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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.