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Transmittal Check Sheet Instructions

PURPOSE OF FORM:

The purpose of the Proposal Transmittal Checksheet is to raise questions that should be considered by faculty participants and university administrators before endorsing a proposal to a funding agency. The Checksheet provides University staff with adequate assurances and information regarding the accompanying proposal to assure that University and Federal guidelines are fulfilled and that all parties indicated as participating in the proposed project review the proposal and approve the submission of the proposal to the indicated sponsor. The Checksheet also provides SPS with the necessary information to record data and ensure a successful processing and delivery to the sponsor.

ACCESS TO FORM:

The form can be accessed on the WWW through the SPS home page under “Proposals”. The link can be found HERE.

COMPLETION OF FORM:

The form should be completed by using the interactive version on the SPS web site or generated by Coeus and transmitted with the proposal to SPS after appropriate signatures have been obtained. Please do not staple copies of the proposal to the transmittal checksheet. All signatures on the form must be completed before the proposal is accepted for processing by SPS. Each proposal must be signed by the Project Director, his/her Department Head, the Dean of the School administratively responsible for the project and all Co-Investigators and their Department Heads. Signature acknowledges approval of the proposal for transmission to the agency and approval of the proposed activity under the conditions described in the proposal and Proposal Transmittal Checksheet.

SECTION INFORMATION:

BUSINESS OFFICE CONTACT:

The department submitting the proposal should complete this section. The contact person indicated here should be someone who can be reached in case of questions regarding the proposal. Please include your email address. This address is also used by the Proposal Office to send the notification of proposal submission email to the business contact. If no address is provided an email notification can not be sent.

#1. PROJECT TITLE: This area is for the project title.

#2. PROJECT PERIOD: Project start and end dates should reflect when the proposal activity is expected to start and end.

#3. CLASSIFICATION OF PROPOSAL: Mark the appropriate box to identify the type of proposal. The definitions are as follows:

NEW – A first official submission of a proposal to a sponsoring agency.

PRELIMINARY – A proposal that is submitted for review and discussion between a sponsor and the PI/University. These proposals should be processed through SPS if an institutional signature is required.

REVISED – A subsequent submission of a revised budget or work statement information to a sponsor after the original proposal has been submitted. Please also include the original account number that is being revised.

COMPETING CONTINUATION – A proposal that continues previously funded research and which is required to compete with other proposals for funding. Please also include the preceding account number.

NON-COMPETING CONTINUATION – A proposal that continues previously funded research and which is not required to compete with other proposals for funding. Please also include the preceding account number.

SUPPLEMENT – A proposal requesting additional funding for an existing project for the same time period. A supplement may be submitted for an outstanding proposal. Please also include the preceding account number.

CONTINUATION(RENEWAL) – A proposal, which continues previously funded research. Please also include the preceding account number.

#3b. ALSO, CHECK THE APPROPRIATE BOX TO REFLECT THE PRIMARY FUNCTION OF THE ACTIVITY DESCRIBED IN THE PROPOSAL: Research, Instruction, Other Sponsored Programs, or a Fellowship.

Research: Continuations when the sponsor (with the exception of PHS) has established a recommended funding level for the period, or supplemental funding within a funded period for all sponsors except PHS and incrementally funded contracts will include in the budget an amount for indirect costs computed at the indirect cost rate used by the sponsor and University when establishing the recommended funding level for the period.

Instruction: Proposals requesting funds for academic year training programs, summer institutes or the development and introduction of new or expanded courses and similar instructional oriented undertakings should request funding for indirect costs computed at 50% on campus and 26% off campus.

Other Sponsored Programs: Other sponsored projects applies to those programs which are neither of a research nor instructional nature but are for the support of services or technical assistance programs. Examples of these projects are AID Technical Assistance Programs. Intergovernmental Personnel Assignment Agreements, community service, testing, extension and health service projects.

Fellowship: A fellowship is defines as a free grant given to a student for the support of his or her study and/or research. The primary purpose of such a grant is to further the education and training of the student recipient in his or her individual capacity. It is not a payment for teaching, research or other services.

#4. SPONSOR NAME: State the name of the sponsor that Purdue University is directly submitting the proposal to.

#5. IS THIS PROJECT TO BE A SUBCONTRACT: List whether or not this project is a subcontract and if it is, list the Prime Sponsor. An example might be the prime sponsor of National Science Foundation and the sponsor is University of Arizona.

#6. IS THIS PROPOSAL IN RESPONSE TO AN RFP/RFQ? List the Request for Proposal (RFP) or Request for Quote (RFQ) number and the name of the Program. (ie. MURI, ITR, etc.). Generally, NSF proposals will have a program code such as NSF 01-02 that can be indicated. It is important to indicate this information for future reporting needs.

#7. SPONSOR DUE DATE: Indicate sponsor due date. If electronic submission is required, indicate the electronic due date and the date the paper copies have to be received by the sponsor or the postmark date of the paper copies.

#8. SPECIAL INSTRUCTIONS/REMARKS: This area is for the business office to relay any special instruction or information to SPS.

#9. RESPONSIBLE DEPT. NO: department that is responsible for the project, this is generally the department of the project director/principal investigator.

Dept NAME: Full name of responsible department

#10. SPONSOR'S FEDERAL EXPRESS SHIPPING ADDRESS: This is the address where the proposal/agreement will be delivered. This must be a full street address; P.O. BOX NUMBERS CANNOT BE USED.

#11. SPONSOR COST: List the proposed dollar amount. No decimals/cents should be indicated.

#12. COST SHARING: List the cost share dollar amount. Total cost sharing to be provided by the University, or third party as auditable to the program, should be shown. No decimals/cents should be indicated.

#13. WILL MINOR ACCOUNT ESTABLISHMENT BE REQUIRED FOR THE PROJECT: Mark yes or no to indicate if minor accounts will be necessary.

#14. NUMBER OF COPIES TO SPONSOR: List the total number of copies, including the original, that needs to be received by the sponsor.

INVESTIGATOR DATA: This section provides the data necessary regarding communications with the project director/principal investigator. Collaboration Data: This section allows principal investigators (PI's), Co-Principal Investigators and Researchers to identify the relative contributions of administrative units participating in collaborative or interdisciplinary projects. For each participating staff member, the department number of the academic department through which collaboration will be recorded should be indicated. The department number indicated does not have to reflect the researchers home department. In addition, the percent of the project, which should be credited to the administrative unit of that staff member, should be indicated. This data will be entered into University systems and used for identifying and recognizing collaboration between faculty members. The total collaborating percent on any proposal must equal 100%. If no collaboration data is provided, the full project will be assigned to the project director/principal investigator.

#15. PROJECT DIRECTOR/PRINCIPAL INVESTIGATOR: List the principal investigators name, phone number, fax number, email address, department number & % of collaboration of the project. Please complete this data so the PI can be contacted if necessary.

CO-INVESTIGATOR DATA:

#16. CO-INVESTIGATOR(S) / RESEARCHERS: List all the co-investigators or researchers names, phone numbers, fax numbers, email address, department numbers, % of collaboration of the project and indicate whether they are a co-investigator or a researcher. Up to three (3) different distributions can be entered for each investigator/researcher.

PROJECT DATA: This section requires the completion of several questions regarding the proposal as it relates to confidentiality of information, patents, copyrights, and publications. Identification of proposals for “Center” projects as defined in Executive Memorandum C-6 is also needed. Also included is information regarding the type of support requested as outlined in Executive Memorandum C-25.These indicators will be used for reporting sponsored program activity by key interdisciplinary areas. Clarification of specific items under this section follows.

#17. DOES THIS PROPOSAL CONTAIN ANY CONFIDENTIAL INFORMATION, WHICH IS: Indicate if the proposal contains patentable, copyrightable, or proprietary information that should not be publicly released.

#18. IS THIS PROJECT AFFILIATED WITH A RECOGNIZED UNIVERSITY CENTER, LABORATORY, INSTITUTE, OR PROGRAM: List the name of the center, laboratory or institute affiliated with the project.

#19. IS THIS A CENTER/INSTITUTE PROPOSAL INVOLVING MORE THAN ONE SCHOOL: Mark yes or no. If yes, the outline should be attached or included within the proposal. If the outline is within the proposal, identify the page numbers containing the outline.

#20. IN ACCORDANCE WITH POLICY IX.6.2, THE SIGNERS CERTIFY THAT THIS PROPOSAL IS: Indicate whether the proposal is Government Support or Contract Support. Voluntary Support as defined by Policy IX.6.2 MUST use a Form 44.

#21. DOES THIS PROPOSAL INVOLVE AN INTERNATIONAL PROJECT SCOPE: Indicate whether the proposal involves exchange agreements, memoranda of understanding or admission of students. This information is needed for reporting purposes.

RESOURCE DATA: This section is included to assure that all commitments of resources, including space and equipment, human resources and dollar funding necessary to complete the project have been obtained. Signatures on the form certify that these resources are available and approved for the designated use. This eliminates the risk of receiving funds for a project that facilities are not available or renovation of facilities would be required. This section also assures that funds are not requested for the purchase of equipment, which is already available at the institution for utilization on sponsored projects.

#22. IS THE SPACE NEEDED TO PERFORM THE WORK AVAILABLE IN THE DEPARTMENT: Indicate yes or no to this question. If no, explain what is needed and the status of efforts to obtain the space.

#23. IS THE NECESSARY EQUIPMENT AVAILABLE IN THE DEPARTMENT OR SCHOOL TO PERFORM THE WORK: Mark yes or no. If no, indicate where the equipment is requested in the proposal and on what page.

REGULATORY ASSURANCE AND COMPLIANCE DATA: This section references Federal and University requirements for projects. Projects using Animal Subjects, Radioactive Materials or Radioactive Producing Devices, Human Subjects, Certain Lasers, Good Laboratory Practices (GLP), or Recombinant DNA or Biohazardous Materials require special approval. It is critical that these sections are carefully reviewed and that University Policy is followed for proposals involving these criteria. Signatures on the Checksheet certify that all answers checked are correct. Specific details regarding these assurances are provided in the following:

#24. WILL VERTEBRATE ANIMALS BE USED IN THIS PROJECT: Indicate yes or no. If yes , indicate the status of the approval for animal use. For protocols approved by the Purdue Animal Care and Use Committee, the approval number must be listed. See additional information at : http://www.purdue.edu/research/vpr/compliance/animals/index.shtml .

#25. WILL RADIOACTIVE MATERIALS OR RADIATION-PRODUCING DEVICES BE USED: Indicate yes or no. If yes, indicate the status of approval for Radioactive use. See additional information at: http://www.purdue.edu/rem/rs/rs.htm

#26. DOES THE PROJECT INVOLVE COMMITMENT TO COMPLY WITH THE FEDERAL GOOD LABORATORY PRACTICES REGUALTIONS: Indicate yes or no. If yes, indicate status of approval from the Office of Research Administration and list the approval number.

The definition of Good Laboratory Practices: Compliance with Federal Good Laboratory Practices or GLP regulations involves complex record keeping/archiving and is generally only required for projects producing data for regulatory activities (registration of pesticides or drugs or devices by EPA or FDA). Whenever anyone thinks that GLP compliance is required, The Assistant Vice President for Research needs to speak with him or her to determine why and how he or she plan to comply.

#27. WILL HUMAN SUBJECTS BE USED IN THE PROJECT: Indicate if Human Subjects will be used in the project. If yes, has approval been obtained from the Committee on the Use of Human Research Subjects? If approval has been obtained, the approval number must be listed. See additional information at: http://www.purdue.edu/policies/teach_res_outreach/b_45.html .

#28. WILL RECOMBINANT DNA OR BIOHAZARDS BE USED IN THIS PROJECT: Indicate if R-DNA or Biohazards will be used in the project. If yes, has approval been obtained from the Institutional Biosafety Committee? If approval has been obtained, the approval number must be listed. See additional information at http://www.purdue.edu/Research/vpr/compliance/rdna/index.html

#29. DOES THIS PROJECT INVOLVE THE ACQUISTION, FABRICATION, USE OR TRANSFER OF CLASS 3B OR 4 LASERS OR LASER SYSTEMS: Indicate if Lasers will be used in the project.

#30 & #31 DISCLOSURES AND ASSURANCES: This section is included to provide certification that University and Federal policies regarding lobbying and conflict of interest are followed as well as certify the integrity of the activity within the proposal. Read more about the University Policy on conflict of interest at http://www.purdue.edu/policies/human_resources/c_39.html . Federal regulations require institutions to have policies and procedures in place to ensure that investigators disclose any significant financial interest that may present an actual or potential conflict of interest in relationship to externally sponsored programs. Such disclosures must be made prior to the submission of a proposal for funding. This section must be carefully reviewed and any necessary action taken by staff members signing this Checksheet.

#32. Certification for PI's & Co PI's: The PI and Co PI's are required to complete certifications regarding statements contained in the proposal, authorship and reporting of the research or scientific conduct of the project.