How to obtain a policy exception for a noncompliant expense report or expense lines (Claimant/Cardholder/Submitter)
Access the Policy Exception Approval Request web form. You will be prompted for a NetID login to access the form. Note: If this is a request on behalf of a non-employee, the form must be filled out by a current UW–Madison employee with a NetID on behalf of the non-employee.
Fill out the required fields:
Claimant/Cardholder Name – This is the individual requesting reimbursement or payment/reconciliation of policy noncompliant expenses.
Claimant/Cardholder Email – Take care when writing the email; the form will not route if an email address is entered incorrectly.
Submitter’s Name – Not required. (may be used if form is submitted on behalf of claimant/cardholder, e.g., an administrative assistant)
Submitter’s Email (if submitter is different than the claimant/cardholder) – Take care when writing the email; the form will not route if an email address is entered incorrectly.
Select Cost Center Hierarchy (similar to the legacy identifier of “Divisions”). This field is required for form approval routing purposes.
Cost Center/Unit Name: Enter the name of your individual cost center/unit.
Total Exception Request Amount: Enter the total dollar amount of your exception request.
Expense Report Number: Policy exception requests will be for a transaction or transactions on an expense report. Please include the expense report number in this field, if available when submitting the exception approval request form.
Select which policy was violated.
Select additional policy violation (if applicable to the situation).
Select additional policy violation (if applicable to the situation).
Reason for Policy Exception Request: Please provide a thorough explanation of the circumstances surrounding the policy violation. Include a description of what happened and a justification for why the exception should be granted.
Actions taken by the claimant/cardholder and/or unit to prevent the need for future exceptions of this nature: Please outline how future exceptions of this nature will be avoided, e.g., this may include discussion of new procedures in place and follow-up education/training plans.
Is this exception being requested for a currently enrolled UW-Madison or Universities of Wisconsin Student? Select Yes or No.
Is this exception for a non-employee guest of UW-Madison? Select Yes or No. Note: If this box is checked Yes, no emails will be sent to the non-employee guest.
Please add any supporting documentation: Up to 10 files may be added for the exception approvers to review/consider. Files may include receipts, agenda, relevant emails/communications, etc.
Click Next to advance to the next page.
Enter the Driver Worktag (Grant, Gift, Program, Project) that is the intended funding source for the transaction.
Click Submit. A message will pop up confirming “Your response was submitted.” The claimant (and submitter, if applicable) will receive an email confirming submission of the exception request. Note: The submitted form will be automatically routed to the Divisional exception approvers for review.
Approval or denial of the request: Divisional exception approvers will either approve or deny the request.
Approved: The claimant (and submitter, if applicable) will receive an email notifying them of the approval of the policy exception request. The email contains a PDF of the decision results that must be attached to the Expense Report and/or Purchasing Card transaction. If the exception applies to Purchasing Card transactions, the PDF must be attached at the Expense Line level for each noncompliant transaction. The expense report may then be resubmitted into workflow.
Denial: The claimant (and submitter, if applicable) will receive an email noting that the request has been rejected. The PDF of the results must be attached to any transaction on the Shared Liability Card or Purchasing Card.
Out-of-pocket transactions: Remove the Expense Line(s) from the expense report containing noncompliant transactions. Resubmit the report if other compliant expenses remain.
Shared Liability Card transactions: Mark the unapproved transactions Personal by checking the box labeled Personal within the Expense Lines. The Shared Liability Cardholder will need to pay U.S. Bank personally for noncompliant transactions. Upload the PDF of the denial to the report.Resubmit the report; all transactions must be reconciled, even personal ones.
Purchasing Card Transactions: Mark the unapproved transactions Personal by checking the box labeled Personal within the Expense Line. The Purchasing Cardholder will need to refund UW-Madison for the charges via one of the following methods: Check deposit, payroll deduction, or deduction from a future expense report. Upload the PDF of the denial to the report.Resubmit the report; all transactions must be reconciled, even personal ones.