Responsible for oversight on all research activities and ensures they are consistent with the University mission.

  1. Accountable for the adherence of all School departments to the policies and procedures, including the review of the Chair’s Office procedures which are used to ensure that each sponsored project is assigned a trained financial administrator.
  2. Responsible to determine the most appropriate means of ensuring compliance, including, but not limited to, methodologies such as annual or bi-annual certification statements from departmental business managers, periodic audits by central administration, discussions with Chairs regarding process during budget discussions, etc.
  3. Ensures communication pathways to address compliance concerns.
  4. Responsible for the compliance of all School departments in the annual review of actual versus planned allocation of faculty time and effort via the Monitored Workload System of effort reporting. Each School should create a description of its compliance program for verification of effort charged to sponsored programs.
  5. Provides local oversight for federal costing regulations issues such as correct identification of costs as direct or indirect costs.
  6. Resolving any project cost overruns as requested by OSP, if such resolution with the Chair’s Office is not accomplished in a reasonable period.
  7. Provides guidance in sponsored project matters that cannot be resolved at the departmental level.
  8. In the absence of a departmental Chair or Director, the Dean will be responsible for appointing an interim Chair or Director who would be responsible for compliance issues until a permanent Chair or Director begins his/her appointment at Duke.
  9. In some instances the Dean’s Office and the Management Center Executives are one and the same. In this case, the Dean’s Office would be responsible for both sets of responsibilities.
  10. 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 Chair. If the questions/issues remain unresolved or if it seems inappropriate to use the above resources, contact the Office of Sponsored Programs for assistance.
  11. All instances of possible fraud must be reported to the Office of Audit, Risk and Compliance regardless of the value involved. Internal Audit provides a reporting hotline.