University & Industry Partnerships
The University of New Mexico has a long history of cooperation with industry in support of research. Industry collaboration benefits the mutual health and productivity of industry and society. Cooperative arrangements help the university to achieve its goals for research, teaching, public service, and cultural diversity.
University & Industry Partnerships
This guide is a summary of the general policies applicable to research agreements between the Board of Regents of the University of New Mexico and industrial and commercial organizations. These policies reflect the University of New Mexico's position as a publicly supported educational institution.
Corporate Identity
UNM is a public university governed by the Board of Regents of the University of New Mexico, a corporate body under the laws of the State of New Mexico. All research agreements must be issued in the name of the “The Regents of the University of New Mexico.”
University Organization
The Office of the Vice President for Research (OVPR) is responsible for establishing policies for research agreements consistent with the policies of the Board of Regents. The President has delegated the authority to solicit and negotiate awards to the OVPR; individual contracts are handled by OVPR Sponsored Projects/Pre-Award for the main campus and the Health Sciences Center (HSC) Pre-Award Office for the HSC. The Board of Regents has delegated the authority to accept awards to the Controller. OVPR processes proposals, negotiates awards, and provides pre-award administration. Contract and Grant Accounting sets up accounts in the financial system and provides post-award administration, in conjunction with OVPR. The Patent Administration Office (PAO) administers UNM’s intellectual property and the Science & Technology Corporation @ UNM (STC) licenses it and creates collaborative research relationships specifically to enhance new inventions.
Project Establishment
Initial discussions between industrial sponsors and UNM faculty and senior research staff are encouraged to confirm mutual interest. However, sponsored projects can be formally established at UNM only after a carefully defined research proposal, including a budget, has been submitted and approved through regular internal review procedures. An acceptable funding agreement must be negotiated and executed by authorized representatives of both parties. OVPR has final authority for approving proposals from the University.
Project Administration
UNM policies pertaining to conflict of interest, the protection of human subjects, bio-safety, occupational and environmental protection, and animal welfare are applicable to all research conducted at UNM. The Principal Investigator has the responsibility for conducting the research and for assuring that only proper costs are charged to the proper account.
Payments
UNM requires full reimbursement of costs and advance funding on all agreements with for-profit companies. This includes direct costs for salaries, fringe benefits, materials and services, equipment, and related expenses; and indirect costs at UNM approved rates. UNM is not permitted to use state funds to finance work on these agreements. Payment of 50% of budgeted costs is expected upon signing of an agreement, although the schedule of payments can be adjusted depending on type, scope, and length of project, and anticipated schedule of actual expenditures.
Termination
If a funding agreement is terminated by the sponsor, the sponsor will be expected to reimburse UNM for all costs incurred to the date of termination and for all remaining non-cancelable obligations.
Publication Policy
The teaching and research environment must remain open to promote the exchange of ideas among faculty and students. UNM's research activities are conducted as an integral part of the total educational program. These activities often form the basis for articles in professional journals, seminar reports, presentations at professional meetings, and student dissertations and theses. Additionally, restrictions on publication will deprive the project of certain exemptions from federal export control laws. Therefore, UNM will undertake research or studies only if the results can be published or otherwise promptly disseminated. Copyright and publication rights for research results belong to UNM and/or the author. UNM typically agrees to a ninety (90) day review period for patenting or screening of proprietary information.
Intellectual Property
UNM's intellectual property policies promote the progress of science and technology, assure that discoveries and inventions are used to benefit the public, and provide recognition to the inventor(s) and UNM. UNM usually retains ownership to all inventions, discoveries, and data arising from its research, whether or not patentable. The first right to negotiate for exclusive license rights may be granted to an industrial sponsor. Royalties may not be negotiated until the technology is ready for use. When there is a pre-existing UNM invention, a license or option can often be put into place with a research collaboration agreement.
Use of University Name
No sponsor is permitted to state or imply in any publication or other published announcement that UNM approves or endorses any product that might be manufactured, sold, or otherwise distributed. The name or logo of UNM may not be used in connection with any advertisement, press release, or other form of business promotion or publicity, or in reference to a research agreement, without prior written approval.
Liability, Risk, & Best Efforts
Because research by its nature is unpredictable and without guarantee of successful results, UNM research is conducted on a “best efforts” or “reasonable efforts" basis. UNM will not accept contract provisions that guarantee results, provide warranty, impose penalties for failure to make progress by firm deadlines, or provide for withholding of payments if the sponsor is not satisfied with the results.
In addition both constitutional and statutory restrictions preclude UNM from contractually indemnifying another party.
Confidentiality
UNM can generally agree to maintain the confidentiality of company proprietary information. It normally cannot agree to confidentiality for information it creates. Separate agreements with the faculty are discouraged.
Restricted Information
UNM may not generally accept information or technology that is subject to federal export control restrictions, such as the EAR and the ITAR. Many foreign nationals participate in UNM research, as students, faculty, and staff. If a research project would require sharing controlled or restricted information or technology with UNM, careful negotiations and planning need to take place to determine whether the project can go forward.
Contact
Any questions regarding contractual issues should be directed to the Office of Vice President for Research, phone: 505/277-6128 or email: research@unm.edu.
(Permission obtained from Arizona State University to use information contained herein.)
