Research Proposal Budget Exceptions Policy

Procedures: At least two weeks prior to the deadline for submission of the proposal, and preferably before writing the proposal, the Department Head or Division Director responsible for the proposal must submit a memo to the V.P. for Research & Technology Transfer containing the following:

1. Budget sheet showing the full cost using standard budget guidelines and describing specific exceptions that are being requested
2. Justification for each exception
3. For other sponsored activity overhead rate, explain why the project meets the criteria for use of these rates
4. For other exceptions, explain what benefits CSM will receive in return for the institutional commitment
5. Department head's endorsement of both the requested exceptions and justifications

Upon review of the exception memo, the V.P. for Research will either request more information or return the memo with written approval. The approved memo should accompany the research proposal to ORA, where a proposed budget will be prepared in accordance with the memo. The VPR will approve the submission of the proposal to the sponsoring agency without any further questions about the exception(s). An exception memo does not need to go to the VPR when 50% or more of the proposed budget supports a graduate student and the agency guidelines stipulate a lower overhead rate or no overhead can be assessed on the project. ORA can grant this exception.

1. Ensure that PIs have prior approval of any special requests before they invest the time in writing a proposal
2. Give the V.P. for Research time to request additional information (if necessary) and make rational decisions on exceptions
3. Streamline the processing of proposal preparation in ORA
4. Document all the decisions and the reasons for those decisions so that they are open for public scrutiny.

Justification: The justification for the request will be the most important part of the memo. Every reduction in the budget is, in reality, an investment in the project by CSM. In order to justify approval, CSM needs to know how that investment will enhance the institution and help it fulfill its mission. Acceptable justifications are: "This project is important to the future research directions in our department because", or "This project will support ___ graduate students that are going to be working in ______________ and would not otherwise be supported."  The kind of justification that is not acceptable is a statement such as: "The agency requires this." because such a statement gives no information about why it is in CSM's interest to accept the agency's requirement.