Financial ServicesResearch Compliance & Reporting
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Chair's Office (Department Chair or Designee)

  1. Ensures that a financial administrator is assigned for each sponsored project and ensures PI understands the administrator will be responsible for assisting in the financial and administrative management of his/her sponsored project.
  2. Ensures that PI/PD and Financial Administrator receive necessary training and follow sponsor and Duke policies and procedures.
  3. Maintains communication pathways to address compliance concerns.
  4. Reviews and approves proposed research activities for compatibility with academic mission.
  5. Reviews and approves planned and actual allocation of faculty time and effort on at least an annual basis (Effort Reporting).
  6. Maintains local oversight for the allowability and reasonableness of all project expenditures.
  7. Provides direction for re-budgeting activities on sponsored projects if requested by the financial administrator.
  8. Provides oversight on all aspects of program income (income earned by a grant recipient from activities which are supported by the direct costs of an award).
  9. Provides oversight on the implementation of University and financial policies and regulations at the unit level.
  10. Responsible for ensuring all projects within the unit are in compliance with applicable regulations and Duke University policies and procedures.
  11. Investigates non-fraudulent financial compliance questions/issues using available resources such as sponsor regulations, University policies and procedures, and the network of informed individuals such as the PI, Departmental or Research Administrator, Business Manager, or Dean. If the questions/issues remain unresolved or if it seems inappropriate to use the above resources, contact the Office of Sponsored Programs for assistance.
  12. All instances of possible fraud must be reported to Internal Audit regardless of the value involved. Internal Audit provides a reporting hotline.