What We Need and When

When? At least five working days before the sponsor's deadline, the materials listed below should be submitted to Research Support in 334 North Building. If the proposal will be submitted to a corporation or foundation, it will need additional levels of reveiw and should be submitted seven days prior to deadline.

What? Whether in hardcopy or electronically in SPS, email attachments, or through a sponsor's on-line application process, Research Support needs to see all of the following before an institutional signature can be provided.

• From the proposal:
  • the cover page
  • abstract (when required by sponsor)
  • budget
  • budget justification
  • all forms required by the sponsor, including certifications and representations
  • the research or project plan (The text of the research or project plan may be in draft form except for proposals for corporate or foundation proposals which must be in final form.)
• Request for Cost Sharing Form, if required
• Conflict of interest disclosures, if necessary
• The Duke Proposal Approval Form (DPAF)

The DPAF provides summary information about the PI, the proposal, and the sponsor. It identifies University and regulatory issues which must be addressed during the preparation of a proposal. The DPAF confirms that departmental and school reviews have taken place and collects assurances from the PI and co-PI's that they will comply with University policies. It is available from your contact at ORS.

Who Signs for Duke?

The Office of Research Support has been authorized by the Board of Trustees to serve as the institutional representative of the University in the proposal submission and award processes.

Therefore, the only people who may sign proposals on behalf of the University are:

• President Richard H. Brodhead
• Vice Provost for Research, James N. Siedow

and the following Research Support Staff:

• Judith Dillon, Director
• Keith Hurka-Owen, Associate Director
• Susan Lasley, Assistant Director
• Maria Scripa, Assistant Director
• Phillip Grosshans, Assistant Director
  

  NOTE: If the principal investigator is from a School of Medicine department, the proposal must be reviewed and signed by the Office of Research Administration in the School of Medicine.

SPS and Electronic Review

If the proposal will be submitted electronically, Research Support cannot complete the submission process until a signed Duke Proposal Approval Form has been received. This can be faxed to ORS at 684-2418. If the proposal has been prepared, routed for approval and reviewed in SPS, no DPAF is needed as the DPAF will be generated by SPS automatically.

Certifications & Representations

In order to receive federal funds, the University must certify that it is in compliance with relevant laws and regulations such as the Civil Rights Act, Lobbying, and the Drug-free Workplace Act.
This can happen in one of three ways:

1. The staff of Research Support may be asked to sign certification forms provided by the sponsoring agency to be included them in the proposal packet. Each agency will identify which forms need to be signed. Faculty members, chairs, and deans cannot represent the University on compliance issues. Certifications must be signed by Research Support.
2. The institutional signature provided by Research Support on the agency's formal cover sheet confirms that Duke is in compliance with the relevant regulations.
3. Some sponsors include certifications in the terms and conditions of the award. When Duke accepts the award, it thereby asserts its compliance with the terms of the certifications.

Regardless of the form certification takes, remember that only Research Support can sign the certifications on behalf of the University.