Category: Policies and Procedures

by Timika RileyAugust 8, 2023

Effectively Training Your Higher Education Staff on Grant Rules and Regulations

Compliance with federal governmentwide grant requirements and awarding agency policies and directives are critical for institutes of higher education (IHE). These grants often provide institutions with essential funding for research, student support services, and more. Failure to comply with the terms and conditions of these grants can potentially lead to severe consequences, including the repayment of funds and legal action. That’s why all staff members and faculty involved in grant management should undergo training and stay up-to-date to maintain compliance. IHEs often receive awards from multiple agencies, which necessitates keeping abreast of the requirements and policies of each funding agency. A comprehensive training program can offer both new and experienced members of your college or university the tools they need to succeed when implementing your programs using federal grant funding.

Be aware that managing a grant is not solely the responsibility of the IHE accounting or financial department or program officer. Numerous participants contribute to overseeing a grant-awarded project or program, including sponsored program administration, research administration, budget preparers, project managers, and more. In larger institutions, department chairs also hold a crucial role in determining the level of staff involvement in research and development. They also play a vital role in securing seed funding for faculty to compete effectively for external funding. In smaller institutions, academic deans often take on this responsibility. Ensuring compliance is a multifaceted effort that involves various departments. 

For IHEs that receive federal funding through Title IV, effectively overseeing financial reporting and recordkeeping can be a top priority. These funds significantly impact the institution’s budget because they represent a substantial source of revenue. They support various research projects, educational programs, and services, including student financial aid, academic support services, and institutional infrastructure. Failure to comply with Title IV regulations can lead to penalties, including fines, sanctions, or loss of access to these funds.

For IHEs that receive Department of Education grant funding, here are some key considerations and programs:

  • Drug-free schools and campuses regulations: IHEs must certify that they have implemented programs to prevent the use of illicit drugs and the abuse of alcohol by students and employees.
  • Free inquiry rule: IHEs must offer First Amendment protections and take action to prevent discrimination.
  • Higher Education Emergency Relief Fund (HEERF) program: Many IHEs received greatly needed COVID-19 emergency relief funding through HEERF and are continuing to take steps to manage these funds effectively.
  • Federal mandates: IHEs must comply with mandates from the Department of Education and other federal agencies under various laws.
  • Emergency Assistance to Institutions of Higher Education: This program provides emergency assistance to institutions and students and has its compliance requirements.
  • Title III Part A Programs – Strengthening Institutions: This program helps IHEs to become self-sufficient and expand their capacity to serve low-income students by providing funds to improve and strengthen their academic quality, institutional management, and fiscal stability.
  • Predominantly Black Institutions Program: IHEs must meet basic and program-specific eligibility requirements to qualify for funding under this program.
  • Educator Preparation Program: IHEs offering educator preparation programs must comply with state-specific regulations, including licensure endorsement requirements.

Another vital agency that awards grant funds to IHEs is the National Institutes of Health (NIH) within the Department of Health and Human Services. NIH is crucial in advancing scientific research and promoting educational opportunities for students. In addition to federal statutes, regulations, and appropriations acts, IHEs must adhere to ethical guidelines to ensure that research is conducted safely and responsibly and that the work is impactful and trustworthy.


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Various tools and resources help grantees stay in compliance, such as the HECA Compliance Matrix. This helpful tool highlights critical federal laws and regulations that colleges and universities must follow to ensure they operate within legal limits. Understanding the intricacies of these laws can be challenging, but with the Compliance Matrix, it’s all laid out in an easy-to-read format, complete with concise summaries of each requirement. Aside from online tools, customized training programs are the most effective way to ensure your institution maintains compliance. Through targeted grants training, teams can become more adept at understanding and adhering to complex regulations, enabling them to build more efficient systems and processes. Not only does this result in better compliance with grant guidelines, but it can also lead to more successful grant applications. Investing in customized grants training for your team can help you leverage these benefits and successfully manage your grants program.

By taking advantage of customized, expert-led grants compliance training for your IHE staff from our experienced consultants here at Thompson Grants, you can guarantee that your institute is one step ahead in meeting its obligations and furthering its mission. Our training provides an easy way to bring your employees up to speed on critical information, such as key requirements and guidance for compliance with applicable laws and regulations – all while providing support along the way.

1US Department of Education (ED). (2023, March 13). President’s FY 2023 budget request for the U.S. Department of Education. Home. https://www2.ed.gov/about/overview/budget/budget23/index.html

Please note: This blog post is not official or legal guidance. Recipients should consult the federal awarding agency regarding whether the Uniform Guidance applies to a particular federal award. Subrecipients should consult with the pass-through entity. Thompson Grants is not a grantmaking organization and does not award grants.

by Timika RileyJuly 12, 2023

Preserving Trust and Accountability: The Importance of Grants Integrity for Every Grants Professional

Integrity is the foundation of any successful organization, especially in grants management. Grants are a critical source of funding for many nonfederal entities, and taking steps to oversee grants administration effectively is essential to ensuring that funds are used correctly, efficiently, and in compliance with all applicable regulations. When applying for a grant or cooperative agreement, nonfederal entities generally know their applications will be judged on recipient risk and the proposal’s merits. Recipient integrity is just as important when awarding agencies evaluate who will receive an award for financial assistance.

In this blog, we will discuss the importance of maintaining grant integrity and the steps that program managers and grant managers can take to ensure they maintain proper program compliance integrity. Readers should be aware that the Office of Management and Budget (OMB) is considering potential revisions to the uniform guidance and other guidance within Title 2 of the Code of Federal Regulations during 2023, which could ultimately affect requirements related to program integrity once this year’s revisions become effective.

Upholding Ethical Standards: The first step in maintaining grant integrity is ensuring that your entity supports ethical standards in all operations. This includes adhering to the highest standards of conduct regarding financial reporting, recordkeeping, and hiring and training personnel. Ethical conduct is essential for maintaining the trust of donors and the public and ensuring that your organization follows all applicable regulations and guidelines.

Complying with Regulations: Grants are subject to a myriad of regulations and policies at the federal, state, and local levels. As a result, program and grant managers must stay current on these regulations and policies and take steps to ensure that their organizations comply with all applicable rules. Failure to comply with regulations can result in losing funding, negative press coverage, and even legal action.

Proper Governance: Organizations like non-profits must have appropriate governance structures to maintain grant integrity. This includes having a board of directors overseeing the organization’s finances, operations, and compliance with regulations. Good governance also requires that entities have a robust system of internal controls in place to prevent fraud, waste, and abuse.

Grant Reporting: Accurate and timely reporting is a crucial component of grants management. Grant managers must ensure that all reporting requirements are met and that all financial and programmatic information is accurate and complete. Failure to meet reporting requirements can result in the loss of funding and can damage an entity’s reputation.

Ongoing Monitoring: Finally, maintaining grant integrity requires constant monitoring of an entity’s operations, finances, and compliance with regulations. This includes conducting regular internal audits and risk assessments and taking corrective action when necessary. By staying vigilant and taking proactive steps to maintain integrity, grant managers can help ensure that their entity uses grant funding for its intended purposes and comply with all applicable regulations.

In conclusion, ensuring grant integrity is crucial for any entity that receives grant funding. Upholding ethical standards, complying with regulations, implementing appropriate governance mechanisms, conducting accurate and timely reporting, and constant monitoring are all vital elements of maintaining grant integrity. To help grant managers maintain compliance and stay aware of the latest grant developments, visit thompsongrants.com to access our resources. Thompson Grants offers valuable tools and information to help organizations manage grants confidently and successfully. Explore our resources now and take your grant management to new heights!

Please note: This blog post is not official or legal guidance. Recipients should consult the federal awarding agency regarding whether the Uniform Guidance applies to a particular federal award. Subrecipients should consult with the pass-through entity. Thompson Grants is not a grantmaking organization and does not award grants.

by Timika RileyJuly 12, 2023

Stay Ahead of the Curve: Top Strategies for Meeting Grant Requirements and Maintaining Compliance in 2023

It is vital for recipients of federal financial assistance to meet regulatory requirements and ensure the effective and efficient use of federal funds for their intended purpose ― to benefit the public. While this can be daunting, non-compliance with the Uniform Guidance can result in costly penalties, such as the revocation or reduction of grant funding, and the potential suspension or debarment from federal funding opportunities in the future, which could damage an organization’s reputation. In this blog, we will explore the importance of successful compliance in managing federal grants and how to achieve it. 

Here are five key steps for successful grant compliance:

  1. Understand the Grant Agreement: Before managing any grant funds, it’s crucial to understand the grant agreement fully. The grant agreement is a legal financial assistance instrument between a federal awarding agency and a nonfederal entity. Before grantees accept award funds, they should carefully review the terms and conditions of the grant, including the reporting and compliance requirements and any potential exceptions under the grant program as allowed by federal statute. Understanding the grant agreement increases the likelihood that grant recipients will comply with the terms and conditions of the award and encourage program success.
  2. Implement a Compliance Plan: Once the grant agreement is understood, grantees should develop an internal compliance plan. A compliance plan, in writing, provides an overview of the grant requirements, the timeline for each requirement, personnel responsibilities, the importance of recordkeeping, how compliance will be monitored, and the potential consequences of an audit finding for noncompliance.
  3. Provide Regular Training: According to an annual grants managers’ survey conducted by REI Systems, NGMA, and George Washington University, grant management training remains a top priority for organizations. All employees involved in grant-funded activities should receive regular training on grant requirements and the organization’s compliance plan. Training should include reviews on overall grant compliance, financial management, procurement, sub-recipient monitoring, and record-keeping; this training is especially critical for new employees. Even highly experienced professionals in the field should regularly attend training to stay current with the ever-changing regulatory environment and to remain compliant.
  4. Maintain Accurate Records: Expenditures of federal funds require grantees to keep comprehensive records for all grant-related activities. Documents must be complete and detailed so the organization can efficiently respond to audits or requests for information from funding agencies. Additionally, accurate recordkeeping increases transparency and accountability in the grantee’s organization between agencies and the public.
  5. Conduct Regular Monitoring and Internal Audits: The Uniform Guidance at §200.501 requires nonfederal entities to have a system of internal controls to ensure compliance with federal regulations and the terms of the grant agreement. Although not required under the Uniform Guidance, internal audits can be a critical part of maintaining a robust internal control system, and organizations should consider conducting such internal reviews regularly to ensure the effectiveness of the control environment. Grantees should review the requirements outlined in the grant agreement and consider the organization’s risk assessment when determining the frequency of internal audits.

Complying with federal grant regulations is of utmost importance to ensure the success of a grant program. By following these five critical components outlined in this blog, grantees can better manage their federal funds and reduce the risk of penalties or serious single audit findings. It is important to remember to continuously plan, communicate effectively, conduct regular training, monitor progress and maintain accurate records throughout the grant’s lifespan. With over four decades of experience, Thompson Grants can assist your team by providing comprehensive and easily understandable compliance guidance. Learn how to manage your federal funding like a pro. Contact Thompson Grants today.

Please note: This blog post is not official or legal guidance. Recipients should consult the federal awarding agency regarding whether the Uniform Guidance applies to a particular federal award. Subrecipients should consult with the pass-through entity. Thompson Grants is not a grantmaking organization and does not award grants.

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