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The Office of Research Administration at Duke University oversees sponsored projects, ensuring compliance with policies related to integrity, authorship, conflict of interest, and intellectual property. The office handles all aspects of proposal submissions, contract negotiations, and post-award administration, including effort certification and financial reporting. Established guidelines facilitate faculty and staff in navigating research regulations while promoting Duke’s tax-exempt mission. For detailed policies and resources, visit [Duke's Research Website](http://research.som.duke.edu).
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Research AdministrationMollie SykesAssociate Dean, Research AdministrationOffice of Research Administrationhttp://research.som.duke.edu
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
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
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
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
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
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
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.
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
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
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
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.
