Principal Investigators must possess the appropriate training, experience, and professional qualifications (e.g., degrees, licenses, credentials) to safely conduct and oversee a grant, contract, clinical trial and/or other sponsored project. Individuals who are debarred, disqualified, or otherwise restricted from participation in research or as a recipient of grant funds for research by a federal, state, or other agency may not serve as PI.
To serve as a Principal Investigator (PI) on a sponsored project submitted to the HSC Sponsored Projects Office you must be a contract (paid) UNM faculty member who is:
• .50 FTE or greater (i.e., regular faculty per the Faculty Handbook)
• Tenure track or non-tenure track
• Researcher, clinical educator or lecturer Examples of positions not generally eligible to serve as PI at UNM HSC unless an exception is granted:
• Adjunct faculty
• Visiting faculty
• Volunteer faculty
• Postdoctoral fellows
• Staff, students, and other positions without a letter of academic title
Only properly credentialed individuals may engage in any “Greater-than-minimal risk” sponsored research activity or any activity that requires credentialing, unless or until the individual becomes properly licensed and credentialed.
In special instances and with support from the relevant UNM Dean, Health System CEO, UNM Hospital CEO, or Department Chair, other members of the UNM community may request approval to serve as PI. The request should be specific to a sponsored project and contain information about the qualifications and capabilities of the individual that would allow the person to perform the duties of a PI. The PI must complete the PI Eligibility Request Form.
The completed request should be sent to HSC-PreAward@salud.unm.edu and will be reviewed by the Sponsored Projects Office Director and the Vice President for Research.
The Principal Investigator bears the ultimate responsibility for assuring that the conduct of the study complies with all applicable regulations, policies and procedures, and sponsor regulations.
When the Principal Investigator for clinical studies involving medical/clinical interventions or investigational agents does not have a medical degree, there must be at least one co-investigator on the project who is a qualified, licensed healthcare provider and is readily available to provide medical oversight and decision-making. When the research involves the administration of a drug or use of a device for research purposes, the PI must be a licensed physician. When the research involves an intervention that is greater than minimal risk, then the PI must be a licensed healthcare provider. Rare exceptions to this requirement are made by the IRB on a case-by-case basis. Exceptions require a licensed physician coinvestigator and approval of the department chair.
The Principal Investigator is responsible for ensuring that all investigators and research personnel participating in the study possess the necessary licenses and credentials to perform their study responsibilities. Only properly credentialed individuals may engage in any “Greater-than-minimal risk” study activity or any activity that requires credentialing, unless or until the individual becomes properly credentialed.
At this stage, the PI will be preparing the content for their proposal. The sponsor may required a pre-application, white paper, or pre-proposal. This allows the sponsor to review the ideas they may want to fund. If the sponsor likes your idea, they will then invite you to submit a full proposal. However, there are instances in which your pre-submission is exactly what they are looking for and they will fund based on the pre-submission.
SPO generally does not review pre-submissions unless the sponsor has asked you to also provide a budget and/or the sponsor instructions state they may award upon pre-submission. Please use the following guidance to ensure proper process when submitting a pre-submission.
PI/Dept find funding announcement to respond to. PI/Dept initiate review and approval process through Click ERA.
SPO High Level Submission Process
New Mexico Anti-Donation & Grant vs. Gift
This guidance is used to help determine whether you are receiving a grant or a gift. It also explains why anti-donation needs to be considered when collaborating with others.
Do I submit through the UNM Foundation or HSC Sponsored Projects Office?
If you are new to NIH funding, the guide above will assist you with grant submission options. It also provides tips in applying to NIH.
SPO receives notice from the Sponsor your project may be awarded. Documents that may be required at this stage include Updated Other Support and Key Personnel, Human Subjects Certification, Subcontracting Plan from Purchasing (if contract is over $500k), and revised budget.
Once a Notice of Award is received or a contract is executed, SPO will ensure all internal compliance have been adhered to and award the project in Click ERA. If you have subawards on your projects, SPO will contact the Department with any questions regarding updated SOW and revised budget. Once they receive, they will initiate the Subaward.
Principal Investigators must possess the appropriate training, experience, and professional qualifications (e.g., degrees, licenses, credentials) to safely conduct and oversee a grant, contract, clinical trial and/or other sponsored project. Individuals who are debarred, disqualified, or otherwise restricted from participation in research or as a recipient of grant funds for research by a federal, state, or other agency may not serve as PI.
To serve as a Principal Investigator (PI) on a sponsored project submitted to the HSC Sponsored Projects Office you must be a contract (paid) UNM faculty member who is:
• .50 FTE or greater (i.e., regular faculty per the Faculty Handbook)
• Tenure track or non-tenure track
• Researcher, clinical educator or lecturer Examples of positions not generally eligible to serve as PI at UNM HSC unless an exception is granted:
• Adjunct faculty
• Visiting faculty
• Volunteer faculty
• Postdoctoral fellows
• Staff, students, and other positions without a letter of academic title
Only properly credentialed individuals may engage in any “Greater-than-minimal risk” sponsored research activity or any activity that requires credentialing, unless or until the individual becomes properly licensed and credentialed.
In special instances and with support from the relevant UNM Dean, Health System CEO, UNM Hospital CEO, or Department Chair, other members of the UNM community may request approval to serve as PI. The request should be specific to a sponsored project and contain information about the qualifications and capabilities of the individual that would allow the person to perform the duties of a PI. The PI must complete the PI Eligibility Request Form.
The completed request should be sent to HSC-PreAward@salud.unm.edu and will be reviewed by the Sponsored Projects Office Director and the Vice President for Research.
The Principal Investigator bears the ultimate responsibility for assuring that the conduct of the study complies with all applicable regulations, policies and procedures, and sponsor regulations.
When the Principal Investigator for clinical studies involving medical/clinical interventions or investigational agents does not have a medical degree, there must be at least one co-investigator on the project who is a qualified, licensed healthcare provider and is readily available to provide medical oversight and decision-making. When the research involves the administration of a drug or use of a device for research purposes, the PI must be a licensed physician. When the research involves an intervention that is greater than minimal risk, then the PI must be a licensed healthcare provider. Rare exceptions to this requirement are made by the IRB on a case-by-case basis. Exceptions require a licensed physician coinvestigator and approval of the department chair.
The Principal Investigator is responsible for ensuring that all investigators and research personnel participating in the study possess the necessary licenses and credentials to perform their study responsibilities. Only properly credentialed individuals may engage in any “Greater-than-minimal risk” study activity or any activity that requires credentialing, unless or until the individual becomes properly credentialed.
At this stage, the PI will be preparing the content for their proposal. The sponsor may required a pre-application, white paper, or pre-proposal. This allows the sponsor to review the ideas they may want to fund. If the sponsor likes your idea, they will then invite you to submit a full proposal. However, there are instances in which your pre-submission is exactly what they are looking for and they will fund based on the pre-submission.
SPO generally does not review pre-submissions unless the sponsor has asked you to also provide a budget and/or the sponsor instructions state they may award upon pre-submission. Please use the following guidance to ensure proper process when submitting a pre-submission.
PI/Dept find funding announcement to respond to. PI/Dept initiate review and approval process through Click ERA.
SPO High Level Submission Process
New Mexico Anti-Donation & Grant vs. Gift
This guidance is used to help determine whether you are receiving a grant or a gift. It also explains why anti-donation needs to be considered when collaborating with others.
Do I submit through the UNM Foundation or HSC Sponsored Projects Office?
If you are new to NIH funding, the guide above will assist you with grant submission options. It also provides tips in applying to NIH.
SPO receives notice from the Sponsor your project may be awarded. Documents that may be required at this stage include Updated Other Support and Key Personnel, Human Subjects Certification, Subcontracting Plan from Purchasing (if contract is over $500k), and revised budget.
Once a Notice of Award is received or a contract is executed, SPO will ensure all internal compliance have been adhered to and award the project in Click ERA. If you have subawards on your projects, SPO will contact the Department with any questions regarding updated SOW and revised budget. Once they receive, they will initiate the Subaward.
MSC09 5220
1 University of New Mexico
Albuquerque, NM 87131-0001
Physical Location:
1650 University Blvd NE
Second Floor, Suite 2200
Phone: (505) 272-9383
Fax: (505) 272-0159
hsc-preaward@salud.unm.edu
Office Hours:
Monday - Friday: 8am - 5pm
