FOR PRINCIPAL INVESTIGATORS

Valerie Roybal

Description

HSC Pre-Award web site (http://hsc.unm.edu/controller/preaward) has useful information ..... Award Stage – when the award document is secured and all final documents (internal and ..... Postdoctoral Associate or Fellow is an individual who holds a doctoral ...... Virginia Shipman, Ph.D., Chairperson ... Email: [e-mail] ...

Informations

• Publié par: paul.vallen
• Nombre de lectures: 83
• Langue: English

Extrait

Proposal Submission and Sponsored Project Administration

GUIDE  FOR PRINCIPAL INVESTIGATORS

Office of the Vice President for Research and Economic Development Executive Vice President for Health Sciences Revised September 2007

TABLE OF CONTENTS

Introduction Sponsored Projects at UNM What is a Sponsor? What is a Sponsored Project? Signature Authority Types of Agreements Standard Format Contracts Donations and Charitable Contributions/Gifts Planning and General Procedures Pre-Proposal Development Process Role of Research Development Services Electronic Research Administration Types of Proposals Proposal Format Budget Categories Personnel Salary: Faculty Salary: Staff Salary: Students Salary: Postdoctoral Fellows Fringe Benefits Materials and Services Travel: Domestic and Foreign Equipment Consultants/Independent Contractors Consultants: Determined to be UNM Employees Honorarium Student Costs Participant Costs Patient Care Costs Tuition Space Rent Subawards Facilities and Administrative Costs (F&A) Other Issues Program Income Unrelated Business Income Tax (UBIT) Foreign Nationals Industrial Security and Export Control Effort Certifications

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5 8 8 8 9 9 11 12 14 17 19 20 23 25 28 28 30 32 33 34 34 34 35 35 35 35 36 36 36 36 37 37 37 38 40 40 40 41 41 42

Approvals Cost Sharing or Matching Space Allocation Committee Human Subjects Laboratory Animals Recombinant DNA Molecules Select Agents Other Biohazardous Agents Hazardous Chemicals Other Proposal Data Sheet/HSC Proposal Data Sheet Conflicts of Interest in Research Timing of Proposal Submission Lifecycle of a Proposal Role of the Principal Investigator Role of the Pre-Award Offices Role of the Department/Unit Post-Award Functions Role of Post-Award Office Role of Internal Audit Role of External Audits, Reviews, Site Visits, or Investigations Awards Pre-Award Costs Budget Modifications Extensions Other Changes Record Retention Transfer of Principal Investigator to Another Institution Transfer of Sponsored Projects Transfer of Equipment Purchased with Expired Awards Transfer of Project to Another Principal Investigator Internal Transfer of Principal Investigator between Colleges/Schools/Centers Proposal Submittal Checklist–Main Campus and Branch Campuses HSC Grant Proposal Checklist Acronyms References/Forms Frequently Required Information Main Campus and Branch Campuses Health Sciences Center Office Contact Information UNM Account Codes

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FOREWORD

This guide for proposal preparation and sponsored project administration is published by the Office of the Vice President for Research and Economic Development (OVPRED). It is intended to assist principal investigators (PIs) in writing, processing, and submitting proposals, and in administering contract and grant awards. Many departments, divisions, and centers have internal procedures in addition to those described in this document. Each PI should contact his or her department/unit administrator when embarking on a proposal effort. Furthermore, Pre-Award reviews proposal budgets and administratively reviews proposals and awards for the Health Sciences Center.

It is important to note that both the main campus (including all branch campus locations) and the Health Sciences Center have centralized offices for review, approval, and fiscal management of grant/contract proposals and awards. The main campus pre-award function is managed by OVPRED; the post-award function is managed by the Contract and Grant Accounting Office. HSC pre-award and post-award functions are managed by HSC Financial Services.

The Guide for Principal Investigatorsis available in electronic format at the OVPRED web site (http://research.unm.edu/publications), along with many other research administration related publications, policies, forms, funding opportunities, and links to other useful sites. The HSC Pre-Award web site (http://hsc.unm.edu/controller/preaward) has useful information for principal investigators at the UNM Health Sciences Center.

Suggestions for enhancing the usefulness of this guide are welcome. It is the intent of the OVPRED to update this guide on a regular basis. As revisions and updates occur, they will be made available in electronic format at the OVPRED and HSC Pre-Award web sites (listed above).

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INTRODUCTION

The University of New Mexico (UNM) received $298.5 million in sponsored project funding (research, instruction and training, public service, and other sponsored activities) during fiscal year 2006. UNM currently ranks among the top 100 U.S. research universities, based on total research and development expenditures. In becoming familiar with this guide, the University welcomes all researchers interested in becoming principal investigators to join the competitive and fulfilling process of seeking, applying for, and receiving research funding.

UNM receives funding from over 400 different funding agencies and organizations. Support comes from the federal government, state and local government, private and corporate foundations, business and industry, national laboratories, other universities, non-profit organizations, and foreign entities. This wide array of funding sources supports projects in many disciplines at UNM, and the needs of our principal investigators are as diverse as the funding sources. Funding is sought to support scientific research, curriculum development, workshops, clinics, patient care, training, exhibitions, and a wide range of scholarly activities. Individual proposal budgets can include salaries and wages; fringe benefits; equipment; materials and supplies; travel; etc. Funding of individual projects can range from a few hundred dollars to many millions; all are important, and all contribute to the richness and vitality of the University.

The Guide for Principal Investigatorsis designed to help PIs understand research administration at UNM and their obligations as a UNM PI. PIs are encouraged to become familiar with the contents of this guide as it strives to demystify the numerous aspects of doing business with the various offices, including identifying funding sources, developing sound project management plans, securing approvals for proposals, and completing necessary forms. The Office of the Vice President for Research and Economic Development and HSC Financial Services welcome questions from PIs and staff members are always available to provide assistance. PIs are encouraged to work closely with staff to understand each particular program announcement to which they are responding, and through each subsequent step of the proposal process.

One of the goals of the University is to catalyze and enhance research and education at UNM, while maintaining the highest levels of research integrity. Both the Office of the Vice President for Research and Economic Development and the HSC Office of the Vice President for Translational Research proactively provide the leadership and logistical support needed to elevate and integrate research and education at UNM to the highest possible levels of success. The staff provide a wide range of services to fulfill this mission and strive to be of assistance to UNM’s PIs in every possible way. Please note that this guide cannot address all the individual funding agency nuances or ongoing changes in the funding environment.

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The principal investigator has several resources available to identify potential funding sources. The Office of the Vice President for Research and Economic Development’s Research Development Services (RDS) creates and distributes research-related publications, maintains the OVPRED web site (http://research.unm.edu), disseminates information about research- related and funding opportunities, coordinates limited funding competitions, provides technical assistance, and engages in strategic planning. RDS conducts workshops, seminars, and training for faculty, staff and students in support of the University’s research mission.

RDS is also responsible for supporting electronic research administration at UNM by maintaining and developing several databases that are accessible from the OVPRED web site including the SMARTS|GENIUS Researcher Profiling and Funding Matching System and the Midas Databases of Funding Sources. SMARTS|GENIUS allows UNM faculty to record their research profile and receive funding information automatically via email. The UNM research community can access Midas to search a number of public and private databases to look for funding sources.

RDS staff work with various offices on campus to expand opportunities for UNM’s research environment. Services are provided to help faculty develop large-scale proposals and programs that are required of multi-disciplinary initiatives. This includes setting up preliminary interest meetings with faculty, identifying potential collaborators, assessing compatibility of project with funding opportunity, reviewing proposal drafts, and assisting to create inter-institutional partnerships.

The Office of the Vice President for Research and Economic Development’s Sponsored Projects Services (SPS) serves as the University's official “clearinghouse," or pre-award services, for all proposals from the main and branch campuses.

All proposals from the Health Sciences Center are processed through HSC Pre-Award Administration. The Health Sciences Center’s Pre-Award Administration supports the School of Medicine, College of Nursing, College of Pharmacy, and Health Sciences Library and Informatics Center in the pursuit of external funding to achieve programmatic missions related to instruction, research, public service, and patient care. Both of these offices will be referred to in this guide as Pre-Award.

Pre-Award provides information regarding external funding, facilitates communications between principal investigators and external agencies, and reviews proposals for accuracy, completeness, and compliance with all applicable state and federal regulations as well as University policies and procedures. Pre-Award also reviews and negotiates awards to ensure terms and conditions are in the best interests of the University and the principal investigators.

The University of New Mexico is committed to monitoring campus compliance with the range of state and federal policies that regulate research activities in the following areas: responsible conduct of research, research ethics, human subjects research, the humane care of animals used in research and testing, the management of conflicts of interest in research,

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research fraud prevention, and other areas of oversight. To support these efforts UNM has an Office of Research Compliance (http://research.unm.edu/recs), the Human Research Review Committee (http://hsc.unm.edu/som/research/hrrc), the Office of Animal Care and Compliance (http://hsc.unm.edu/som/research/acc), and Conflict of Interest Committees.

Post-Award functions for the University are handled by Contract and Grant Accounting Office for main and branch campuses and HSC Financial Services Post-Award for the Health Sciences Center. This guide will refer to these offices as Post-Award. Post-Award assists the principal investigator and department with fiscal management of awards received in order to ensure compliance with generally accepted accounting principles, university business policies and procedures, terms and conditions of the award, as well as state, local and federal regulations. Post-award is responsible for management of a contract or grant once it is awarded. Both offices are responsible for grant set-up in the Banner Finance system, monitoring expenditures for compliance with terms of the award, invoicing and collections, filing the Financial Status Report, and close-out of the award after it has ended.

In closing, the University encourages researchers to use this Guide as a roadmap for proposal and award efforts. As changes and revisions occur, this document will be revised and posted online (http://research.unm.edu/resources).

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SPONSORED PROJECTS AT UNM

What is a Sponsor? In the context of this guide, a sponsor is an entity outside of the University that contracts with or provides a grant or cooperative agreement to the University for the purpose of funding a particular project. A sponsor can be a federal, state, or local government agency; a non-profit foundation or organization; a small or large for-profit company, domestic or foreign; or another university.

What is a Sponsored Project? In the context of this manual, a sponsored project is research, instruction, public service, or other project involving funds, materials, or other compensation from an outside source under an agreement that usually contains the following elements:

NThe agreement binds the University to perform the project described by a written Statement of Work.

NThe total amount of funding available for expenditures is based on a cost plan.

NInitial pricing, expenditures, and/or performance may be subject to external audit.

NReimbursement (or payment in the case of fixed-price or fixed-rate agreements) is contingent on completion of specified deliverables as described in an agreement.

Nthe disposition of either tangible or intangible propertiesThe agreement provides for that may result from project activity. Tangible properties include equipment, records, technical reports, and theses or dissertations. Intangible properties include rights in data, copyrights, inventions, or other intellectual properties.

The agreement for a sponsored project can either be a contract, grant, gift, or cooperative agreement, and varies by sponsor and the source of the funds. In general, a contract has specific deliverables, usually in the form of an end product. The scope of work is determined by the needs of the sponsor. In contrast, a grant generally is given in support of a faculty member’s research area with fewer reporting requirements and greater flexibility in the programming of the funds and scope of work. A gift or donation has no expectation of future benefit to the donor/sponsor. Finally, a cooperative agreement includes characteristics of both a contract and a grant but is unique in that the scope of work is to be accomplished by both the sponsor and the PI. All of these have requirements that must be met, and if not handled properly, may have serious ramifications for the University and/or the PI. Assistance with compliance issues can be obtained from OVPRED–Office of Research Compliance or Pre- Award.

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Signature Authority Proposals are submitted by PIs on behalf of the Regents of the University of New Mexico. As such, all proposals must be approved institutionally before they can be sent to a funding agency. There are procedures outlined in this guide describing what types of reviews and approvals must be obtained for proposals and awards. In general, proposals are institutionally approved by designated individuals at the Pre-Award offices and awards are institutionally accepted by designated individuals in the Office of the Associate Vice President for Financial Services. Designated authority for various types of agreements between UNM and outside entities can be found in theUNM Business Policies and Procedures Manual (UNM BPPM), Policy 2010 — Contract Signature Authority and Review.

PIs, chairpersons, deans, directors, and other faculty or staff are not authorized to enter into agreements with entities outside of the University, except as designated inUNM BPPM, Policy 2010. Since a proposal is an offer (agreement) to perform research, services, etc. in exchange for funding, proposals must have institutional review and approval. Great care should be taken when dealing with funding agencies so they do not mistake preliminary discussions for institutional commitments.

Types of Agreements In general, awards can be classified as contracts, grants, cooperative agreements, or gifts, and are distinguished as follows:

Contract by industrial sponsors or by federal, state, or— A contract is primarily issued local governments for a detailed statement of work with final or milestone deliverables. All contractual terms to be followed are in the agreement, including budget flexibility, though there are frequently references to other applicable regulations. Contracts require the signatures of both parties for initial acceptance and for any modifications. Contracts can be fixed-price or cost-reimbursable. Fixed-price contracts are contracts for a specific amount of payment to UNM based upon satisfactory completion of the terms of the contract. The proposed costs are reviewed and pre-audited by the sponsor prior to award. Cost-reimbursable contracts, particularly for research projects, recognize the fact that the costs in the proposal are only an estimate, and UNM is responsible for doing the work in the contract only as funds are available. The contract usually requires notification to the sponsor before funds are depleted, and the sponsor can decide whether to continue the work and provide additional funds, or to accept the work done. In the latter case, the deliverables are typically either due at regular intervals throughout the contract period, or may only be a final report of research activities completed. Cost-reimbursable contracts are audited during, or more typically, after the award has ended.

Contracts are referred to by many names including: Memorandum of Understanding, Memorandum of Agreement, Collaborative Agreement, Basic Ordering Agreement, Joint Powers Agreement, Professional Service Agreement, etc. There are specific types of contracts such as a Teaming Agreement, Material Transfer Agreement (MTA),

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Confidentiality Agreement, Loaned Property Agreement, Clinical Trial Agreements, Cooperative Research and Development Agreement (CRADA), etc.Any contract between the University and an outside entity or organization must be signed by a duly authorized individual at the University.Contracts or agreements involving sponsored projects, loan of research equipment, use of research facilities, use of research faculty or other personnel, etc., should be routed through Pre-Award whether or not funding is involved.

A specialized contract seen with more frequency is an Intergovernmental Personnel Agreement (IPA). This type of cost-reimbursable contract is used by the sponsor to “borrow” UNM personnel to work directly for the sponsor or vice versa. The UNM employee remains a UNM employee during the period of the agreement, but is usually assigned to work physically at the sponsor’s facility. The UNM employee retains all UNM benefits during the agreement. Depending on the assignment, the sponsor may directly reimburse the UNM employee for travel or relocation expenses, and may also provide additional compensation to the UNM employee for equity purposes. IPA agreements typically last no more than two years.

Grant — A grant is the most common instrument used by the federal government and private and corporate foundations for funding work at a university such as UNM. Grants are given as a result of a principal investigator proposing a particular study or particular avenue of research. The sponsor recognizes they are partially supporting the research program, with other support coming from institutional funds or other sponsored awards. Grants are likely to be more flexible than contracts, but also have terms and conditions that must be followed. Typically, a grant does not have dual signatures on the award document, but the PI and UNM are agreeing to adhere to the agency’s terms and conditions by signing the proposal application. Grants are subject to audits by the University’s outside audit agency annually. They may also be audited by the sponsor.

Cooperative Agreement– A cooperative agreement is similar to a grant but has statutory criteria that anticipates there will be substantial involvement between the agency and the recipient during the performance of the award. Depending on the funding agency, it may appear more like a contract than a grant.

Clinical Provider Agreements — For the sale of medical services to an external entity. This is typically not a sponsored project.(Note: Do not confuse provider agreements with Clinical Trial Agreements, which are sponsored project contracts, as listed above.) Clinical Provider Agreements are process through the Office of Clinical Contract Services, a division of the UNM Medical Group (UNMMG).

Gift— A gift is a donation, not a sponsored project. The sponsor retains no rights to any outcome of the research beyond knowing the gift was used as designated. A gift may be given by a sponsor in support of a faculty or staff member’s work. All gifts must be processed through the UNM Foundation.

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Funding methodology for multi-year projects may vary by sponsor. Most commonly, contracts or grants are awarded for the project period, which may span several years, but funded incrementally, most typically annually. The award is usually set up in the UNM financial accounting system for the period funded and then adjusted annually as the sponsor obligates additional funds. Annual increments are usually contingent upon the investigator showing progress (through reports and other deliverables) to the funding agency toward the proposed objectives and goals of the project.

It should be noted that sponsored projects are awarded to the institution and not to the individual PI. PIs should be aware that as representatives of UNM, they have obligations that extend beyond the research responsibilities of the award.

Standard Format Contracts In order to expedite the review and negotiation of various types of agreements, the University has created several standard format contracts. These contracts can be used as a starting point for negotiations with the sponsor. If the sponsor accepts the standard terms without revision, a contract can be approved very quickly. The types of standard agreements used by the University are:

Teaming Agreementoccasionally during proposal preparation to formalize the– Used current and future relationship of the members of the team preparing the proposal and to define roles after the award is executed. The teaming agreement does not define specific activities beyond award. A subaward agreement would be used after award. The teaming agreement may be used when dealing with industrial partners, and can be an exclusive or non-exclusive arrangement.

Industrial Sponsored Research Agreement (ISRA)– This agreement is suited for research projects funded by private sponsors. Since university and industry cultures are very different, it can help to give the sponsor a draft agreement at the proposal stage to enable them to better understand what terms are acceptable to the University. The terms most frequently negotiated in the ISRA are intellectual property issues. Both UNM counsel and Science and Technology Corporation @ UNM (STC) review any requested changes to the standard agreement.

Subaward Agreement– This agreement is used when UNM is the prime awardee and needs to subaward part of the scope of work to another entity. (This agreement is not used for a consultant or a vendor relationship.)

Non-Disclosure/Confidentiality Agreement– Typically used in consulting arrangements and/or when personnel visit a host’s (UNM or sponsor’s) facility. If there is a sponsored agreement in place, non-disclosure or confidentiality requirements are made part of the agreement. Otherwise, a separate agreement may be negotiated. The PI and an authorized UNM official typically sign this type of agreement.

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