Chapter 5: Duke University Research Policy Manual

Duke University Research Policy Manual

Background

In late 2018, Duke University appointed a President’s Advisory Committee on Scientific Integrity and Research Excellence to provide recommendations to university leadership for improving the structure and function of research administration, with a focus on promoting research excellence and integrity. In their report, the Committee recommended the establishment of an institution-wide office for research (now the Office for Research & Innovation) and the development of a Duke University Research Policy Manual to compile the University’s current research policies into a single, well organized, searchable volume, separate from the Faculty Handbook, such that policies are easily found and it is clear that the policies apply to everyone in the Duke community engaged in research.

Duke University acted upon both recommendations, establishing the Office for Research in the fall of 2019 and placing the responsibility for university-wide research policy under its purview (Duke University Faculty Handbook, Chapter 1). The Office for Research then chartered the Duke University Research Policy Manual in January 2021, by agreement of the Provost, the Chair of Executive Committee of Academic Council (ECAC), and the Vice President for Research.

The policies and guidance in the Duke University Research Policy Manual establish institutional expectations and requirements for engaging in research at Duke University, noting that some policies may have broader applications than research. The policies are in alignment with the rules and regulations that govern the conduct of research.  All members of the Duke University community will be expected to comply with the Research Policy Manual, regardless of their role (faculty, staff, trainee, visiting scholar, etc.) within Duke University or the research setting.

Faculty input

As described below, Academic Council/faculty input into Duke’s research policies is ensured by several mechanisms.

• The Research Policy Advisory Committee (RPAC), where policy revisions and development are initiated and drafted, has a faculty member appointed by ECAC.
• Draft policy revisions that are deemed to involve a material change to members of the research community by the RPAC are submitted to ECAC and the Executive Research Oversight Committee (EROC) faculty subcommittee for their input.
• EROC, the body delegated with the authority to approve research policies, has faculty representation, with one member appointed by ECAC and at least two others approved by ECAC.

Process

The Executive Research Oversight Committee (EROC), established in 2019 to oversee the ongoing implementation of the research excellence initiative, was delegated authority to approve research policies and set effective dates for those policies. EROC consists of senior leadership from across the institution, as well as an ECAC member appointed by the ECAC chair and additional faculty members approved by ECAC. In addition, there is a faculty subcommittee of members nominated by ECAC, deans, and other university leadership.    

The Vice President for Research & Innovation (VPRI), acting as the head of the Office for Research & Innovation responsible for administering university-wide research policy, has designated the Research Policy Advisory Committee (RPAC) as the primary steward for the Research Policy Manual. This committee is charged with reviewing and improving research policies and procedures, identifying policy and procedural gaps and challenges, and incorporating an assessment of administrative burden into potential revisions to enhance efficiencies and optimize the conduct and administration of research at Duke University. The RPAC solicits faculty input and feedback through coordination and connections to the Faculty Subcommittee of EROC, ECAC, and other guiding faculty and administrative bodies in the University community, as appropriate.

The Research Policy Advisory Committee is comprised of business, administrative, and faculty leaders from the research enterprise at Duke University, as appointed by the Vice President of Research & Innovation in consultation with the Associate Vice Presidents for Research and the Research Policy Manager. The Committee also includes a faculty delegate from the ECAC, as appointed by the chair of that Committee. The RPAC will review all proposed revisions to research policies to determine the nature of the changes. 

If, upon review, RPAC determines the revisions would constitute a material change for members of the research community, these revisions would be presented and discussed with appropriate University leadership bodies, including ECAC and the faculty subcommittee of EROC. At the time of presentation to ECAC, that body would have the ability to refer the revisions to the full Academic Council for presentation and feedback. Office for Research and Innovation (OR&I) will provide a summary of feedback and incorporated changes to the relevant leadership bodies including ECAC. 

Material policy revisions will have some or all of the following characteristics. Discretion may be applied by RPAC or the VPRI:

• Policy revision would necessitate a change in process or behavior across schools and Management Centers.
• Would implement an internal control or standard that raises compliance threshold above or beyond the expectations of external funders.
• Requires a behavior change that, if not carried out, increases audit or compliance risk to individuals, units, or institution.
• Affects the flow of funds to departments or central units.

Non-material policy revisions will be provided to ECAC and others, communicated to our research community, and published. They will have some or all of the following characteristics:

• Updates to reflect change in office names or position titles.
• Revision is made to align Duke University policy with evolving external expectations, language use and regulations.
• Revisions directly requested and required by an external funder with limited time for updates.
• Revisions reflecting updated language and terminology in regards to process, funder systems, or community standards. 

The Duke University Research Policy Manual will be reviewed on a regular schedule and updated, as needed, to align with the rules and regulations governing research conduct and ensure the text is current, clear, and accurate. Some policy changes may be dictated by external funders with a deadline for revision, which may impact the ability to provide sufficient time for feedback; however, notification will be provided to research leadership and ECAC. The Research Policy Advisory Committee will inform ECAC of revisions and provide a summary of material and non-material changes made to the Research Policy Manual no less than bi-annually. Material changes to research policies will be communicated to the research community through the Office for Research & Innovation as appropriate.

Accessing the Duke University Research Policy Manual

The initial version of the Research Policy Manual was published following endorsement by EROC in December 2022, and presentation and discussion with ECAC (December 2022) and Academic Council (February 2023). The Duke University Research Policy Manual can be found here and is searchable. This is the same platform where the revised Faculty Handbook resides, and keyword searches find results in both documents.  

The table of contents of the Duke University Research Policy Manual follows, allowing faculty direct access to specific sections directly from the Faculty Handbook.

Table of Contents, Research Policy Manual

Introduction

1. The Institution
   1. Duke as an applicant organization
   2. Classified Research
   3. Earmarks
   4. Lobbying
2. Research Personnel
   1. Personnel
      1. Principal Investigator Eligibility
      2. Principal Investigator Roles and Responsibilities
      3. Investigator Communication with Sponsor Personnel
   2. Effort & Compensation
      1. Effort Commitment Guidelines
3. Research Integrity
   1. Responsible Conduct of Research (RCR) Education
   2. Guidelines for Authorship and Authorship Dispute Resolution
   3. Duke University Policy and Procedures Governing Misconduct in Research
4. Collaborations
   1. Individual Research Personnel Collaborations
      1. Individual Conflict of Interest and Conflict of Commitment in Research
      2. Institutional Conflict of Interest
   2. Collaborations with Private Enterprise
      1. University – Industry Guidelines
   3. International Collaborations
      1. Export Controls
5. Research Data
   1. Research Data Ownership
   2. Research Data Management
   3. Research Data Access
   4. Research Data Transfer
   5. Research Data Retention
   6. Public Access Requirements
6. Innovation and Intellectual Property
   1. Intellectual Property
   2. Policy on Inventions, Patents, and Technology Transfer
   3. Interpretation of the Policy on Inventions, Patents, and Technology Transfer Reaffirming the Rights of Undergraduate Students
   4. Policy on Open Access to Research
7. Human Participant and Vertebrate Animal Research
   1. Human Participant Research
      1. Duke University Principles and Procedures Regarding Research on Human Subjects (Provost Area Management Center)
   2. Animal Care and Use
8. Financial and Project Management
   1. Develop and Submit Proposals
      1. Internal Submission for External Funding Applications
   2. Financial Management & Costing
      1. Cost Sharing
      2. Facilities & Administrative Cost Recovery
9. Research Equipment Management
   1. Equipment Transfer Guidelines
10. Research Environment Safety: Trainings and Procedures
    1. Laboratory Safety
    2. Fieldwork Safety
    3. Safety Training Requirements
    4. Laser Safety
    5. Radiation Safety
    6. Use of Hazardous Materials
    7. Use of Recombinant and synthetic nucleic acids in research
    8. Use of Federally-regulated Biological Select Agents and Toxins

Acronyms Appearing in This Chapter