Duke University takes its stewardship of federally-sponsored projects seriously and is constantly monitoring compliance with both Federal and University policies with the goal of improving on our policies and procedures. The objective of this section is to clearly document roles, responsibilities, and expectations of individuals involved in sponsored projects administration. The complete document can be found at Roles and Responsibilities.

Beneath each section, you will also find links other on-line resources at Duke. These include links to administrative offices, policy documents, accounting procedures, and e-mail lists. This section is in no way intended to be exhaustive. It is intended to provide you with access to key documents and resources that will help you understand grant management at Duke.

Principal Investigators

The Principal Investigator (PI) or Program Director (PD) is ultimately responsible for the direction of the sponsored project. The PI/PD is the primary individual in charge of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project.

Resources:
Office of the Provost: Policies and Procedures
Principal Investigator Status

Research Administrators

The term Financial Administrator encompasses Department Administrator, Grant Managers, Business Managers and Financial Designees. While ultimate responsibility for the direction of any sponsored project remains with the Principal Investigator (PI) and/or Program Director (PD), the PI in consultation with the department chair, must designate an administrator to assist in managing the financial and administrative aspects of the sponsored project (unless the PI has been designated as the financial administrator, in which case they must have the appropriate training). This person will manage finances, reconcile individual expenses to the award amount, prepare reports and perform other administrative functions related to the grant.

Resources:
Workshops
Mailing List
GM Meetings
Research Costing Compliance Certification

Chair’s Office

Responsible for oversight on all departmental research activities and ensures they are consistent with the department’s strategic plan and the University mission. The Chair’s Office provides oversight on the implementation of University and financial policies and regulations at the unit level.

Resources:
Chairs’ Handbook

Office of Research Support

The Office of Research Support (for campus units) and the Office of Research Adminstration (for the Medical Center) are responsible for supporting investigators and financial administrators with managing their externally sponsored research projects. More specifically, they are responsible for ensuring that sponsored projects are carried on in compliance with university policies and federal and local regulations. Because awards are made to the university on behalf of an investigator, the university is ultimately responsible for proper management of a project and a sponsor’s funds. All proposals, regardless of the source of funding or the type of project (research, instructional, conference, travel, training, etc.), must be reviewed and approved by these offices prior to submission to a sponsor. All awards must be reviewed and negotiated by these offices prior to acceptance.

Resources:
Duke Proposal Approval Form
Certifications and Representations
Signature Authority

Office of Sponsored Programs

Office of Sponsored Programs (OSP)
OSP is responsible for the accounting of sponsored activity at Duke (excluding clinical trials), which includes administering the financial reporting, billing, and cash collections for sponsored projects. OSP safeguards project funds, maximizes the University’s cash flow position, and maintains good relations with sponsoring agencies and University personnel. In addition they facilitate the progress of sponsored projects for principal investigators and financial administrators.

Resources:
General Accounting Procedures
OMB Circulars

Office of Science and Technology

The Office of Science and Technology is responsible for patents, licenses and other intellectual property matters for Duke University. In addition, it has responsibilities for corporate-sponsored research (in collaboration with the Office of Research Administration), corporate gifts and corporate programs for the Medical Center.

Resources:
University and Corporate Relations

Dean’s Office

Responsible for oversight on all research activities and ensures they are consistent with the University mission. Accountable for the adherence of all School departments to the policies and procedures, including the review of the Chair’s Office procedures which are used to ensure that each sponsored project is assigned a trained financial administrator. Responsible to determine the most appropriate means of ensuring compliance, including, but not limited to, methodologies such as annual or bi-annual certification statements from departmental business managers, periodic audits by central administration, discussions with Chairs regarding process during budget discussions, etc.

Resources:
Councils, Policies and Handbooks

Internal Audit

Internal auditing is an independent appraisal activity established within Duke University to examine and evaluate its activities. The objectives of internal auditing are to assist members of the organization in the effective discharge of their responsibilities by furnishing them with analyses, appraisals, recommendations, counsel, and information concerning the activities reviewed and by promoting effective control at reasonable cost.

Compliance Office

A written audit report will be prepared and issued by the Director of Internal Audit following the conclusion of each audit and will be distributed as appropriate. The audit report will include a response by the manager of the activity reviewed indicating what actions will be taken in regard to the specific findings and recommendations. Summaries of all audit reports will be forwarded semi-annually to members of the Audit Committee and to the Chairman of the Business and Finance Committee. The Director of Internal Audit may, at his discretion, forward complete audit reports to the Audit Committee and Chairman of the Business and Finance Committee.

Resources:
Compliance Site