If another organization, a subrecipient, will be paid by Duke University to conduct part of the proposed project, a subaward is the most appropriate mechanism for the transfer of funds if the following criteria apply:

1. the funds are to be paid to another university or business rather than to an individual.
2. the subrecipient will contribute to the scholarly or scientific design, conduct, and reporting of the project as described in a statement of work.
3. conduct of the subrecipient's portion of the project requires judgment, unique expertise, and original thought.
4. the subrecipient does not provide identical services to others as their primary business. Examples of identical services include the fabrication or repair of equipment, data processing, and routine analytical and testing services.

Required Materials for a Subaward Proposal

For each subrecipient included in a proposal, Duke must have a proposal from the subrecipient which has been through an institutional review process and authorized by the appropriate person at the recipient institution. This proposal must include the following documents:

1. a statement of work
2. a corresponding budget and budget justification
3. a Subrecipient Checklist Form, completed by the participating PI and signed by an authorized official of the participating institution(s)
4. and, if required by the sponsor, the recipient institution(s) may need to provide certifications and representations, other support documentation, biosketches, etc.

It is critical that the Subrecipient Checklist Form 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 FB costs and F&A costs, as a line item in the direct cost section of the budget proposal.

Subawards will be written and issued by ORS when the award is received.

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.