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Research Administration Mollie Sykes Associate Dean, Research Administration Office of Research Administration . Sponsored Projects and Research Related Policies. Faculty Handbook defines PI Status, Roles and Responsibilities

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Research AdministrationMollie SykesAssociate Dean, Research AdministrationOffice of Research Administration

Sponsored projects and research related policies
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

Duke tax exempt status
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
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 award1
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 award2
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

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
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
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


  • 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


  • Research Compliance



  • Vice Dean for Research

  • Office of Environmental Safety

  • University Counsel

  • Finance

  • Research Integrity Office

  • Export Controls

  • Compliance

  • Risk Management

  • Foundations Relations

  • Other Institutions

  • Collaborators





  • 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.