Over Expenditure Authorization Procedure FAQ
1.
Why are we making changes to the Over Expenditure Procedures?
The University of Alberta has between $10 and $15 million in 800 over expended research projects.
The current Over Expenditure Policy-Restricted Funds in UAPPOL disallows over expenditures unless
the Project Holder has received advance written approval from the Chair or Dean. The current process
for clearing over expenditures requires departmental administrators to move expenditures out of over
expended projects into other research projects or into their own faculty/department operating
accounts.
2.
What are the significant elements of the new procedures?

Over expended research projects will be inactivated approximately 9 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 department
operating budget.

Chairs (or their delegates) may authorize over expenditures if requested by the Project Holder. A
form has been created for this purpose.
3.
What is the “Request For Authorization of Temporary Over Expenditure” authorizing?
This form allows RSO to keep a research project open and active while over expended with the
expectation that the over expenditure is eventually cleared by either receiving additional funds or
having expenditures moved out of the project.
4.
What if the inactivated research project has continuing or outstanding purchase commitments
and/or payroll?
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 is inactivated because expenses
can no longer be posted to that project.
5.
What type of information should be filled in the Request form under the “Rationale” section?
Any information that will assist the Chair in making the decision to authorize the over expenditure
should be included. In particular, it should be made clear how the over expenditure will be ultimately
cleared and why the over expenditure is necessary.
6.
What documentation is to be attached to the Request form?
The attachment should include the PeopleSoft flash report for the over expended project and relevant
correspondence from the sponsor committing to future funding. In addition, if there is to be a change
in the sponsor funding, the Project Holder must initiate a request for amendment separately from this
request.
7.
How do I know if the sponsor will provide additional funding to cover an over expenditure?
You should initiate discussion with the sponsor. See link to amendment page for additional details:
http://www.rso.ualberta.ca/Managing/UsingFunds/Amendments.aspx.
8.
If I have a question regarding the completion of the form, where do I go?
You may contact your Research Facilitator if you have questions on completing the form.
9.
Where do I send the completed form?
The completed form should be submitted to your Faculty’s Research Facilitation Office.
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Over Expenditure Authorization Procedure FAQ
10.
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?
While the decision to authorize an over expenditure should take subsequent years’ funding into
account, it 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.
11.
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. RSO will notify the
faculties prior to any charge backs being initiated.
12.
How will Project Holders of inactivated projects be notified?
A standard email has been drafted that 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.
13.
What should the Chair do if he or she requires additional information to authorize the over
expenditure?
The Chair should contact the Project Holder requesting the required information and/or additional
supporting documentation.
14.
What tools are available to monitor the approved Over Expenditure?

The authorization status and expiry date can be monitored through the Over Expenditure Report.
Each faculty should designate key individuals to run the report which requires a PeopleSoft role
(ZGM_OVER_EXPEND_REPORT). The individuals will need to complete the “Request for
Administrative Applications Access” form. Completed forms should be submitted to TCS UofA
Security. Procedures are available for running this report.

The approved Over Expenditure Authorization form will be maintained as an attachment on the
Researcher Home Page.
15.
Will research projects be inactivated before payroll is charged to research projects?
Research projects will not be inactivated until payroll is processed for the prior month.
16.
The “Request for Authorization of Temporary Over Expenditure of a Restricted Research Project”
form allows the Project Holder to check “one month” or “three months” for the expiry date of the
authorization. From what date will the time period be counted?
The expiration date will be calculated from the date the over expenditure is authorized by the Chair.
17.
What should be done with the Request form if the request is not authorized?
The requesting Department may retain the form on file. RSO will not attach unauthorized request
forms to the Researcher Home Page.
18.
How do I revoke an authorized over expenditure?
A new form should be completed with the Chair completing the “NO” checkbox and then the form
should be submitted to your Research Facilitation Office.
19.
Who should the written requests be sent to for projects to be reactivated so that units can clear the
over expenditure for unauthorized projects?
These requests can be sent to your Faculty’s Research Facilitation Office following established
procedures for requesting administrative no cost end date extensions.
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