Research Costing Compliance

Research Costing Compliance financial compliance oversight and training through the following mechanisms:

Approach to Compliance Management (MIR)

Monitor: Assessment of Current Status through data collection and analysis, targeted identification of institutional and business operations risk, collaboration with Management Centers and central research offices to effect remediation and correction;

Integrate: RCC strives to integrate monitoring with measures that mitigate risk to Duke University. RCC therefore coordinates basic data monitoring with:

  • Education and Training
  • Communication
  • Policy and Procedure review
  • Review/Enhancement of System/Internal Controls

Remediate: Achieved through:

  • Regularly scheduled meetings with Management Centers
  • Enhanced reporting in response to Management Centers and RCC identified needs
  • Collaborative work with University IT groups to achieve technology solutions
  • Comprehensive training and updates for grant managers, business managers, faculty and all others engaged in management of sponsored activities
  • Direct intervention in departments (answering departments’ requests for training and clarifications)

RCC Monitoring provides both targeted input and assistance in remediation of risk issues.

  1. Monitors for compliance within the regulatory framework established for the University and its components.
  2. With OSP, proposes policies and procedures to senior administration (Management Centers for example) to comply with sponsored projects regulations.
  3. Shares responsibility with OSP for formulation, implementation, and interpretation of policies regarding allowable costs.
  4. Shares responsibility with OSP for training post award administrators regarding allowable costs.
  5. Works with OSP to resolve instances of discovered financial non-compliance. All instances of possible fraud must be reported to Internal Audit regardless of the value involved. Internal Audit provides a reporting hotline.