The Office of the Vice President for Research (OVPR) and the Office of Sponsored Programs (OSP) have issued new guidance on the appeal process for award terminations. This guidance outlines the process for how Principal Investigators (PI) may request an appeal of termination decisions when that option is offered by the federal agency.

Appeal Process: Three Steps

Step 1: Request UVA Approval to Appeal

Federal award terms and the Uniform Guidance regulations require agencies to provide grant recipients with the right to an administrative appeal of a termination.  While the grant is in the name of the Rector and Visitors, and the final decision to appeal lies with University leadership, PI support and input regarding UVA submitting the appeal is the necessary first step to begin the process.

The PI will be provided with a link to complete an Appeal of Termination Request Form, in Qualtrics. Department chair and Dean approval is required as part of the appeal request.

Appeal of Termination Request Form will consist of the following elements:

  1. Demographic Information about the Award (AWD/UVA Identifiers, PI Name, Cost Center, FAIN, Project Title, Start/End Date)
  2. Financial Information
    1. Award Total Anticipated Direct Costs
    2. Award Total Anticipated Indirect Costs
    3. Authorized Direct Costs
    4. Authorized Indirect Costs
    5. Estimated Remaining Balance
  3. PI Justification for Appeal (The PI Justification will be used in the formal appeal letter and should outline 1) the importance of the research, 2) alignment with current agency priorities (if known), and 3) details about the harm or negative consequences that will result from the termination of the project)
  4. Dean Support of Appeal

Step 2: Review by the Appeal Review Working Group

Submitted appeal requests will be reviewed on a weekly basis by the Appeal Review Working Group. 

Appeal Review Working Group members are:

  • Lori McMahon, Vice President for Research
  • Kelly Hochstetler, Associate Vice President for Research Operations
  • Julia Smith, Executive Director for Federal Relations
  • Stewart Craig/Laura Kozma (after June 2), Executive Director of OSP

Additional attendees include:

  • Doug Shontz, Office of University Counsel as legal advisor to the working group
  • Gwen Bouchie, Executive Director, Research Strategy and Communications
  • MaryBeth Spaulding and Bill Schoelwer, Associate Directors of Pre-Award

Step 3: Post Review Actions

Lori McMahon will communicate directly with University leadership about the appeal decisions made each week. 

OVPR/OSP will communicate the decision of the Appeal Review Working Group to the recipients of the initial OSP communication of termination. If approval is granted for appeal, OSP may need additional information from the PI to prepare an appeal package and will request, as necessary. 

Once the appeal is approved to move forward by the Working Group, and materials are collected from the PI, the remainder of the process will be managed OVPR/OSP. 

OSP will submit the formal appeal to the sponsor before the deadline and notify the PI after the appeal has been submitted.

Reminders and Considerations

  • Appeal requests will need to be submitted with adequate time for review. Please submit the Appeal of Award Termination Request Form as soon as possible following termination notice, ideally, within the initial week of receiving the termination notice. OSP will provide a response date.
  • Only OSP is authorized to submit the formal appeal to the sponsor.
  • PIs are encouraged to contact their Program Officer for feedback on appeals.
  • If UVA is a Subawardee, the appeal process is administered by the lead institution and not governed by this process.