Scope

University leadership encourages the submission of collaborative proposals that include personnel from multiple schools and other academic units as part of its overall objective to grow the research enterprise. Except for agreements between the Schools of Medicine and Engineering and Applied Sciences, there are no standardized methodologies for sharing F&A costs—also known as indirect costs—charged on Grants among multiple academic units. Such standardization is needed to ensure each unit recovers the indirect costs from sponsored program activities and key decisions about budgets for direct and indirect costs are discussed before submission of a proposal. 

Definitions

Principal Investigator (PI), Co-Principal Investigator (Co-PI), and Project Director (PD) refer to the individual(s) with the appropriate level of authority and responsibility to direct the project or program supported by the sponsored award as judged by the applicant organization. Typically, replacement of these individuals requires approval from the sponsor. These roles are always considered Senior or Key Personnel. 

Co-Investigator refers to individuals with a significant, essential role in the scientific conduct of a research project. This could include the oversight of personnel, resources, and budget. This role is typically considered Senior or Key Personnel. 

Senior Personnel or Key Personnel refers to the individuals who contribute to the scientific development or execution of a project in a substantive, measurable way. 

Procedures

Sharing Among PIs and PDs

Prior to proposal submission, individual budgets will be developed for each project component or scope of work led by a PI, Co-PI, or PD. These individual budgets should be created and approved in ResearchUVA. An internal Excel budget is encouraged and should be uploaded in the Attachments section of teh Funding Proposal. Approval means the programmatic and budgetary elements of the proposal have been reviewed by the appropriate individual(s) and are deemed acceptable by each unit and/or School. 

If the sponsor requires budget adjustments prior to award, those adjustments shall be discussed among all PIs, Co-PIs, and PDs and documented within ResearchUVA for appropriate re-allocation of costs. All PIs, Co-PIs, and PDs must document their written approval. 

Subject to the written approval of the PIs, Co-PIs, and PDs, if the final awarded budget includes an across-the-board reduction of 10% or less, this reduction will be applied proportionately to all individual budgets. If the reduction is greater than 10%, the PIs, Co-PIs, and PDs will reach documented agreement on how to reduce the budget. 

At the time of award, Grants will be established under the Award for each PI, Co-PI, and PD. Indirect costs will accrue in accordance with the direct costs charged to each Grant. The Office of Sponsored Programs (OSP) must receive a budget for each Grant, managed by the appropriate cost center and the correct F&A Revenue Allocation Profile. 

For situations involving faculty with joint appointments, OSP will collaborate with leadership of the applicable units to confirm the Award and Grant are set up correctly with budgets and F&A Revenue Allocation Profiles for the expected distribution of recovered indirect costs. 

Sharing with Co-Investigators

Grants will be established consistent with this procedure for Co-Investigators when the following criteria are met:

  • The Co-Investigator leads a substantial portion of the project, such as a specific aim; 
  • Co-Investigator effort is at least 5% per budget period; and
  • The Co-Investigator-assigned portion of the budget is at least $10,000 (direct costs, excluding cost share).

OSP relies on the Award and Grant receiving units within the Schools to review this information and make the final determination.

Dispute Resolution

Disputes arising under this procedure that cannot be resolved by faculty and their administrators will be resolved through discussions with the applicable unit's Senior Associate Deans for Research (or equivalent) and the Vice President for Research (or designee). 

Exceptions to This Procedure

Exceptions to this procedure must be approved by the Office of the Vice President for Research.

Ownership

The Executive Director of the Office of Sponsored Programs is responsible for ensuring that this procedure is necessary, reflects actual practice, and supports University policy.