Audit and Compliance

The Vice Chancellor for Administration and Finance appoints a Campus Audit Liaison to function as the principal contact and coordinator for all campus audit matters.   In Amherst, the campus audit liaison is The Controller.

The Controller oversees the Audit and Compliance Unit of the Controller’s Office which serves as the principal liaison for auditor and outside agency examinations of sponsored projects for the campus. 

This unit evaluates internal controls, conducts risk based financial compliance reviews, aids in the development of policies and procedures for compliance purposes, and offers trainings to the campus with a primary focus on managing sponsored research funding.

This unit also assists with Subrecipient risk assesment and monitoring, FFATA reporting, Cash advances and US Bank Decling Cards applications and settlements, financial questionnaires, E-verification compliance reviews and Fly America compliance reviews.

This unit works closely with the Controller, Research Accounting Department, Accounts Receivable Department, Research and Engagement, and Central Grant Core team to achieve its mission. 

US Bank Declining Card Applications

US Bank Declining Balance Card Application-Used to Purchase Gift Cards for Human Subject Participants

US Bank Declining Balance Card Application-Used to Purchase Gift Cards (as allowed in the Campus Business and Travel Expense Policy) 

Advance Request and Settlement Forms

Controller's Office Advance Form for Human Subject Compensation

Controller's Office Advance Form for International Travel

Controller's Office Advance Settlement Form for International Travel

University Reports and Audits
Direct Links: 2023 Annual Financial Report and 2023 Single Audit Report (no audit findings for all UMass campuses)

Federal Regulations

Uniform Guidance: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards

UMass Amherst Campus Guidance for: How to evaluate a cost to a Federally Sponsored Project

UMass Federal Costing Exception Form

Cost Transfers

Non-Payroll Cost Transfer Kuali Build Form

Cost Transfer Policy


Fly America

Fly America Policy

Subrecipient Monitoring and Management

Subrecipient Monitoring and Management Policy

Subrecipient Invoice Processing Via DocuSign

Subrecipient Invoice Template

Subrecipient Invoice Process Memo for Subrecipient Invoices Payable to Outside Vendors

Subrecipient Invoice Process Memo for Subrecipient Invoices payable to Other Umass Campuses

Subrecipient Invoice Checklist

Trainings / Workshops (Please let us know if you would like training for a specific topic)

We have offered trainings for Cost sharing, Financial Closeout of Awards, Fly America and Open Skies, and Post Award Administration.  


Come join us for Core 5 Post Award Financial Research Administration - Next class on Thursday, 3/28/24 from 9AM - 11AM

Come join us for PRO Series- Controller’s Office Presents - Cost transfers 101 - Next class on Friday, 2/16/24 from 9:30AM - 11:30AM