How to request authorization for an over expenditure

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 completing this online form

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 to the Research Services Office (RSO). The RSO will not start processing the request until the authorized Signature Form has been received.

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.

Frequently asked questions about over expenditures

What are the significant elements of the procedures?

  • Over-expended research projects will be deactivated approximately nine days after the end of the month in which they became over expended.
  • Over expenditures not cleared within 90 days will be charged back to the faculty or departmental operating budget.
  • Chairs (or their delegates) may authorize over expenditures if requested by the project holder.

What is the “Request for Authorization of Temporary Over Expenditure” authorizing?
This request allows the RSO to keep a research project open and active while over expended, with the expectation that the over expenditure eventually will be cleared by either receiving additional funds or having expenditures moved out of the project.

What if the deactivated research project has purchase commitments and/or payroll that are continuing or outstanding?
The project holder or department must ensure that all outstanding commitments and payroll are properly amended or cancelled as soon as possible once the project becomes deactivated because expenses can no longer be posted to that project.

If I have a question on how to complete the form, where do I go?
You may contact the research facilitator assigned to your faculty. For contact information, go to the RSO website (http://www.rso.ualberta.ca/ContactRSO/RFOs.aspx)

Where do I submit the completed form?
The completed form should be submitted to the research facilitator assigned to your faculty.

Why do I need to fill out this form if I have a multi-year award and next year's funding is due to be authorized?
The decision to authorize an over expenditure should take subsequent years' funding into account. However, authorization is not automatic and is dependent upon the terms of the agreement with the sponsor, which may or may not allow expenditures to be carried from one period to another.

Is there a threshold regarding the dollar amounts that will be charged back to the departments?
The procedure does not have a minimum threshold for processing charge-backs. The RSO will notify the faculties prior to any charge-backs being initiated.

How will project holders of deactivated projects be notified?
A standard email will be sent to the project holder and the project holder's department. The email will include a checklist that indicates the steps that need to be taken to identify and cancel outstanding Pay Action Forms and non-HR commitments.

What should the chair do if additional information is required to authorize the over expenditure?
The chair should contact the project holder for the required information and/or additional supporting documentation.

What tools are available to monitor the approved over expenditure?
The Researcher Home Page will be the source for all information with respect to over expenditures.

Will research projects be deactivated before payroll is charged to research projects?
Research projects will not be deactivated until payroll is processed for the prior month.

What should be done with the request form if the request is not authorized?
The requesting department may retain the form on file. It does not need to be forwarded to RSO.

How do I revoke an authorized over expenditure?
You may either use the online Over Expenditure Request form on the Researcher Home Page or contact the RSO if you require assistance.

To whom should written requests be sent for projects to be reactivated, so that units can clear the over expenditure for unauthorized projects?
These requests can be sent to the research facilitator assigned to your faculty, following established procedures for requesting administrative no-cost end-date extensions.