University of New Mexico Health Sciences Center
Q: What approvals are required for proposal submission?
The signature of the PI's Department or Division Chair is required on the
Proposal Data Sheet (PDS). In the rare
case that institutional support is a part of the proposal, either 1.) a Cost Share Commitment Form
must be signed by the PI's departmental accountant, the PI's Department or
division Chair, and the Sr. Associate Dean for Research , or
2.) an Institutional Commitment
letter signed by the HSC Executive Vice President, before bringing the proposal
to Preaward.
Q: What other approvals might be required?
For projects involving human subjects, contact the Human Research Review Committee. For projects involving animal subjects, projects involving recombinant DNA, see The Office of Animal research Ethics, Care, and Compliance (OARECC). For projects involving recombinant DNA, see the Institutional Biosafety Committee (IBC). For projects involving export control, see the Industrial Security Office. The Associate VP Financial Services-HSC has the authority to sign agreements for sponsored projects. The Senior Dean for Research has authority to sign material transfer agreements and confidentiality agreements.
A designated authority for other types of agreements between UNM and outside entities can be found in the UNM BPPM, Policy 2010.
Q: What do I need to send to Preaward?
Send a copy of the complete proposal, a copy of the sponsor request for proposal, funding opportunity announcement, or application instructions (or URL), and a
Proposal Data Sheet (PDS). If the project involves a contract, send a copy of the contract and sponsor contact information. If the project is a research project and/or involves humans or animals, send a Conflict of Interest (COI) cover sheet and COI forms. If the project is a clinical trial, send also a copy of the protocol and consent form. If the project involves Veteran Administration personnel or facilities, send also a copy of the relevant VAMOU. If the project is a subaward of federal funds from UNMHSC to a subawardee, send a copy of the subawardee's federally negotiated rate agreement (or link). If the project involves cost sharing, send signed Cost Share Commitment Form(s).
Q: When do I need to submit the proposal to Preaward?
The proposal and other materials must arrive in Preaward no less than 5 business days prior to the last day that the sponsor will accept proposals (the sponsor's deadline). For electronic proposals to NIH, the proposal and other materials must arrive in Preaward no less than 10 business days prior to the last day that NIH will accept proposals
(the NIH deadline).
Q: Why does Preaward need so much time?
With any contract or grant, UNMHSC and the PI are exposed to risk associated with an obligation to comply with federal and state laws and regulations as well as the terms and conditions of the sponsor. Preaward is responsible for minimizing this risk to UNMHSC and the PI by negotiating reasonable terms and conditions. In addition to minimizing risk, Preaward can assist the PI by catching errors, thereby improving the quality of the proposal. Furthermore, Preaward is usually in the process of reviewing many proposals simultaneously for the same deadline. In addition to proposal review and contract negotiation, Preaward is also responsible for processing awards and assisting department staff.
Preaward proposal review includes, at a minimum, the following activities:
Q: Can I start work on the project before the funds are awarded?
The PI may request permission to spend a specified amount of money during a specified period against a contract or grant account prior to the receipt of an executed award by submitting a Request Approval to Spend Funds.
Q: What if I am late with my proposal?
Late proposals may be expedited with a waiver from the Assistant Dean for Research. For instructions regarding requesting a waiver, see Late Submission Waivers. When a late proposal is expedited, PIs who submitted their proposals on time may have to wait while the late proposal is reviewed. In any case, the technical part of the proposal may be updated during the Preaward review process.
Q: Who needs to sign a COI form?
If the project is a research project and/or involves human or animals, COI forms must be signed by each individual who may affect the project design, conduct, data analysis, or data interpretation.
Q: Why do COI forms have to be signed at the time a proposal is submitted?
Not only is this procedure a requirement of some sponsor agencies, it allows ample time for the Conflict of Interest Committee to review potential conflicts and develop plans to manage them before the award is received.
Q: What is a PI org code?
The PI org code is a six digit code assigned to the PI by the department. The first three digits match the department org code and the fourth digit is typically a letter.
Using the correct PI org code ensures that the correct PI's name appears in reports regarding proposals and awards.
Q: How do proposals and awards get reported to the School of Medicine Faculty Activity Database?
Your Proposal Data Sheet (PDS) is the sole source of this data entry, so be sure to list all or your Co-PIs there.
Q: What is a subaward?
A subaward is an agreement between a recipient of an award, called the primary award,
and another institution in which a portion of the work proposed in the primary
award is performed by the second institution. Typically, the sponsor of the primary award is a federal government agency, but it may be any kind of organization. The recipient of the primary award becomes the sponsor of the subaward.
Q: How do I arrange for a subaward from my primary award to a subawardee?
If part of the project will be performed by another institution or a company, the estimated costs of the work to be done there is included in the
proposed budget. Each subawardee needs a statement of work and a budget including both direct costs and F&A costs. To ensure that the subawardee has obtained official institutional endorsement, the proposal may contain a letter of commitment signed by the subawardee's institutional representative
or a signed PHS 2590 face page. In
proposals to federal agencies, only the first $25,000 of each subaward is included in the F&A calculation. For all other sponsors, the full amount of the subaward is included in the F&A calculation. To ensure that the subawardee receives F&A, provide a copy of their F&A rate agreement or policy. When the primary award is received, the Preaward Administrator uses the subawardee's statement of work and budget to prepare a subcontract.
Q: How do I arrange to receive a subaward from another institution?
Submit a proposal for a subaward with the same procedures as submitting any other proposal. In addition, send the sponsor institution (receiver of the primary award) a copy of our federally negotiated F&A rates.
Q: What is the difference between a subawardee and a vendor?
If the work is routine and/or provided to a number of different institutions, the provider is probably a vendor. A vendor does not make a creative contribution to the concept or design of the project. A subawardee is more closely involved, has responsibility for decision-making, and provides substantive programmatic work. If the work is performed by someone that the PI considers to be "key personnel" or a scientific collaborator, the provider is probably a subawardee. The
UNM Business Policies and Procedures Manual provides is provides guidance for distinguishing between a subaward and a regular procurement of services from a vendor.
Q: What is the difference between a subawardee and a consultant?
A consulting agreement is a form of subcontract for services too urgent, temporary, specialized, or technical to be provided by existing UNMHSC personnel. Consulting agreements are not appropriate for substantive programmatic work. Sponsors often set maximum allowable rates for consultants. In compliance with Internal Revenue Service and Department of Labor regulations, consultants are non-UNM entities or person(s) who are licensed to do business in the state of New Mexico as evidenced by a number of criteria, including a New Mexico gross receipts tax number and the fact that they offer their services to the general public;
for example, on a web site. The cost of a contractor may include New Mexico gross receipts tax, and the tax should be included in the budget.