Sponsored Awards must comply with all applicable Sponsor, UW, and Washington State regulations. Failure to comply can result in disallowed costs and audit findings, and can negatively impact future funding opportunities. Because regulations frequently change and can be challenging to comprehend, the following materials have been prepared to assist users with 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. Awards from non-federal Sponsors (e.g., foundations, state governments) must comply with the 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 the 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 Code of Federal Regulations (CFR). Federal agencies often have their own agency-specific regulations which supersede the Uniform Guidance.
Some federal agencies have elected to be part of the Research Terms and Conditions (RTCs). RTCs either modify or clarify the provisions of the Uniform Guidance. RTCs supersede agency-specific regulations and are updated on a regular basis. One of the most helpful parts of the RTCs is the Prior Approval Matrix where agencies list their prior approval requirements. The matrix is updated as federal agencies adopt 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. A sample Program Announcement is provided to show what some requirements could look like.
Overlaying all federal regulations are UW policies and procedures which include the Grant Information Memoranda (GIMs), the UW Administrative Policy Statements, and Executive Orders.
And, again, always start with a review of the federal Award itself to determine which regulations are applicable to the Award.