Awards Administration Compliance

Faculty should be aware of the following compliance topics when administering their awards.

Allowable/Unallowable Costs (PDF).

How to determinine whether costs are allowable and should be charged to a federal grant or contract.

Assistance Listings (formerly Catalog of Federal Domestic Assistance CFDA)

The Assistance Listing number, formerly known as the Catalog of Federal Domestic Assistance (CFDA) number, is a five-digit number assigned in the awarding document for all federal assistance award mechanisms, including federal grants and cooperative agreements.

Equipment Inventory Requirements (PDF)

Maintaining an inventory of equipment costing $5,000 or more that is purchased with federal funds is required.

Export Controls

The United States established export controls to protect the national security and foreign policy interests. Export controls govern the shipment, transmission, or transfer of certain regulated items, information, or software to foreign persons or entities.

When export control regulations apply, the approval from the U.S. Government may be necessary. In these situations, such as when fundamental research safe harbor is unavailable, an export license must be obtained to ship or share of regulated/controlled items, information or software.

Federal Travel Regulation/Fly American Act

The Federal Travel Regulation (FTR) implements statutory requirements and Executive branch policies for travel by individuals authorized to travel at government expense.

Financial Conflict of Interest

  • Conflict of Interest
    • Harvey Mudd College and most funders require a disclosure of financial interest in research or other activities supported by College-sponsored or external grant sources.

Financial Management Standards

Harvey Mudd College meets the requirements set forth by the Code of Federal Regulations located in § 200.302 Financial management.

IRB

  • Institutional Review Board (IRB) Guidance
    • Harvey Mudd College partners with Claremont Graduate University (CGU) to set guidelines pertaining to IRB processes and approval. The CGU Institutional Review Board ensures compliance with federal and state regulations concerning the use of humans as research subjects. Their focus is to facilitate faculty investigators and help train student investigators to understand and carry out the fundamental purpose of all IRBs, which is to assure the Investigator’s Respectful Behavior toward every person who participates in research as a “human subject.”

Suspension and Debarment (PDF).

When purchasing goods or services using federal funds, it is necessary to verify that the vendor is not suspended or debarred from receiving federal funds.

Responsible Code of Research

Responsible and Ethical Conduct of Research Plan

Responsible and Ethical Conduct of Research Plan

Time and Effort Certification

Salaries on federal grants typically make up the majority of expenditures and special certifications must be completed to satisfy federal regulations.

Uniform Guidance

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, (Uniform Guidance or 2 CFR 200) provides guidelines for the administration of federal awards.