Changing Information on Documents During Review/Approval - 10/11/11
In a recent review of an interdisciplinary sponsored project, a number of instances were identified where someone made a change to the account number after the original document was prepared. There were no initials to indicate who made the change.
In situations where a paper document is routed to you for review and/or approval, if you notice anything that needs to be changed on the document, talk to the preparer of the document to discuss the change needed. Return the document for the change to be made or make the change by striking through the information and write in the new information. Then place your initials and date by the change. This will provide an audit trail. You might also put a note in the column of the document to indicate the reason for the change.
Examples of a change might be a Form 17, Request to Travel indicating the incorrect Sponsored Program account for the project. Draw a line through the I/O and write in the correct one. Put your initials and date next to the change. In the left column of the document indicate “Changed to correct I/O as the Unallocated I/O was used. Advised Pat Jones (preparer of the document).”
In certain situations where it would not be appropriate to change documents, return them to the preparer. An example would be the PAR where the individual certifying the effort would make the change.
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