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Guidelines for Requesting Vice Chancellor for Research Cost Sharing

Background

When governmental and non-profit sponsors mandate cost sharing as an eligibility criterion for funding programs, it may not be possible for the principal investigator or his/her department, school and/or research unit to identify and secure the cash and/or in-kind resources necessary to meet such a requirement. Securing extramural research awards is essential to fulfilling UCI's mission; therefore, no principal investigator should be denied the opportunity to compete for extramural funds due to his/her inability to meet sponsor-mandated cost sharing.

These guidelines articulate how, when and under what circumstances the Vice Chancellor for Research (VCR) provides funding to assist principal investigators, departments, schools and/or research units in meeting cost sharing mandated by sponsors.

Criteria for Requesting VCR Cost Sharing

The VCR will consider requests for cost sharing if:

In the event a sponsor's funding program does not include a written cost sharing requirement, but rather encourages (in writing) that applicant organizations cost share, the VCR will consult with the appropriate dean, chair or director, prior to approving or disapproving a request for VCR cost sharing.

Limitations on VCR Cost Sharing Commitments

Generally, the VCR will make a cash cost sharing commitment to match (1:1) the cash cost sharing commitment made by the administering unit or school, but only to the extent that the VCR's commitment increases the total campus cost sharing commitment to the minimum cost sharing level mandated by the sponsor.

Generally, a VCR cash cost sharing commitment will not exceed one-half of the sponsor's mandated minimum cost sharing.  In addition, the VCR generally does not make cash cost sharing commitments to match any portion of an in-kind cost sharing commitment made by the administering unit or school.

Occasionally, the level of mandated cost sharing poses an unusual hardship and the administering unit (in conjunction with other units and schools involved in the performance of the project, if applicable) cannot provide one-half of the mandated minimum cost sharing. In such cases, the VCR, at his/her discretion, may commit cost sharing in an amount exceeding one-half of the minimum mandated cost sharing.

Requesting VCR Cost Sharing

Requests for VCR cost sharing commitments should be submitted in accordance with the following process:

  1. The principal investigator should initiate discussions with appropriate unit officials well in advance of the proposal submission deadline. It is particularly important to do so if multiple units will contribute cost sharing.
  2. After discussions with the principal investigator, the dean, research unit director or appropriate vice chancellor should prepare a written request (e.g., memo, fax, e-mail, etc.) for VCR cost sharing. All requests should include the following information:
    • The title of the proposed project;
    • the name of the principal investigator;
    • the name of the sponsor;
    • the title of the sponsor's funding program (if applicable);
    • the period of performance for the proposed project (if the proposal has not been submitted to Office of Research Administration [ORA]);
    • the project budget, including the total project costs requested from the sponsor and the total proposed UCI cost sharing (if the proposal has not been submitted to ORA);
    • a breakdown of the total proposed UCI cost sharing by contributing unit, including evidence that an authorized official of each unit has approved their respective commitments (e.g., signatures of the other units' officials, attaching separate memos signed by the other units' officials, separate e-mails confirming commitments, etc.); and
    • if the requested cost sharing is to acquire equipment and/or instrumentation, an assessment of similar equipment and/or instrumentation in the possession of UCI, a description of how the equipment and/or instrumentation will enhance UCI's research infrastructure, and a plan for making the equipment and/or instrumentation available to other UCI researchers.
  3. Requests for VCR cost sharing should be addressed to the VCR, but routed to the Grants Officer or Contracts Officer assigned to the administering unit.
  4. The Grants Officer or Contracts Officer will review the request and work with the administering unit and/or principal investigator to secure any additional information, as needed. They will then forward the request to the Director of Sponsored Projects for final review and discussion with the VCR.

Approval or Disapproval of VCR Cost Sharing Requests

The VCR will consider all cost sharing requests and make the final decision to approve or disapprove such requests. The VCR may discuss changes in the requested amount of cost sharing with the dean, director or other vice chancellor prior to making a final decision. In addition, the VCR may require changes to plans for making equipment and/or instrumentation acquired with VCR cost sharing funds available to other UCI researchers.

If the VCR approves a cost sharing request, ORA will prepare an institutional cost sharing commitment letter for submission with the proposal. A copy of this letter will be forwarded to the dean or research unit director and principal investigator. The VCR will also send the dean or research unit director and principal investigator an internal memo confirming cost sharing commitments made by each school or unit and describing any contingencies related to the VCR cost sharing commitment.

If the VCR does not approve the cost sharing request, the Director of Sponsored Projects will immediately notify the dean or director and principal investigator, as appropriate, and the dean or director may:

The dean or director may pursue other options at their discretion. However, it is recommended that they consult with the Director of Sponsored Projects or the VCR prior to pursuing such other options.

Information Resources

Grants Officers and Contracts Officers are available to provide advice to principal investigators, administrative staff, chairs, directors, deans and vice chancellors regarding sponsor cost sharing requirements and how UCI resources may be proposed as cost sharing.