporate policy for expenditures. Risk templates define risk levels that are associated with an expense transaction. This provides approvers the information they need to make an informed decision during the approval process.

You can define up to five levels of risk for each risk template ID and transaction type. You then select risk criteria for each level of risk. Risk criteria is assigned:

• At the header and line levels for expense reports and travel authorizations.

• At the header level for time reports, time adjustments, and cash advances.

• At the line level for time reports and time adjustments only for billable hours.

When defining risk templates you select the set ID and transaction type, assign a template ID, and then select criteria that tells the system when to display a risk indicator on approval pages.

You also determine how an expense transaction that has risk, is routed to an approver. An expense transaction can be routed to an approver using one of these methods:

• Through email, where the approver has access to all of the information that needs to be approved.

  Select the Enable Email Approvals option on the risk template to use this method.

• Through an email notification, where the approver must log into the Expenses system to approve the transaction.

  Deselect the Enable Email Approvals option on the risk template to use this method.

To set up and use the risk templates:

• Set up risk templates.

  Risk templates are defined by set ID and transaction type, and are assigned a Risk Template ID.

• Associate a risk template with an approver profile.

Page Used to Set Up Risk Templates

Setting Up Risk Templates

Access the Approval Risk Template page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Risk Template)

Use this page to define up to five levels of risk for the transaction type. Risk criteria represent exceptions to company policy that can be assigned to expense transactions. When risk criteria is defined and met for more than two levels, the highest level is shown to the approver. At least one risk criteria must be defined for each risk level.You can also enable email approvals for expense transactions that contain risk.

The transaction type determines the fields that are available on the page.

Risk Criteria

Travel Authorization Estimates vs. Expense Report Actuals

Business Purpose Criteria

Expense Type Authorized Amounts

Expense Type Authorized Amounts details has an Authorized Amount check box that when selected, determines if the system checks for risk against an expense type that has a value over the amount defined in the expense location amount table. The expense location amount table is defined on the Expense Location Amount page. If the Authorized Amount check box is not selected, then the system indicates that the expense type has risk if the expense type appears in the report. There is also a % Variance option that allows a variance before the system indicates risk.

Business Unit

Departments

Users

Time Codes

Total Transaction Amount Limits

Expense Type Amount Limits

Header Approvals

If approving at the header level, which is determined on the Setup Process Definitions page (Enterprise Components, Approvals, Approvals, Approval Process Setup), any risk criteria that depends on line level details does not return any risk. This table illustrates the line level risk criteria for the corresponding transaction type that is not recognized for header approvals:

Defining Approver Profiles for PeopleSoft Expenses

To define approver profiles, use the Approver Profile (EX_APPRVR_PROFILE.GBL) component.

This section provides an overview of approval profiles and discusses how to define approver profiles.

Understanding Approval Profiles

Use the Approver Profile pages to associate transaction types, privileges, refinements, and risk to an approver, and configure approval roles or specific approvers. PeopleSoft Expenses delivers preconfigured profiles that match the supported approval roles. You can modify these profiles according to your organization's approval policies or you can create your own profiles using titles or role names that are meaningful to your organization.

Every approver must have an associated profile in the system. When using the approver list routing, each approver must be assigned to a profile for the business unit. When HR Supervisor is used, it is not necessary to assign every supervisor to a profile as long as one profile is marked as the default the HR Supervisor approver type for each transaction that they are authorized to approve. The same rule applies to project managers when Project Manager is selected for project approvals. A profile marked as the default must exist for the project manager approver type for each transaction they are authorized to approve.

Page Used to Define Approver Profiles

Defining Approver Profiles

Access the Approver Profile page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Approver Profile).

Use this page to add or modify mappings of approver types and transactions to a refinement template, a privilege template, and a risk template. The mapping also sets the change all and override privileges.

Approver Attributes

Setting Up Approver Assignments in PeopleSoft Expenses

To set up approver assignments, use the Approver Assignment (EX_APPRV_ASGN.GBL) component.

This section provides an overview of approver assignments and discusses how to assign approvers to approver profiles.

Understanding Approver Assignments

If you use HR supervisor routing for approvals, you do not need to assign your supervisors to approver profiles because the system routes transactions for approvals to supervisors identified in the employee profiles. If you use Project Manager routing for project approvals, you do not need to assign the project managers to approver profiles because the system routes transactions to project managers based on the project team definition in PeopleSoft Project Costing. If you elect to use an approver list as the option or for supplemental approvals, you must assign the approvers to a profile and a range of routing ChartField values. You can assign one or many approvers to profiles using their user IDs, based on the range of values for the routing ChartField selected for the approver type. You can also assign approvers to more than one profile if they support multiple approval roles.

Page Used to Define Approver Assignments

Assigning Approvers to Approver Profiles

Access the Approver Assignments page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Approver Assignment).

User Id

Select an active user ID to associate them with the approver profile.

[ChartField] From and [ChartField] To

Enter an active routing ChartField range for the approver. These page elements change according to the routing ChartField that you associate with the approver type. On the Approver Assignments page example above, PeopleSoft Expenses displays Department From and Department To because department is the routing ChartField for the approver type. If you configure the project manager approver type to use the Project ChartField as the routing ChartField, PeopleSoft Expenses displays Project From and Project To.

Setting Up Approver Routing Lists in PeopleSoft Expenses

To set up approver routing lists, use the Approver List (EX_APPRVR_LIST.GBL) component.

This section provides an overview of how to set up the approver routing list and discusses setting up approver routing lists.

Understanding How to Set Up Approver Routing List

PeopleSoft Expenses approval functionality includes approver lists that enable you to route expense transactions based on the routing ChartField, monetary amounts, and hours. You can set up the approver routing list as the preferred option for approvals or select to use supplemental approvals when transactions meet specific criteria.

You can use the approver routing list to set up routing rules based on monetary amounts. For example, you can use HR supervisor approvals for all expense reports, but use a supplemental approver for all expense reports over 500.00 USD. You can also use a supplemental approval for project approvals in the same way. You can also define different amount-based routing rules for different ChartField values. Some organizations have amount-based rules that differ between operating units or departments.

Set up approver routing lists by business unit, transaction type, and approver type. The system associates the routing ChartField with the approver type that you set up on the Define Approver Types page. When employees in the business unit submit expense transactions, the system automatically applies the approval rules and routes travel authorizations, cash advances, expense reports, time reports, and time adjustments to the appropriate approver.

When defining approver routing lists:

• Create only one list per approver type and transaction type for each business unit.

• If you use the Reviewer, Prepayment Auditor, Expense Manager, Project Supplemental Approver, or Post Payment Auditor approver types, you must create an approver list for each transaction type that they use.

• Establish amount-based rules only if the approver type that is associated with the transaction is enabled for amount-based routing on the Transaction Definition page.

Note. If you do not enable HR Supervisor approvals on the Installation Options – Expenses page but enable Approver List, then you must create expense approver routing lists for each transaction type.

Page Used to Set Up Approver Routing Lists

Setting Up Approver Routing Lists

Access the Approver Routing List page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Approver List).

Submission Notifications	Select how you want the system to send out approver notifications. Options are: Notify First Approver: Select to notify the first approver in the list when an employee submits a transaction. As each approver makes an approval action, the system sends a notification and routes the transaction to the next approver on the list. The sequence of approvers is top down, meaning that the system notifies the first approver on the list, then the second approver, and so on until all approvers process the transaction. Notify All Approvers: Select to notify and route transactions to all approvers in the list when an employee submits a transaction. This option allows any approver to access and approve the transaction at any time.
Approver Profile	Select an approver profile. PeopleSoft Expenses determines the approval order based on the order that you enter the approver profile lines. The approval process starts with the first row, regardless of the values in the From and To columns. If you insert a new row between two existing rows, PeopleSoft Expenses updates the order of the approvals. For example, if an approval sequence starts with Department Manager on the first row, then Director on the second row, when you insert a row for Vice President between the two, the Vice President in the new row now becomes the second approver. Note. Only users who are assigned to profiles supporting the same routing ChartFields may be selected.
All Values	Select to use the full range of ChartField values for the assigned routing ChartField. If you select the All Values check box, PeopleSoft Expenses disables the [ChartField] From and [ChartField] To fields.
[ChartField] From and [ChartField] To	Enter a range that corresponds with the routing ChartField that you selected on the Define Approver Types page for the approver type. For example, if you selected Department as your routing ChartField, PeopleSoft Expenses displays Department From and Department To headings. If you use amount-based rules for the transaction and want to apply different rules for different departments or any other ChartField that you selected for routing on the Define Approver Types page, you can enter a range that corresponds with the routing ChartField, then enter the from and to amounts for the rule. This is the only time that you can enter routing ChartField values. These fields are not available if you selected the All Values check box.
All Amounts	Select to use the full range of monetary amounts or hours, depending on the transaction type. If you select the All Amounts check box, PeopleSoft Expenses disables the Amount From and Amount To fields.
Amount From and Amount To	If you selected Monetary Amount Based as the unit of measure for the transaction type on the Transaction Definition page, PeopleSoft Expenses displays the Amount From and Amount To headings where you can enter a monetary range.

Copying Approval Setup to Another SetID

To copy an approval setup to another setID, use the Approval Setup Copy Utility (EX_APPRV_COPY.GBL) component.

This section provides an overview of how to copy approval setup to another setID and discusses how to use the Approval Setup Copy Utility.

Understanding How To Copy Approval Setup to Another SetID

PeopleSoft Expenses delivers approval configuration data as system data under the SHARE SetID. You can adjust your table set control to point to this setID for record group EX_04, which is the record group for the approvals configuration. However, you can use the Approval Setup Copy Utility to create a copy of the delivered configuration for the setID of your choice. If you use your own setID, Oracle's PeopleSoft recommends that you not modify the system data under setID SHARE. First, copy the configuration data set to your new setID, then make the configuration changes for that setID. This procedure keeps the system data in its initial state should you want to go back to the delivered configuration.

The Approval Setup Copy Utility enables you to:

• Copy only the approval setup that you have defined in your system.

• Copy the approval setup, all of your approver profiles, as well as refinement, privilege, and risk templates.

• Copy the approval setup and profiles, and only refinement, privilege, and risk templates that are currently being used by your approver profiles.

You cannot copy to the same setID. For example, you cannot copy from US001 to US001. Also, you can only perform a copy once to a setID. If, for example, you copy US001 to US002 but you forgot to select the Copy only referenced Privilege Templates check box to copy only the privilege templates that are currently assigned to your approver profiles, you cannot copy from US001 to US002 again because the system does not allow you to select US002. To remedy this situation, you can make manual corrections to the approval configuration for US002.

Page Used to Copy Approval Setup to Another SetID

Using the Approval Setup Copy Utility

Access the Approval Configuration Copy Utility page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Approval Setup Copy Utility).

The approval framework uses a Definition ID as a key field when defining the Approver Process Definition criteria for expenses workflow processing. To accommodate this change, PeopleSoft Expenses uses Definition ID synonymously with SetID for approval framework setup purposes and copy functionality. All PeopleSoft Expense processing continues to use SetID for PeopleSoft Expenses setup and processing. When using this page, enter your SetID.

Configuring Summary Approval Options

To configure summary approval options, use the Summary Approval Options (EX_SUM_APPR_OPT.GBL) component.

This section provides an overview of summary approval options and discusses how to set up summary approval options.

Understanding Summary Approval Options

Summary approvals is a feature in PeopleSoft Expenses that enables approvers to select multiple transactions to approve with one action. The Summary Approval pages consist of an overview page, which supports all transaction types, and individual transaction pages that display transactions according to transaction type. The Overview page is the initial page that an approver accesses to begin the approval process.

PeopleSoft Expenses supports options to enable or disable the ability to perform approvals at a summary level. You can set the summary approval option preferences according to your organization's policies.

Configure summary approval options to:

• Enable approvers to approve some or all expense transactions in their queue with one action.

• Force approvers to drill down to transaction details to view additional information and perform approval actions.

• Enable approvers to approve all types of expense transactions on one page or by transaction type.

• Control the approver actions used on the mass approval pages.

• Disable summary approvals if it violates organizational policy for expense approvals.

• Alert approvers if the expense transactions contain exceptions, such as out of policy expenses.

• Disable transactions for approval on the summary approval pages if they contain exceptions.

• Disable transactions for approval on the summary approval pages if they contain risk.

Page Used to Configure Summary Approval Options

Setting up Summary Approval Options

Access the Summary Approval Options page (Set Up Financials/Supply Chain, Product Related, Expenses, Management, Approval Setup, Summary Approval Options).

Enable Summary Approvals

Select Approval Actions

Select approval action buttons that you want PeopleSoft Expenses to display on the summary approval pages. If you do not select an approval action, PeopleSoft Expenses does not display that button on the summary approval pages and approvers must drill down to the transaction detail pages to take the appropriate action. If you select approval actions but deselected the Transaction Pages or Overview and Error Pages check boxes in the Enable Summary Approvals group box, PeopleSoft Expenses does not display the approval action buttons for those pages.

When you select approval action buttons, approvers can press the button on the summary approval pages; however, PeopleSoft Expenses checks the approver's configuration after they press the action button. If the approver is not authorized for the action, the transaction remains in the queue and the system flags it as an error. PeopleSoft Expenses displays an error message on the Errors page.

Note. The Deny functionality is not available for summary approvals.

The Budget Check check box is available only if you enabled Commitment Control for PeopleSoft Expenses on the Installation Options - Products page.

Alert Approvers

Select the check box next to the exception condition to highlight transactions as exceptions on the approval pages. PeopleSoft Expenses displays an icon on the approval pages as a visual indicator for transactions with exceptions.

Disallow Summary Approvals

Select the check box next to the exception condition to not allow approval on the summary approval pages for transactions with this exception. PeopleSoft Expenses disables these check boxes on the summary approval pages. The approver must drill down to the detail level to approve the transaction. Select Same as Alerts to duplicate the selection from the Alert Approvers section. Select the Risk check box to disable summary approvals for transactions that have risk associated with them.

Reassigning Work for Expense Transactions

This section provides an overview of how to reassign work in PeopleSoft Expenses and discusses how to reassign work for expense transactions.

Understanding How to Reassign Work in PeopleSoft Expenses

Workflow and approval in PeopleSoft Expenses enables business processes to move expense transactions through the system. The PeopleSoft Expenses approval process integrates with the PeopleTools process to provide worklist and email capability. Depending on your user settings in PeopleSoft security, you can receive worklist entries and email notifications from your system. Although standard workflow functionality supports delegated approvals for mangers, PeopleSoft Expenses supports delegation when routing the transactions to the next approver. There can be circumstances in your organization where the transactions in an approver's queue must be reassigned to a different approver.

Note. The Define Security - Reassign Work functionality moves only PeopleSoft Expenses-related work from one approver to another approver.

Page Used to Reassign Work

Reassigning Work

Access the Reassign Work page (Travel and Expenses, Manage Expenses Security, Reassign Approval Work).

Select the transactions and the user ID that you want to reassign work to. PeopleSoft Expenses generates an error and terminates the reassign operation if you enter the same approver in the Reassign Work To field. For example, MGR1 cannot reassign work to MGR1.

Setting Up Receipt Verification Rules and Lists

To set up receipt verification rules, use the Receipt Verification Rule (EX_RCPT_VER_RULES.GBL) component.

This section provides an overview of receipt verification rules and lists and discusses how to:

• Define receipt verification rules.

• Set up receipt verification lists.

Understanding Receipt Verification Rules and Lists

If you require employees to substantiate their expenses with receipts, you can create a receipt verification rule and set up your system to track receipts.

Pages Used to Set Up Receipt Verification Rules and Lists

Defining Receipt Verification Rules

Access the Receipt Verification Rules page (Set Up Financials/Supply Chain, Product Related, Expenses, Payment Information, Receipt Verification Rule).

Receipts Received Flag	Activates a check box on the expense report when the report is audited. Auditors select this option to indicate that all receipts for the expense report are submitted.
Verify Receipts	Requires that receipts are validated on all expense reports by having employees or someone in your travel and expense department check off transactions as they are matched with employee receipts.
Refine Receipt Verification	Select to require receipt verification for specific circumstances. When you select this option, the system activates other options in this section. You may require receipt verification to occur when only one or both of the following conditions exist: Expense Report Amount Flag: The expense report exceeds a specified total. Enter the maximum amount in the space provided and select the appropriate currency. Any expense report that exceeds the specified maximum will require verification of receipts. Verify Every Report: Enter a number to specify how often to select an expense report to verify receipts.
Employee List, Business Unit, and Department List	Select to build the appropriate receipt verification lists.

Setting Up Receipt Verification Lists

Access one of the following pages:

• Verify Receipts for Specific Employees.

• Verify Receipts for Specific Business Units.

• Verify Receipts for Specific Departments.

These pages enable you to create lists of individuals or internal organizations required to verify receipts.

Depending on the page you accessed, select an employee ID, business unit, or department to audit.

Note. Receipt verification lists operate independently of the rules that you define for the entire business unit. However, the effective date for the rule also applies to verification lists.