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Appeal process for award terminations

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

Appeal process

First step: Request VCU approval to appeal

Complete an Appeal of termination request form (Smartsheet) – department chair and dean approval is required.  

Primary appeal types:

  • Research aligns with agencies priorities and/or mission but was misinterpreted by the agency.
  • Project can be altered to address the cause of termination (either by revision or reduction in scope).
  • Other - research does not align with current agency priorities and/or mission, or cannot be altered to address the cause of termination. This submission will require a letter of support from the PI’s dean. 

Second step: Review by the Appeal Review Committee

If approved by the PIs department chair and dean, DSP/OVPRI will submit this request to the Appeal Review Committee.

Appeal Review Committee members are:

  • Matthew Conrad, J.D., vice president for government and external relations
  • Karen Helderman, J.D., chief of staff
  • Grant J. Heston, vice president for enterprise marketing and communications
  • Marlon F. Levy, M.D., senior vice president for VCU Health Sciences and CEO of VCU Health System
  • P. Srirama Rao, Ph.D., vice president for research and innovation
  • Fotis Sotiropoulos, Ph.D., provost and senior vice president for academic affairs
  • Meredith Weiss, Ph.D., senior vice president for finance and administration and CFO
  • Kristen Calleja, J.D., associate university counsel (non-voting member)

Third step: Post-review action

DSP/OVPRI will communicate the decision of the Appeal Review Committee to the PI. If approval is granted for appeal, the PI should prepare an appeal package in close collaboration with their chair/dean to ensure that factual representations and/or proposed project changes align with the priorities of the School/College. Agency guidance and communication should be utilized to develop this appeal package.

Once an appeal package is ready for finalization and submission, please submit through RAMS-SPOT as an “Other” administrative action, including all information as described by the agency communication and guidance. The appeal package will be finalized in collaboration with the department/PI and DSP/OVPRI.

DSP will submit the formal appeal to the agency before the deadline, copying the PI and any specified project team members.

Reminders and considerations

  • Submit appeal requests with adequate time for review:
    • Appeal of award termination request form: as soon as possible following termination notice.
    • Full appeal package (if approval granted): no later than 5 business days before agency deadline
  • Appeals should not be requested near the end of the project period.
  • Size of the award and the remaining amount will be taken into account.
  • Only DSP is authorized to submit the formal appeal to the agency on behalf of VCU.
  • PIs are encouraged to contact their program officer for feedback on appeals.
  • Immediately upon receiving a termination notice, email the project specific agency correspondence to your DSP team.
  • If VCU is a subawardee, any appeal would be requested by the lead institution and is not governed by this process.

If there are any questions about this process, please contact rescomply@vcu.edu.