Operating Procedures

Request for Restricted Fund Budget Revisions

Internal Authorization

1. During contract/grant negotiation, the Sponsored Programs Administration Office will ensure that budget revision terms are either clearly referenced to appropriate regulation or defined in the award document. Silence on the issue is not a clear indication that there are no budget maintenance requirements expected by the sponsor. Such agreements will require approval of the sponsor for all budget revisions.
2. Sponsored Programs Accounting will formally notify departments concerning budget maintenance requirements in the letter which notifies them that the award has been set up.
3. The attached "Restricted Fund Change Request Form" will be used for all changes authorized for internal revisions only. Changes requiring external authorization will follow the procedures outlined under External Authorization below.
4. The following signatures are required for internal changes: Principal Investigator, next level of authority, Sponsored Programs Accounting. The following optional signatures may be required by the individual colleges or units: Director of Research, Dean, Vice President.
5. The department will send the original budget revision form directly to Sponsored Programs Accounting.
6. Upon approval, Sponsored Programs Accounting will submit a courtesy copy of the change request form back to the originating department as well as to Sponsored Programs Administration indicating that the change has been approved and the accounting system updated.
7. Should Sponsored Programs Accounting reject the request because external approval is required, the original "Restricted Funds Change Request Form" noting that such external authorization is required shall be routed back to the originating department where the procedures outlined under External Authorization may be followed.

Special Internal Procedure for No-Cost Time Extensions when authorized internally:

1. The Restricted Fund Change Request Form should be used to request a no-cost time extension that is authorized for internal execution.
2. For internally authorized no-cost time extensions, forward the completed Restricted Fund Change Request Form to Sponsored Programs Administration.
3. Sponsored Programs Administration will notify the sponsor that a one-time no-cost extension has been executed per the terms of the agreement.
4. Sponsored Programs Administration will route the Restricted Fund Change Request Form along with the correspondence used to notify the sponsor of the extension to Sponsored Programs Accounting.
5. Sponsored Programs Accounting will update the accounting system and maintain the request in the official agreement file ensuring sufficient audit trail of all internal revisions.

External Authorization

1. Where external authorization is required for the desired change, the Principal Investigator will initiate a formal letter requesting the change and justifying the need.
2. The change request letter shall contain the following required signatures: Principal Investigator, next level of authority, Sponsored Programs Administration for the appropriate Vice President.
3. If formal notification is received from the sponsor by the department responding to the request for revision, the original correspondence should be forwarded to Sponsored Programs Administration for further processing.
4. Sponsored Programs Administration will update the working files with a copy of the correspondence and forward the original (if available) correspondence to Sponsored Programs Accounting for accounting system maintenance and update.
5. Sponsored Programs Accounting will maintain the original correspondence in the official agreement file ensuring a sufficient audit trail for all budget revisions.

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