Generally when a PI expects to receive an award, the PI/Dept may request an early/extended PTA at their own risk and must provide a guarantee PTA. RMG approves the early/extended PTA request only if the IRB and/or IACUC protocol(s) is submitted or approved.
Process update effective 3/7/2022
In order to increase efficiency and reduce the turnaround time for Early PTA requests, the SoM Controller’s Office has eliminated the requirement for their review/approval of the guarantee PTA. Therefore, they will be removed as an approver in the routing process. We anticipate this change will be effective in the SeRA system late in FY22. While we await the change to be programmed in SeRA, the SoM Controller’s Office will continue to receive the Early PTA requests however, they will approve without any review or verification of the guarantee PTA.
Effective immediately, departments should review their approval process for Early PTA requests and include a DFA, Division Manager or other authorized financial manager as approver in the approval process. DFAs/Division Managers should ensure that an appropriate non-sponsored PTA is provided as the guarantee PTA and will have sufficient funds to cover the early expenses in the event the award is not received. However, we want to remind you that regardless of the availability of funds in the guarantee PTA provided, any early expenses incurred before the sponsored project award is finalized are the responsibility of the department and/or the division approving the Early PTA.
- Early PTAs should always be established when the sponsor has confirmed an award is in process and the PI needs to begin work and incur expenses on the project before the award has been received and the SeRA Award Approval Notice (AAN) has been issued.
- Early PTAs should not be requested if there is no need for work to begin on the project and/or there are no expenses associated with the project that need to be incurred before the award is received and the SeRA Award Approval Notice (AAN) is issued.
- Departments are reminded not to “park” expenses on another PTA while waiting for the award to be received. If an early PTA is not requested and the department/division incur and park expenses before the sponsored project award has been received and issued, requests for late transfers of expenses to the award once received will generally not be approved.