Research Policies

In the conduct of research, Duke University representatives must comply with the requirements of external sponsors, including the Federal government, as well as internal requirements detailed herein. There are many policies associated with various research areas. For additional guidance and resources related to Duke research policies, please visit myResearchHome.duke.edu.

Policy Title	Summary	Audience
Academic Freedom	Details Classified Research, University-Industry Guidelines, Grant Proposal Submissions Updated May 2023	Faculty
Computing and Electronic Communications	Policy regarding ethical, legal, and secure use of University computers; violations will receive academic due process. Updated May 2023	Faculty, Staff, Students
Conflict of Commitment	Any faculty member who performs research under an agreement stipulating that a specified percentage of his or her total effort will be devoted to that project must be able to demonstrate he or she is in compliance with that requirement. Last Updated: July 2019 (Conflict of Interest / COI)	Faculty, Staff
Conflict of Interest (Principal Investigators)	Faculty have an obligation to avoid unacceptable ethical, legal, financial or other conflicts of interest (COI) and to fully disclose any outside activities that might lead to a serious conflict of interest. Investigators will also adhere to sponsoring agency policies governing conflict of interest. Updated May 2023	Faculty
Cost-Sharing	Cost–sharing on proposals for external funds is to be avoided unless required by the sponsor and approved at the time of proposal submission by the Office of Research Support (Campus) or the Office of Research Administration (Schools of Medicine and Nursing). Last Updated: May 2023	Faculty, Staff
Duke as an Applicant Organization	Each employee or representative of Duke University who is involved in sponsored projects administration has an obligation to ensure compliance with sponsor and University requirements for managing sponsored funds. Updated May 2023	Faculty, Staff
Effort Commitment, Reporting, & Certification	All persons employed by the University need to ensure that their annual effort certification accurately reflects all of their activities for the year. Last Updated: May 2023	Faculty, Staff
Equipment Transfers	Research equipment transfers occur when an investigator will cease to have an employment relationship with Duke University and will transfer their research activities to another institution of higher education. Because research equipment is an asset owned by Duke University or an external sponsor, the transfer of these assets requires appropriate institutional reviews, coordination and approvals. Last Updated: May 2023	Faculty, Staff
Facilities & Administrative (F&A) Costs	Generally, Duke University requires the inclusion of full Facilities and Administrative costs on all proposals for external funding, except gifts, unless prior approval is obtained from the appropriate Management Center. Last Updated: May 2023 Policy Owner: Provost	Faculty, Staff
Faculty/Staff Effort Management for Clinical Research Studies	University faculty and staff working on clinical research studies must include appropriate effort during the budget/proposal development process and allocate effort appropriately throughout the life of the sponsored agreement to support accurate effort reporting in compliance with applicable federal regulations.	Faculty, Staff
Fiscal Agent	If Duke University serves as a fiscal and/or legal agent for any external organization where the relationship includes either applying for Federally-sponsored funding or charging costs to a Federally-supported project, the Vice President for Research must provide approval, with delegation to the Associate Vice President for Finance and Compliance on the implementation of procedures and internal controls specific to each instance of assuming agency. Last Updated: January 2021	Faculty, Staff
Intellectual Property	Details Intellectual Property Rights; Inventions, Patents and Technology Transfer; Research Records - Sharing, Retention, Ownership Updated May 2023	Faculty
Misconduct in Research	All members of the University community involved in research are responsible for maintaining an atmosphere of honesty and trust in which pursuit of knowledge can occur. (Conflict of Interest / COI) Updated May 2023	Faculty, Staff
Nepotism	A nepotistic relationship may not exist unless a waiver has been granted by the University and disclosure of the relationship to sponsors of projects in which the parties are involved.	Faculty, Staff
Non-Retaliation and Non-Retribution	No one will be subject to any adverse action just because they report what they honestly believe is a compliance violation. However, if Duke University determines that someone purposely contrived, exaggerated, or otherwise distorted a report of wrongdoing - whether to protect themselves or to hurt someone else - that person will NOT be protected under the policy.	Faculty, Staff
Principal Investigator Status	Only those with whom the University has or intends to have an on-going contractual relationship may serve as principal investigators or program directors on sponsored projects. Updated May 2023	Faculty
Use of Animals in Research	In its conduct of research that involves animals, Duke University representatives must comply with all regulations pertaining to the proper treatment and care of research animals including government as well as internal requirements. Updated May 2023	Faculty, Staff

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