TSU Office of Institutional Compliance

Grants Management Overview

Grants Management Compliance is an oversight and assurance activity designed to add value and improve the University-wide grant management process. The process is designed to help the University monitor, review and improve the effectiveness of grants management.

The Office of Institutional Compliance performs routine compliance reviews to measure whether grant awards are being administered in accordance with established policies, procedures, laws and regulations. In monitoring grant agreements, the Compliance Office shall maintain objectivity and integrity, be free of conflicts of interests, and shall not knowingly misrepresent facts, or subordinate its judgment to others.

As the size and complexity of grant awards at Texas Southern University increases, so do the day-to-day responsibilities of management, in particular, the Office of Sponsored Programs, Office of Grants and Contracts and Principal Investigators. The Office of Institutional Compliance was established to assist management with the effective discharge of responsibilities by providing objective analyses, observations, recommendations, and information concerning the activities reviewed. Although the structure of the Compliance Office may resemble that of the Office of Internal Audit, the two departments differ in that the Office of Institutional Compliance has internal and managerial reporting capabilities only, whereas the Office of Internal Audit reports directly to the Board of Regents and parties external to TSU.

PURPOSE

The Office of Institutional Compliance strives to promote the most economical and efficient use of resources in the area of Grants Management. The office also works to ensure the University’s compliance with federal and state laws and regulations and University policies and procedures, to deter and detect misappropriations and abuse, and to promote the reliability and integrity of University relations.

AUTHORITY

The Office of Institutional Compliance reports directly to the Office of General Counsel and is responsible for reviewing and appraising various policies, procedures and operations for grants and recommending corrective actions when necessary. The office has no authority or responsibility to the grants it reviews. The Office of Institutional Compliance works independently so that its work can be carried out freely and objectively, with impartial and unbiased judgments – similar to the proper conduct of audits. Compliance Office personnel should be granted unrestricted access to grant award information and supporting documents in the performance of a review.

RESPONSIBILITY

It is the responsibility of the Office of Institutional Compliance to develop and execute compliance reviews for grants management. All reviews shall be performed with proficiency and due professional care and in compliance with high standards for honesty, objectivity, diligence and loyalty. To the extent possible, the Office of Institutional Compliance will provide notice prior to conducting a review. Compliance personnel should have full and unrestricted access to all University systems, functions, operations, records, activities, properties, and personnel. When performing reviews, the Office of Institutional Compliance will maintain the confidentiality of information and documents.

Upon completion of a review, the Office of Institutional Compliance will produce memoranda and reports of the results, including recommendations for improvement. While the OFFICE OF INSTITUTIONAL COMPLIANCE does not have the authority to implement or insist on the implementation of any recommendations that may result from a review, it will monitor reviews to report corrected deficient conditions. The decision on whether to implement any recommendations is ultimately made by management.