Compliance Best Practices

University policy under GIM 2 states that the PI is responsible for ensuring funds are spent appropriately and in accordance with sponsor requirements, UW and Washington state policies, and the cost principles.

Below are award management tips to help stay compliant. 

Read the Award document

At the start of an award, always read and familiarize yourself with the Notice of Award and identify applicable regulations, terms and conditions, and reporting requirements. Specifically, take note of any required systems, forms, formats, prior approval requirements, budget restrictions, and due dates. 

Federal Regulation Hierarchy Pyramid | Post Award Fiscal Compliance

Prior Approvals | Post Award Fiscal Compliance

Establish Departmental Internal Controls

Ensure all necessary systems authorizations and delegations are processed and up-to-date. 

Internal Controls | Financial Reporting

Approvals | Post Award Fiscal Compliance

Establish an Award Calendar

Take note of all applicable deadlines, both sponsor and University. These deadlines include due dates for invoices, financial reports, progress reports, technical reports, invention statements, and the award’s Final Action Date (FAD).

All charges (including cost share) must be documented and posted to the applicable grant worktag in Workday by the Final Action Date.

Closeout & Termination Costs | Post Award Fiscal Compliance

Closing Your Award | Grant & Contract Accounting

Perform Budget Reviews

The PI or their designee should perform regular and routine budget reviews. These reviews should ensure: 

  • Expenditures are allowable, allocable, and reasonable
  • Corrections (Accounting Adjustments) are processed in a timely manner
  • Expenditures are supported by documentation (receipts, expense reports, approvals, additional justifications, etc.)
  • Deliverables and award objectives are being met
  • Subrecipients are completing their work and submitting timely invoices to the UW
  • Any cost share commitments are met and documented within Workday on the applicable Cost Share Grant Worktag

Introducing the Grant Spend Verification Tool – Information Technology

Recommended Reports | Grant & Contract Accounting

Documentation Guidelines | Post Award Fiscal Compliance

Receipt Policy Information | Procurement Services

GIM 15 - Accounting Adjustments on Sponsored Awards - UW Research

Ask for Assistance

If you have questions regarding your award, reach out for help. 

Grant & Contract Accounting (GCA)

Email: gcahelp@uw.edu 
Award Portal: AwardPortal
GCA website: Grant & Contract Accounting Home | Grant & Contract Accounting

Post Award Fiscal Compliance (PAFC)

Email: gcafco@uw.edu
PAFC website: Post Award Fiscal Compliance | Post Award Fiscal Compliance

Office of Sponsored Programs (OSP)

Email: osp@uw.edu
OSP website: Office of Sponsored Programs - UW Research


Post Award Fiscal Compliance email: gcafco@uw.edu

For questions and issues relating to Effort Reporting, email: effortreporting@uw.edu

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