All proposals submitted by campus personnel, regardless of the amount, source of funding or the type of project, must be reviewed and approved by the ORS. This review complements departmental, school, and other specialized review processes, all of which must be completed before ORS may approve a submission. Exceptions to this policy are:

• proposals for construction projects approved by the Board of Trustees for submission to corporations or foundations
• proposals for endowment funds
• fellowship programs which award funds directly to students or faculty and do not require any University involvement during the proposal or award processes.

5-day Review Deadline

At least five business days before the sponsor's deadline, the proposal must be completed in SPS and the following materials must be submitted to ORS, preferably by uploading the documents into SPS and notifying the appropriate ORS AD/P:

1. Cover page or application form
2. Proposal abstract (draft)
3. Budget (final)
4. Budget justification (final)
5. PI and co-PI signatures on page 3 (Assurances) of the DPAF printed from SPS
6. All extra forms required by the sponsor, including certifications and representations
7. Subcontract endorsements, budgets, and statements of work, if applicable
8. Request for Cost Sharing Form, if applicable
9. Conflict of interest disclosures, if applicable

For proposals being prepared for system-to-system submission using grants.duke/SPS, the following sections must be completed five business days before the sponsor's deadline:

1. Proposal abstract (draft)
2. Budget (final)
3. Budget justification (final)
4. Subcontract endorsements, budgets, and statements of work, if applicable
5. Request for Cost Sharing Form, if applicable
6. PI status approved by the Dean, if applicable

First Level - PI & Co-PI Approval

The PI and co-PI's must sign-off on the DPAF for all proposals, providing assurance that they will comply with the University's policies and procedures in the conduct of the project. For grants.duke proposals, this assurance is collected electronically when the PI submits the application. For all other proposals, the physical signature of the PI and all co-PIs is still required on page 3 of the DPAF after it is printed from SPS. A copy of that signature must be given to ORS before the 5-day review deadline. It can be faxed or sent via email.

Second Level - Department & School Approval

Department and School level approvals for proposals are obtained through the routing and approval process in SPS. When a proposal is "completed" in SPS (all sections are complete and marked as such, and the "Complete" button is clicked) the proposal is routed to all appropriate department and school officials for review and approval. The number and type of University units involved in the project will determine which approvals will be required in SPS. In the simplest scenario, the PI and any co-PIs are from the same department and only the approval from that department and/or school is required. However, if faculty members from other departments and/or schools are involved in the proposal, SPS will automatically route the proposal to those units for approval.

Final Level - University Approval

The authorization to sign proposals and awards as an institutional representative of the University is given by the Board of Trustees. 

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 ORS Staff:

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

Note: Proposals from PIs in the School of Medicine must be reviewed and signed by authorized staff in ORA.

Once ORS has completed review and obtained all clearances, one of the authorized officials will sign your proposal and notify you that it is ready for submission. ORS will obtain the signature of the President or Vice Provost for Research when required.

If a Certifications & Representation form or any other type of sponsor form requires a signature, ORS will sign or obtain a signature from the appropriate person.

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, the Vocational Rehabilitation Act, and the Drug-free
Workplace Act.

This can happen in one of three ways:

1. The staff of ORS may be asked to sign certification forms provided by the sponsoring agency which are then included 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, like proposals and awards, must be signed by ORS; or
2. The institutional signature provided by ORS on the agency's formal cover sheet confirms that Duke is in compliance with the relevant regulations; or
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.