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Researcher offboarding procedures

Need assistance with researcher offboarding procedures?

When a researcher is leaving Duke, a variety of activities need to occur. Those activities will depend on the type of research and whether the researcher plans to remain engaged in their projects after leaving Duke. Researchers should work in close collaboration with their departmental grant manager, business manager, research chair, and research support offices to coordinate and complete the relevant activities in a timely and conscientious manner before they leave the institution.

This page is intended as a guide of research offboarding procedures for independent researchers, but elements may be applicable to others (e.g., departing students or fellows).


Please contact myRESEARCHnavigators for questions and consultations about offboarding procedures.

VITAL FIRST STEP

When a researcher confirms that they are leaving Duke, the first thing they should do is to meet with their research administration support team (grant managers, business managers, and department chairs). Together, the researcher and research administration team can assess their portfolio and make decisions concerning what will happen to each project. 

The following offboarding procedures are grouped by topic and not designed to be followed chronologically. If a situation presents itself that does not align with one of the scenarios covered by this guidance, contact myRESEARCHnavigators and consult with departmental grant manager, business manager, research chair, and research support offices.

Awards, contracts and finance

Awards

Dependent largely upon sponsor regulations and award inclusions, there are several options for managing active awards when the principal investigator leaves the institution. If a co-investigator or other personnel on a project leaves the institution and wishes to remain engaged in the project, a subrecipient agreement will need to be issued. 

Situation Provost Area or Campus Schools Procedures Schools of Medicine or Nursing Procedures 
Award will remain entirely at Duke 

Award will need to be transferred to an eligible PI at Duke who is willing to assume responsibilities of being a PI. Sponsor Prior Approval and modification to the agreement may be required. 

Consult with your appropriate ORS Assistant Director (found in the middle column in this table) 

Award will need to be assigned to an eligible PI at Duke who is willing to assume responsibilities of being a PI. Sponsor Prior Approval and/or a modification to the agreement may be required. 

Consult ORA  

Award will transfer entirely to new institution* Follow the Award Relinquishment Checklist along with other relevant closeout procedures Consult ORA liaison for relinquishment guidance, along with other relevant closeout procedures 

 

Award remains at Duke but a subrecipient agreement is issued to the new institution* 

Award will need to be assigned to an eligible PI at Duke. Sponsor notice or prior approval may be required.  

Researchers should consult with their appropriate ORS Assistant Director 

An outgoing subrecipient agreement will need to be established with the PI’s new institution.  

Award will need to be assigned to an eligible PI at Duke. Sponsor notice or prior approval may be required. Consult ORA 

An outgoing subrecipient agreement will need to be established with the PI’s new institution.  

Award transfers to new institution with a new subrecipient agreement for activities continuing at Duke* 

Follow the Award Relinquishment Checklist, along with other relevant closeout procedures 

A subrecipient agreement will need to be issued to Duke once the transfer to the new institution is completed.  

Consult ORA liaison for relinquishment guidance, 

along with other relevant closeout procedures 

A subrecipient agreement will need to be issued to Duke once the transfer to the new institution is completed.  

Award will close 

Closing an award before the agreed upon closeout date constitutes a termination/early close and usually requires sponsor prior approval.

 

Depending on timeline, end dates in SAP may need to be changed since one closeout form
cannot be initiated >90 days prior to end date.

Researchers should consult with their appropriate ORS Assistant Director 

Follow standard award closeout guidance 

Closing an award before the agreed upon closeout date constitutes a termination/early close and usually requires sponsor prior approval. 

Researchers should consult with their ORA liaison. 

Follow standard award closeout guidance 

 

* Any change of PI, or change of institution, is subject to sponsor guidelines and approvals, and very often has an impact on the budget. PIs should not assume that their preferred plan of action will be accepted either by Duke or by the sponsor. 

Data, samples, or other research agreements

Campus Schools/Provost Area agreements

Personnel from Campus Schools or the Provost Area should contact orsadminactionreq@duke.edu for assistance with any contracts or agreements that may need to be transferred. 

 

School of Medicine/School of Nursing agreements

Personnel from the Schools of Medicine and Nursing should contact:

Other finances

For information on how to handle discretionary funds when leaving the institution see: 

Researchers who are ending their employment must certify their effort before their termination date. For any questions about effort certification, they should consult their HR, Finance, or Grant Administrators.

Data and computing

Human subject data research

Duke University personnel (faculty, staff) who have engaged in research overseen by the DUHS or Campus IRB, served as the project’s PI, and are planning to leave Duke should refer to this checklist before departing: 

* Please note: In order for this checklist to be used as intended, the researcher’s department, as well as other supporting units such as ORS/ORA and sub-units such as departmental IT, have to be properly oriented, structured and resourced to do their part in completing off-boarding processes.

Research not involving human subjects data

Duke University personnel (faculty, staff) who have engaged in research that does not meet the definition of research with human subjects, or have served as the project’s PI/lead, and are planning to leave or disengage with Duke, should refer to this checklist before departing: 

Computing

For researchers within the School of Medicine, an individual's access to resources can be removed by OASIS Computing: 

For researchers within the Provost Area/Campus Schools: 

  • Contact your local IT specialist to decommission computing access. Confer with your business manager and ORS for any agreements needed to maintain access to Duke data and computing resources. 

Research protocols

Human subject protocols

Duke University Health System IRB

Departing PIs with studies in the DUHS IRB have two options for each project:  

  1. Close out completed studies (analysis and manuscript preparation must be complete). Access DUHS IRB closeout procedures; or:
  2. Submit an amendment to change the PI to another faculty member prior to departure. Only a clinical research coordinator or regulatory coordinator listed on the protocol can make this change. If this PI is in another CRU, please refer to the CRU Change Policy Request in myRESEARCHpath. 

Departing researchers should also ensure they are removed as key personnel from other projects not listed as PI. To do so, contact the study’s regulatory coordinator and ask them to submit an Internal Request for Change in Key Personnel Form for each project.

Provost Area/Campus Schools IRB 

If the researcher plans to leave Duke while a project is ongoing, steps need to be taken to transfer the protocol to a new PI at Duke or approvals and agreements may be needed to transfer the project to a new institution. 

Protocols involving animals

Departing PIs with studies involving animals should follow IACUC procedures for either closing out or reassigning their protocols: 

IBC
  • Contact the IBC at biosafety@duke.edu to initiate a transfer of the protocol to another PI, or to notify them that the protocol will be closed
  • If an IBC protocol has a corresponding IACUC or IRB protocol, the respective IACUC or IRB closeout procedures should also be followed

Samples, specimens, and cell lines

Samples, specimens, and cell lines
  • To transfer research materials to another institution, a Material Transfer Agreement will need to be in place. Access agreement guidance based on the researcher’s primary affiliation.  
  • All samples, specimens, and cell lines need to be removed from the laboratory before the lab close-out is complete. 
  • If the researcher will not be transferring biological materials to another institution, they may transfer to another PI at Duke.  
  • Permissible amounts of select toxins may only be transferred with approval from the Duke Responsible Official. Please reach out to OESO Biosafety at biosafety@duke.edu to discuss the transfer. 
  • If the researcher will not be taking biological materials with them, nor will another Duke PI be taking them, then the materials need to be disposed of. Please refer to SOP to determine the appropriate disinfectant and contact time. Reach out to OESO Biosafety at biosafety@duke.edu with any questions. 

Space, equipment and supplies

Lab space, hazardous materials, X-ray-producing equipment, and lasers

For procedural guidance on closing out lab space (and any hazardous materials, X-ray producing equipment and/or lasers therein) follow the Occupational and Environmental Safety Office's Lab start-up, close-out, or relocation policies

For additional information or help with these items, contact labsafety@duke.edu.  

Equipment

Equipment Transfers 

For School of Medicine investigators, if equipment is being transferred, an itemized Equipment Transfer Request should be filled out at least one month before an investigator departs the institution. 

For Campus School/Provost Area researchers, if equipment is being transferred, the transfer must be approved by the Department Chair and cleared by plant accounting

Equipment Relinquishment 

If equipment is being relinquished, business managers should be notified, and equipment not disseminated to researchers in the PIs department will be processed through Surplus: 

Computers

Researchers, departmental business managers and local IT specialists should consult to determine what action needs to be taken with regards to computers and other electronic devices. Department or sponsor specific regulations may apply. 

Controlled substances

If you hold a controlled substance research registration all stored controlled substances should be disposed and the DEA and NC-DHHS registrations should be closed. Both in accordance with the Guidelines for the Use and Management of Controlled Substances in Duke Research.