External Grant Policies and Procedures
Brooks School Policies and Procedures for External Grant-Getting
Last Revised May 15, 2023
Approved by Faculty May 17, 2023
Brooks is strongly positioned in its resources, scope, and focus to be a leader in policy research. We are building a research infrastructure to foster cutting-edge research in public policy, support policy scholars from diverse demographic and disciplinary backgrounds, nurture synergies across policy faculty and research areas, grow collective resources for faculty and graduate students, and elevate public policy at Cornell. We have distinctive capacity to bring in external awards that will increase the impact of faculty research and build team science, and we aim to create an intellectual and policy environment that incentivizes and supports grant-getting while being financially sound and equitable across all Brooks faculty.
External awards are generally administered through a single School/College, and thus some aspects of the grants environment described below apply most straightforwardly to faculty with greater than 50% appointments through Brooks. We will work to reduce institutional barriers and to strengthen collaboration on policy research across campus.
1. Grant administration
Preparing proposals for external funding is supported by the Office of Sponsored Research (OSR) that manages pre-award support for Brooks, CALS, CHE, and some units in CAS (e.g., Psychology). See Appendix A for contacts. The office has several grants and contract officers who have experience across a broad array of funding agencies at the federal, state, and foundation levels. This administrative arrangement is aimed at expanding pre-award services and creating greater capacity for post-award support within core Brooks staffing.
OSR’s pre-award support includes building proposal budgets within the policy parameters and post-award accounting practices of the sponsor and Brooks; assisting with other administrative pieces of grant applications, including coordination with external collaborators; and working with Cornell’s Office of Sponsored Programs (OSP) as stewards of pre-award budgets and administrative requirements. The goal is to support the administrative pieces of grant applications so that investigators can focus on the science of their proposed projects. For aspects of proposal development beyond the typical scope of OSR’s activities (e.g., compiling complex tables for training and center grants), Brooks will work with individual investigators to identify additional support as needed; for example, connect with the Cornell Center for Social Sciences (CCSS) and explore potential for support through their pre-award program for large, collaborative grant applications.
Pre-award support will be initiated by a brief proposal intake form (see Appendix B). This includes a short description of the project, a list of collaborators, an estimated total budget and major categories, the sponsor’s indirect cost rate (IDC), and whether Cornell investigators plan to include course releases in their budget. This short form will be shared with Brooks’ budget and post-award staff and Senior AD of Research. Investigators will need written approval from the Dean prior to grant submission for: 1) cost recovery on large, low-IDC awards; and 2) course releases.
Post-award support is provided within core Brooks staffing to track accounts, coordinate subawards, manage funding deadlines, and assist with reporting and compliance. The post-award team works with Brooks faculty investigators to develop spending plans that comply with program budgets. It monitors account activity and manages bi-monthly check-ins with Brooks faculty investigators to ensure that all project costs are appropriately allocated, in compliance with internal and external budget requirements, and on target relative to the overall budget and timeline. It provides support coordinating subawards and managing reporting deadlines and other aspects of compliance; it works with the Office of Sponsored Research (OSP) and Sponsored Financial Services (SFS) on subawards, restricted data, and project modifications.
The post-award team may periodically provide pre-award services that go beyond the scope of OSR.
2. Course release policy
Brooks aims to support faculty time on externally funded grants while also serving our teaching mission. Our general principle is that all faculty should teach a minimum of one course per year to maintain a meaningful commitment to our students (and only in rare circumstances would teaching be reduced to zero courses in any given year).
When allowable on the funders’ side, and consistent with a minimum teaching commitment of one course per year, Brooks faculty may use external funds to pay for one course release per year. We will work closely with faculty to jointly plan the particular course to be released and the timing of the release so that faculty can allocate time to the funded project and Brooks can retain flexibility in meeting curricular needs. The approval process for course release is initiated by the proposal intake form (Appendix B).
Release from one course per year is charged at 15% of the faculty member’s nine-month academic year salary. This rate is a middle ground between two sets of assumptions about the distribution of faculty time: assuming 50% research and 50% teaching with a 3-course load, each course represents 17% effort (1/3 of 50%); assuming 50% research, 40% teaching, and 10% service, each course represents 13% effort (1/3 of 40%).
Release for a second externally-funded course is charged at 20% and requires a stronger justification from the PI. This might include the management of multiple awards, full IDC recovery, or significant public goods, including programmatic support, funding for junior colleagues, and graduate research assistantships. This higher standard reflects an effort to balance support of our research and teaching missions.
For faculty with course release from service to the Brooks School, external funds may be used for one additional release (again consistent with a minimum teaching commitment of one course per year) at the 15% rate.
For Brooks-appointed faculty teaching outside of Brooks (e.g., who teach courses for their disciplinary departments), course release will need to be coordinated across units. Brooks may share externally-funded course release revenues with other units to cover replacement courses to make it easier for departments to release faculty teaching time, consistent with other policies on campus.
Brooks faculty with lines funded primarily in other units face different course release policies. Unless otherwise negotiated through an individual memorandum of understanding (MOU), course release will follow the policies and practices of the primary appointing college.
3. Indirect cost policies and IDC recovery
Brooks will not impose minimum IDC standards, i.e., it will support our faculty in seeking grant funding from a range of sources, including federal awards that pay indirect costs over 50% to foundation awards that often have much lower allowable IDCs. Such grants provide valuable support for policy research. To address concerns about the administrative cost of low IDC awards, we will work with faculty on drafting budgets that help offset potential costs, including: 1) salary recovery, i.e., funding for a portion of academic-year salary that is not applied to course release; 2) public goods like GRA tuition; and 3) allowable costs for services more typically covered by IDCs, e.g., space, administrative staff, computing, and IRB costs. Written approval from the Dean will be required for awards with IDCs under 18% and direct cost budgets over $100k.
4. Other mechanisms to incentivize and support grant-getting
For Brooks faculty investigators who charge salary recovery (funding for a portion of academic-year salary that is not applied to course release) to external awards with full IDCs (Cornell’s federally negotiated indirect cost rates are posted here), Brooks will return 50% of the direct cost of salary recovery the PI in support of research activities. Brooks will also support external grant-getting through a collaborative grant development program and other mechanisms to expand our grant portfolio.
5. Approaches to collaboration in grant support and IDC recovery across units
Brooks aims to build a strong grants environment that is supportive of all Brooks faculty and sustained by returns on external awards. We will work to navigate institutional barriers and create openings to collaborate with other units to share grant support and IDC flows as guided by academic mission. For jointly appointed faculty with less than a 100% appointment in Brooks, but more than a 0% appointment, we will develop individual MOU agreements that address direct and indirect grant flows based the nature of the scholarship. As noted, we will also work on joint approaches to course release and other policies (e.g., IDC returns, treatment of salary recovery) that differ across units in ways that shape incentives for grant-getting, support for faculty effort, and research costs.
Appendix A: Administrative Support
- Brooks/CALS/CAS/CHE Office of Sponsored Research (OSR)
- Director: Erin Oates (email@example.com)
- Brooks contact: Alita Trouble Howard (firstname.lastname@example.org)
Brooks Core Budget and Post-Award Team
- Amy Bennett (email@example.com)
- Harrison Allen (firstname.lastname@example.org)
- Shelly Hall (email@example.com)
- Senior Associate Dean of Research
Kelly Musick (firstname.lastname@example.org)
Appendix B: Pre-Proposal Short Form for Investigators
- PI name
- PI department/unit for award management
- Project working title
- Brief description (2-3 sentences)
- Sponsor (and link to RFP if available)
- Sponsor deadline
- Lead institution (Cornell or other)
- If Cornell is not the lead: deadline for subcontract material to lead institution
- List of collaborators internal and external to Cornell (names and emails)
- Proposed start and end date
- Estimated total budget
- Sponsor’s allowable IDC rate
- What are the major budget items you are thinking to include?
- Do these include course releases?
- Any additional information?
Completed form goes to: OSR with cc to Brooks budget and post-award team and Senior AD of Research
- Quick guide for financial reporting and expense review
- Summaries of facilities and resources relevant to Brooks research, with list of contacts
- Template for NSF postdoc mentoring plan
- OSR “starter pack” with helpful links, information on SciENcv, and non-financial agreements
- SciENcv FAQs