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
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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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