Outgoing agreements (SOM/SON)

A prime organization with a sponsored grant or contract may allocate a portion of the scope of work to another organization (subrecipient) to complete. A subagreement will be generated to obligate funding support and the sub-portion of the scope of work to the subrecipient by either a subaward or subcontract. Determination on which subagreement is utilized is dependent on whether the Sponsor award is a grant or contract.

Pre-Award Stage

Sponsor guidelines should be reviewed to ensure the appropriate documents are requested and collected from the subrecipient.  All subrecipient documents will need to be attached to the SPS Internal Documents section of SPS for ORA review.

Documents needed to issue a new sub: 

  • PHS 398 Face Page or letter referencing similar details, signed by an Authorized official
  • First Year Detailed Budget  or SF424 R&R Subagreement Budget
  • Budget Justification
  • PHS 398 Checklist
  • Statement of work

Documents needed for amending a sub: 

  • PHS 2590 or letter referencing similar details, signed by an Authorized official
  • Current year's budget
  • Statement of Work (if changed)


Award Activation Stage

Steps to follow to initiate the issuance of a subaward or amendment upon receipt of award notification:

  • Ensure Duke's award is in "Awarded" state in SPS 
  • If the funds are not available in the contractual G/L line in SAP, route a rebudget to add funds to the subaward fund code.  Invoices will not be paid if funds are not in the code.
  • Obtain a separate fund code for each subaward (not needed for capitation agreements)
  • Complete and submit the electronic Subagreement Initiation Request (SIR)

What happens after the Subagreement Initiation Request form is submitted?

If your request contains all of the necessary documentation, an agreement manager will draft the subaward and send an unsigned, electronic copy to the subrecipient. If the subrecipient requests changes that are programmatic in nature, we may consult with the point of contact indicated on the SIR.  Once the subrecipient signs and returns the partially executed (PE) subaward, we will countersign to fully execute (FE) the subaward. The fully executed subaward will be returned to the subrecipient electronically with a courtesy copy to the point of contact indicated on the SIR. If the subrecipient requires a hard copy, the agreement manager will notify the point of contact on the SIR once the original has been signed. It will be the department's responsibility to return the fully-executed hard copy to the subrecipient.


Sponsor Approval

When a subagreement is not approved at the initial application stage, written approval may be required from the sponsor. Refer to award notice and sponsor's policies for prior approval requirements.  Justification to the sponsor will need to sufficiently indicate why the scope of work will need a subagreement as well as how the current awarded funds will be redistributed to accommodate the subrecipient's costs. Please work with the your assigned ORA Research Administrator to submit a prior approval request to the sponsor, if necessary.