Subcontracts - During Submission Process


Documentation Required by Duke University from Subrecipients Prior to Proposal Submission

  1. A statement of work

  2. A corresponding budget and budget justification

  3. A cover letter or commitment signed by an authorized official of the participating institution(s) and

  4. If required by the sponsor, the recipient institution(s) may need to provide certifications and representations, other support documentation, biosketches, signed cover pages, DUNS, etc.

  5. PHS and NSF Only: The subrecipient must attest to its compliance with prime sponsor FCOI regulations and agree to abide by its own compliance policies or follow Duke's policies.


Best Practice: Each subrecipient packet should be scanned and uploaded into SPS as ONE PDF. (See samples)

It is critical that all required forms be signed by an authorized institutional officer. A signature from the participating PI, a department chair, or dean will not suffice to commit the institution.

When preparing the Duke budget, include the total cost of each subaward, including the recipient institution's Fringe Benefits costs and F&A costs, as a line item in the direct cost section of the budget proposal.

After receiving the award, ORS will write and issue the subawards.

Collaborative proposals, if allowed by a sponsor, are an alternate mechanism for joint projects with other institutions. The funds awarded for collaborative proposals go directly from the sponsor to each of the collaborating institutions simultaneously and eliminate the need for subawards from a lead institution to the other participating institutions.