Policy Updates

October 2022 Updates

Duke University has updated two effort management policies  These policy updates, which are described in more detail below, are intended to ensure that Duke is properly estimating, budgeting, allocating, tracking, and reporting personnel effort on sponsored projects.

Measurable Effort on Sponsored Projects 

  • Replaces the SOM guidance previously referred to as Minimum Effort Policy.
  • Requires all individuals who are identified as Key Personnel in sponsored projects to have and maintain measurable and reportable levels of effort commensurate with the role and responsibilities associated with the sponsored project.
  • This policy applies to all sponsored projects without regard to sponsor type or whether the project is internally or externally funded.

Protected Time for Non-Sponsored Activities 

  • Replaces the SOM guidance previously referred to as Maximum Effort Policy
  • Requires all faculty engaged on sponsored projects to have and maintain protected time for non-sponsored activities, which may include time for teaching, proposal writing/preparation, service in an academic leadership role, service on university committees, mentoring, developing scholarly publications, and other administrative duties.

Updated guidance for managing effort of investigators with Career Development awards 

  • For example, NIH K mechanisms - to ensure there is adequate protected time for career development activities as required by the terms and conditions of these types of awards.

Beginning November 1, 2022 (for RCR) and February 1, 2023 (for SCRI) - researchers who are required by their unit to do training, but do not comply with the RCR or SCRI training requirements will have their ability to conduct research affected. This may include, but is not limited to, not being paid from externally-sponsored research awards, not receiving research incentives, and/or being removed as PI/Key personnel or otherwise unable to work on research projects.