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Policies and Regulations

PROCEDURE TITLE: Intent to Submit

APPLIES TO:

All faculty and staff planning to submit a proposal for external funding as a principal investigator or to participate as a subrecipient on a proposal led by another institution

ADMINISTRATIVE AUTHORITY:

Office of Research & Innovation

Sponsored Programs

Office of the Provost and Vice President of Academic & Student Affairs

APPROVED BY:

EFFECTIVE DATE:

NEXT REVIEW DATE:

PROCEDURE STATEMENT:

To ensure coordinated support, verify eligibility, facilitate compliance, and allow for efficient resource planning, all individuals planning to pursue external funding must notify the Office of Research & Innovation (ORI) of their intent. This procedure outlines the mandatory process and timeline for submitting an Intent to Submit for prior to the development of any proposal for external funding.

DEFINITIONS:

Intent to Submit (ITS) Form

The official KSU form used to notify ORI of a planned proposal submission. This form provides essential preliminary information about the project, sponsor, and institutional requirements.

Principal Investigator (PI)

The individual with the primary responsibility for the design, execution, and management of a sponsored project.

Proposal

A detailed request for funding for a research, training, or public service project, submitted to an external sponsor.

Subrecipient

An arrangement in which KSU receives a portion of a sponsored award from a prime awardee (pass-through entity) to carry out a part of the prime award's scope of work.

PROCESS:

Submission Requirement and Deadline

All principal investigators (PIs) planning to submit a proposal to any external sponsor (including federal, state, private, or corporate entities) must complete and submit an ITS form to the ORI at least thirty (30) calendar days before the sponsor's submission deadline.

This requirement also applies in cases where KSU will be a subrecipient on a proposal being submitted by another institution. The PI at KSU is responsible for submitting the ITS form to ORI at least thirty (30) days before the prime institution's internal deadline for receiving subrecipient documents.

Purpose of ITS Form

Submission of the ITS form triggers the following actions by ORI:

• Review of the funding announcement for eligibility, compliance requirements, and potential institutional issues.
• Assignment of a grants administrator to provide dedicated support for budget development and proposal preparation.
• Establishment of a timeline with key internal milestone for the successful development and submission of the proposal.

Responsibilities

• Principal Investigator (PI): Responsible for completing the ITS form with accurate information, obtaining all required departmental signatures, submitting the form to ORI by the deadline, and notifying ORI of any significant changes to the project after submission of the ITS.
• Department Chair/Dean: Responsible for reviewing and signing the ITS form, thereby providing preliminary approval for the proposed project and acknowledging any potential commitments of departmental or college resources, such as cost sharing or faculty effort.
• Office of Research & Innovation (ORI): Responsible for receiving and reviewing all ITS forms, assigning pre-award support, and communicating institutional requirements and timelines to the PI.

Exceptions

The 30-day ITS submission deadline is mandatory. An exception may be considered only in rare cases where a funding opportunity is announced with less than 30 days between its release and the submission deadline. In

such cases, the PI must submit the ITS form as soon as possible. Failure to submit an ITS form in a timely manner may result in the inability of ORI to provide full support for, or approve the final submission of, the proposal.

REFERENCES AND RELATED MATERIALS:

• KSU Proposal Submission Procedure
• KSU Cost Sharing Regulation

CONTACTS:

HISTORY: