Research Policy Manual

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 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 Research Policy Manual, which would 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 Research Policy Manual in January 2021, by agreement of the Provost, Chair of Executive Committee of Academic Council (ECAC) and Vice President for Research.

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.

The policies contained within the Research Policy Manual establish institutional expectations and requirements for engaging in research at Duke University, noting that some policies may have broader application than research. The policies are in alignment with the rules and regulations that govern the conduct of research and supersede all previous versions published on Duke University websites, manuals, or handbooks. 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.

The Vice President for Research & Innovation, acting as the head of the Office for Research & Innovation charged with responsibility for university-wide research policy, has designated the Research Policy Advisory Committee 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 with the goal of enhancing efficiencies and optimizing the conduct and administration of research at Duke University. The Committee is also charged with soliciting 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 and administrative 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 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. 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.

Individuals are responsible for reviewing the Research Policy Manual to keep abreast of the contents and any additions or alterations contained therein.