Contract & Grant Procedures

Items needed at the proposal stage:

• Create Click ERA Grant record, obtain department approval & submit to SPO for review (http://era.health.unm.edu).  If you do not have a login, please contact Roy Mollenkamp (rmollenkamp@salud.unm.edu - 2-6264) or Danielle Jones (dcrepella@salud.unm.edu - 2-4076).
• HSC Financial Conflict of Interest training (http://hsc.unm.edu/research/coi/investigator-tools/index.html) is required with re-certification every 4 years.  The FCOI training completions list ("FCOI Training Lookup") is also available on the HSC FCOI website linked previously.  For questions regarding this training, please contact HSC-COI@salud.unm.edu
• Complete Proposal, Application, or Progress Report (including budget) must be sent to the sponsor.
  • For information on indirect cost rates (F&A cost rates), see UNM's Federally-Negotiated F&A Rates, State, Local, VA, & IHS F&A Cost Rates,  and Industry-Sponsored CTA Indirect Cost Rate.
  • For budget preparation, see the Internal Budget Worksheet (Also see our Worksheet Instruction Guide and Annualized Pay rate Conversion Table)
  • Average Compensation Increase for Proposal Pricing and Ways to Estimate Fringe Benefits documents.
• Copies of sponsor's funding opportunity announcement and application instructions. (Uploaded to Click Record)
• HSC Internal F&A Split form (Uploaded to Click Record)
• HSC Main Campus F&A Split form (Uploaded to Click Record)

Just in Time (JIT) is a practice common to the National Institutes of Health (NIH). 

Not all applications require additional paperwork at this stage. However, a sponsor may request the following:

• Updated Other Support and Key Personnel
• Human Subjects Certification - you can find a sample letter here, as well as instructions for completing the letter here)
• Subcontracting Plan from Purchasing - if contract over $500,000
• Revised budget

The following is a step-by-step description of how to submit JIT information:

• PI must log in to eRA Commons
• Select status in the menu bar at the top of the page in eRA Commons
  • All individual NIH applications will appear for the named PI
• Select the JIT hyperlink on the right side of the screen corresponding to the application for with information is being submitted
• Upload other support (file must be in PDF format)
• If human or animal subjects are being used in the project:
  • Enter the most recent IRB or IACUC approval date in the text box provided.  All approvals must be current.  If you have more than one IRB or IACUC approval, you will need to use the Other Upload function to include a PDF file with additional information (e.g. list of other approvals, pending approvals, etc.)
  • For projects involving human subjects, enter completed training information for all key personnel (including subcontractors) involved with the human subject's portion of the project
• Using the Human Subject Training Certification Letter located on our forms page -- list key personnel & course descriptions and upload as a PDF file into the Human Subjects Education section.

Note:  For HSC, you may link to the completed training dates at http://hsc.unm.edu/research/hrpo/hrrc/training.html

You are not required to submit training certificates for personnel requiring human subject training as long as the training can be verified on the HRRC website.

• When all uploads are complete, click Save at the bottom of the screen and select View Just In Time Report
• Verify and print your report for your records
• Send e-mail to your sponsored projects officer so they may review and submit to NIH

IMPORTANT:  ALLOW 2 DAYS PRIOR TO DUE DATE FOR PROCESSING!

After a Notice of grant Award is received or a contract is signed by both the parties, the following will be required:

• Electronic COI completions/clearance
• Approval of all internal compliance forms (F&A splits, cost share, export control)

Requirements for Prior Approval

(HSC Pre-Award - General Guidelines)

For the actions listed below, the grantee must obtain written prior approval from the Grants Management Officer (GMO) of the PHS awarding office for any grant other than a construction grant.  The Notice of Grant Award (NGA), specific program legislation or regulations may require additional prior approvals.  Therefore, the following list may not be all-inclusive. 

Prior approval is required whether increasing an existing budget category or using funds for categories not specified in the original proposed and approved budget.  Failure to obtain prior approval from the appropriate office may result in the disallowance of costs.

1.  Change in Scope, Principal Investigator, Grantee Institution, Successor in Interest, or Recipient Institution Name.

2.  Restrictions on Notice of Grant Award: undertaking any activities disapproved or restricted as a condition of the award.

3.  Transferring Substantive Programmatic Work.: transferring to a third party the actual performance of substantive programmatic work by sub-award, contract, or any other means,.

4.  Carryover of unobligated funds from one budget period to another when not under expanded authority.

5.  Extension of the budget/project periods with or without additional funds for NIH.  Pre-award can activate a no cost extension for one year one time only.  NIH must approve any additional extensions.

6.  Equipment Purchase: equipment exceeding $25,000 per unit.

7.  Alternative use of salary support due to receipt of a research (career/scientist) development award: the alternative use of grant funds awarded under a PHS grant to a non-governmental organization for an individual’s salary that are no longer required for that purpose as the result of the transfer of that individual’s salary to an RCDA to other RCDA-type career development award.

8.  Alterations and Renovations (A&R): drawings and specifications for alteration and renovation projects over $50,000.  Also, A&R costs may not exceed the lesser of $150,000 or 25 percent of total direct costs during any consecutive 3-year period unless a waiver is obtained.

9.  Audiovisual materials: the cost of acquisition or production of audiovisual materials exceeding $25,000 for a single audiovisual product.

Forms That May Be Needed:

• No Cost Extension : Sample NCE Request
• Change in Percent Effort : Sample Change in Effort Request

• A133 Audit Reports