It is essential to the success of the project to carefully and accurately assess all of the financial needs of the research project, and to be able to justify the necessity of these expenses. Developing an accurate budget can take time, particularly if the project includes Key Personnel from other departments, will involve external consultants, involves technologies or international activities, or includes sub-awards or agreements with other institutions or partners.
Principal investigators should work closely with their grants administrator or financial practice manager as early as possible when developing budgets and justifications. Contact myRESEARCHnavigators@duke.edu if you are unsure who to contact or do not have these departmental resources available to you.
Budgeting personnel effort and salary
If effort commitments of a Key Peron are modified or adjusted prior to receipt of the award (at JIT, or Just-in-Time) or during the course of the project (with prior sponsor approval, if required), this modified effort commitment becomes the new minimum effort commitment.
For all personnel on the research project, budgeted effort must be adequate to complete their responsibilities associated with the scope of work.
- Access the Budget and manage effort commitments page for additional information and special considerations for effort commitments.
- Access the ORS guide on salaries and wages
- Access the Plan the project or methodology page to connect to support offices about appropriate effort needs to consider in your budget.
- Access the Design analysis plan page to connect to support offices about appropriate statistical support needs to consider in your budget.
- Access the Hire and engage personnel, students, and volunteers page for information about the hiring process and allowable activities by role.
Institutional Base Salary (IBS)
Institutional Base Salary (IBS) is the basis for both calculating salaries when developing a proposal budget and for managing effort on a funded project. All salary costs applied to sponsored projects are based on the total amount of work done in support of Duke University activities only. This includes instruction, research, administrative activities (committees, chair, director, etc.), and clinical trials and excludes supplemental/extraordinary pay, outside consulting, and study section honoraria.
Duke Appointment Model and converting person months
Duke Appointment Model
Effective July 1, 2022, Duke University School of Medicine and School of Nursing are implementing a Faculty Appointment Model which represents a faculty member’s efforts in support of Duke University as a percent of 12 calendar months.
Duke University School of Medicine and School of Nursing Faculty will have 100% appointments unless they also have additional professional effort that includes: outside clinical obligations (PDC), VA Appointments, formally approved Flexible Work arrangements, direct-paid DKU Appointments, direct-paid NUS Appointments, or other reduced schedules.
Converting person months
A “person month” is the metric for expressing the effort (amount of time) principal investigators (PIs), faculty and other senior personnel devote to a specific project. The effort is based on the type of appointment of the individual with the organization; e.g., calendar year (CY), academic year (AY), and/or summer term (SM); and the organization’s definition of such. For instance, some institutions define the academic year as a 9-month appointment while others define it as a 10-month appointment. Access this guide to calculating person months.
Entering and managing salaries in SPS
As of September 2021, SAP salary and effort information feeds into SPS so that all relevant parties working on grant applications can access salaries for individuals participating in research.
Access the Managing Salaries in SPS guide for step-by-step guidance and how-to videos for entering salaries in SPS. This is mandatory training for SPS users with editing/viewing rights.
- For School of Medicine:
- When determining whether the investigator has the appropriate level of committed effort available, please remember to evaluate the investigators Duke Appointment and other outside commitments in ensuring that the sponsor’s requirement is met.
- When the department anticipates that a shift in appointment % is necessary if the project is awarded, the department must secure approval from the SOM Dean's Office to use an anticipated or pro-rated IBS via the Anticipated and Out-of-Cycle IBS/Duke Appointment % Changes Form.
- Approval via the Anticipated and Out-of-Cycle IBS/Duke Appointment % Changes Form must be obtained prior to using an anticipated or pro-rated IBS in a new application.
Additional budget and cost considerations
When developing the budget, consider how each proposed cost relates to the scope of work of the proposed project. See below for the various types of costs that should be included in a proposal for funding:
- Access the Determine compute and data storage solutions page to connect with support offices about budget needs for data storage and computing.
- Access the Find equipment, resources, and Service Centers page to connect with support offices about budget needs for equipment and utilizing Duke Service Centers.
Conference related costs
- Primary purpose is the dissemination of technical information
- Must be necessary and reasonable for the successful performance of the award and managed to minimize costs to the award
- Allowable costs may include rental of facilities, speakers’ fees, costs of meals and refreshments, local transportation, and other items incidental to the conference
- Refer to Code of Federal Regulations Part 200 and specifically, §200.432 Conferences for additional information
- Access the Participant recruitment, retention, and engagement page to connect with support offices about budget needs for participant compensation and recruitment costs.
Funder-specific guidance on budgets and justifications
Select the type of project for more detailed guidance on developing your research budget and preparing a budget justification:
- Work with your business manager for all commercial or industry sponsored non-clinical trial budgets. Additional guidance coming soon!