PROCEDURES: ROLES AND RESPONSIBILITIES

SPONSOR

:: Sends award letter to Duke University

DEPT^*

:: If the PI^* receives the original copy of an award letter it should be immediately forwarded to ORS^*, with all accompanying documentation, including checks

:: The PI^* is not to sign an award acceptance letter unless directed to by ORS^*

ORS^*

:: Receives the award notification by mail or email from sponsor (typically) or PI^* (rarely)

:: Changes the status of the proposal in SPS^* to Award in Progress

:: Reviews the award letter, terms and conditions, and awarded budget to ascertain if there are any differences from the submitted proposal

:: If the awarded budget is different from the proposed budget, an AS^* may request a revised budget from DEPT^*

:: If the terms and conditions are not acceptable to Duke University AD/P^* and/or OLV^*, in consultation with the PI^*, will open negotiations with the Sponsor

:: If the award letter requires a signature, the AD/P^* will sign on behalf of Duke University, or will secure the signature of the President or Vice Provost for Research, as appropriate

:: If necessary, sends signed, full- or partially-executed award letter to Sponsor

:: If only partially executed, ORS^* awaits the return of the fully-executed award letter

:: Once everything has been verified, updated, and/or received, AS^* changes the SPS^* status to Awarded, and sends award information to OSP^*

OSP^*

:: Assigns a WBS Element to a new award, competing renewal, or if the terms and conditions require a new accounting code

:: Enters the awarded budget into SAP R/3^*

ORS^*/DEPT^*

:: Receives the WBS Element from OSP^*

ORS^*

:: AS^* sends the sponsor's award notice and the ORS New Award Notification or Award Notification Notice Memo to PI^* and DEPT^*

:: Enters the complete WBS Element into the SPS^* Award Module

DEPT^*

:: Completes the Award Acceptance Checklist and reports back to ORS^* if something is missing from the award

DOCUMENTATION: OFFICES OF RECORD

DEPT^*

:: Keeps documentation in award file

ORS^*

:: Keeps award file in office (retained for 7 years from the termination date of the project)

OSP^*

:: Keeps award documents and financial records (retained for 7 years from the termination date of the project)

SPECIAL NOTES

The information listed above is a general overview of the award acceptance process.

Keep in mind that each sponsored project may have specific requirements before an award is considered fully-executed.