UNCW Administrative Policies and Procedures Manual

TRA 1.11 - Travel Authorization and
Encumbrance - State Employees

Responsible Office: Accounting Effective: November 30, 1998
Supersedes: September 7, 1995

Purpose

Scope

Policy

Procedure

Travel
Authorization
Form Instructions

Revisions to the previously published procedure are indicated by . Key revisions include:

In addition to approval by the department head/chair, approval of the traveler's immediate supervisor may also be required in certain instances. (See policy statement 2.b. and form instructions).
A separate Travel Authorization form is required for each employee traveling on official university business, even if the traveler is not requesting a travel advance or the travel involves no cost to the university.
Instructions are provided on revising the Travel Authorization prior to travel.

Purpose

Establishes policies for travel authorization and fund encumbrance for state employees involved in official travel for the university.

Scope

Applies to all state employees traveling on behalf of any university department or activity.
For policies governing the official travel of non-state employees, see TRA 1.10.

Policy 1. General Statement.
All travel must be authorized prior to the beginning day of travel by completing a separate Travel Authorization form for each employee involved in official university travel. A Travel Authorization form must be processed for all travel, even when the traveler is not requesting a travel advance or reimbursement. Additional justification or documentation prior to authorization of travel may be required by the approving authority.

All travel is subject to availability of funds; therefore, the university reserves the right to limit the cost of travel to the limits established prior to the trip.

2. Required Approvals.

a. Department Head/Chair Approval. Departmental Heads or Chairs having budget authority for the university account being charged for travel expenses must approve all travel. Additional approvals are required only as indicated below.

b. Supervisor Approval.

The department or division may require approval of the traveler's immediate supervisor in certain instances, such as the following examples:

The traveler has budget authority for the university account being charged, and approval from a higher level of management is desired.
The traveler's immediate supervisor does not have budget authority for the university account being charged, and the department or division desires supervisor approval for scheduling or other purposes.

Note: If the employee's immediate supervisor has budget authority for the account being charged, the supervisor will approve as the Department Head/Chair. c. Chancellor or Vice Chancellor Approval of Travel. Chancellor or Vice Chancellor approval is required only in cases involving out-of-country travel. Out-of-country travel includes Alaska and Hawaii.

d. Other Required Approvals.

Examples requiring additional approval are as follows:

There are special departmental or divisional approval requirements.
Travel costs are split between two or more university six-digit account numbers.

3. Encumbrance of Travel Funds.

Estimated travel costs must be encumbered for travel-related items. See Appendix D for exceptions.

4. Blanket Travel Authorizations for Repetitive North Carolina Travel.

In order to eliminate preparation of individual Travel Authorizations for repetitive in-state trips, two types of annual blanket Travel Authorizations are allowed as indicated below. A new Travel Authorization form must be submitted each fiscal year.

Note: Blanket authorizations are not allowable if the travel involves a mode of travel other than a state or private car. In this case, a separate Travel Authorization form must be completed for each trip.

a. Blanket Authorizations for All Faculty and Staff.

At the discretion of the department head, an annual blanket Travel Authorization may be prepared for any university faculty member or staff employee traveling on official business if the following criteria are met:

Trips are one-day trips within North Carolina, and
Travel expenses are minimal (mileage and miscellaneous expenses only).

b. Blanket Authorizations for Senior Officers and Senior Managers.

An annual blanket Travel Authorization form may be prepared for Senior Officers and Senior Managers to cover anticipated travel expenses incurred while traveling within North Carolina on official university business. If it is anticipated that the travel will require excess lodging or registration fees, the section of the Travel Authorization form indicating excess expenses must be completed.

TRA 1.11 - Travel Authorization and Encumbrance -
State Employees

Effective: November 30, 1998
Procedure Supersedes: September 7, 1995

1. Travel Authorization.

Prepare a separate Travel Authorization form for each employee traveling on official university business, even if the traveler is not requesting a travel advance or reimbursement and/or the travel involves no cost to the university.
Prior to the beginning day of travel, the department head/chair of the university department supplying the travel funds must approve the Travel Authorization and ensure that sufficient funds are available.
Route the Travel Authorization for additional approval signatures as appropriate.
Submit the approved Travel Authorization form to Accounting prior to the beginning day of travel.

2. Encumbrance of Travel Funds.

Encumber travel costs via an electronic travel requisition.

Exception: See Appendix D for a list of travel costs that should not be encumbered and travel costs that should be encumbered with a regular purchase requisition rather than a travel requisition.

The Travel Authorization form may be used as an input sheet to create an electronic travel requisition. Use the travel request number preprinted on the Travel Authorization form as the requisition number.

Note:

Purchasing will cancel any travel-related requisitions which are created without the proper travel request/requisition number and notify the department to re-enter the requisition.

Encumber the total amount of the estimated cost for each line item on the form, even if an advance is being requested.
Use the object codes specified on the Travel Authorization.
Contact the Travel Coordinator at extension 3149 for questions regarding the encumbering process.

3. Revisions Prior to Travel.

Indicate adjustments in the "Comments/Revisions" column on a photocopy of the original approved Travel Authorization form. The appropriate authorization authority will indicate approval of the revisions in this column and forward the form to Accounting.
Make appropriate revisions to the electronic travel requisition.

4. Cancellation of Travel Plans.

Notify the Travel Coordinator at extension 3149 if travel plans are canceled after the travel requisition has been created and/or Travel Authorization form has been submitted.
The Travel Coordinator will cancel the encumbrance of departmental funds.

Instructions for Preparation of Forms TRA 1.11 Effective: November 30, 1998

Name of Form: Travel Authorization - Supersedes: September 7, 1995
State Employees

A. Where To Obtain Forms.

Forms may be ordered from the U-Business Web site.

B. Instructions.

Instructions are provided only for those items requiring additional explanation.
Estimated Cost Calculation.    Record estimated amounts in the appropriate column, depending upon whether the travel destination is instate, out-of-state, or foreign (out-of-country) travel.
Comments/Other Account Numbers/Revisions.    This column is normally used in the following circumstances:

To split charges between two or more university six-digit account numbers.

To allow Sponsored Programs to record participant travel.

To indicate and approve encumbering adjustments when revisions are necessary prior to travel.

To provide additional explanatory remarks.

Airfare.    Indicate amount of fare (including applicable taxes) and the travel agency.
Ground Transportation.    Check applicable item(s).
Private Car.    Indicate expected actual mileage and the rate per mile. (See Appendix A for applicable rates.)

Meals.    Indicate the number of days and allowable cost per day, if applicable. (See Appendix A for the allowable rate for meals.) Calculate total cost and enter in the appropriate column.
Other Travel Expenses.    Enter a description and an amount in the appropriate column for other allowable travel costs that are expected to be incurred while in travel status. Include goods and/or services other than those for transportation, lodging, meals, and registration fees. Other travel expenses may include telephone charges, supplies, baggage handling, and other appropriate items.
Total Estimated Costs.    Total each column and enter total estimated cost.
Section for Excess Amounts.    Complete this section to indicate excess amounts if :

Registration fees are in excess of $30, or

Lodging costs exceed the cost per day specified in Appendix A.

Maximum Reimbursement Authorized. (Optional field) Indicate amount only if the department is limiting funds available for the trip.

Approval Signatures:

Traveler. Signature of the traveler is always required.

Supervisor. Signature of the traveler's immediate supervisor may be required. The following are examples when the department or division may require the supervisor's signature:

The traveler has budget authority for the university account being charged for the travel, and approval from a higher level of management is desired.

The traveler's immediate supervisor has budget authority for the university account being charged for the travel.

(In this case, the supervisor will sign as the "Department Head/Chair" and will not sign as the "Supervisor.")
The traveler's immediate supervisor does not have budget authority for the university account being charged for the travel; however, for scheduling or other purposes, the department or division desires supervisor approval for departmental employees.

Department Head/Chair. Signature of the department head or chairperson having budget authority for the university account being charged for travel expenses is always required.

Other Approval. Signature of other approving authority, if required. Examples requiring additional approval are noted below:

Special departmental or divisional approval requirements.

Travel costs are split between two or more university six-digit accounts.

Chancellor/Vice Chancellor.    All travel outside the contiguous United States (including travel to Alaska and Hawaii) requires approval by the Chancellor or appropriate Vice Chancellor.

C. Distribution By Final Approving Authority:

White and Canary:       Forward to Accounting
Pink:                            Retained by the final authorizing office
Goldenrod:                  Return to the traveler's home department