Submitting a Proposal

Whether the proposal is in the form of a letter of inquiry, a brief proposal or an extensive application, the University requires that the Transmittal Form for External Grant Proposals must be completed prior to submission. This form documents approvals and certifications necessary for acceptance of grant awards.

On the Transmittal Form, the project director provides information about the proposal, including the submission deadline, funding source, budget figures, requested release time, any matching requirements, IRB approval, and other items. The project director signs the form upon completion. The Transmittal Form is also signed by co-project directors (if applicable).

In addition to the Transmittal Form, the project director and co-director(s) must complete a Financial Conflict of Interest-Federal Proposals or Financial Conflict of Interest-Non-Federal Proposals. These forms provide for disclosure of any significant financial interest that may present an actual or potential conflict of interest in relationship to externally sponsored projects. Such disclosures must be made prior to the submission of a proposal.

Routing of the proposal for needed approvals should begin at least seven business days prior to the submission deadline. The project director should forward to the appropriate department chair and dean for review and signature:

  • the original proposal,
  • one copy of the proposal,`
  • all application and necessary certification forms to be signed by University officials,
  • one copy of proposal guidelines from the funding source, and
  • completed transmittal form and financial disclosure forms.

Once approved by the Dean, the proposal is routed to the Office of Grant Services for final administrative approvals by the Associate Provost for Academic Affairs and the Provost and Chief Academic Officer.

Purpose of Signatory Approvals on the Transmittal Form

Project Investigator  1) acknowledges and accepts responsibility for the technical content and quality of the proposed project; 2) assures the project and other professional activities and the University mission are compatible; 3)assures that the information contained on this form is true, accurate and complete to the best of my knowledge; 4)acknowledges and accepts responsibility for compliance with award terms and conditions and University compliance, and financial management if an award is made; 5)assures that arrangements have been made to fund any cost sharing or other special resources needed to conduct this work; 6)understands that any false, fictitious or fraudulent statements or claims may subject him/her to criminal, civil, or administrative penalties; 7)certify that I have not been debarred or suspended from doing government-sponsored work.

Department Chair or Director certifies that the proposal fits the department’s overall program and academic objectives.  The department personnel time commitments are realistic and approved, as are any identified departmental funds.The signature of the department chair certifies that the proposal is within the department?s academic and programmatic objectives and that it endorses and supports the proposed activities. The signature also affirms that time commitments of the department personnel are realistic and approved and guarantees departmental matching, if included in the proposal.

Dean or Assistant/Associate Provost certifies that the proposal is 1) within the area’s academic and/or programmatic objectives and endorses and supports the proposed activities; 2) required matching funds from existing area’s resources will be provided; 3) facility/space/renovation needs as described in the application will be provided; and 4) the area will take responsibility for any on-going fiscal or programmatic responsibility as specified in the proposal.

Assistant VP for Provost Budgeting and Planning certifies that the proposal budget meets University guidelines and ORG/fund numbers have been identified for any matching commitments.

Associate VP for Academic Affairs and Dean of Graduate School certifies that the proposal addresses the overall mission and vision of the proposing area (s) and the Academic Affairs Division and that any resources, including matching fund, personnel, and in-kind contributions have been identified.

Provost and Chief Academic Officer certifies that the proposal is appropriate to the overall mission of the proposing area (s), the Academic Affairs Division, and the University.  It also certifies that Academic Affairs is committed to providing any matching resources identified on the form.

Assistance By the Office of Grant Services

When the designated Grant Services Officer receives the proposal, it is reviewed for completeness, budgetary accuracy, consistency with funding source and Xavier requirements, and overall quality. Any needed corrections or changes to the proposal will be made by the project director.

When the approval and review processes are completed, the Grant Services Officer will assist the project director with submitting electronically or copying and mailing the final proposal to the funding source. 

Collaborations and Cooperative Agreements With Other Organizations and Institutions

Xavier University encourages faculty/staff to collaborate with other institutions and organizations. The same requirements which apply to internal review of proposals submitted by the University also apply to collaborative activities. The proposed project activities, a budget reflecting the Xavier University portion of the work to be performed, and any documentation of the University's obligation to the project must be approved through the internal review process prior to submission by the collaborating entity. A full copy of the proposal must be received by the Office of Grant Services no later than seven working days after the collaborating entity submits it to the funding source.

Faculty serving in a consultant capacity on a grant with another institution need only follow existing policies for reporting outside activities.