Research Funds

If your awarded research project has a requirement for the purchase of goods or services, please review the information below to ensure that your department and therefore Mines is compliant with Federal and Mines purchasing requirements. 

All Sponsored Programs/Research Fund worktags begin with a “4” (4xxxxx).

For questions regarding a current or pending grant proposal or award outside of purchasing, please contact the Office of Research Administration.

 

Office Research Administration (ORA) Website

Website

Importance of Procurement Compliance

  • Compliance ensures that Mines is providing open and fair competition while receiving goods and/or services that best meet Mines’ needs for a fair and reasonable cost.
  • Audits: Use of grant funding is subject to regular audits to ensure that Mines is compliant with the requirements of the grant and federal and/or state law.
  • Loss of Funding: If it is determined that funds were improperly used and procurement procedures were not followed, Mines risks losing current or future research funding.

Purchasing Information

  • The purchase of goods and/or services using grant funds are not exempt from the Procurement Policy and Rules. No matter the funding source (federal, state, or private), Mines must follow the appropriate procedures for the pending procurement. Additionally, any exemptions listed on page 9 of the Procurement Policy and Rules are not applicable to research funds.
  • Competition is not required if the Vendor is explicitly required by (“named” in) the awarding document from the granting agency (not including the proposal of budget) . This means a purchase order can be issued without competition.
    • If you believe the vendor is named in the awarding document, please include that information in your procurement request. Procurement will work with the Office of Research Administration to verify prior to the issuance of a contract or purchase order.
    • If the vendor is not named in the awarding document, all procurement requirements must be followed.
    • Note: The quotes provided to the sponsor during the proposal stage demonstrates the amount you are asking for is fair and reasonable, it is not an approval by the sponsor to use that exact vendor.
  • Research Funding Period of Performance
    • Purchases made outside of the activity dates of the grant cannot be charged to the grant worktag.
    • In order to use research funds for a purchase, the goods and/or services must be fully delivered and/or rendered and fully invoiced before the expiration date of the grant.

Frequently Asked Questions (FAQs)

The vendor is listed in the budget of the grant award. Doesn’t this mean that they are required for the project?
  • Vendors listed in the proposal documents or in the award budget are not considered “named in the grant as a requirement” per the Mines Procurement Policy and Procedures.
  • The quotes provided to the sponsor during the proposal stage demonstrates the amount you are asking for is fair and reasonable, it is not an approval by the sponsor to use that exact vendor.
The consultant I need for the project helped me write the proposal. I can’t use anyone else. Can I contract with them without competition?
  • If any service provider (consultant, other services, etc.) offers unique services, or has unique knowledge that makes them the only viable partner on a grant project, please submit the Sole Source Request Form to Procurement. Procurement will evaluate the details and determine whether the services provided are approved as a Sole Source Procurement.
  • If a Sole Source is not approved, then the procurement must follow the competition requirements.

 

The consultant has already started work on the project. What do I need to do now?
  • Per procurement policy, any goods and/or services that, in total, exceed $5,000.00 must have a purchase order issued or a contract executed in advance of the delivery of goods or rendering of services.
  • If a purchase order was not issued prior to the start of work, the purchase is considered an “After-the-Fact” and must be approved by the Controller before payment can be issued.
  • If services or deliveries are ongoing, services or deliveries should be paused until the appropriate Procurement procedures are followed, which includes issuing a contract or purchase order for the remainder of the anticipated work.
A Mines faculty member helped me write the proposal, and now I need to hire them to assist with the project. What do I need to do?
  • Current Mines employees, or previous employees who have worked for Mines within the previous 12 months cannot be hired as a consultant (1099 Independent Contractor).
  • If the person is a current employee, they can receive payment from the project funds through a payroll allocation request.
  • If the person is a previous employee, Procurement will help facilitate the conversation with Human Resources (HR) to ensure that we are in compliance with State and Federal employment law.

General purchasing guidance, and thresholds are available on the Purchasing page.