MANAGING THE SUBMISSION AND AWARD PROCESS Office of Sponsored Projects Main Campus and Branches

WHAT IS A SPONSORED PROJECT? Awards (i.e. grant, contract, cooperative agreement) made to the Regents of the University of New Mexico (UNM) by external sponsors for the purpose of facilitating research, training, and public service programs. Also known as an extramural award. Sponsoring Entities  Federal & State Government (Agencies)  Non-governmental organizations (not part of government but not for-profit)  Non-profit entities (Foundations)  For-profit entities (Industry)  National Labs  International Guidelines We Follow  Federal: OMB Circulars, Agency Guidelines  State: Regulations  Sponsor: Guidelines  UNM: Policies and procedures

 Agreements  Licensing (software & computing)  Data Transfer Agreements  Material Transfer Agreements  Confidentiality (Non-Disclosure) Agreements  Gifts/Donations  UNM Foundation UNFUNDED RESEARCH AT UNM

Proposal Development OSP Review Institutional Approvals Submission Sponsor Review Award, Negotiation, Acceptance Project Set Up Award Management Closeout LIFE CYCLE OF A SPONSORED PROJECT Find Funding Develop Proposal UNM Approvals Submit Proposal Negotiate Award Set Up Award Manage Award Close out Award

PI Idea generated by PI Research funding opportunities identified to support PI idea PI/DEPT PI/Dept. complete sponsor and UNM forms for review and institutional signature (Budget according to sponsor guidelines, SOW, COI/Export/IRB forms) Submit proposal to OSP through Cayuse OSP OSP reviews, comments, negotiates, approve/signs Proposal/contract submitted to sponsor (or by PI if allowed) PROCESS FOR SUBMISSION

Draft Proposal Due to OSP 5 Business Days OSP will review and send comments back within 2 Business Days Review Period Department or OSP will submit to Sponsor 48 hours prior to this date Sponsor Due Date FORMS Sponsor Solicitation (RFQ. RFP) Budget Budget Justification SOW COI/Export OSP reviews submission and internal budget against solicitation; sends comments or corrections back to department to correct and finalize. Department will send finalized application back to OSP before Due Date For “Other” electronic submissions, target transmission is 48 hours prior to allow for “server jams.” Department will submit paper applications and OSP can submit “other” electronic applications depending on Sponsor guidelines.

MAJOR COMPONENTS OF A PROPOSAL  Budget & Justification  Statement of Work  Abstract  Biosketch  Resources/Facilities  Institutional Signoff

BUDGETING ISSUES: COSTS Are costs allowable, allocable, reasonable?  Sponsor Guidelines  OMB Circular A-21  UNM Policies (UAPPM) Are costs direct or indirect?  Direct: identifiable to a specific project  Indirect: incurred as part of overall operations  Example: Salaries and wages of administrative staff are generally unallowable as direct EXCEPT if it meets the test of “major project” as defined in A-21 Exhibit C. NOTE: Application of costs should be CONSISTENT

BUDGETING ISSUES: COSTS Identify Cost Categories Unidentified Costs:  May cause overruns on the award  May require sponsor approval for re-budgeting Holds up post-award invoicing and financial reporting Bottom line: If it’s not in the budget, ask. Personnel Costs: Proposal vs. Expenditures  Reports of time and effort must be certified Bottom line: Inaccurate Reporting = Audits = Findings

THE SPONSORED PROJECTS TEAM  Principal Investigator/Department Administrator  Faculty Research Support Officer  Sponsored Projects Officer/Contract & Grant Administrator  Contract & Grants Accounting  Fiscal Monitor

Person qualified to manage the proposed project with approval of the chair/dean.  Faculty Member or Letter of Academic Title (LAT);  Professional Staff (Grade 15 and above); or  Qualified graduate student (PI eligibility form) Responsible for all project aspects, from proposal to close  Adhering to UNM and agency policies and procedures  Completing technical requirements  Day-to-day administration PRINCIPAL INVESTIGATOR

 Assist in identifying potential funding sources, and advise department on funding strategies.  Know the funding policies, regulations, and procedures governing the submission.  Navigate the proposal submission process with departments and answer submission questions.  Develop, analyze and review budget for compliance with policies, funding agency requirements, and appropriate accounting protocol and procedure.  Assist in creating and updating Cayuse record. FRSO RESPONSIBILITIES

Negotiate all forms of agreements and contracts, including:  Confidentiality Agreements (CDAs)  Sponsored Research Agreements  Professional Services Agreements  Contracts/Subcontracts  Amendments/Modifications Review and Process  Grants – all agencies  Progress Reports (NIH)  No-Cost Extensions (NCEs)  Early Terminations  Relinquishment/Transfers  Awards OSP RESPONSIBILITIES

 Review final OSP packet  Set up Award in Banner  Monitor Award Spending  Prepare Close Out at End of Award  Reporting (patent/property)  Deal with Fiscal Issues  Coordinate Audits C&GA RESPONSIBILITIES

 Export Control  Effort Certs/Reporting  Mismanagement of Awards  Subrecipient Monitoring  Fraud  Conflict of Interest  Scientific Misconduct HOT TOPICS IN RESEARCH

TOOLS FOR INVESTIGATORS Grants.gov NSF Fastlane NIH eRA Commons Allowable Costs for Sponsored Projects Effort Certification Guide for Principal Investigators: 16