Developing a Proposal for External Funding

The Office of Grant Services will assist with different aspects of the proposal preparation process. This assistance includes researching funding sources, interpreting guidelines, helping with budget preparation, providing required attachments, reviewing drafts and copying and mailing the final proposal.

A request for external funding always requires some degree of institutional commitment and endorsement. Sponsored projects carry with them financial, regulatory and other legal obligations. A routing system has been developed to assure appropriate review and signatory approval.

The initial stage of developing a proposal for external funding begins with the Project Development Sheet. This form provides a description of the proposed project, an estimated budget and information related to University resources necessary to proceed with the project if funded.

The Project Development Sheet is designed to assist in defining the goals and objectives of the project. The Budget Preparation Guidelines provide information useful in formulating a project budget.

This preliminary step promotes discussion with the appropriate department chair and dean to determine how the proposed project relates to the teaching, scholarship and/or service goals of Xavier University. Such discussions benefit grant-seekers and the University by identifying early in the process whether the necessary commitments for matching funds, personnel and facilities are feasible.

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Submitting a Request for External Funding

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 an Investigator Financial Disclosure Policy form. This form provides 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. If a potential financial conflict of interest is indicated, the Project Director(s) must meet with the Associate Academic Vice President to complete a "Resolution Plan Questionnaire" and to develop a Memorandum of Understanding between the Project Director(s) and the University prior to expenditure of any award funds.

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

Purpose of Signatory Approvals on the Transmittal Form

The signature of the Project Director certifies that the Project Director is eligible to receive funding according to the funding source’s restrictions. The Project Director also certifies that the information contained in the proposal and the Transmittal Form is accurate and the budget, including matching obligations, is reasonable. The signature of the Project Director assures the University that the Project Director is committed to the project and that it will be carried out in accordance with the funding source and University requirements.

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.

The signature of the Dean certifies that the proposal is within the college’s academic and programmatic objectives and that the Dean endorses and supports the proposed activities. The signature also affirms: 1) required matching funds from existing college resources will be provided; 2) facility/space/renovation needs as described in the application will be provided; and 3) the college will take responsibility for any on-going fiscal or programmatic responsibility after award termination.

The signature of the Associate Provost for Academic Affairs certifies that the proposal has been reviewed for completeness, budgetary accuracy, consistency with the funding source and Xavier requirements, and overall quality.

The signature of the Academic Vice President certifies that the proposal is appropriate to the overall mission of the proposing unit(s) and the University. 

The signature of the Senior Vice President of Financial Administration is required if the University is committing over $10,000 in matching funds toward the project. 

Additional signatures may be needed to indicate approval in specific areas. For example, if the proposed activities cross institutional reporting lines (for example, a project that may affect two different colleges), both Deans will be may be required to approve.  The signature of the Comptroller may be required to certify that the proposal meets institutional fiscal standards and the requested matching funds are available in the designated budget.

Assistance By the Office of Grant Services

When the proposal is received by the Office of Grant Services, 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 Office of Grant Services will assist the Project Director with copying and mailing the final proposal to the funding source. Project Director(s) will receive a copy of the Transmittal Form containing all required signatures. This will serve as official notification that the project has been approved.

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 five 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.

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This page is maintained by Margaret O'Gorman.
Last updated  07/21/08.