Exception Request Process

 

AreaDescription of When Exception Requests are Needed & Applicable PoliciesProcess to Request Exceptions
Proposal Submission

Exception requests are needed if the proposal appointment does not comply with the process outlined in the OVPR Submission Guidelines Memo.

Per the OVPR Submission Guidelines Memo, all proposal elements and documents, including a fully routed and approved Cayuse SP record, must be in complete, final form at the start of the review appointment. When applicable, access to the sponsor portal (e.g., Fastlane) must also be granted to OSP at the start of the appointment. At the end of the appointment and with approval from the Pl, OSP will submit the proposal to the sponsor.

PI requests exception to proposal submission guidelines:

  1. PI requests exception to the process via email to ADR or Center Director prior to submission deadline.
  2. ADR or Center Director reviews the request.  If supported forwards to OSP Proposal Team Manager
  3. OSP Proposal Team Manager analyzes and provides recommendation to OVPR
  4. OVPR advises OSP Proposal Team Manager of decision.
  5. OSP Proposal Team Manager communicates the decision to ADR or Center Director and PI.
F&A Rate Usage

The standard F&A usage should follow the guidelines outlined within the Federal/Non-Federal Rate Agreements or specified on a published solicitation. To request an exception to the standard F&A process, departments may purse an F&A reduction request. If a reduced F&A is requested and an award is made, please be advised that the difference between the full F&A rate and the amount that is recovered will be deducted from the F&A return to your [Level 3] Index.

Alternatively, PIs may request an exception to the F&A rate usage by following the process to request exceptions.

 

Per 2 CFR 200 Cost Principals, negotiated rates must be accepted by all federal awarding agencies. Pass through entities are subject to these rates as well.

PI requests exception by following the steps below:

  1. PI submits an email that includes the justification for their reduced rate usage to their ADR or Center Director at least 2 business days prior to the scheduled proposal review appointment.
  2. ADR or Center Director reviews the request. If supported, submits the completed form to the OSP Proposal Team Manager.
  3. The OSP Proposal Team Manager will review the request and formulate a recommendation for the OVPR.
  4. OVPR advises OSP of decision.
  5. OSP Proposal Team Manager communicates the decision to ADR or Center Director and PI.
On/Off Campus F&A Rate Determination

An On- or Off- campus rate determination for all projects that request an off-campus rate. In order to be considered, the project must meet the definition of Off-campus as stated on page 4 of UNM’s Federally Negotiated Rate Agreement.

On/Off-Campus Rate FAQs can be found here

 

PI will need to review the Research Operating Procedure for the On-campus and Off-campus Facilities and Administrative Rate Determination:

  1. PI submits an email addressing the percentage of the period of performance that will be conducted off-campus and how the space will be paid for or offered at no cost. The email should be addressed and sent to the ADR or Center Director at least 2 business days prior to the scheduled proposal review appointment.
  2. ADR or Center Director reviews the request.  If supported, forwards the request, Cayuse record number and a note regarding support to OSP Proposal Team Manager.
  3. OSP Proposal Team Manager will review the request and formulate a recommendation for the OVPR.
  4. OVPR advises OSP of decision.
  5. OSP Proposal Team Manager communicates the decision to ADR or Center Director, PI, and proposal reviewer.
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.  

UNM cost share only allowed when required by the sponsor.

* Provost Units will submit to the Dean, Director or Vice President of the unit to review the exceptions prior to submitting the request to the OVPR (Student Affairs Continuing Education, Honors College, Diversity Programs and UNM Branches)
VPR units will submit to the Associate Vice Predisdent for Research