Participation of Duke Research Support Centers in Research Projects Managed by External Entities

I. SCOPE

This policy applies to specifically identified and designated Service Components and Shared Resources (see GAP 200.300, Service Center Administration) that provide technical support to Duke research projects and have internal recharge rates approved by the Duke Office of Financial Services. For purposes of this document, those designated research support Service Components and Shared Resources are referred to as “Research Support Centers”.

II. POLICY

Research Support Centers are established to support academic research projects conducted by Duke researchers, including those that may be externally funded, and bona fide collaborative research projects in which Duke researchers are collaborating with researchers external to Duke. Duke researchers having authorship rights on publications arising from the research is a primary measure of whether or not a project is bona fide collaborative research.  As noted below, collaborative research projects are conducted under negotiated research agreements handled through Duke’s normal grants and contracts process.

Research Support Centers are not established with the primary aim of supporting research conducted by external entities, or to provide those entities with functions that are readily available from commercial organizations considering factors such as quality of work, technical expertise and proximity. Research Support Centers do not support research carried on for the primary purpose of commercial or industrial application or activities of a type ordinarily carried on as an incident to commercial or industrial operations, for example, the ordinary testing or inspection of materials or products, or the designing or construction of equipment.

If capacity is available after satisfying the needs of Duke projects and bona fide collaborative research projects, then as part of Duke’s research mission, a Research Support Center may participate in fundamental research carried out for a scientific purpose and being conducted for a “Permissible User” defined as a tax-exempt scientific or medical research organization, a tax-exempt educational institution, or a governmental entity that will accept the terms of Duke’s standard Research Analysis Quotation and Agreement (attached in Exhibit A (pdf)). Such external projects are compatible with Duke’s educational, research and health care missions, and are referred to as “External Research Support” in this document. External Research Support for other than Permissible Users (e.g., industry) requires prior, written approval as outlined in the last paragraph of this policy.

External Research Support projects are allowed in formally established Research Support Centers only, and are not allowed in other Duke resources and facilities or in other Duke Service Centers.  The availability of Research Support Centers to provide External Research Support is not to be marketed, and agreements for External Research Support shall be entered into with the external user for single, short-term projects only. Duke will not enter into “blanket” or “master” agreements under which multiple External Research Support projects or longer term projects would be conducted by a Research Support Center.

III. GUIDELINE

To summarize, External Research Support projects are allowed only if the following are all true:

  • The Research Support Center has capacity beyond that needed for Duke research projects and bona fide collaborative research projects.  A backlog of requests from Duke researchers for the Research Support Center to support their research, including collaborative projects, will demonstrate that this condition has not been met.

  • The External Research Support project will be fundamental research carried out for a scientific purpose and conducted for a “Permissible User” as defined above.

  • Duke must be free to use the results of the External Research Project for its own educational, research and health care purposes, including for the advancement of the knowledge and skills of its students and employees.     

  • The External Research Support project must be done under Duke’s standard Research Analysis Quotation and Agreement (RAQA), a copy of which is attached as Exhibit A (pdf). In general, these agreements will not be negotiated. The Research Support Center must not accept the Permissible User imposing its own terms, or having the Permissible User’s purchase order supersede those of the RAQA. If a Research Support Center thinks the RAQA template should be revised to more accurately reflect the type of work conducted by that Research Support Center, then Research Support Centers associated with the School of Medicine or School of Nursing should contact the Office of Corporate Research Collaborations for consideration of appropriate revisions, and those in other parts of the University should contact the Office of Research Support.

  • External Research Support will be charged to the Permissible User at the Research Support Center’s approved recharge rate plus an amount not less than Duke’s federal, negotiated facilities and administrative (“F&A”) charge (currently 59% (02/16)). This amount should be included in the per sample charge, and not explicitly broken out.

  • The Permissible User must accept the terms of Duke’s standard RAQA. Research Support Centers may not provide External Research Support for commercial entities without prior written approval as outlined in the last paragraph of this policy.

  • The External Research Support project must be conducted by Duke personnel under the direction of Duke in accordance with all applicable Duke policies. The project shall not be structured as or provide a right to space rental, lease or other direct use of Duke facilities by the Permissible User.

  • The Research Support Center must maintain accurate records of all External Research Support projects including copies of the signed RAQA for each project.

If a project is a bona fide research collaboration, such as a project involving both a Research Support Center and other Duke facilities or resources, or a Duke Faculty member analyzing results and authoring publications, then any external funding for the work must be received under a normal research grant or research contract, such as a Research Collaboration Agreement or Sponsored Research Agreement, and not through the RAQA. Those research agreements are to be handled through the normal Duke grants and contracts process, including being entered into the Sponsored Projects System (SPS), routed for approvals, and negotiated by the appropriate pre-award office. For the appropriate form of Agreement to use within the School of Medicine or School of Nursing, please contact the Office of Research Administration for government and foundation-funded projects, and the Office of Corporate Research Collaborations for industry-funded projects. Please contact the Office of Research Support for those to be used in other parts of the University.

IV. EXCEPTIONS

Any exceptions or variations from this policy require prior, written approval by the Vice Dean for Basic Sciences (for Research Support Centers within the School of Medicine and School of Nursing), or by the Vice Provost for Research (for other parts of the University).

IV. ADDITIONAL RESOURCES

GAP 200.300, Service Center Administration

Research Analysis Quotation and Agreement (pdf)