Duke University will adopt new policies and procedures related to research activities conducted by Duke investigators:

For research investigators, effective October 1, 2021:

Consistent with our peer institutions, research-related grant & contract proposals must be received in final form ready for institutional review and clearance by the appropriate pre-award office at least five (5) business days prior to the sponsor due date. Proposals received after this internal deadline will not be submitted. Unless rare extenuating circumstances are present, no changes except those required as a result of the institutional review can be made before submitting the final application to the sponsor. Late-submission waivers may be granted for illness, family leave, or short notice of funding opportunity/sponsor due date. Processes for late-submission waivers will be outlined in detailed communications from the Office of Research Support (ORS) and the Office of Research Administration (ORA).

Any research-related proposals submitted to an external sponsor without first receiving institutional clearance from the appropriate pre-award office will not be accepted at the time of award notification.

Investigators must utilize the Intent to Submit Process in myRESEARCHhome no later than fifteen (15) business days prior to the sponsor due date or risk the institution not allowing submission of the proposal. A grace period for compliance with this requirement will extend until January 1, 2022, to allow for units to implement Intent to Submit and communicate the requirement to investigators. Individual departments may mandate earlier submission requirements to accommodate internal procedures.

New faculty and first-time principal investigators (PIs) engaged in research must complete Researcher Onboarding with the myRESEARCHnavigators within 90 days of hire (new faculty) or prior to submitting their first proposal for external funding (first-time PIs).

For academic units, effective November 1, 2021:

Each academic unit (school/departments, centers, and institutes) will be assigned to a research leadership team consisting of a research faculty member (“Research Quality Officer”) and an experienced research administrator (“Lead Research Administrator”). Lead Research Administrators will have a dual reporting relationship to the chief administrative officer of the academic unit and the Office of Research Administration (for SOM/SON units) or the Office for Research & Innovation (for Provost-area units).

Accountability – assuring awareness:

The purpose of these policies and procedures is to ensure quality proposals and responsibly conducted research. As such, consistency is important, and everyone should be aware that violation of institutional policies may result in disciplinary measures applied in proportion to the gravity of the offense. Areas that merit special attention include but are not limited to: research or professional misconduct; non-compliance with the Faculty Handbook, research-related policies, or general accounting procedures (GAPs); non-compliance with sponsor requirements, consulting/outside activities disclosure and management, export controls, or data/IT security policies; failure to complete institutional training requirements; altering and/or signing official documents that require clearance by an institutionally-authorized individual.