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Award Compliance

Throughout the life cycle of an award, there are routine compliance maintenance tasks to address.

Award Reporting
  • While the Summary Award Announcement printout will indicate report due dates, it is the PI's responsibility to submit the reports to the appropriate individual listed in the award document. Award documents and modifications are distributed to the PI, departmental administrator and the Chair of the department. 
  • A typical federally-funded award will have periodic reports, normally due on an annual basis, with a final technical report and inventions report due within 90 days of the award end date. Report content and format will vary according to the agency's instruction and may be submitted via an agency-specific web portal. Non-federal funding may require more or less frequent reporting, often with the final payment withheld until the final report is approved.
  • When the final report has been submitted, please notify the appropriate Grants Administrator so that award close out can begin. Fixed Price agreements will not have the balance pooled until proof of final report submission is submitted to OSP.
Sub-recipient Monitoring
  • As invoices from sub-recipients arrive, review the costs requested for reimbursement to be certain the amounts reported match the effort performed.
  • An A-133 compliance check is performed annually by OSP for all sub-recipients active during the given fiscal year. This effort is coordinated by Susan Cheeseman.
  • At close-out, sub-recipients must submit a final report and patent disclosure to the William & Mary researcher when the prime award requires such documentation. For example, a sub-recipient under a Department of Defense grant must submit a form DD 882 to the William & Mary PI so that lower-tier patent information may be included in William & Mary's DD 882.
Annual Audit

The Auditor of Public Accounts conducts the annual A-133 compliant audit of William & Mary's financial records. The fiscal year for the university runs from July 01 through June 30 of the next calendar year. Copies of the audit are available on the APA website. To view an electronic copy of the report, use the report filters to search for "College of William and Mary" in the Agency/Locality field and select "Financial" under the Category field.