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 Investigators is 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.
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, 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/publications.