How to Apply for an E80/UAP 3720 Waiver

Summary of E80 

Faculty Handbook E80: Conflict of Interest Waiver Policy for Technology Transfer (E80) was adopted by UNM in response to NM Law  § 21-28-25 NMSA 1978.  The purpose of this policy is to allow UNM researchers to commercialize their research while protecting UNM’s intellectual property interests and research integrity. The E80 waiver process fulfills the disclosure and approval process required by UAP 3720: Employee Code of Conduct and Conflicts of Interest for those UNM employees who have an ownership or equity interest in a start up (or other outside entity) that is also providing materials or services to UNM. 

Although this guidance is posted on the COI in Research Page, the procedure is facilitated through this Office, Rainforest Innovations, The Provost’s office, The Office of University Counsel, and the President’s Office.  This page is intended to give you information regarding the process and how it plays out. 

The E80 Process 

Final approval of the E80 waiver is granted through the President’s office.  The process is initiated by either Rainforest Innovations or a the researcher themselves submitting an application for an E80 Exemption.  A Word template can be found here: E80 Application Template. This template is for a combined E80 waiver and UAP 3720 approval in case you wish to apply for both. 

1. You should start by notifying your Chair/ Center Director/or Dean if UNM space, equipment, or personnel are going to be involved in the work described in your application.  The notification should be in the form of a memo, which you will also attach to your application to the President. 

2. You will send your application to The UNM President, with copies to the Provost, the Vice President for Research, the Chair of the Conflict of Interest Committee, The COI Director and The Office of University Counsel.  The current email addresses for the incumbents of these positions is included in the template.

3. Upon notification that the application has made, the Director of the COI Office and the Chair of COI Committee D committee will review the application and the COI Office will prepare documentation for the COI committee to meet (usually less than business 30 days after the applications has been received) and review the application.

 4. The COI Committee will then make a recommendation, along with possible stipulations, to the Provost and President for approval. 

5. The President’s office will notify the applicant, Rainforest Innovations, ORIC, the provost and the Office of University Counsel of the final decision. 

Some tips for your application: 

According to State Law, the exemption can only be granted if the president finds all the following conditions are met by your proposed activities so make certain that you address these in your application 

  1. A detailed description of your  interest in the company or private entity.
  2. A detailed description of the proposed undertaking;
  3. A description of how the proposed undertaking will benefit the economy of this state;
  4. A statement and justification that the proposed undertaking will not adversely affect research, public service or instructional activities at the university,
  5. A statement and justification that your interest in the company or private entity or benefit from the interest will not adversely affect any substantial state interest.

Questions about this process?

Please contact the friendly staff at the COI office: 277-1045 or

Please note that we can only advise you on the E80 waiver process. We cannot help you with your application, nor, once it is through COI review, track its progress.