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Grants Compliance & Oversight
This site provides Federal requirements, guidelines and resources for the extramural community involving grants compliance. The information provided on this website is designed to assist the extramural community in understanding the compliance obligations of their grant award, and understand the proper use of grant funds.
Division of Grants Compliance and Oversight at NIH
The Division of Grants Compliance and Oversight (DGCO) is the focal point to advance external compliance with policy and legislative mandates and enhance compliance oversight by recipient institutions. The DGCO also ensures and evaluates the efficient and effective management of extramural resources.
Director: Diane Dean
Recipients of NIH grant funds must comply with all applicable Federal statutes (such as those included in appropriations acts) regulations, and policies. Additionally, they must also comply with their institutional requirements. The table below summarizes the Federal administrative requirements, cost principles and audit requirements applicable to NIH grants.
Grantees also need to comply with:
NIH and its recipient institutions share responsibility for compliance and oversight to ensure good stewardship of Federal funds. The relationship between NIH and its grantees is predicated on trust. Grantees are expected to properly administer sponsored activities and comply with applicable regulations and policies.
NIH Site Visits and Targeted Site Reviews
Proactive Compliance Site Visits (PCSV)s:
DGCO initiated a series of site visits in FY 2000 to:
The site visits are not designed to address specific problems. They are not viewed as investigations or audits. Rather, they are conducted in a proactive mode, intended to facilitate dialogue regarding NIH policies in a non-crises, non-adversarial manner.
Proactive Compliance Site Visits FY 2000-FY 2004: A Compendium of Findings and Observations (11/02/2002), Updated: May 30, 2007. (MS Word - 74.0 KB) - The purpose of this document is to summarize observations and comments from the NIH PCSVs and to serve as an education al tool to promote awareness of and compliance with NIH policies.
Targeted Site Reviews:
The Targeted Site Review (TSR) program is an NIH initiative that focuses specifically on compliance with Financial Conflict of Interest (FCOI) regulations (42 CFR Part 50 Subpart F) as they pertain to NIH grants. The TSRs are part of NIH's oversight responsibilities and were developed to determine if (1) grantee institutions are fully and correctly implementing the FCOI regulation, and (2) reporting requirements are being met.
Observations from NIH's FY2006 Targeted Site Reviews on Financial Conflict of Interest (02/15/2007) - (MS Word - 53 KB) - The purpose of this document is to provide the wider grantee community with observations made during the TSRs and to serve as a resource in evaluating the implementation of the Federal FCOI regulations.
NIH's Pilot Compliance Program
Proactive Compliance Oversight Program
Conflict of Interest Information
NIH Presentations on Compliance
Note: Some terminology used in these presentations may have changed but the compliance principles have not. Please refer to the Glossary on the NIH Grants Policy for current terms and definitions.
If you have questions or concerns about an NIH grant you may consider contacting:
To make a formal allegation about an NIH funded grant or cooperative agreement contact either:
HHS OIG Hotline
Matters involving fraud, waste and mismanagement in any Department of Health and Human Services program(s), including NIH funded grants or cooperative agreements, should be reported to the Office of Inspector General (OIG). The OIG maintains a hotline which offers a confidential means for reporting vital information.
Contacting the HHS OIG Hotline: http://oig.hhs.gov/fraud/hotline/
For more information visit the HHS OIG Web Page
NIH Office of Management Assessment, Division of Program Integrity
You may also report allegations of fraud, waste, and abuse involving NIH funded grants or cooperative agreements to the NIH Office of Management Assessment/Division of Program Integrity:
National Institutes of Health
Phone: (301) 496-5586
For more information visit http://oma.od.nih.gov/public/DPI/Pages/default.aspx
Office of Research Integrity
Matters regarding research integrity (i.e. plagiarism, falsification, or fabrication) should be reported to the Office of Research Integrity (ORI):
U.S. Department of Health and Human Services