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Grants Compliance and Grants Management

Procedures

By Sharon Stewart Cole, PhD, MBA

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Introduction Compliance includes:

Cost principles Federal rules and regulations University policies Conflict of interest Scientific misconduct Human subjects Animal care

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Objectives of Presentation Define cost compliance and

accountability. Discuss the roles of Administrators

and Faculty. Identify the challenges faced by Grants Managers.

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Compliance and Accountability OMB Circular A-21 Cost Principles Allowable costs are defined as:

Necessary Allocable Reasonable

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Unallowable Costs

Fails test of necessary, allocable, and reasonable. Application guidelines are another source of costs exclusions.

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Faculty and Administrators

Knowledge of regulations and sponsor guidelines.

Provide adequate documentation of costs.

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Example: Equipment Purchase Copies of bids from

vendors. Analysis of equipment

model best suited for need.

Analysis of proposed delivery schedules and their impact on project.

Cancelled check and receiving report.

Accounting records showing payment.

Equipment added to inventory.

Annual inventory.

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Challenges to Grants Managers Manage granting

process from beginning to end.

Comply with Federal regulations.

Success in proposal submissions and post-award administration.

Provide expertise and guidance.

Support creation and dissemination of new knowledge or improved instruction.

Train faculty and staff on proper conduct for compliance.

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Why do we bother? Increased concern of federal officials

for public accountability of funds. Greater exposure to public scrutiny

and potential liability. Risk of losing federal funds. Federal audits and loss of public

trust .

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Conclusion “Make sure you spend

it for what we gave it to you for.”

Faculty and administrators should be familiar with regulations.

Faculty should talk to other colleagues.

Administrators should attend SRA or NCURA training.

Faculty should ask for feedback when in doubt.

Grants Managers should disseminate information early and often.