Objects of Expense

last updated 09/04/08


Procedures

Effective March 1, 2001, OSR will open a standard set of object codes at the time of the initial appropriation process for Federal Demonstration Partnership (FDP) awards (including NIH Modular grants). During the following two months, departments should check their existing FDP accounts. If additional objects need to be opened, departments should send a comprehensive list of the accounts and objects to their OSR research administrator. To find the research administrator assigned to your department, go to http://www.northwestern.edu/ORSP/RA.html.

Effective May 1, 2001, OSR will no longer open objects or extend project end dates based on requests from central administrative units such as Payroll and University Services. Central units will notify the department if there is a problem. It is the department’s responsibility to make sure objects are open and accounts are active before processing any requests for payment. In the event unanticipated circumstances arise, the department should review sponsor guidelines, and if allowable, request objects be opened according to the directions below; provide a guarantee to extend the end date using an OSR-2 form; or inform OSR if new funding has arrived.

Objects of Expense List

The Objects of Expense listed at the end of this page include objects most likely to be used on a sponsored project. This is not a comprehensive list. Please note that sponsor requirements may prohibit the use of an object, even though the object is included in the list. It is also possible that the sponsor allows the use of certain objects not included in this list. If this is the case, please refer to the comprehensive Northwestern University Listing of Object Codes in the OBJT table of the CUFS/EPS system. Please review the information provided at the time of award regarding sponsor or award limitations. Specific questions should be directed to your OSR research administrator. Questions about properly classifying expenditures should be directed to Accounting Services for Research and Sponsored Programs (ASRSP).

Appropriating Accounts

For FDP awards (including NIH Modular grants), OSR will open a standard set of object codes at the time of the initial appropriation process.

For non-FDP accounts or FDP special-purpose accounts (e.g. equipment or conference grants), OSR will open a list of object codes according to the proposed budget. OSR may request an OSR-3 form if the proposal budget does not provide sufficient detail. OSR will also accept OSR-3 forms submitted by departments prior to receipt of award.

Major Rebudgeting and Opening Objects

Opening Routine Objects on Federal Demonstration Partnership (FDP) Projects: Due to the implementation of the new procedures in the Spring of 2001 for opening additional objects of expense on FDP awards, it is expected that departments will no longer send OSR requests to open objects on a routine basis. If additional routine objects still need to be opened, the established procedure is to first check the CUFS EXPC screen on-line to verify that the objects in question are not already open. If not open, send an e-mail to the OSR research administrator or OSR department assistant assigned to your department. The e-mail should include the CUFS account number, the object requested, and a brief explanation of why it needs to be opened and what it is being used for. Please allow at least 48 hours for OSR review. The list of objects is below. For object codes 8640 and/or 8650 which involve the establishment of a subagreement, an OSR-2 form with its rebudgeting section completed and an OSR-6 form must be submitted. If substantive programmatic work is being transferred to another party, agency prior approval may also be required. Contact your OSR research administrator for guidance.

Federal Restrictions on FDP and Non-FDP Projects: The following objects of expense are not normally allowed on Federal awards per OMB Circular A-21 regulations: professional exempt salary (0100); clerical wages (0102); premium overtime wages (0112); paper and office supplies (3010); books, periodicals and journals (3910); professional memberships (5030); department photocopying (5110); postage and shipping for other than technical materials (5510, 5520); food and entertainment (6725); and local phone costs (6910, 6915, 6920, 6935, 6940). These objects will not be opened on any Federal award unless included in the sponsor approved budget or sponsor guidelines.

Opening Objects on Non-Federal Projects and Federal Non- FDP Projects: The principal investigator should e-mail the appropriate OSR research administrator or OSR department assistant stating the reason or justification for the request. Depending on the award, OSR may request a signed OSR-2 for opening certain objects such as faculty salary (0010, 0020); internal consulting (0063); temporary wages (0110); consulting (5010-5016); external clerical-technical services (5020); fabricated equipment (5335); motor pool vehicle rental (5630); domestic travel (6765); foreign travel (6770); general purpose or capital equipment (7545, 7560, 7570); and sub-contracts (8640, 8650) or those restricted objects listed in the paragraph above. For object codes 8640 and/or 8650 which involve the establishment of a subagreement, the rebudgeting section of the OSR-2 form must also be completed and submitted with an OSR-6 form. If substantive programmatic work is being transferred to another party, agency prior approval may also be required. Contact your OSR research administrator for guidance.

Sponsor Restrictions: Some sponsors restrict expenditures to the approved budget. Check your award materials to determine whether or not a prior approval from the agency is needed for rebudgeting. If prior agency approval is necessary, the PI should prepare a letter to the sponsor, describing the needed change and the rationale for the change. The letter should be submitted to OSR (with a completed OSR-2 form) for review and institutional endorsement. Once the request is approved by the sponsor, OSR will open the objects of expense and/or prepare the rebudgeting adjustment.

Click on an Object to jump to it or page through the Object List below

0010 | 0020 | 0030 | 0040 | 0050 | 0063 | 0076 | 0077 | 0080 | 0100 | 0101 | 0102 | 0104 | 0106 | 0110 | 0112 | 0120 | 0122 | 0180 | 0181 | 0182 | 0183 | 0184 | 2800 | 2900 | 3010 | 3080 | 3100 | 3300 | 3310 | 3350 | 3375 | 3400 | 3450 | 3475 | 3500 | 3560 | 3570 | 3910 | 5010 | 5011 | 5015 | 5016 | 5020 | 5030 | 5100 | 5130 | 5225 | 5230 | 5260 | 5310 | 5315 | 5330 | 5335 | 5340 | 5440 | 5450 | 5470 | 5480 | 5490 | 5493 | 5510 | 5520 | 5525 | 5530 | 5610 | 5630 | 5670 | 5720 | 6760 | 6765 | 6770 | 6780 | 6910 | 6915 | 6920 | 6930 | 6940 | 6950 | 7070 | 7545 | 7560 | 7570 | 8010 | 8020 | 8050 | 8080 | 8084 | 8640 | 8650 | 8660 | 8661 | 8710 | 8798 | 8799 | 8810 | 8830 | 8840

 
OBJECT
NAME
DEFINITION
0010

opened on FDP awards

FACULTY SALARIES, REGULAR The annual contractual salary paid (paid over 12 months for 9, 11 or 12 months of service) to visiting faculty, lecturers, instructors, assistant professors, associate professors and full professors. This includes any portion of an academic salary paid from a Sponsored Project or other restricted fund. An OSR-2 with sufficient explanation is required to open this object after initial award.
0020

opened on FDP awards

FACULTY, OTHER COMPENSATION The salary paid to visiting faculty, lecturers, instructors, assistant professors, associate professors, and full professors for academic or research services rendered in addition to those for which they are compensated by their annual contractual salary. These services are: Summer School, Research Quarter (Summer Grants), and Continuing Education Counseling. An OSR-2 with sufficient explanation is required to open this object after initial award.
0030

opened on FDP awards

RESEARCH PROFESSIONAL SALARY The salary paid to research professionals who hold academic rank equivalent titles; research professor, research associate professor, research assistant professor, research fellows, visiting scholars, and non-NRSA post doctoral fellows.
0040 ACADEMIC OCCASIONAL SALARIES Visiting faculty and visiting pre-doc students not enrolled at Northwestern. Also used for emeriti faculty.
0050 ACADEMIC PROFESSIONALS The salary paid to Librarians, Counselors, Athletic Coaches, Physicians, nurses, Directors of Centers and Assistant Directors of Centers.
0063 INTERNAL CONSULTING (UNIV.) The salary paid to University employees for internal consulting/contracted services. Refer to NU Consulting Policy for applicability. An OSR-2 with sufficient explanation is required to open this object after initial award.
0076

opened on FDP awards

RESEARCH ASSISTANTS The salary paid to the class of graduate students called Research Assistants.
0077 NON-TGS RESEARCH ASSISTANTS Graduate Students not enrolled in The Graduate School working as research assistants.
0080

 

FRINGE BENEFITS- ACADEMIC

DISCONTINUED

Fringe benefits associated with salaries paid in objects 0010-0076. The fringe benefits total is determined by applying a uniform rate to the sum of the salaries in these objects.
0100 PROFESSIONAL EXEMPT The salary paid to managerial and professional employees within the University. Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval.  An OSR-2 with sufficient explanation is required to open this object after initial award.
0101 STAFF ADDITIONAL PAY Additional Pay for exempt staff and NRSA post-doc fellows.
0102 SECRETARIAL/CLERICAL The wages paid to employees whose positions are classified as secretarial or clerical. Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval.  An OSR-2 with sufficient explanation is required to open this object after initial award.
0104

opened on FDP awards

TECHNICAL/PARAPROFESSIONAL The wages paid to employees whose positions are classified as technical or paraprofessional.
0106 SERVICE/MAINTENANCE/SKILLED CRAFTS The wages paid to employees whose positions are classified as providing a service or maintenance function.
0110

opened on FDP awards

TEMPORARY WAGES The wages paid to non-permanent University employees to compensate them for providing occasional, non-academic services to the university or to pay for supplemental work to NRSA fellows. Allowable as direct cost on federal awards for technical activity. An OSR-2 with sufficient explanation is required to open this object after initial award.
0112 PREMIUM OVERTIME WAGES The premium overtime wages paid to full-time employees. Not normally allowable on Federal awards per OMB circular A-21 regulations.
0120

opened on FDP awards

STUDENT REGULAR WAGES The hourly wages paid to students to compensate them for services rendered in primarily non-exempt capacities.
0122

opened on FDP awards

STUDENT-WORK STUDY The hourly wages paid to students to compensate them for services rendered in primarily non-exempt capacities and supported with work-study funds.  Work study charges do not generate fringe benefit costs.
0180

opened on FDP awards

FRINGE BENEFITS- REGULAR

Fringe benefits associated with salaries and wages paid to regular employees. The fringe benefit total is determined by applying a uniform rate to the sum of the salaries in these objects. Applicable objects:
0010, 0015, 0020, 0030, 0050, 0060, 0100, 0102, 0104, 0106

0181 FRINGE BENEFITS- STATUTORY Fringe benefits associated with temporary employees and supplemental pay to regular employees.
Applicable objects:
0040, 0063, 0067, 0101, 0110, 0112
0182 FRINGE BENEFITS- STUDENT

Fringe benefits associated with TGS teaching assistants, research assistants, graduate assistants.
Applicable objects:
0070, 0076, 0078

0184 FRINGE BENEFITS- NRSA POSTDOC TRAINEES (NEW) Fringe benefits associated with NRSA Postdoctoral fellowships. Health insurance awarded as institutional allowance.
0183 FRINGE BENEFITS- NRSA POSTDOC TRAINEES Fringe benefits associated with NRSA Postdoctoral fellowships.
2800

opened on modular awards

MODULAR GRANT See the modular grants page for details on appropriation.
2900 CLINICAL TRIAL See the clinical trials information on the proposal page for details on appropriation.
3010 PAPER AND OFFICE SUPPLIES Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval
3080

opened on FDP awards

COMPUTER SUPPLIES - TECHNICAL Supplies associated with computer equipment used for the technical mission of a project. These supplies may include, but are not limited to, computer paper and disks, and must be necessary for and directly related to the sponsored project outcome.
3100

opened on FDP awards

PURCHASED SOFTWARE Expense for the purchase of software. Allowable as Direct Cost on Federal Awards for Technical purposes only.
3300

opened on FDP awards (1)

CHEMICALS Chemical compounds, gases, and liquid nitrogen used in the laboratories, excluding radioactive materials and precious metals.
3310 AUDIO/VISUAL EQUIPMENT SUPPLIES Materials used with Audio/Visual equipment such as projector bulbs, tapes, reels, boxes, etc.
3350

opened on FDP awards (1)

RADIOACTIVE MATERIALS Used for materials purchased through the Office of Radiation Safety. Only opened if radioisotopes or other radioactive materials are included in the budget.
3375 PRECIOUS METALS Gold, silver, platinum, or other precious metals.
3400 DENTAL/MEDICAL SUPPLIES Consumable materials used in Dental or Medical applications or functions.
3450

opened on FDP awards (1)

ANIMALS The purchase of laboratory animals used for research purposes.  Only opened if included on the approved budget.  Projected to be removed from MTDC base effective 9/1/01.
3475

opened on FDP awards

LABORATORY SUPPLIES AND HARDWARE Supplies associated with the technical activity of a research project. Examples: test tubes, measurement devices, and data management tools.
3500 PHOTOGRAPHY SUPPLIES Consumable materials used in photography, such as film, paper, developer, etc.
3560

opened on FDP awards

SCIENTIFIC INSTRUMENTS-NON CAPITAL Non-capital scientific instruments with a purchase price of less than $5,000, or non-capital scientific instruments with a purchase price of more than $5,000 and a life expectancy of less than 1 year.
3570

opened on FDP awards

COMPUTERS-NON CAPITAL Computers and other types of equipment, such as disk drives, that have a purchase price of less than $5,000 or computers and other types of equipment with a purchase price of more than $5,000 and a life expectancy of less than 1 year. 
3910 BOOKS, PERIODICALS AND JOURNALS Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval
5010

opened on FDP awards (1)

PROFESSIONAL AND CONSULTING SERVICES Allowable as Direct Cost on Federal Awards for technical activity only.   An OSR-2 with sufficient explanation is required to open this object after initial award.
Payments to individuals or firms (non-NU employees) for consulting or professional services: legal, architectural, marketing, educational, financial, and publisher fees for manuscript review.
5011 NON-RESIDENT PROFESSIONAL AND CONSULTING SERVICES Allowable as Direct Cost on Federal Awards for technical activity only.   An OSR-2 with sufficient explanation is required to open this object after initial award.
Payments to non-resident independent contractors for consulting or professional services.
5015 PROFESSIONAL AND CONSULTING SERVICES - EXPENSES Reimbursement of non-salary expenses (e.g. necessary supplies, travel, or communications) for independent contractors.
5016

 

NON-RESIDENT PROFESSIONAL AND CONSULTING SERVICES - EXPENSES Reimbursement of non-salary expenses (e.g. necessary supplies, travel, or communications) for non-resident independent contractors.
5020 EXTERNAL-CLERICAL/TECHNICAL SERVICES All payments to outside firms for temporary clerical/technical services. Allowable as Direct Cost on Federal Awards for Technical activity only. Allowable as direct cost on federal awards for technical activity.  An OSR-2 with sufficient explanation is required to open this object after initial award.
5030 MEMBERSHIP DUES Dues for individual and institutional memberships in professional organizations. Not allowable on non-federal awards unless approved at the time of awarding or with prior sponsor approval. Not allowable on federal awards per OMB circular A-21
5100

opened on FDP awards

COPYRIGHT/PUBLISH FEES Expense for copyright, reprints, and page charges.
5130

opened on FDP awards

EXTERNAL-PRINTING SERVICES Fees for printing, duplicating, and photo processing services performed and charged by a commercial vendor outside the University.
5225 EXTERNAL-COMPUTING SERVICES Fees paid for the use of computing services outside the University.
5230 INTERNAL-OTHER COMPUTING SERVICES Fees paid for the use of computing time at University services other than ITCC or ITMS.
5260 LEASED SOFTWARE The expense of leasing software for use in computers. Includes leased software with a purchase option at the end of the lease.
5310

opened on FDP awards (1)

INTERNAL-ANIMAL CARE Fees paid to CCM for the maintenance and care of laboratory animals.
note: projected to be removed from MTDC base 9/1/01.  Only opened if included on approved budget.
5315 EXTERNAL-ANIMAL CARE Fees paid to external facilities as approved in protocol for maintenance and care of laboratory animals.
5330 INTERNAL-SHOP EXPENSE Fees for work done by the University’s research and instructional shops.
5335 FABRICATED EQUIPMENT OVER $5,000 Capital equipment built or assembled from component parts by a principal investigator and/or other sponsored project personnel, an internal shop, or an external shop. Excluded from F&A base.  An OSR-2 with sufficient explanation is required to open this object after initial award. See also object 7070. (policy)
5340

opened on FDP awards

LAB SERVICES Expenses incurred for laboratory services that are necessary for and directly related to the scientific aims and outcomes of the sponsored project. May include but are not limited to, slide preparation, photographic film development and sample processing.
5440

opened on FDP awards

REPAIR EXPENSE Expense(s) incurred to repair equipment.
5450

opened on FDP awards

EQUIPMENT SERVICE CONTRACTS Maintenance agreements on specific pieces of equipment for a predetermined period of time- generally renewable on a yearly basis. Usually covers parts and service.
5470 A/V EQUIPMENT RENTAL Fee for rental of Audio/Visual equipment, such as projectors, tape players, etc.
5480 FILM RENTAL Fee for rental of movies, slides, etc.
5490 SPACE RENTAL Rental fee for non-University owned space: room, building, etc., for a specific period of time. Excluded from F&A base.
5493 INTERNAL-SPACE RENTAL Internal charge for use of University owned space. Rarely used on sponsored projects.
5510
5520
POSTAGE AND SHIPPING FOR OTHER THAN TECHNICAL MATERIALS Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval.
5525

opened on FDP awards

SHIPPING/MAILING - TECHNICAL RELATED MATERIALS Expenses incurred for shipping costs directly related to the technical mission of a sponsored project. These expenses may include, but are not limited to, the shipment of equipment samples or other materials necessary for and directly related to the project outcome. These expenses should not include the shipping of new or competitive renewal proposal applications.
5530 LICENSE FEE Fee for licenses required: i.e. for cell lines, etc.
5610 INTERNAL-PHYSICAL PLANT SERVICES Expenses incurred for services received from and charged by the Physical Plant Department in Evanston or Chicago. For custodial, repair, decorating, maintenance, waste disposal, or other special services of Physical Plant. Sufficient documentation regarding the technical activity/service must be provided to OSR to open this object after initial award.
5630 INTERNAL-MOTOR POOL SERVICES Expenses incurred for the use of NU vehicles provided by the motor pool for research-related purposes.  An OSR-2 with sufficient explanation is required to open this object after initial award.
5670 INTERNAL-LAUNDRY SERVICES Expenses for laundry services.
5720 HOSPITAL MEDICAL EXPENSE Expenses incurred for services provided by hospitals to University employees, student-athletes and research subjects/patient care. Excluded from F&A base.
6760 SPECIAL SUBSISTENCE Participant support costs.
6765

opened on FDP awards

DOMESTIC TRAVEL Travel within the United States, its territories and possessions, and Canada to attend professional meetings, do research, etc. All domestic travel on Sponsored Projects must be charged to this object of expense. An OSR-2 with sufficient explanation is required to open this object after initial award.
6770

opened on FDP awards (3)

FOREIGN TRAVEL Travel outside the United States, its territories and possessions, and Canada to attend professional meetings, do research, etc. All foreign travel on Sponsored Projects must be charged to this object of expense. An OSR-2 with sufficient explanation is required to open this object after initial award.

6780

opened on FDP awards

INTERNATIONAL OFFICE VISA PROCESSING FEE

Visa fees for visting scholars. Subject to F&A.

Visa fees for visiting scholars. Subject to F&A. The visa service fee may be charged to an external grant in proportion to the amount of time the visa holder is working on the grant funded project; if the visa holder is working on two or more grant-funded projects, the visa fee may be apportioned appropriately among them. Per federal guidelines, not appropriate for students.

6910
6915
6920
PHONE EQUIPMENT
INSTALLATION
VOICE LINE EXPENSE, PAGER RENTAL
Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval. Excluded from F&A base.
6930 DATA LINE TELEPHONE EXPENSE The cost of digital circuits used for data transmission to computer facilities. Excluded from F&A base.
6935 DATA NETWORK SERVICES Recurring data services charge. Not allowable on sponsored accounts.
6940 LOCAL PHONE COSTS - MESSAGE UNITS Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval. Excluded from F&A base.
6950

opened on FDP awards

LONG DISTANCE TELEPHONE The cost of toll charges for long distance calls. Excluded from F&A base.  Allowable as direct costs on sponsored awards.  Allocability standards apply.
7070 GOVERNMENT/SPONSOR TITLED CAPITAL EQUIPMENT
Capital equipment owned by sponsor. Also used for capital components: items purchased as part of a fabrication that individually cost $5,000 or more and would otherwise exist as stand-alone items of capital equipment. (policy)

7545 (2) AUDIO/VISUAL EQUIPMENT-CAPITAL Audio/Visual equipment with a purchase price of $5,000 or more and a life expectancy of more than 1 year. An OSR-2 with sufficient explanation is required to open this object after initial award.
7560

opened on FDP awards (2) (3)

SCIENTIFIC INSTRUMENTS-CAPITAL Scientific instruments with a purchase price of $5,000 or more and a life expectancy of more than 1 year. An OSR-2 with sufficient explanation is required to open this object after initial award.
7570

opened on FDP awards (2) (3)

COMPUTERS-CAPITAL Computers with a purchase price of $5,000 or more and a life expectancy of more than 1 year. An OSR-2 with sufficient explanation is required to open this object after initial award.
8010 REU Stipend support for undergraduates supported on NSF REU site training grants.
8020 TUITION Financial assistance, usually to graduate or professional students, to support tuition charges.
8050 STIPEND Financial assistance to graduate, undergraduate, or professional students (predoctoral stipend). Allowable only on training and fellowship grants.
8080 TAXABLE POST-DOCTORAL FELLOWSHIPS Payments to post-doctoral fellows to facilitate training (postdoctoral stipend). Allowable only on NRSA training and fellowship grants.
8084 PURCHASED SRVS INTRNS & RESDNTS Non-NRSA General Medical Education Interns and Residents
8640

opened on FDP awards (1)

SUB-CONTRACTS TO $25,000 Sub-contracts under sponsored projects for the first $25,000. Not allowable as direct costs on federal awards unless approved at the time of awarding or with prior sponsor approval. Requires an OSR-2 assuring that the rebudgeting will not signify a change in the project's scope or objectives.
Requires an OSR-6 or OSR-7 form.
8650

opened on FDP awards (1)

SUB-CONTRACTS MORE THAN $25,000 Sub-contracts under sponsored projects in excess of the first $25,000.
note: the first $25,000 of all subcontracts are charged F&A. Costs above $25,000 on each subcontract will be excluded from F&A. Allowable as direct costs on federal awards only if approved at the time of awarding or with prior sponsor approval.
Requires an OSR-6 or OSR-7 form.
8660 RESEARCH SUBJECT FEES Fees paid to individuals for participating in research projects such as a blood donor, etc. IRB approval must be obtained in order to use this object.
8661 INTITUTIONAL REVIEW BOARD FEE Fee for the initial review of IRB protocols.
8710

opened on FDP awards

FACILITIES AND ADMINISTRATION (F&A) F&A costs incurred on sponsored project activity.
8798 GRANTS-INTEREST DO NOT CHARGE EXPENDITURES TO THIS OBJECT. Used for interest on sponsored projects.
8799 GRANTS-MATCHING FUNDS DO NOT CHARGE EXPENDITURES TO THIS OBJECT. Used for cost sharing on sponsored projects.
8810 SPONSOR RESTRICTED BUDGET DO NOT CHARGE EXPENDITURES TO THIS OBJECT. Funds budgeted to this object have been restricted by the sponsor and are not available for use without prior approval. For example, if there is an unobligated balance on an NIH cooperative agreement, that balance is restricted by NIH and may be carried over for future year spending only with prior approval of sponsor.
8830 NU RESTRICTED BUDGET DO NOT CHARGE EXPENDITURES TO THIS OBJECT. Funds budgeted to this object have been restricted by the University and are not available for use without prior approval. This object may be used to appropriate future year funding until the time when those funds should be made available for spending.
8840 PILOT STUDY RESTRICTED BUDGET DO NOT CHARGE EXPENDITURES TO THIS OBJECT. Funds budgeted to this object have been restricted for later distribution to pilot studies.

(1) Only if proposed and included in agency approved budget.
(2) Capital equipment may not normally be purchased during the last few months of a project period without university and/or agency approval.
(3) Not opened for Army grants unless prior written approval is obtained. Must be specifically identified in the proposal budget.

ootnote3">(3) Not opened for Army grants unless prior written approval is obtained. Must be specifically identified in the proposal budget.