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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

 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: July 2019

 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: July 2019

 Faculty, Staff
Equipment Transfers

Equipment is owned by the University and/or the government and, as such, may not be transferred from the University without University and/or the granting agency approval.

Last Updated: July 2019

 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: July 2019
Policy Owner: Provost

 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
Research Costing Compliance

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.

 Faculty, Staff