PLANNING AND GENERAL PROCEDURES
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The life cycle of a restricted project is typically:
::::: Proposal Stage – finding a funding source, assembling the proposal package, Pre-Award review, approval, signature, and transmission/mailing to potential sponsor.
::::: Just in Time – when the sponsor has reviewed the proposal and requests more information, clarification, or adjustments to the proposal. (This is sponsor driven, and may not occur.) Information transmitted to the sponsor requires Pre-Award review and approval.
::::: Award Stage – when the award document is secured and all final documents (internal and external) including the budget amounts are set. Oversight is then transferred from Pre-Award to Post-Award.
::::: Active Stage – Post-Award issues the award index number and is responsible for invoicing the sponsor. They also perform oversight on the expenditures, prepare financial reports and monitor the requirements of the award.
::::: Closeout Stage – Post-Award is responsible for coordination of the closeout, including final financial reporting, invoicing and disposition of equipment.
The following procedures are general guidelines for submitting proposals. All proposals submitted on behalf of the University of New Mexico are required to be reviewed and approved programmatically by the unit head and dean or director. In addition, all proposals require administrative review and approval. At a minimum, administrative approval will need to be obtained by the PI from the unit head and dean or director and the respective Pre-Award offices. Proposals involving such issues as multiple department involvement, cost sharing, program income, reduced facilities and administrative costs (F&A), conflict of interest, human subjects, animal subjects, etc., will require additional reviews and approvals. Allow adequate time to obtain necessary approvals.
1. Discuss the project idea with the department/division/unit head (e.g. chair), and as appropriate, department/unit administrator, dean, director, or other colleagues, to determine project acceptability and compatibility with department plans.
2. Contact the department/unit administrator initially to discuss budget issues, letter of intent, department/ unit personnel, pre-proposal, white papers, etc. Discuss the project idea with the resource personnel at Pre-Award. Assistance is available for identifying funding sources, proposal development, budget preparation, interpreting agency and proposal guidelines, proposal processing, or any other appropriate needs (see appendix for appropriate division).
3. If the proposal is unsolicited, consider preparing a prospectus according to agency guidelines and suggestions. Contact the agency first to determine if they will accept a prospectus. Present the prospectus to the potential sponsor for review/critique. When practical, in-person and telephone presentations are desirable. Any prospectus, pre-proposal, white paper, letter of intent, etc., with a budget must be processed with the same guidelines as a full proposal.
4. If the proposal is large and complex, the respective Pre-Award office should be contacted early in the cycle of preparing the proposal. Large and complex proposals are those that require institutional commitment and/or oversight beyond the normal research award. Examples of conditions that may qualify a proposal as large and complex would include: Subawards to more than one outside entity, substantial infrastructure improvements or capital equipment procurement, space requirements beyond which can be accommodated by a department or center, requirements of sustainability beyond the lifetime of the award, large dollar amounts, or substantial institutional commitment to the success of the proposed project.
5. Limited competitions are coordinated centrally by OVPR for the University of New Mexico. Limited competitions are frequently employed by funding agencies, both federal and non-federal. In these instances, the University (and sometimes the state) is limited to submitting a designated number of proposals (e.g. one per institution, two per department, one per state, etc.). Limited competitions are announced in one or more of the following ways: Memos to the chairs, deans, and directors; electronically through the OVPR Email Alert Service http://research.unm.edu/forresearchers/email_alert_services.cfm and postings at the OVPR web site http://research.unm.edu. Pre-proposals are invited and reviewed by ad hoc (and sometimes outside) committees and are given final approval by the Vice President for Research and Economic Development. Approved finalists may then prepare a full proposal to the funding agency.
6. In any preliminary proposals or discussions with a prospective funding agency regarding the budget, always consider the F&A costs and the costs of employer fringe benefits. These are real costs that must be included in the budget.
7. Write the proposal oriented to agency priorities and the agency's response to the prospectus if applicable. If the proposal is in response to a solicitation (Request for Proposal, Request for Quotation, Broad Agency Announcement, Research Announcement, etc.), follow the agency guidelines in writing the full proposal. Any proprietary information in the proposal should be duly marked. For more information, see guidelines at the OVPR web site http://research.unm.edu/PoliciesProcedures, or the OVPR–Research and Technology Law (OVPR–RTL) web site http://www.unm.edu/~counsel/research/research.html. At no time may the PI make any commitments on behalf of the University unless it has been institutionally approved.
8. After the department/unit head and administrator have reviewed the draft, the PI is encouraged to present the complete draft budget and program announcement to the respective Pre-Award office for review and preliminary approval before beginning the signature cycle.
9. Follow guidelines for department/division/unit proposal processing (i.e. approvals and signatures). Consult with the department/unit administrator as to how much time is required for this step.
10. Present the original of the completed proposal or prospectus with a properly signed cover sheet, program announcement or solicitation, Proposal Data Sheet (PDS) and Conflict of Interest Disclosure forms to Pre-Award for final processing, review, and administrative approval. If the proposal is to be submitted in a language other than English, an English translation must also be submitted. Include any representations, certifications, or contractual language provided by the sponsor before the intended submission date. This will enable Pre-Award to review and complete the necessary forms to be included in final proposal submission. All proposals must be submitted a minimum of five working days before agency deadline. NIH Grants.gov proposals must be submitted to Pre-Award office 10 working days prior to agency deadline.
11. After the respective Pre-Award office has processed and returned the proposal to the PI, the PI is to transmit the original and the required number of copies of the proposal to the funding agency, unless otherwise advised. In the case of electronic proposal submission (e.g. NSF FastLane, grants.gov) the final proposal submission is done by the Pre-Award office.
12. Any subsequent written communication that would modify the original proposal in any manner should be submitted first to the department/unit administrator for review and then to the Pre-Award office for review, approval, and certification prior to transmittal to the agency. Substantial revisions require resubmission of internal forms, and the proposal must be processed as if it were a new proposal.