Finance & Administration

Finance & Administration Policies & Procedures

Below are policies and procedures for the Office of Finance & Administration within Trinity College of Arts & Sciences.

Title Summary
Appointment Titles - Regular & Non-Regular Rank

This policy is intended to assist department chairs and business managers in administering faculty appointments.

Bridge Funding Policy

This policy identifies mechanisms for untenured and tenured faculty members to request emergency bridge funding from Arts & Sciences and their home department.

Canceled Visiting Faculty Courses Policy

The policy outlines how departments/units and Trinity College of Arts & Sciences will assign financial responsibility when a visiting faculty member’s undergraduate course is cancelled because of lack of enrollment.

Cost Distribution Changes for Regular Rank Faculty

A faculty member's cost distribution should include one or more cost objects and G/L accounts reflecting effort and salary.

Course Credit Policy

This policy covers how courses are counted faculty teaching load calculations.

Course Fees and Embedded Travel Policy

This policy clarifies what expenses are allowed to be included in course fees, and mechanisms for funding extroardinary expenses.

Criteria for Center Reviews

Centers are expected to develop and adhere to a mission statement and to work towards budgetary self-sufficiency with the sun-setting of direct college support within an agreed upon time horizon and to follow a walk-down of support over an agreed upon schedule.

dFac

Process for using the dFac faculty system for faculty appointments, tenure and leaves.

DGS Compensation

Compensation for Directors of Graduate Studies is paid by A&S, and dependent on the number of Ph.D. students. Compensation for DGS oversight of master's programs is expensed against the program revenue.

Duke-DKU Faculty Teaching Policy & Replacement Agreement

This policy outlines the financial teaching policy and replacement arrangement for Trinity College of Arts & Sciences faculty members who teach and provide other support for Duke Kunshan University (DKU) in Kunshan, China.

DUS Compensation

Compensation for directors of undergraduate studies is determined by the number of first and second majors for the department or program.

Establish a Gift Account Code (39X)

Policy for using gift account code 39X for unrestricted gifts.

Externally Funded Course Buy-Outs

The purpose of this policy is to create a way for Arts & Sciences faculty to buy out of courses using external funding from sponsored research.

Externally Funded Research Buy-outs

The purpose of this policy is to create a way for faculty members to self-fund a discretionary account by charging academic year salary to external grants.

Faculty Fiscal Year Budget Sheets

Procedure for developing faculty budgets and updating through the fiscal year.

Faculty Supplemental Pay

This policy outlines salary supplements payments initiated on Supplemental Pay Forms for faculty.

Filling Open Staff Position

Process for filling an open staff position.

G/L Accounts - Faculty and Staff

Instructions for selecting appropriate G/L accounts for faculty and staff.

Graduate Student Prizes

The supplement iform is used to deliver monetary prizes awarded to students for recognition of achievement and excellence such as an outstanding Ph.D dissertation or research project.

Hiring Regular Rank Faculty

Process and forms to use when hiring a regular rank faculty member (tenure track and non-tenure track).

Leaves of Absence for Regular Rank Faculty

Payroll and dFac instructions and guidelines to departments who have faculty on an approved leave of absence.

Non-Regular Rank and the Affordable Care Act Procedures

Effective January 1, 2015, all Non-Regular Rank (NRR) faculty members who are benefits eligible have the opportunity to qualify for benefits under the Affordable Care Act (ACA).

Non-Regular Rank Faculty Appointment/Reappointment & Evaluation

This policy provides flowcharts outlining non-regular rank union faculty appointment length, evaluation schedule, and reappointment conditions based on years of service. Non-regular rank union faculty include Instructor* and Instructor B* and Lecturing Fellow* - not on per course assignment and Lecturing Fellow* - on per-course appointment.

Open Vacant Position

Process for opening a vacant staff position.

Reclassify Staff Position

Process for reclassifying a staff position because of changes to responsibilities or duties.

Research Fund Management - FAQs

Guidance and frequently asked questions about research funds (451-XXXX).

Research Fund Policy

This policy covers the management of faculty research funds. Research funds are managed centrally by the Office of Finance & Administration and transferred on July 1 based on established thresholds defined below. Day to day research fund oversight is handled by unit business managers in partnership with the faculty member.

Retirement Party Policy

The Dean's Office of divisional dean may allocate up to $1,000 per retirement event if there is an educational component.

Salary Setting

Procedure for inputting new fiscal year salaries are loaded into SAP/R3 via the Salary Setting module.

Staff Leave of Absence

Duke supports employees who may need to be away from work temporarily for a variety of situations.

Staff Performance Evaluation

Process for annual staff performance evaluation.

Staff Termination

Instructions for processing a staff termination, such as leaving Duke for another job, retirement, reduction in force, or unsatisfactory performance.

Summer Supplement Payments for Faculty - Federal Grants

Instructions and guidelines for faculty who charge their summer salary to federally-funded grants and contracts.

Undergraduate Student Employment

Undergraduate students can be employed as biweekly and hourly wage employees, within academic year and summer hour limits.

Undergraduate Student Prizes

Process for paying prize money to undergraduate students.

Work-Related Injury or Illness

Process for handling staff work-related illness or injury.

Title Summary
Canceled Visiting Faculty Courses Policy

The policy outlines how departments/units and Trinity College of Arts & Sciences will assign financial responsibility when a visiting faculty member’s undergraduate course is cancelled because of lack of enrollment.

Course Fees and Embedded Travel Policy

This policy clarifies what expenses are allowed to be included in course fees, and mechanisms for funding extroardinary expenses.

DGS Compensation

Compensation for Directors of Graduate Studies is paid by A&S, and dependent on the number of Ph.D. students. Compensation for DGS oversight of master's programs is expensed against the program revenue.

Duke-DKU Faculty Teaching Policy & Replacement Agreement

This policy outlines the financial teaching policy and replacement arrangement for Trinity College of Arts & Sciences faculty members who teach and provide other support for Duke Kunshan University (DKU) in Kunshan, China.

DUS Compensation

Compensation for directors of undergraduate studies is determined by the number of first and second majors for the department or program.

Establish a Gift Account Code (39X)

Policy for using gift account code 39X for unrestricted gifts.

Faculty Fiscal Year Budget Sheets

Procedure for developing faculty budgets and updating through the fiscal year.

G/L Accounts - Faculty and Staff

Instructions for selecting appropriate G/L accounts for faculty and staff.

Research Fund Management - FAQs

Guidance and frequently asked questions about research funds (451-XXXX).

Research Fund Policy

This policy covers the management of faculty research funds. Research funds are managed centrally by the Office of Finance & Administration and transferred on July 1 based on established thresholds defined below. Day to day research fund oversight is handled by unit business managers in partnership with the faculty member.

Retirement Party Policy

The Dean's Office of divisional dean may allocate up to $1,000 per retirement event if there is an educational component.

Salary Setting

Procedure for inputting new fiscal year salaries are loaded into SAP/R3 via the Salary Setting module.

Title Summary
Criteria for Center Reviews

Centers are expected to develop and adhere to a mission statement and to work towards budgetary self-sufficiency with the sun-setting of direct college support within an agreed upon time horizon and to follow a walk-down of support over an agreed upon schedule.

Title Summary
Appointment Titles - Regular & Non-Regular Rank

This policy is intended to assist department chairs and business managers in administering faculty appointments.

Bridge Funding Policy

This policy identifies mechanisms for untenured and tenured faculty members to request emergency bridge funding from Arts & Sciences and their home department.

Cost Distribution Changes for Regular Rank Faculty

A faculty member's cost distribution should include one or more cost objects and G/L accounts reflecting effort and salary.

Course Credit Policy

This policy covers how courses are counted faculty teaching load calculations.

dFac

Process for using the dFac faculty system for faculty appointments, tenure and leaves.

Externally Funded Course Buy-Outs

The purpose of this policy is to create a way for Arts & Sciences faculty to buy out of courses using external funding from sponsored research.

Externally Funded Research Buy-outs

The purpose of this policy is to create a way for faculty members to self-fund a discretionary account by charging academic year salary to external grants.

Faculty Supplemental Pay

This policy outlines salary supplements payments initiated on Supplemental Pay Forms for faculty.

Hiring Regular Rank Faculty

Process and forms to use when hiring a regular rank faculty member (tenure track and non-tenure track).

Leaves of Absence for Regular Rank Faculty

Payroll and dFac instructions and guidelines to departments who have faculty on an approved leave of absence.

Summer Supplement Payments for Faculty - Federal Grants

Instructions and guidelines for faculty who charge their summer salary to federally-funded grants and contracts.

Title Summary
Appointment Titles - Regular & Non-Regular Rank

This policy is intended to assist department chairs and business managers in administering faculty appointments.

Canceled Visiting Faculty Courses Policy

The policy outlines how departments/units and Trinity College of Arts & Sciences will assign financial responsibility when a visiting faculty member’s undergraduate course is cancelled because of lack of enrollment.

Non-Regular Rank and the Affordable Care Act Procedures

Effective January 1, 2015, all Non-Regular Rank (NRR) faculty members who are benefits eligible have the opportunity to qualify for benefits under the Affordable Care Act (ACA).

Non-Regular Rank Faculty Appointment/Reappointment & Evaluation

This policy provides flowcharts outlining non-regular rank union faculty appointment length, evaluation schedule, and reappointment conditions based on years of service. Non-regular rank union faculty include Instructor* and Instructor B* and Lecturing Fellow* - not on per course assignment and Lecturing Fellow* - on per-course appointment.

Title Summary
Filling Open Staff Position

Process for filling an open staff position.

Open Vacant Position

Process for opening a vacant staff position.

Reclassify Staff Position

Process for reclassifying a staff position because of changes to responsibilities or duties.

Staff Leave of Absence

Duke supports employees who may need to be away from work temporarily for a variety of situations.

Staff Performance Evaluation

Process for annual staff performance evaluation.

Staff Termination

Instructions for processing a staff termination, such as leaving Duke for another job, retirement, reduction in force, or unsatisfactory performance.

Work-Related Injury or Illness

Process for handling staff work-related illness or injury.

Title Summary
Undergraduate Student Employment

Undergraduate students can be employed as biweekly and hourly wage employees, within academic year and summer hour limits.

Undergraduate Student Prizes

Process for paying prize money to undergraduate students.

Title Summary
Graduate Student Prizes

The supplement iform is used to deliver monetary prizes awarded to students for recognition of achievement and excellence such as an outstanding Ph.D dissertation or research project.