This document discusses grants compliance and management procedures. It introduces compliance topics like cost principles, federal rules, and policies. It outlines the objectives of presenting on defining cost compliance and accountability, discussing the roles of administrators and faculty, and identifying challenges for grants managers. Key points are that grants managers must manage the entire grants process while complying with regulations, and that compliance is important for maintaining federal funding and public trust.

1. Grants Compliance and
Grants Management
Procedures
By Sharon Stewart Cole, PhD, MBA
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2. Introduction
 Compliance includes:
 Cost principles
 Federal rules and regulations
 University policies
 Conflict of interest
 Scientific misconduct
 Human subjects
 Animal care
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3. 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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4. Compliance and
Accountability
 OMB Circular A-21 Cost Principles
 Allowable costs are defined as:
 Necessary
 Allocable
 Reasonable
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5. Unallowable Costs
Fails test of necessary,
allocable, and reasonable.
Application guidelines are
another source of costs
exclusions.
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6. Faculty and
Administrators
 Knowledge of regulations and
sponsor guidelines.
 Provide adequate documentation of
costs.
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7. Example: Equipment
Purchase
 Copies of bids from  Cancelled check and
vendors. receiving report.
 Analysis of equipment  Accounting records
model best suited for showing payment.
need.  Equipment added to
 Analysis of proposed inventory.
delivery schedules  Annual inventory.
and their impact on
project.
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8. Challenges to
Grants Managers
 Manage granting  Provide expertise and
process from guidance.
beginning to end.  Support creation and
 Comply with Federal dissemination of new
regulations. knowledge or
 Success in proposal improved instruction.
submissions and post-  Train faculty and staff
award administration. on proper conduct for
compliance.
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9. 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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10. Conclusion
 “Make sure you spend  Administrators should
it for what we gave it attend SRA or NCURA
to you for.” training.
 Faculty and  Faculty should ask for
administrators should feedback when in
be familiar with doubt.
regulations.  Grants Managers
 Faculty should talk to should disseminate
other colleagues. information early and
often.
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