University Libraries Grant Proposal Policy

Purpose

To support pursuit of research funding while ensuring responsible, transparent, and sustainable use of Libraries resources, staff time, and institutional commitments.

When This Policy Applies

This policy applies to any proposal that:

  • Uses Libraries personnel or students time beyond the Principal Investigator(s)
  • Requests or commits Libraries funding, space, systems, or collections
  • Represents the Libraries in an external partnership or collaboration

If a proposal only includes time/travel for the Principal Investigator(s), then this policy does not apply and only supervisor approval is required.

This policy does not supplant or replace RIO and/or OCG policies for external grant submissions

Core Requirements

All proposals must:

  • Notify your supervisor early
    • Discuss intent to apply before significant work begins.
  • Use email for coordination and documentation
    • Email serves as the official method for sharing information, requesting input, and documenting approval
  • Obtain required approvals before submission
    • Approval requirements depend on the level of Libraries impact.

Guiding Questions (for Proposal Development)

Principal Investigator(s) should be prepared to address:

  • What Libraries’ resources are being used?
  • Who is committing time, and at what level?
  • What are the budget and resource implications?
  • Does this affect other teams or services?
  • Are there external partners or obligations?

Feedback on Drafts (Optional but Strongly Encouraged)

  • Principal Investigator(s) are strongly encouraged to seek feedback to strengthen proposals.
  • The Dean or their delegate are excellent people to ask for feedback as they have had the opportunity to read lots of proposals over the years!
  • Feedback may also be requested from supervisors, colleagues, or subject experts.
  • The scope and timing of feedback are at the discretion of the Principal Investigator(s).
  • Feedback is not required for submission.

Approval Requirements and Deadlines

Approval is required for any proposal that commits Libraries resources, such as personnel other than the Principal investigator time, funding, space, systems, collections, or other commitments.

  • Require:
    • Supervisor approval, and
    • Final approval from the Dean or their delegate
  • Deadlines: Approval by the Dean or their delegate should be sought well in advance of the submission deadline
    • Large proposals (>$200k): Approval documentation should be submitted at least two weeks before the proposal is due
    • All other proposals: Approval documentation should be submitted at least one week before the submission deadline
  • Consultation is required with any affected resource owners (e.g., finance, team leads, service owners - see Appendix A for a list of resources and contacts) to inform:
    • Resource use
    • Staff capacity
    • Budget implications
  • Input from resource owners must be considered but does not constitute approval or veto authority.
  • Final decision authority rests with the Dean or their delegate.

Approval Documentation and Requirements

  • All approvals must be documented via email and include a clear statement of approval; e.g., “I approve this proposal as described.”, “I approve the Libraries’ resource commitments and budget as described.”, or similar clear statements.
  • The Principal Investigator(s) are responsible for retaining approval documentation.

Dean Approval Requirements

Requests for approval from the Dean or their delegate must include a concise summary (approximately one page) that provides:

  • Basic proposal information (title, funder, deadline, Principal Investigator(s))
  • A brief project summary (3 to 5 sentences)
  • A description of Libraries staff time and resource commitments
  • A draft budget or clear itemization of key budget lines sufficient to assess whether proposed resources are adequately supported
  • Identification of any required:
    • Matching funds
    • Letters of Support and/or Commitment
  • Confirmation that relevant resource owners have been consulted and are supportive.
    • If resource owners have raised objections, this must be clearly stated and the Principal Investigator(s) need to meet with the Dean or their delegate to discuss these objections before receiving approval.

The purpose of this review is to assess resource commitments, feasibility, and risk–not to evaluate the full proposal narrative.

Resubmissions and Advanced Draft Proposals

In cases where a proposal is being resubmitted or where the Principal Investigator(s) have a substantially developed draft early in the process, the draft proposal may be submitted in lieu of the one-page approval summary.

In these cases:

  • The draft must clearly include or be accompanied by sufficient information to allow assessment of:
    • Libraries staff time and resource commitments
    • Budget (either draft budget or key budget elements)
    • Any required matching funds, letters of support, or letters of commitment
  • The Principal Investigator(s) should highlight or summarize key elements as needed to support efficient review.

The purpose of this option is to avoid duplicative effort while ensuring that approval decisions remain focused on resource commitments, feasibility, and risk.

The Dean or their delegate may request a concise summary if key information is not readily identifiable in the draft.

Budget Review and ICR Requirements

  • All proposals must undergo budget review by the Libraries Finance Office prior to submission to ensure that necessary expenses are being included.
  • For proposals involving other campus partners, ICR (Indirect Cost Recovery) distribution should be calculated using the ICR calculator at the final budget stage prior to submission or shortly after submission. This ensures that DAICR resulting from this project will be appropriately returned to the LIBRARIES.

Principal Investigator(s) Responsibilities

The Principal Investigator(s) are responsible for:

  • Coordinating communication via email
  • Identifying affected stakeholders
  • Seeking required approvals
  • Consulting resource owners as appropriate
  • Ensuring budget review and ICR calculation are completed when required
  • Submitting the final proposal

When Unsure

Consult your supervisor.

When funded

Tell your supervisor, your AD and the dean so we can celebrate and communicate your success!

Appendix A. People to contact if planning on using Libraries Resources

Dean - Tamara Sumner (sumner@colorado.edu)

Designate - Senior Associate Dean, Leslie Reynolds (Leslie.Reynolds@colorado.edu)

Library Budget Officer - Stacy Lavoy (Stacy.Lavoy@colorado.edu)

Having trouble thinking about who might be able to support or be impacted by the grant?

  1. Work with your supervisor to think about the areas that might be able to support or be impacted by this work. (internal)
  2. Another option is to reach out to your department director to think about the same questions. (internal)
  3. Another option is to reach out to the Division lead over the other areas for good contacts (internal)
  4. If you are outside the libraries, reach out to the Dean and the Designate (external)