This section provides the Principal Investigator (PI), departmental support personnel, and administrative officers with guidelines for external review and internal or external monitoring in regard to sponsored research (or related) projects. As the office charged with oversight of grant projects and OMB compliance, RSP is the internal authority on program or budget compliance. Therefore, coordination with RSP staff is critical for any visits or inquiries regarding projects.
All records are subject to audit and any authorized representative of the grantor (prime agency or first-tier recipient), the state or the university shall have right of access to any books, documents, papers or other records of the grantee which are pertinent to the contract or grant. The right of access shall not be limited to the required retention period but shall last as long as the records are retained.
UWF falls under OMB Circular A-133 regarding federal audit requirements on grants, contracts and other agreements. RSP should be promptly informed when a sponsor announces its intent to conduct a contract or grant audit. Staff from the appropriate fiscal office will accompany the auditor and be available during the visit to help interpret and understand the requests of the audit. Audit visits should be prepared for as soon as notification is received in order to assure maximum coordination of staff time and availability of records.The following is a non-exclusive list of the types of reviews, audits, and monitoring which internal/external authorized personnel may request of a PI, budget manager or administrative unit:
In all cases, the notified party has certain responsibilities to coordinate and cooperate with the relevant campus offices involved in the review. Some useful information on audits, investigations, and reviews is available from the UWF IAMC internal web site.
Internal and external constituencies (auditors, program or grants officers, sponsor's designees for administration and oversight, etc.) often conduct reviews of different levels of effort to assess or monitor program effectiveness. These reviews may be informal site visits of a technical or program officer or may be a full request for a self-study prior to a site visit or a formal audit. In any circumstances of a review of the administration and management of sponsored research projects, programs, or related activities, RSP is charged to coordinate and assist the PI or department or institute/center in preparing for and responding to such review requests. In cases of external reviewers, UWF IAMC must also be apprised of the review and will determine if staff from this department should be involved. All responses for such external reviews should be approved by RSP and the IAMC offices before being communicated to the external entity.
Compliance with guidelines, rules, and procedures in one project often affect the status of the institution at large. Therefore, such reviews are extremely important in demonstrating the university's overall eligibility for funding and participation in such programs. A coordinated response to any such request is critical. PIs and other designated staff have the responsibility to work with the two offices to provide appropriate response and information as needed.