E60: Sponsored Research

(Approved by the Faculty Senate, October 27, 2015)

Policy Rationale

It is the policy of the University of New Mexico (UNM) to encourage faculty members to participate in research sponsored by outside agencies when such research is consistent with the basic aims of UNM in regard to the education of students, the extension of knowledge, and the broadening of man’s horizon in the sciences, engineering, arts, and humanities. To ensure the most effective administration of UNM’s sponsored research, this policy document provides policies and procedures for the submission of proposals, approval of research contracts and grants, budgeting of facilities and administrative (F&A) expenditures, and reporting of actual F&A expenditures.

Policy Statement

1. The Vice President for Research (VPR) has been designated by the President as UNM’s reviewing, certifying, and negotiation coordinating officer for all main-campus and branch-campus research proposals submitted to outside agencies. The Senior Executive Officer for Finance & Administration (SEOFA), Health Sciences Center (HSC), has been designated by the President as UNM’s reviewing, certifying, and negotiation coordinating officer for all HSC research proposals submitted to outside agencies. The VPR and SEOFA HSC have also been designated the approval authority for any modifications to awards, in response to research proposals.

Final authority for accepting and signing research contracts and grants is vested in the President of UNM, and has been delegated as indicated in UAP Policy 2010, "Contracts Signature Authority and Review," University Administrative Policies and Procedures Manual.

2. On an annual basis the Vice President for Research shall consult with the Research Council of the UNM Faculty Senate to discuss research priorities of, and adjustments to, the F&A distribution algorithm for main-campus and branch-campus sponsored research. These discussions shall reflect input articulated to the Faculty Senate by its various committees and individual faculty members involved in sponsored research.

Similarly, on an annual basis, the Vice Chancellor for Research ( VCR) shall consult with the HSC Council of the Faculty Senate and other HSC research committees concerning research priorities of, and adjustments to, the F&A distribution for HSC-sponsored research.

Applicability

All academic and research UNM units, including the Health Sciences Center and Branch Campuses.

Definitions

Facilities and Administrative (F&A) Expenditures. F&A expenditures reflect costs associated with providing and maintaining the infrastructure that supports the research enterprise (buildings and their maintenance, libraries, etc.) and which cannot easily be identified with a specific project. F&A expenditures are calculated using rates determined in conjunction with auditors from the applicable federal agency. The rate is calculated and charged as a percentage of modified total direct costs (MTDC).

Sponsored Research: Sponsored research shall be construed to include sponsored research, service, training projects, and other categories of awards for all except basic capital construction and maintenance projects.

Who should read this policy

• Faculty and staff conducting sponsored research
• Members of the Faculty Senate and the Research Policy Committee
• Academic deans or other executives, department chairs, directors, and managers
• Administrative staff responsible for sponsored research management.

Related Documents

UNM Regents’ Policy Manual

• Policy 5.9 "Sponsored Research"

Faculty Handbook,

• E70: Intellectual Property Policy

University Administrative Policies and Procedures Manual

• Policy 2010 "Contracts Signature Authority and Review,"
• Policy 2425 "Recovery of Facilities and Administrative Costs"

Office of the Vice President for Research, "Proposal Development and Award Guide"

Contacts

Direct any questions about this policy to Office of the Vice President for Research or the HSC Office of the Vice Chancellor for Research.

Procedures

1. Faculty shall follow procedures for proposal preparation and submission as outlined, from time to time, in the procedures promulgated by the Office of the VPR, for main-campus and branch-campus sponsored research, and the VCR-HSC for HSC sponsored research.

1a. Faculty Research Support Services (FRSS), under the direction of the VPR, provides assistance to non-HSC faculty and staff by:

• Finding funding sources matching research interests and project development.
• Developing and preparing proposals (including budget).
• Navigating UNM's proposal process.
• Planning, coordinating, and supporting large and complex proposal efforts requiring numerous partnerships and multidisciplinary collaborations.

FRSS also acts as liaison between the sponsor agency and the faculty when requested to do so.

1b. The Office of the VCR- HSC provides services similar to those described in 1a above to HSC faculty and staff.

2. The office of the VPR will coordinate closely with the main-campus and branch-campus principal investigators and appropriate members of the Contract and Grant Accounting Office to ensure that the prior approval function, of modifying grant and contract budgets in force, is in accordance with the regulations of the sponsoring agencies or foundations. Similarly the office of the VCR-HSC will coordinate closely with the principal investigators and appropriate members of the HSC sponsored research management teams to ensure that the prior approval function, of modifying grant and contracts budgets in force, is in accordance with the regulations of the sponsoring agencies or foundations.

3. In consultation with the Provost, the OVPR, and the Faculty Senate Research Council, a formula (or algorithm) for the distribution of the main campus and branch campus F&A funds to units and centers, shall be developed by the OVPR and posted on the OVPR’s website on an annual basis for main-campus sponsored research. The annual budget shall also be posted on the OVPR’s website

Similarly, in consultation with the OVCR-HSC and the Faculty Senate HSC Council, a formula (or algorithm) for the distribution of the HSC F&A funds to units, centers, and institutes, shall be developed by the OVCR, approved by the Chancellor, and posted on the OVCR’s website on an annual basis for HSC sponsored research. The annual budget shall also be posted on the OVCR’s website.

4. Actual F&A distributions for main campus sponsored research, for each fiscal year shall be documented and posted on OVPR’s website no later than three months after the end of the fiscal year. Similarly, actual F&A distributions shall be posted on the website no later than three months after the end of the fiscal year.

5. During the regular academic year when the contract or grant calls for released time from regular UNM duties, the basic nine-month salary from the instructional budget will be reduced proportionally. The released time will be compensated from contract or grant funds at the basic salary rate.

History

Effective:
October 27, 2015—Approved by the Faculty Senate