Manage Funding

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.

An over expenditure in project that is not authorized will be inactivated. Written requests for projects to be reactivated should be sent to your research facilitator, unless otherwise directed, so that units can clear the unauthorized over expenditure in projects.


Requesting Authorization for an Over-Expenditure

The university recognizes that occasionally there may be circumstances which might 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:

  • You need to 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, such as 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 trash can 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.

Submitting your request

Click the Submit button after you have entered all necessary information. After submission, print the Signature Form by clicking the Print button.

Click OK to confirm. Click Cancel to return without submitting.

Obtain authorization signatures on the printed form and forward the completed originals documents to the research facilitator assigned to your faculty. RSO will not start processing the request until the authorized Signature Form has been received.  

Notes: If the request form is not authorized the requesting department may retain the form on file.  If does not need to be forwarded to RSO.  A authorized over expenditure may be revoked using the online over-expenditure request form or by contacting your faculty-assigned research facilitator for assistance.

The status of your OE request can be viewed by clicking the Over Expenditure tab in the Researcher Home Page. By clicking the OE Request ID you can view Submitted requests and amend Saved requests.

You may contact your faculty-assigned research facilitator if you have a question on completing this form.