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Financial Compliance Policies
| Policy Title | Summary | Audience |
|---|---|---|
| Conflict of Commitment |
Any faculty member who performs research under an agreement stipulating that a specified percentage of his or her total effort will be devoted to that project must be able to demonstrate he or she is in compliance with that requirement. Last Updated: July 2019 (Conflict of Interest / COI) |
Faculty, Staff |
| Cost-Sharing |
Cost–sharing on proposals for external funds is to be avoided unless required by the sponsor and approved at the time of proposal submission by the Office of Research Support (Campus) or the Office of Research Administration (Schools of Medicine and Nursing). Last Updated: May 2023 |
Faculty, Staff |
| Duke as an Applicant Organization |
Each employee or representative of Duke University who is involved in sponsored projects administration has an obligation to ensure compliance with sponsor and University requirements for managing sponsored funds. Updated May 2023 |
Faculty, Staff |
| Effort Commitment, Reporting, & Certification |
All persons employed by the University need to ensure that their annual effort certification accurately reflects all of their activities for the year. Last Updated: May 2023 |
Faculty, Staff |
| Equipment Transfers |
Research equipment transfers occur when an investigator will cease to have an employment relationship with Duke University and will transfer their research activities to another institution of higher education. Because research equipment is an asset owned by Duke University or an external sponsor, the transfer of these assets requires appropriate institutional reviews, coordination and approvals. Last Updated: May 2023 |
Faculty, Staff |
| Facilities & Administrative (F&A) Costs |
Generally, Duke University requires the inclusion of full Facilities and Administrative costs on all proposals for external funding, except gifts, unless prior approval is obtained from the appropriate Management Center. Last Updated: May 2023 |
Faculty, Staff |
| Faculty/Staff Effort Management for Clinical Research Studies |
University faculty and staff working on clinical research studies must include appropriate effort during the budget/proposal development process and allocate effort appropriately throughout the life of the sponsored agreement to support accurate effort reporting in compliance with applicable federal regulations. |
Faculty, Staff |
| Fiscal Agent |
If Duke University serves as a fiscal and/or legal agent for any external organization where the relationship includes either applying for Federally-sponsored funding or charging costs to a Federally-supported project, the Vice President for Research must provide approval, with delegation to the Associate Vice President for Finance and Compliance on the implementation of procedures and internal controls specific to each instance of assuming agency. Last Updated: January 2021 |
Faculty, Staff |