Project spending & effort requirement

[P]

How much effort does a person need to travel on a project? Can they get paid on the project for one day in July then travel in Oct? Is there a set rule/ policy to point to? I have heard at least some effort in the effort period they travel in, then it is okay, but IDK.

Along with that is the question, can someone purchase (non-travel) on a project if they don't have effort on the project?

I am curious do other teams check the effort before approving each travel reimbursement or do you count on the PI's signature as confirmation or spot check or etc.

[terryk]

We do check effort on all travel expenses before submission.   We have encountered a number of different scenarios that arise - all of ours arise from conference travel where the person is presenting grant results:

• The traveler is working on the grant, but they are paid on a fellowship....so you wouldn't see that grant# in their effort/payroll stream.  So knowing the person and the project, we are familiar with who/what they are working on.  The PI signature (one up) also lends credibility to the charge.
• If a person worked on the project before, but no longer does, we look further into their appointment.   So, let's say last semester they were on the grant, but now are on another - if their appointment is not 100% time (most grads are 25% - 50% appointment), then they do have "free" time to attend the conference to present.  A note regarding their effort relationship is included in the ER.    We look at the conference as "volunteer" effort then, but the travel is still relevant to the grant.
  
• If they worked previously on the grant, and now is 100% on something else.....they don't have the "free" time to present.  So, with the PI's consent, we have placed effort on the grant for the day(s) of the conference only, again noting the relationship and importance of this person in the ER.

In your case, if they were paid one day in July what was that for?  Was this all they were paid in July or was it for a specific reason (like travel back then?)

What does this travel relate to?  Does it relate to work to be done on that day - like meeting with a subject in a home?  If so, what is their employment history - why are they not paid for that travel - or are they paid elsewhere?

[Penny Harris]

I have a similar question about requirement for efforts ... 

I have two PIs from different departments that were asked to present results at a meeting.  Neither of them works on that project, so I am not sure what to let my PI know is the requirement, if we are going to reimburse the travel.

[David Hagen]

We tried to address most questions related to travel and effort in the Effort Policy FAQs found at https://policy.umn.edu/research/effortcertification-faq

Under question 5 it says:

If the traveler is not providing effort to that project during that effort period, it is then dependent on the traveler's role on the project and how federal regulations must be applied:

• If the traveler is a principal investigator or a senior researcher: Yes, the effort can be uncommitted cost sharing, which does not require certification.
• If the traveler is an employee with a full time (100% appointment) on another project: No. Travel expenses on a sponsored project are permitted only if the employee contributes effort to that project. The effort must be certified or cost shared to the project during the effort period in which the travel occurs.
• If the traveler is a trainee or an employee with a part time (less than 100% appointment): Yes. If the principal investigator has determined this travel is necessary for the project, travel expenses may be incurred against the project for activity or travel that occurs outside of the University appointment. The effort does not require certification but it does require documentation in the comments section of the expense reimbursement document such as: "This travel and related activities occurred outside of my University appointment time."
• If the traveler is a student who is not an employee or a trainee: Yes. Justify the expenses according to the justification standards and include a statement that indicates that the student travel is done on a volunteer basis.

I am not sure about your specific situation. IF I were an auditor I would want to know why two PIs from different departments were asked to present results at a meeting if they did not work on the project?  We don't have a specific FAQ that addresses that scenario.  In general, a staff member doesn't have to be paid from the project in order to justify the travel expense, because it could be argued that their work on the project was uncommitted cost sharing that didn't need to be certified on the project. However, in the case of two PIs from different departments being asked to present the results of a project that they did not work on, I think you would need to have a strong justification explaining why they were being asked to present the results and how it benefits the project. I can't rule it out altogether, but the lack of any other association to the project would likely cause an auditor to question it, so a very strong justification explaining the benefit to the project should be provided.

[Penny Harris]

Just in case it helps to explain ... The sponsored project they traveled on is an outreach project that works with cities and counties to provide technical training and assistance (through trainings, websites, newsletters and other outreach events).

One outreach event is MCEA (Minnesota County Engineers Association - https://ccaps.umn.edu/minnesota-county-engineers-association-annual-conference)  Annual Conference.  The project didn't host the event, however they work closely with MCEA in planning and providing speakers.  This year their contribution to the event was to pay the travel expenses for the two chosen University researchers who presented their results on transportation related research (that was applicable to the MCEA conference stakeholders.)

I did see the FAQs, however I wanted to make sure I was reading that correctly (so I asked my SPA GA to clarify if that was a PI/Sr Researcher for that project or any PI/Sr Researcher.)