Over Expenditures

As a general principle, over-expenditure of a research project is not permitted. Over-expenditures are managed in accordance with the Over-expenditure (Authorized) and Over-expenditure (Unauthorized) UAPPOL procedures and can be monitored through the Researcher Home Page.

In accordance with U of A policy, when a research project has an unauthorized over-expenditure, the RAS will deactivate the project within approximately nine days after month-end in order to prevent further over-expenditure. The project holder is responsible for resolving the unauthorized over-expenditure within 30 days following receipt of notice of the inactivation of the project.

Written requests for projects to be reactivated should be sent to rsoinfo@ualberta.ca unless otherwise directed, so that units can clear the unauthorized over-expenditure in projects.

Requesting Authorization for an Over-Expenditure

The University recognizes that there may be circumstances which justify a temporary over-expenditure of a restricted research project, to allow continuity of research activities. The project holder may request prior authorization of over-expenditure in the case of existing multi-year awards (except in the final year of the award) or if the sponsor has made a written commitment to provide new or renewal funding.

Information you need before you start:

• Ensure you have supporting documents that the sponsor is committing additional funding to your research project.
• As per the Over-expenditure (Authorized) Procedure, requests for authorization of temporary over-expenditures are only allowed on restricted projects (i.e., Fund 530).

Instructions for Requesting the Over-Expenditure

Getting Started

1. Navigate to the Researcher Home Page in PeopleSoft.
2. Find the project in the Projects section and select OE Request from the drop-down menu in the Request column.
3. When the next page appears, click Add. NOTE: All fields are automatically filled out based on the project selected in the Researcher Home Page. If any information appears incorrect or needs to be updated, please complete an online amendment request form.
4. Complete the following fields:

• Amount Requested: Enter the amount of over-expenditure that you wish to have authorized for the research project.
• Authorization End Date: Enter the date until which you wish to have the over-expenditure authorized.
• Attachment: You may attach any document that supports the request. This includes relevant correspondence from the sponsor committing to future funding or their agreement. To attach a document:
  • Click the paper clip icon.
  • Select the Choose File button and browse until you find the document you wish to attach.
  • Click Upload.
  • If you wish to add an additional document, click the + button and repeat the above steps.
  • You may also delete uploaded documents by selecting the trashcan icon.
• Rationale for OE: Include any information that will assist the chair in making the decision to authorize the over-expenditure. In particular, it should be made clear how the over-expenditure will be ultimately cleared and why the over-expenditure is necessary.
• Save: Click the Save button to save your work at any time.

 

Related Links

• Over Expenditure Report Preparation Procedures
• Expense Claim Reimbursement Procedure
• Financial Management and Practices Policy
• Over-expenditure (Authorized) Procedure
• Over-expenditure (Unauthorized) Procedure