Division of Grants Compliance and Oversight (NIH)

Division of Grants Compliance and Oversight (DGCO)Brent Fowler - 1st year, Cellular and Structural Biology MSJodie Gray - 2nd year, Medical Physics PhDTamar Winer - 1st year, integrated biomedical sciences PhDPriscilla Williams - 1st year, nursing PhDMahlet Zinah - 2nd year, biomedical engineering MS

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About the DGCO

How the DGCO operates through:Examples of codes awardees must followRelationship to other agenciesA day in the life of a DGCO employee

JodieDGCO is a division of the NIHIf you are awarded Federal money, the DGCO wants to make sure that you dont misuse itExamples are no fraud or mismanagement of funds

We will discuss regulatory responsibility through showing some examples of various codes that grant awardees must follow We will discuss how the DGCO works with other agencies and who can report issues to the DGCOWe will discuss what a DGCO employee may do on a typical day; review grants/claims and possibly conduct site visits

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Regulatory ResponsibilityRecipients of NIH grant funds must comply withFederal statutes regulations and policiesTheir institutional requirementsStatute example: NIH Grants Policy StatementNotice of awardAdministrative Requirements

Must sign NIH Grants Policy Statement

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Regulatory Responsibility (cont.)In addition to following institutional requirements, all applicable Code of Federal Regulations must be in compliance.

Grants for Research Projects 42 CFR Part 52:Grant programs- healthMedical researchReporting and recordkeeping Welfare of Human Research Subjects 45 CFR Part 46:General GuidelinesSpecial guidelines for pregnant women

Two examples of CFR regulations that commonly apply to grant seekers in our (graduate student) population

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Relationship to Other Entities and Investigators

Dr. William Caskey, PhD (Director of Sponsored Programs)

https://youtu.be/Zmz64Aikwt8

Interview with Dr. William Caskey about the DGCOs relationship to other entities and investigators.5

Day in the Life of DGCODuties of Grant Management Specialist:Technical assistance/guidance/advice on regulations and standardsMonitor activities for grantsEnsure compliance and help to improve operational efficiencyDetermine progress toward stated goals

Topics Addressed During Site Visit:Roles/Responsibilities/Training & EducationFinancial Conflict of InterestFinancial Management of Sponsored ProjectsData Safety and MonitoringBayh-Dole Act/Invention and Patent Reporting

Talking Points:- The main job of a DGCO employee is to be a support system for institutions and grantees, and also make sure that priorities and goals are being executed according to Federal requirements.- Employees strive to advance external compliance with policy and legislative mandates and enhance compliance.----------------------------------(Site Visit)- Unlike some of the other divisions, site visits from the DGCO are not designed to address specific problems. They are NOT viewed as investigations or audits- Facilitate dialogue regarding NIH policies in a non-crisis, non-adversarial manner over a duration of 1 1/2 days- Topics discussed include: Responsibilities and accountability as defined by the institution- Their ongoing training and education program- How local and institutional oversight is achieved & challenges faced- Financial management and conflict of interest- Intellectual Property (IP)

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