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Exception Request Process

Responsibility Matrix - Vice President for Research and Office of Sponsored Projects

AreaOSP ResponsibilitiesOVPR ResponsibilitiesProcess to Request Exceptions
Proposal Submission

Review proposal packages ensuring proposal meets:
a) UNM and sponsor submission deadline policies and other requirements
b) UNM financial compliance
c) UNM legal requirements, and
d) Federal and state audit, regulatory, and reporting requirements.
Otherwise, OSP will use 'best efforts' to process submissions outside of submission deadline policy when resources allow.

OVPR can grant exceptions for:

a) OSP to review and submit proposals that did not meet the deadline policy when needed

1) PI requests exception to ADR* prior to submission deadline (copying OSP)
2) ADR reviews the request.  If supported forwards to OSP Manager, copying OVPR (Henning)
3) OSP Manager analyzes and provides recommendation to OVPR
4) OVPR advises OSP and ADR of decision

F&A Rate UsageReview budget and budget justification and apply:
a) 2 CFR 200 Cost Principles and
b) UNM's federally directed indirect rate agreement,
c) the agency's published guideline rate, or
d) UNM’s state agency rate memo.

When outside of standard policy, procedure, process and/or guideline, consider exceptions to use a different rate from our rate agreements and 2 CFR 200 following the F&A Waiver Process.

PI requests  exception to standard F&A waiver process:

1) PI submits exception to ADR
2) ADR notifies OSP and OVPR at least 2 business days prior to 5 business day submission window  
3) OSP will review request and provide recommendation to OVPR
4) OVPR advises OSP and ADR of decision

On/Off Campus F&A Rate Determination

Follow on/off campus rate determination guidance to review proposals that request off campus rate.  Proposal should include a clear and detailed budget justification indicating off campus location where SOW is being conducted and percentage of time spent at that location.  Proposal budget must include lease or rent of off campus location if the location is not being provided by a sponsoring agency.

Consider exception to use a different rate from OSP determination. 

PI requesting off campus rate:

1) PI submits exception to ADR
2) ADR notifies OSP and OVPR at least 2 business days prior to 5 business day submission window
3) OSP will review request and provide recommendation to OVPR
4) OVPR advises OSP and ADR of decision

Cost Share

Enforce Uniform Guidance (UG) on cost share §200.306.  Follow UNM policy 2430 which states UNM will agree to cost share only when required by the sponsor.  

Support enforcement of Uniform Guidance and UNM policy 2430.

UNM cost share only allowed when required by the sponsor. No exceptions.

* Provost Units will submit to Nicole Dopson (Student Affairs Continuing Education, Honors College, Diversity Programs and UNM Branches)
  VPR units will submit to Patricia Henning