Best Practices for Sponsored Project Travel

1. Best Practices for Sponsored Project Travel NURAP at Noon March 2017 (Chicago/Evanston) Katherine Mustea Assistant Director, ASRSP-Chicago

2. Outline • Fundamentals of Travel • Best Practices for Travel • Fly America Act /Open Skies • Approvers checklist

3. Sponsor Authorization for Travel • Prior to the trip, travel must be authorized by the project’s sponsor via: • Agreement terms and conditions • FDP/RTC • Modular budgets • Inclusion in the sponsor-approved project budget • Prior written sponsor approval if travel will exceed the budgeted amount (for some funding agencies) • Special Principal Investigator request approved in writing by the sponsor

4. NU Authorization for Travel • Supervisor authorization is required prior to the trip according to NU Travel Policy section 1A: • By the Department Chair for Principal Investigator travel • By the Principal Investigator for project staff and student travel • Travel authorization must be documented

5. Allowable Travel Expenses • There are three reference points: • Individual sponsor guidelines and restrictions • Uniform Guidance § 200.474 Travel costs • For Federal Projects • Northwestern travel policy at: • http://www.northwestern.edu/financial-operations/policies-procedures/policies/travel.pdf

6. Prior to Travel • Consult with ASRSP and OSR concerning unusual sponsor guidelines for: • Unallowable expenses • Travel restrictions • Refer to the Northwestern travel policy on allowable expenses, especially for: • Guidelines for reasonable travel expenses • Expenses not allowed for any University travel • Sponsored project travel restrictions

7. NU Allowable Expenses • Northwestern faculty and staff will be reimbursed and outside vendors will be paid for travel-related costs and activities that are: • Necessary • Appropriate • Approved

8. NU Unallowable Expenses • First and business class airfares, upgrades, non-U.S. airlines, and private planes • Alcoholic beverages • Personal auto travel of more than 300 miles • Faculty or staff family member or personal expenses • Avoidable penalties, rush fees, or late fees • Items not related to or required for the specific travel assignment

9. Uniform Guidance Allowable Expenses • Allowable • Allocable to the project • Reasonable • Treated consistently in like circumstances • When Costs are charged directly to a grant. (1) Participation of the individual is necessary to the Federal award; and (2) The costs are reasonable and consistent with non-Federal entity's established travel policy.

10. Sponsor Allowable Expenses • If specific sponsor guidelines are more restrictive than University policy or Uniform Guidance, then sponsor rules apply • The allocability guideline: • Only expenses that benefit the sponsored project may be charged to the project

11. Federal Allowable Expenses • Federal Fly America Act 49 U.S.C.40118 • Economy fare on US carriers is always allowed! • Department of Defense requires US carriers • Exception details and flowcharts available at: • http://www.northwestern.edu/asrsp/expenses/travel.html

12. Federal Allowable Expenses • Open Skies exception to Fly America Act • Non-DoD travel between US and Open Skies countries: Australia, European Union, Iceland, Japan, Norway and Swiss destinations – certain foreign carriers allowed • Non-DoD travel between US and non-Open Skies countries – certain foreign carriers allowed • Non-DoD travel between any two points outside the US – certain foreign carriers allowed • Exception details and flowcharts available at: • http://www.northwestern.edu/asrsp/expenses/travel.html • Foreign Travel Flowchart: handout

13. City Pair Program • Offers discounted air fares to federal government travelers • Open Skies Agreements are nullified. • NU employees cannot book travel at the GSA contracted rate • Action: For travel between the US and Switzerland, Australia or Japan on a foreign airline, a GSA Airline City Pairs Search must be performed to determine if Swiss, Australian or Japanese airlines are allowable for the specific trip

14. Travel Expense Considerations • At the discretion of the school, department or unit, certain legitimate travel expenses that are not allowed on a sponsored project may be charged to a departmental non-sponsored account as long as: • Funds are available • The use of funds is approved, preferably in advance

15. Non-Compliance Risks • Expense reimbursement may be withheld for: • Unauthorized travel • Also may result in disciplinary action up to and including termination of employment • Unallowable, inappropriate or extravagant expenses • Late submission for reimbursement, over 90 days after the expenses were incurred.

16. Non-Compliance Consequences • Potential consequences include: • Damage to University and PI reputations • Sponsor audit of the project and disallowance of expenses • Assessment of a penalty against the University • In extreme cases, • Lawsuit against and prosecution of the PI • PI barred from receiving future sponsor funding

17. Travel Best Practices • Air travel • Lodging • Car rentals • Meals and incidental expenses

18. Air Travel Best Practices • Book airline reservations through a University-designated travel agency. • Egencia • Travel 100 Group • Intra World Travel • Direct bill the airfare to the sponsored project. • Retain the airfare receipt/itinerary for the Expense Report • Contact the travel agency promptly with any changes in travel plans

19. Lodging Best Practices • Book the hotel through a University-designated travel agency • Direct billing available via Egencia for certain hotels • The use of a personal credit card is always permitted to hold the reservation but required for incidentals • Prior to booking review the hotel’s cancellation policy • Contact the travel agency promptly with any changes in plans • Pay the hotel bill at the end of the stay with a personal credit card and retain the receipt for the Expense Report • Receipts required for incidentals if hotel is direct billed

20. Car Rental Best Practices • Reserve a car through a University-designated travel agency using a personal credit card • National/Enterprise is the preferred vendor • Contact the travel agency promptly with any changes in plans • Insurance for a domestic rentals will not be reimbursed • National/Enterprise includes Collision/Loss Damage Waiver (CDW/LDW) as part of their contract at no extra cost • (CDW/LDW) should be purchased and will be reimbursed for international rentals only • Report accidents to Risk Management within 24 hours • Pay the bill with a personal credit card and retain the receipt for the Expense Report

21. Meals Best Practices • Consider receiving a per diem for meals & incidental expenses (no receipts required) • Or, plan to keep original detailed receipts for actual costs of meals within NU guidelines: • Breakfast and lunch – reasonable, actual cost • Dinner - $65 limit • No alcoholic beverages • The option selected, per diem or actual expenses with receipts, applies to the whole trip • In-town meals are generally not reimbursable

22. Expense Report & Reimbursement • One Expense Report per trip is required even if all costs are direct billed • Submit within 30 days • Attach detailed receipts – scans must be clear • Vertical receipts in portrait orientation • Get traveler and supervisor signatures • Upload receipts and signatures before routing • Submit the Expense Report for workflow and ASRSP approvals • Budget check the Expense Report

23. Required Approvals/Signatures • The traveler’s signature • The supervisor’s signature • For student and project staff member travel – the PI’s signature • Or, for PI travel – the Department Chair’s signature • School/Dean’s approval for exceptions and reports over $5,000 • ASRSP approval

24. Traveler Reimbursement • Expense report is routed to AP for processing • Reimbursement to the traveler will be made via the employee’s normal payroll payment method

25. Other Important info • Always include the benefit to the grant in comment section • We can’t pay for personal vacations • Be careful when approving items with combined work/vacation plans • Canceled or refunded flights should not be charged to the grant • Visitor and Student travelers must follow NU policy and explain why their travel should be charged to the grantplease include this in comments • A traveler advances personal funds for the purchase of airline tickets at his/her own risk. • Reimbursements to individuals will not be made prior to completion of travel

26. International Air Travel • Be mindful of Fly America Act • Help PIs understand this Act of Congress • Be careful when invited international guests book their own flights • Visa, Passports, Vaccinations, Prophylactic Prescription Medications • Allowable when they are a specific and necessary condition of fulfilling a work assignment on behalf of Northwestern University. • For example, if foreign travel is authorized as part of a sponsored program budget, and a visa is necessary for travel, this is allowable. • Only certain visa fees are allowable on sponsored projects Refer to http://www.northwestern.edu/asrsp/expenses/immigration-fees.htmlfor a current list of allowable fees for other cases

27. Approvers Checklist • Per Diems –make sure the first and last day are only 75% of the rate • Verify following attachments are included • Per Diem Rate sheet • Foreign Currency Conversion sheet • Proof of attendance ( i.e. Agenda, event flyer) • Itemized receipts are attached • Credit card statements are not receipts • Car rentals no insurance can be reimbursed

28. Per Diem or Receipts

29. Policy & Procedure Information • Northwestern travel policy and procedures: http://www.northwestern.edu/financial-operations/policies-procedures/policies/travel.pdf • Uniform Guidance § 200.474 Travel Costs https://fawiki.fws.gov/pages/viewpage.action?pageId=24707607

30. Expense Report Procedures Procedures for entering an Expense Report • http://www.cafe.northwestern.edu/documents/training/supplychain/807/EnteringExpenseReport.pdf FMS807: Employee Expense Reports • Hands-on training for faculty and staff who will be requesting expense reimbursements. • For more information and to register go to eDev found in myHR

31. NU Travel Policy • Has specific guidelines for reasonable travel expenses for both non-sponsored and sponsored • Also mentions which expenses are not allowed • Mentions basic sponsored project travel restrictions • When in doubt call ASRSP for assistance when you have an unusual situation

32. Contact for Federal Policies • For federal sponsored project travel policies: • Jany Raskina, ASRSP Evanston • Research Expenditure Audit Coordinator • 847-491-4697 • y-raskina@northwestern.edu • Rosanna Sian, ASRSP Chicago • Senior Accounting Representative • 312-503-0835 • m-sian@northwestern.edu

33. Contacts for Sponsor Policies • For information about travel expenses for specific sponsored projects: • The project’s ASRSP Grant and Contract Financial Administrator (GCFA): listed on GM045 • http://www.northwestern.edu/asrsp/staff.html • The project’s OSR Grant Officer (GO) • https://osr.northwestern.edu/contact/contact

34. Fly America Act/Open Skies Scenarios

35. Foreign Air Travel Ex • Post Doc needs to fly to Budapest to present at a conference. It was a last minute trip, she booked a flight on Swiss Air, paid for the registration which includes membership to Society of Biomedical Engineers out of her credit card. And would like to submit a reimbursement now. • What is and is not allowable? • Can they be reimbursed now? If not what else can be done

36. Answer According to GSA… the flight to Budapest requires American Airline to be used. Open Skiesagreement therefore is null and not applicable must use US Carrier to Budapest. Membership is allowed since she is presenting Reimbursement cannot take place until after the conference however an Advance maybe allowable 2 weeks before travel.

37. Questions?