Synopsis
All proposals submitted by Duke faculty, staff and students must be reviewed and approved by the ORS* prior to submission to assure the proposals comply with both sponsor and Duke guidelines; budgets are accurate and consistent, with clear, concise, and detailed justifications; and both direct and indirect costs are appropriately recovered. At least five (5) business days before the proposal deadline, the proposal must be completed in the SPS*. ORS* must receive, at minimum, the following parts of the proposal:
- abstract or summery
- budget
- budget justification
- other support if required by sponsor at time of submission
- if subrecipients are included, all subrecipient documentation
- a DPAF* signed by the PI* and all co-PIs or senior personnel
If provided and if time permits, the AD/P* will review all parts of the proposal to verify that the sponsor's requirements have been met.
PreAward Procedure
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PROCEDURES: ROLES AND RESPONSIBILITIES
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DEPT
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:: Reads and follows sponsor's
request for proposals, funding opportunity announcement, or program
guidelines
::
Contacts the Office of Corporate and Foundation Relations if the
potential sponsor is a corporation or foundation
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MANDATORY
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5 BUSINESS DAYS PRIOR TO SPONSOR DEADLINE
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DEPT
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:: Enters and completes proposal in SPS or
requests waiver of 5-business day review policy (see OP2 for 5-day review waiver
::
Completes and forwards to ORS any required documents (such as
coversheet, certifications, sponsor-specific required forms, etc.). When possible, these documents should be uploaded into SPS. See OP2 - Uploading Documents to SPS
::
Non-research narrative sections, such as budgets and forms, must be
completed in SPS
:: Completes other requirements as
appropriate:
- Registers and
prepares proposal for electronic submission
- Requests Special
PI status (see OP2 for Special
PI Status for Non-faculty)
- Forwards
subcontract documentation to ORS (see OP2 for
Subcontracts in the Proposal)
- Completes and
forwards to ORS cost-sharing documentation (see OP2
for Cost Sharing)
- Competes and
forwards to ORS NIH salary cap worksheet (see OP2 for Budgeting for NIH Salary Cap)
- Obtains F&A
rate waiver (see OP2 for
F&A Rate Waiver
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ORS
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::
AD/P reviews proposal and notifies DEPT of any required changes
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DEPT
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::
Makes changes and returns proposal to ORS
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Obtains assurance signatures on Duke Proposal Approval Form (DPAF)
from PI and any faculty participants
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Completes or Updates Conflict of Interest Disclosure (see OP2 for Conflict of Interest)
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Obtains any required Clearances:
- International Projects (VP for
International Affairs)
- Curriculum Development (Dean/Provost)
- Summer Housing (Dept. of Residence Life
and Housing Services)
- Computer Cluster Purchases (VP for
Academic Affairs)
- Use of Duke
Forest (Office of the Duke Forest)
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ORS
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::
If required, obtains clearance for proposals to foundations and
corporations from Office of Corporate and Foundation Relations
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If required, obtains signatures from President or Vice Provost for
Research
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AD/P approves and signs for proposal when all necessary steps have
been completed by the DEPT
:: AD/P returns the approved and signed proposal
to DEPT
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DEPT
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::
Submits proposal to sponsor
:: Sends two (2) copies of proposal to ORS
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DOCUMENTATION: OFFICES OF RECORD
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DEPT
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:: Keeps copy of proposal
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ORS
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:: Keeps copy of
proposal and supporting documentation
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SPECIAL
NOTES
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See Facts
for Forms and Applications for commonly requested information for applications.
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