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Office of Research & Sponsored Projects

Guide to Completing the Sponsored Projects Transmittal Sheet


The Sponsored Projects Transmittal Sheet (Trans 10/2014 Doc) is the control sheet used for the routing of research and sponsored program proposals, grants, contracts and agreements, and the recording of university approvals for all such activities.

The form is a 3 page form with information requested on all pages. When submitting the initial proposal, complete all information requested. For additional submittal(s), e.g., revised proposals, or modifications, complete only new or revised information.

 

Administrative Information - Right Column

Sponsor Due Date - Date submission due to sponsor. State actual date due at sponsor location or postmark due date.

Shipping Responsibility – Unit assuming responsibility for submission/transmission to the sponsor.

Department Contact - Give name and phone number of individual for PreAward Services and/or Sponsored Projects Accounting to call if there are questions.

 

Type of Submission - Enter type of submission. Type of submission is either proposal, proposed award, award, or modification.

 

Proposal

- An initial offer of exchange made to a prospective sponsor, e.g., application, quote or budget, letter, memorandum of agreement, contract or the like, regardless of format or whether it is unsolicited or in response to a sponsor request. Check one of the following:


Initial

- First proposal for a particular project to a sponsor.


Competitive Renewal

- Current awarded project but proposal required to continue project beyond initial project period. Renewal contingent upon strength of proposal and/or availability of funds (competitive).


Non-Competitive Continuation

- Project awarded but proposal (new budget and/or progress report, etc.) required to continue beyond a period of time. Continuation expected (non-competitive).


Revised

- A revision to an existing proposal to the same sponsor, e.g., budget revision, additional information requested by the sponsor. Check budget or other as appropriate.

 

Proposed Award

-  Grant, Contract or Agreement not yet signed by sponsor.

Award

- A notification of award in response to a proposal signed by the sponsor. Indicate First Time or Renewal/Continuation.

 

First Time

- Notification of award in response to the initial proposal.  Also may include awards for continuing projects where sponsor has indicated that the issuance of a renewal or continuation award is not feasible.


Renewal/Continuation

- Authorization for continued support in response to a renewal or a continuation proposal.


Modification

- A change to current contractual parameters of a project requiring documentation from or to sponsor. Note: Change is not in effect until notification of acceptance has been received from Sponsor, and accepted by University. Check the following as applicable (more than one may apply).


Period

- Change in current budget or project period.


Budget

- An increase or decrease in funding, or alteration of previously approved budget (i.e. budget revision).


PI       

- Change in Principal Investigator/Project Director.


Other

- Any modification other than period, budget, or change in PI, e.g., scope of work.

 

Indicate whether current action is:

 

Proposed

or

Approved

 

After checking type of submission, enter Proposal Number or FIS Number according to the letter indicated. P = proposal and F = FIS. Note: PreAward will provide proposal number after initial submission. Example of format is as follows: F= Alpha-Alpha ####.

 

PI Administrative Oversight

Indicate appropriate administrative unit

University

-  Not one of the units below


AES

- Agricultural Experiment Station


ERGP

- Engineering Research and Graduate Programs


Global Campus

Cooperative Extension

Activity - Type of activity of the project. Select one of the following.

 

Research

- Systematic inquiry or investigation to discover or revise knowledge, theories, or applications.


Basic

- Attempt to create new knowledge, procedures or information.


Applied

- Using known knowledge and procedures to solve a practical problem, or to meet a specific, recognized need.


Development

- The systematic use of the knowledge or understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes.

 

Indicate percent for basic, applied, or development, or allocate as appropriate if research activity is split. If development is indicated as the activity, then further indicate if the activity involves a human clinical trial by checking the clinical trial box.

Instruction/Training

- Involving instructional course work or training classes/workshops, where KSU credit is offered.

Equipment

- Purchase of equipment. 

Facilities/Construction

- Building, installing or renovating a structure.

Public Service

- Service rendered to the general public.

Other

- Activities not described above.

Source of Funds - Type of funds used for funding the sponsored project. Note that in some cases the source of funds may not be the same type of agency as the sponsor, e.g., a state agency sponsoring a project with federal flow-down monies, in which case, source is federal. Also, note that project may be sponsored by more than one source. Select one or more of the sources listed.

Area/Local Government

State Government

Federal Government

Private (for profit)

Private (non-profit)

Project Information - Left Column

1.

Principal Investigator/Co-PIs – (List PI First) Last name, first name and middle initial of individual(s) directing project.  Investigators with split appointments should use multiple lines to reflect percentage split of project participation between each appointing department, as applicable.

Department - Department in which the PI/Co-PI(s) hold appointment(s). Please use the FIS alpha designation for each department listed. Indicate department responsible for accounting by placing an asterisk after department name. If multiple departments are indicated as accounting departments, then prepare multiple internal budgets indicating the agreed upon budget allocation. It should be noted that separate accounts are not required for a faculty member and their department(s) to get “expenditure credit”.

E% - Indicates the desired credit distribution for each investigator based on investigator’s contribution to the overall project effort, to be applied to fiscal year award dollars, project expenditures, and incentive returns as applicable.

Lined space is provided for several investigators. However, be sure to list all investigators and their respective department(s) with PI listed first. Place an asterisk beside department(s) responsible for accounting. Note: Separate budgets are required when more than one department is maintaining an account. Continuation page(s) may be used. 

2.

Project Title – List the title of project.

3.

Source of Support - Name, address and FEIN of Sponsor. Note FEIN is required for private sponsors only. 

 

 

4.

Term and Amount Requested/Funded - Refers to initial, modified or next budget period, as well as entire cumulative project period and associated funding amount by each source of funding support. Complete when submitting an initial proposal or revising the budget of an initial proposal, when submitting a proposal for the next budget or project period, upon award of the proposal, and upon modification of the overall budget.

TERM

- Consists of two sets of dates:


From_____To_____(Dates of initial, modified or next period)

- Date of the initial period, the modified term, or the next period of a proposal or award. Next period is contingent upon an interim proposal, e.g., competitive renewal or non-competitive continuation.


From_____To_____(Date of entire period)

- Beginning and ending date of the entire proposal or award project period. Entire project period could equal initial period for single year activities.

 

Dates are to be entered as follows: MM/DD/YY

AMOUNT REQUESTED (proposed)/FUNDED (awarded)

-  is broken down by project periods and by sources of support. The columns

Initial, mod, or next and total

- are the amounts per period (as described under TERM above). The sources of support are the various entities providing funding for the project. The project may be funded by: sponsor only, sponsor and KSU, sponsor and other external party, or all three.


Sponsor Support Requested

- Source to whom the proposal is submitted or by whom award is made.

 

KSU Share of Costs

- Costs in support of the project borne by KSU, e.g., monetized value of faculty time/effort committed to project (including associated value of fringe benefits), hard dollar matches provided by university units, etc., in addition to the Facilities and Administrative Cost (F&A) applicable to the direct cost committed as cost share, calculated at the current federally negotiated rate, as well as any cost shared F&A, if applicable.


Other Funding Support (external)

- Source other than sponsor or KSU providing funds in support of the project. Letters of commitment from external source certifying the availability of external cost sharing commitments is required at the time proposal is being processed.

 

Total Project Costs

- Total funding support by all sources.

 

Under each source is listed:

Direct and Facilities & Administrative (F&A), and for KSU Share, Cost Shared F&A, and Total Costs.


Direct

- Costs directly chargeable to the project. Allowable direct costs may vary by sponsor; refer to sponsor's guidelines.


Facilities & Administrative (F&A)

- Usually refers to overhead costs, e.g., department and central project administration services, electricity, building maintenance and upkeep, depreciation, etc.


Cost Shared F&A Costs

- That portion of KSU's facilities and administrative expenses (negotiated F&A rate) not paid by the sponsor. This exception must be published in standard sponsor guidelines, and documented and approved through the use of the Sponsored Project Cost Sharing Form.  Prior approvals for other than full recovery of F&A must be obtained or have been previously approved prior to submission of proposal.

 

While some sponsors may not fund certain direct or F&A costs, they may allow them to be shown as matching or cost sharing by KSU. Again, refer to sponsor guidelines.


Total

- sum of direct and F&A costs from all sources. Press tab, or enter, and totals will be calculated automatically in each total block of sections a, b, and c. By pressing tab or enter in section d, each line will be totaled automatically.


5.

Internal Matching Fund Sources - Costs (excluding state budgeted salaries and fringe benefits) funded by KSU. Signature of the individual authorizing and committing funds is required. The amount of funds committed by each individual as well as the unit providing them should be stated, along with the source of funds (S = State or F = Federal). The use of this section satisfies the requirement for a letter of commitment. Additional details regarding the match commitment by year should be added to the "Additional Notes" section as appropriate.

6. - 9.

Special Approvals - Check "yes" or "no" for each statement. For those checked "yes" in sections 6, 7, or 9, signature of the official noted in parenthesis is required. Items in sections 7-9 require a response when submitting the initial proposal only, unless the status of the initial response changes with subsequent submissions. Respond to items in section 6 when submitting an initial proposal and again upon award if the requirement changes. Items in section 8 that are marked "No" may require further action depending upon the specific project or award. Note: PreAward Services will assist in retrieving signatures.

Please pay close attention to the assurances that are located in the signature area. These assurances contain some additional certifications as a result of the university conflict of interest policy, and the requirements regarding the disclosure of intellectual property contained in various federal documents, along with other sponsor and/or university requirements.