INSTRUCTIONS FOR USING SPONSOR PRIOR APPROVAL REQUEST TEMPLATE

 

1. Technical Contact Person - The letter should be addressed to the technical contact at the sponsoring agency. This information is usually located on the award documentation, but the PI should be able to identify this individual, as they are in contact concerning research progress.
    

    

2. Sponsor Grant No. - The grant number assigned by the agency. This can be found on the bottom of first page on the FSSR, in the award documentation, or on-line in FIAA.
    

    

3. Project Title - The long title of the project should be listed here. It can be found on the award documentation, or in FIAA.
    

    

4. Purdue Account No. - Fund/Center number of the account for which the action is being requested.
    

    

5. Explanation/Justification - This is the most important section. The PI must provide a detailed explanation on how the requested action will benefit the project.
    
6. Approvals - The Principal Investigator and Department Head must sign the request. The appropriate business office staff member should initial by the Department Head's signature. Through conversations with the School Business Managers and Deans, it was determined that the Dean's signature authority can be delegated to the Department Head. The letter is then routed to SPS. The document will be routed to the appropriate SPS Account Manager. The request will be reviewed by the Account Manager for completeness and adherence to sponsor regulations. Any issues will be discussed with the department. The document will then be forwarded to the appropriate Assistant Director for approval. The letter will then be sent to the sponsor and copies will be distributed. The roles of each person is described below:

Principal Investigator: The PI's role in the process is to ensure the requested action benefits the project and that the explanation is detailed enough for a third party to understand the benefit. With consultation of the business office, the PI also is stating that he/she has reviewed the implication of the rebudgeted funds and that the reallocation will not adversely affect the project, and that the request conforms to the sponsor's regulations.
 
 

Department Head: The Department Head should review the request. The signature means he/she agrees with the requested action and that it meets the goals of the project and the department. The Department Head has ultimate responsibility for all projects in the department, any issues/concerns should be discussed with the Business Manager and/or PI.
 
 

Dean: If not delegated, the Dean's signature confers agreement with the Department Head's recommendation.
 
 

Business Office: The Business Office initial means the request conforms to sponsor guidelines and that budget implications have been reviewed with the PI and that there is no adverse affect of any rebudgeted funds. Also, even though it may be difficult to determine the scientific merit of the explanation/justification, this section should also be reviewed for adequacy.
 
 

Sponsored Program Services: The Account Manager reviews the request for conformance to sponsor regulations. Any requested budget reallocation is reviewed to ensure adequacy of funds. The explanation/justification is reviewed to ensure the PI has provided adequate detail. The Assistant Directors have signature authority for the institution. After signing, the document is returned to appropriate SPS staff for distribution.
 
 

cc:  The Grants Manager at the sponsoring agency should be copied on the letter so they are aware of the request.
 
 

Note:  Due to the high volume of requests, SPS does not routinely follow up on Prior Approval requests. The PI should take the responsibility to contact the technical person if they want to know the status of the request.