Sponsored Projects and Research Related Policies

1. Research AdministrationMollie SykesAssociate Dean, Research AdministrationOffice of Research Administrationhttp://research.som.duke.edu 

2. Sponsored Projects and Research Related Policies • Faculty Handbook defines PI Status, Roles and Responsibilities • Integrity, Authorship, COI, Conflict of Commitment, Consulting, Earmarks, Misconduct, Nepotism • Intellectual Property Rights, Inventions, Patents, Technology Transfer • Public Access Law • Research Records: Sharing, Retention and Ownership www.provost.duke.edu/pdfs/fhb/FHB_Chap_5.pdf

3. Duke Tax Exempt Status • Duke is a charitable 501(c)3 organization. • Duke makes extensive use of tax exempt bonds. • All terms (specifically publications, confidentiality and intellectual property) must be consistent with Duke’s tax exempt mission of research, education and patient care in the public interest. • Duke conducts academic research • no contract services • no routine product testing • no “classified” research

4. ORA: Office of Research Administration ORA (pre-award) • Review and approve proposals to assure compliance with both sponsor and Duke guidelines, including direct and indirect costs • Negotiate and accept grants and contracts on behalf of the University • Issue subcontracts • Approve programmatic and budgetary changes • Facilitate technical and invention closeout documentation • Training, support and dissemination of information

5. ORA: Office of Research Administration ORA (pre-award) • Monitor effort commitments for Other Support • Monitor TPE process • Monitor K awards for effort commitment, salary • Serve as the principal liaison between the University and sponsors • Report Financial Conflict of Interests to Federal sponsors • Institutional authority to sign on behalf of Duke University for research activities • Work with the Research Policy Committee to develop and implement research policies and procedures

6. ORA: Office of Research Administration ORA (pre-award) • Proposals require departmental review and approval prior to central review • Sponsored Projects System is required • F&A research rate = 56%; Off Campus = 28.5%/26%; Commercial Clinical Trials = 28% • Proposals are due in ORA 7 days prior to deadline • PIs are required to complete RCC training to hold a grant • Electronic submission of proposals through Grants.Duke to Grants.gov

8. Research-Related Agreements with Commercial Entities Clinical Trial Agreements Sponsored Research Agreements Material Transfer Agreements Educational Grant Agreements Sub-agreements/Site Agreements Confidentiality Agreements OCRC: Office of Corporate Research Collaborations

9. OCRC: Research-Related Agreements with Commercial Entities • Draft agreement language • Negotiate terms • Institutionally authorized to sign MTA & CoC • Process • Contact OCRC upon receipt of agreement to begin negotiation process parallel with other processes. • All funded research agreements processed through Sponsored Programs System (SPS). • All funded research agreements signed by ORA.

10. Office of Sponsored Programs • Post-award administration of sponsored projects • Prepare financial and other non-scientific reports to Sponsors • Monitors for compliance with Sponsor and Duke requirements • reimbursement of project expenditures • providing training and support to departmental administrators • coordinating award documentation and approval processes • providing information to Sponsors and Duke personnel

11. Business Processes Billing Sections: • Establish new cost objects and modifying existing Cost Objects • Deposit revenue received for sponsored projects (checks and wires) • Prepare and submit required billings and/or financial reports. • Serves as primary contact for all external audits related to sponsored funds Subcontracts: • Review and process invoices submitted by Subcontractors for reimbursement • Assist Departments in administering Subcontracts • Monitor for compliance with the Prime Sponsor’s requirements as they relate to Subcontracts. Effort Certification • Responsible for maintaining, distributing and collecting the Faculty/Staff Quarterly Notices and annual Effort Certification Cards

12. Research Interfaces • Departmental Grants Office • Office of Research Administration • Office of Corporate Research Collaborations • Clinical Research Support Office • Office of Sponsored Programs • IBC • IRB • IACUC • Research Compliance DUKE INVESTIGATORS • Vice Dean for Research • Office of Environmental Safety • University Counsel • Finance • Research Integrity Office • Export Controls • Compliance • Risk Management • Foundations Relations • Other Institutions • Collaborators RESEARCH PROPOSALS RESEARCH SPONSORS

13. Advice • Begin proposals and agreements early. • Seek advice and help from departmental business office and central support office • Awards and agreements are made with Duke, not the individual faculty member. • Institutional signatures are required and protect you.