Provost area/campus schools subcontracts during the submission process

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.

Determining Subrecipient, Vendor / Consultant Status

Documentation Required by Duke University from Subrecipients Prior to Proposal Submission

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.
Statement of work
  • Should be detailed and specific to each subrecipient
    ​
  • Each year should be specific to the project aims (deliverables).  May need to submit revised Statement of Work each year
     
  • Not the same as generalized abstract submitted at proposal time
     
  • Should answer “Who is doing what, when, where and how much?”

Guidelines for a statement of work

A corresponding budget and budget justification
  • Detailed - Should clearly reflect costs to complete the scope of work
  • Justified -
  • Include indirect costs (if allowed) in justification
  • Copy of rate agreement, or indirect cost policy
    • Subrecipients Without a Formally Negotiated Rate 
    • UG Section 200.414 advises that subrecipients may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely.
    • Please note that certain federal agencies have limited the international rate to 8%; be sure to check agency -specific guidance for additional information. In developing budgets with subrecipients that do not have a federally negotiated F&A rate, Duke University strongly recommends that the de minimis rate should be discussed with the subrecipient prior to submission of the proposal, and that this rate should be incorporated into the Duke University budget and budget justification.
  • Pay particular attention to F&A for foreign sites or small startup entities
A cover letter or commitment signed by an authorized official of the participating institution(s)
  • Cover page or letter that reflects certification and assurances
     
  • Signed by authorized official of the subrecipient institution
     
  • Generally obtained at proposal submission but may need to be revised if there are significant changes in budget/scope of work

Signed Commitment

Recipient responsibilities

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.

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.

For questions about COI management in the school, please contact dosicoi@duke.edu.
If you wish to anonymously report a conflict of interest or any other compliance matter, please call Duke's Fraud and Compliance Hotline: 1-800-849-9793

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

See some examples here