Sponsored Awards need to comply with all applicable Sponsor, UW, and Washington State regulations.  Failure to comply can result in disallowed costs, audit findings, and impact future funding opportunities.    Because regulations frequently change and can be a challenge to comprehend, the following materials have been prepared to assist users with ensuring regulation compliance.  

As a majority of UW’s sponsored award funding is from the federal government, there is an emphasis at the UW on federal regulations.  Regulations from non-federal sponsors (e.g., foundations, state governments) must comply with sponsor’s regulations and all UW and Washington State regulations.  

Federal sponsored awards are subject to numerous regulations.  Always review the Award first to determine any Award-specific requirements and to identify the applicable federal regulations.  A listing of the regulations and the order in which they should be followed can be found in Federal Regulations Hierarchy Pyramid.

At the base of the pyramid is the so-called Uniform Guidance which consolidates federal award requirements.  The Uniform Guidance is codified in the Code of Federal Regulations (CFR).  We have a guide on How to Read the CFR (Code of Federal Regulations).  

Federal agencies often have their own agency-specific regulations.  These agency regulations supersede the Uniform Guidance.  We have provided a Table of Select Federal Agency Regulations that includes links to the most current regulations and their effective date so users can be sure they are reviewing the most recent version of the regulation.  

Some federal agencies have elected to be part of the Research Terms and Conditions (RTCs).  The RTCs either modify or provide clarity to the provisions of the Uniform Guidance.  These RTCs supersede agency-specific regulations and are updated on a regular basis as federal agencies either decide to implement the RTCs or provide updates and clarification.   One of the most common parts of the RTCs is a Prior Approval Matrix where agencies will list their prior approval requirements.  This Matrix is updated as federal agencies adapt the RTCs or amend their requirements.

Federal agencies issue Program Announcements that can include a Request for Proposal (RFP), Request for Assistance, or Funding Opportunity Announcement (FOA).  Any requirements listed in the Program Announcement will supersede the agency-specific regulations and the RTCs.  An Example Program Announcement is provided to show what some requirement could look like.

Overlaying all of these federal regulations are the UW policies and procedures which include the Grants Information Memorandums (GIMs), the UW Administrative Policy Statements, and Executive Orders

And, again, always start with a review of the Federal Award itself to determine the regulations that are applicable to the Award, either as listed in the Award itself or by reference to other federal regulations.