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Financial Forms

Accounting Processes & Procedures

Accounts Receivable

This form should be used to request Accounts Receivable customers be added, changed or deleted, by departments using the Accounts Receivable module within SAP. Completed and approved requests will be processed by the Corporate Accounts Receivable department within three business days of receipt.

Available Formats

Gift Records & Processing

"Anonymous" means different things to different people. In order to make sure that donors' wishes are understood, please use this form to define and document expectations regarding anonymity at Duke. Submit a copy of this form to ADR and to Donor Relations.

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Please deliver gift deposits to University Cashiering using this Gift Deposit Form.  Complete the form listing check and cash totals for gifts.  Make copies of all check gifts, redacting the MICR line.  Prepare a Gift Transmittal and attach check copies or list the following information on each check copy:  1) fund code for gift, 2) premium/non-gift amount, if appicable (include details on event/dinner), and 3) provide total amount of checks/cash on transmittal.  Deliver gift deposit to University Cashiering at:

Duke University Cashiering
Smith Warehouse, Bay 8, Room B-103
114 South Buchanan Boulevard
Durham, NC 27701

University Cashiering will deposit the checks/cash to ADR's clearing account and promptly forward all gift transmittals, check copies and other gift documentation, credit card donations, and pledges to ADR.  ADR will then process the gifts on DADD.

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When you have multiple forms of payments to deposit, i.e. cash, checks, and/or credit cards, please separate them by payment type. For any deposits that do not include back-up documentation, please complete the Gift Transmittal Form with a line for each gift.  Gifts over $5,000 and from Organizations, should be on separate transmittals

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Duke employees are eligible to make charitable contributions to Duke via payroll deduction. The deductions occur monthly or bi-weekly depending on your payroll status. You may choose any amount of deduction (not less than $5.00 per deduction). You may add, delete, or modify a payroll deduction by logging on to Duke@WORK under MyPay. Complete instructions on managing your deductions may be found below.

Note: Alumni & Development Records will send you a consolidated deductions acknowledgment at the end of the year to assist with your tax filing.

When you have multiple forms of payments to deposit, i.e. cash, checks, and/or credit cards, please separate them by payment type. For any deposits that do not include back-up documentation, please complete the appropriate Gift Transmittal Form.

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Processing Payments

This form is used for the purchases of services. For further clarification on how to use this form, please review the AP Check Request online video tutorial.

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As required by U.S. tax law and IRS regulations, Duke University and Duke University Health System have an obligation to determine if any payments made to a foreign vendor require tax reporting or withholding. Generally, a foreign vendor is subject to U.S. tax on its U.S. sourced income. Completing this questionnaire will help to determine whether payments made to this vendor constitute U.S. sourced income, and are therefore subject to U.S. tax withholding and reporting.

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This cover sheet should be used in conjunction with the Experimental Subject Payment Authorization Spreadsheet to pay Experimental Subjects via the Protected Data Directory Phase 1 process. Please note that no payments to non-residents for US tax purposes should be included in the payment file.

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This form should be used to pay Experimental Subjects via Duke check using the Protected Data Directory Phase 1 process. Please note that no payments to non-residents for US tax purposes should be included in the payment file.

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This form should be used to process Experimental Subject payments to non-residents.

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Foreign Entities

This form is used for non-resident alien payments of other than substantiated expenses. Completed form must be attached to an Accounts Payable Check Request when requesting payment or it must be attached to a Purchase Requisition when you are requesting a Purchase Order.

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Accounts & Codes

To request an Agency Fund, an Agency Fund Application form and a Cost Object Request form should be completed and signed by the person responsible for the agency fund, the sponsoring department designee and “The Approver.” Requests for Agency Fund accounts can originate only from a department or school of Duke University. Both forms should be emailed to Accounting Systems Administration (ASA) for review, approval and setup. If the organization that will use the agency fund has tax-exempt status (not usual) please include a copy of the tax determination letter with the application forms. ASA will assign the cost object and communicate it to the responsible party and the sponsoring department.

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These forms are used to request the setup of a Duke University cost object.  One is to request a WBSE, and the other is to request a Cost Center or Profit Center.  In order to determine the first three digits of the code you are requesting, please refer to the Accounting Code Overview.

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This form is used to request the setup of a new G/L account. In order to maintain the integrity of the coding system, your request will be evaluated against the coding structure maintained for the entire Duke System.

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Contractors & Outside Services

Allows an individual who was paid as an independent contractor previously to challenge the status as contractor and request employment status.

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As required by U.S. tax law and IRS regulations, Duke University and Duke University Health System have an obligation to determine if any payments made to a foreign vendor require tax reporting or withholding. Generally, a foreign vendor is subject to U.S. tax on its U.S. sourced income. Completing this questionnaire will help to determine whether payments made to this vendor constitute U.S. sourced income, and are therefore subject to U.S. tax withholding and reporting.

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This agreement is required to reimburse entities of Duke University (DU) and Duke University Health System (DUHS) for professional services rendered by either partys primary appointed personnel.

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Vendors and contractors working for Duke University must maintain certain minimum amounts of insurance. These requirements vary, depending on the type and hazard of work being performed, as well as other factors specific to some operations.

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An OSA must be completed when engaging individuals or companies to perform certain outside services. It is a contract between Duke and the contractor.

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While it is not standard practice to waive the institutional insurance requirements, Corporate Risk Management may do so when circumstances dictate. To submit a request to waive one or more of these coverage's, please complete and submit the Insurance Exception form along with the required documentation.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

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To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

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To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

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Research Support Services Agreements (RSSA)

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

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To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

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To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

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The Term Sheet for Purchased Services should be utilized when purchasing services on sponsored and non-sponsored funds which cost between $2,500 to $10,000. This form is an easy to complete fillable PDF that documents the high level details of the Scope of Work, Invoicing Method, and Period of Performance with the given vendor. This is a document internal to Duke University and should not be sent to an outside organization or vendor.

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Additional Forms

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Agency Funds represent funds in which Duke University has no proprietary or financial interest. Requests for Agency Fund accounts can originate only from a department or school of Duke University. See GAP 200.500, Agency Funds for additional information and details on how and when this checklist should be used.

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This form is used when you are requesting a copy of an accounts payable invoice.

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This monthly log is used to document the review of reconciliation of financial transactions.

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This form is used when you are requesting the set up an Imprest Cash Fund on Deposit.

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This form is used when you are requesting a change in the fiduciary, custodian or location of your Imprest Cash Fund on Deposit.

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While it is not standard practice to waive the institutional insurance requirements, Corporate Risk Management may do so when circumstances dictate. To submit a request to waive one or more of these coverage's, please complete and submit the Insurance Exception form along with the required documentation.

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A template that is intended as guidance for units wishing to clarify additional and/or special circumstances relating to the management of a sponsored project where an internal parent/child relationship is being established to facilitate project management. Please refer to GAP 200.190 and the Parent/Child MOU PDF Guide for additional details.

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This form is used to request an increase or decrease in funds of your Petty Cash Fund or Change Fund.

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Establishment of a Petty Cash or Change Fund

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This form is used when you are requesting a change in the fiduciary, custodian or location of your Petty Cash Fund or Change Fund.

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Please ensure your Macro Security is set to "Medium" or "Low" within Microsoft Excel to use this file.

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This multi-tabbed form will assist in the calculation of the appropriate service center rate for your department.

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API

Time & Attendance

This checklist is designed to provide support for employees who are using the Time and Attendance system to ensure all processes have been completed prior to the pay period close.

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This checklist is designed to provide approvers and editors who are using the Time and Attendance system a reference for all tasks required for a successful pay period close. This will help to ensure your employees are paid timely and accurately.

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This form is used to add, change, or remove a Time and Attendance editor's or approver's access to Time and Attendance.

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Use this form to submit changes for badge updates, FMLA dates for Time and Attendance, lunch period changes, new department/cost center updates, or prior period timecards.

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EdTrack

Add and/or remove access to both ActiveStaff and EdTrack. Email completed account form to apiresourcegroup at mc.duke.edu.

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Please complete the Course Configuration form below at least 2 weeks before the date of the course for all unit based classes.

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Staffing & Scheduling

Add and/or remove access to both ActiveStaff and EdTrack. Email completed account form to apiresourcegroup at mc.duke.edu.

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Use the Coverage Set spreadsheet to determine how to complete your staffing template in ActiveStaffer. For each hour of the day, enter in the number of people will be working, as well as the total hours worked. Look in the column that matches your coverage set to see how many employees you need for each coverage period.

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ActiveStaffer Daily Maintenance Record Sheet.

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DukeShift

Create or remove a Bid4Health/DukeShift account. Managers: Completing a DukeShift account form means that you agree to monitor the employee's time in API as well as to monitor their overall workstretch on the API Schedule. You also agree to enter the employee's schedule in API so that schedulers can appropriately determine if a shift is suitable to be awarded to your staff member. It also indicates that you certify the employee is competent to work in the care types you indicate, is not under disciplinary action and is a good candidate for DukeShift. Email completed account form to apiresourcegroup at mc.duke.edu.

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Banking

Banking Forms

Must be completed and be submitted with the corresponding Account Payable Check Request or Purchase Requisition form for payment processing. ACH payments require a minimum of 24 hours for settlement. 

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Use this for to order banking supplies (deposit tickets, bank bags, etc.).

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Department Cashiering Cash Fund Reconciliation Form

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This deposit form is used by University departments to deposit money to general ledger accounts.

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This deposit form used by University departments to deposit money directly to student accounts.

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To request a speed type, complete the SpeedType Request form and fax to the Bursar's Office.

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Must be completed and be submitted with the corresponding Account Payable Check Request or Purchase Requisition form for payment processing. 

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Must be completed and be submitted with the corresponding Account Payable Check Request or Purchase Requisition form for payment processing. 

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Departments should use this form if they wish to pay the Duke University Bursar's Office student account charges for an individual designated as an employee of the University.

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If your department would like to request a loan equal to or less than $2.5 million from the University, please fill out this form with all required information. Forward the completed form to the Treasury Operations office for review and it will be circulated for the appropriate approvals.

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Budgets & Reporting

Capital Projects & Budgeting

If your department would like to request a loan equal to or less than $2.5 million from the University, please fill out this form with all required information. Forward the completed form to the Treasury Operations office for review and it will be circulated for the appropriate approvals.

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Additional Forms

The initial setup of Salary Setting users involves each school, department or unit should complete the Salary Setting user spreadsheet Excel Template and forward to their cognizant Management Center for review and approval.

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This form is for changes to land lines only. For changes with all cell phones and pagers, please contact the Office of Information Technology.

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Bursar Student Accounts

Bursar Student Accounts Forms

To request a Duke payroll deduction, complete the Payroll Deduction Form. For monthly payroll employees, all requests submitted by the 20th of the month will have the first deduction taken on the 25th of the following month. For bi-weekly paid employees, the deduction will be taken on the next paycheck three weeks after the form is submitted.

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This form is used to certify eligibility for the tuition and education amounts of a student attending a university outside Canada, and to show the maximum tuition and education amounts a student can transfer to a designated individual.

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This deposit form is used by University departments to deposit money to general ledger accounts.

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Nelnet Budget worksheet for continuing undergraduate students. This worksheet will help the student budget their monthly tuition balances.

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Nelnet Budget worksheet for first year undergraduate students. This worksheet will help the student budget their monthly tuition balances.

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Departments should use this form if they wish to pay the Duke University Bursar's Office student account charges for an individual designated as an employee of the University.

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If you wish to establish direct deposit for your refunds, please visit the Financials tab in DukeHub to add or manage your direct deposit information.

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Corporate Card

Corporate Card

This form should be used to document Corporate Expenses when the original receipt has been lost. The use of this form is expected to be on an exception basis and not a common occurrence.

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This form should be used to reinstate a card after suspension related to untimely postings.

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This form is required when submitting a Corporate Card Application

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This form should be used to dispute an unauthorized or unrecognized charge appearing on your Corporate Card account. Transactions that are more than 60 days old are not eligible for dispute.

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This form should be used to reinstate a card after suspension.

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Corporate Investments

Corporate Investments Forms

Please read the Cash Management Fund (CMF) Policy for more information on this form.

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This form is used when you are requesting the set up an Imprest Cash Fund on Deposit.

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This form is used when you are requesting a change in the fiduciary, custodian or location of your Imprest Cash Fund on Deposit.

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Please read Interest on Overdraft: Calculation and Rate of Interest for more information on this form.

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Please read the Long Term Pool (LTP) Policy for more information on this form.

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This form is used to request an increase or decrease in funds of your Petty Cash Fund or Change Fund.

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Establishment of a Petty Cash or Change Fund

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This form is used when you are requesting a change in the fiduciary, custodian or location of your Petty Cash Fund or Change Fund.

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Please ensure your Macro Security is set to "Medium" or "Low" within Microsoft Excel to use this file.

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Distribution of University funds to research subjects should be made via check using the Experimental Subject Payment Form. However, in some cases, it may be appropriate to compensate/reimburse research subjects in cash. This is allowed only for specific studies and require this form.

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 eCommerce

eCommerce Forms

Complete this form to be approved to accept credit card payments via a credit card terminal, computer, or the Web. After approval by a Dean or business manager, submit the form via fax to E-Commerce at (919) 684-8536.

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Submit a "trouble" ticket to report a suspected Duke e-Commerce credit card security problem. Be sure to reference your department name to ensure proper handling.

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Submit your DukePay application online! You must have a valid DukeNet ID to access.

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Endowments

Faculty Support Templates

Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Financial Aid Templates

Operational Templates

Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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Amendments & Restatements Templates

Endowment agreement template.

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Endowment agreement template.

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Endowment agreement template.

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iForms

Additional Forms

Payroll & Time Reporting

Employment

A checklist for new hires.

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Checklist for Terminations

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A checklist for employees transferring out of the department.

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Use this form along with the Hire/Non-compensatory Payment forms to establish a NEW Foreign National employee/payee with Visa History and Tax Treaty information.

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Federal Employment Eligibility (Form I9) and State Employment Eligibility (E-Verify) is mandated for each new employee (both citizen and non-citizen) hired after November 6, 1986 and is authorized to work in the United States. These verification forms, along with the hire form and tax forms, are completed through the Duke@Work site. Information about I9s and E-Verify can be located at the I9 documentation page.

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Terminated employees and former student employee or non-compensatory recipients should contact their former department to have their address updated. This is critical to ensure that IRS tax documentation is distributed appropriately. You may return the signed form to Corporate Payroll Services, Box 90484, Durham, NC 27708-0484. Please do not fax or email the completed form.

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Time & Attendance

This checklist is designed to provide support for employees who are using the Time and Attendance system to ensure all processes have been completed prior to the pay period close.

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This checklist is designed to provide approvers and editors who are using the Time and Attendance system a reference for all tasks required for a successful pay period close. This will help to ensure your employees are paid timely and accurately.

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This form is used to add, change, or remove a Time and Attendance editor's or approver's access to Time and Attendance.

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Use this form to submit changes for badge updates, FMLA dates for Time and Attendance, lunch period changes, new department/cost center updates, or prior period timecards.

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Compensation

Use this form to issue awards and approved lump sum payments not related to hours worked to biweekly employees.

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Complete this form to override biweekly time reports and to issue paid parental leave to biweekly employees.

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This form is designated for internal use only. Complete this form to request and authorize pay premiums for eligible biweekly employees.

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Use the Pay Exception Form to do a specific change in pay.

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Time card used for primary time for non-exempt employees in the event that time card is not submitted properly in the applicable time card system.  x

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Time card used for secondary time for non-exempt employees in the event that time card is not submitted properly in the applicable time card system.  

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This form used for exempt employees to issue supplemental payments in addition to the base salary as directed by Corporate Payroll Services when the supplement iForm cannot be used. 

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Non-compensatory Payments

Use the Cost Transfer Only form when moving payroll expenses from one cost object to another that cover a PAST period. This form cannot be used to make payroll changes for a future payroll period.

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Agreement stating Duke has permission to deposit directly into bank account.

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Use this form along with the Hire/Non-compensatory Payment forms to establish a NEW Foreign National employee/payee with Visa History and Tax Treaty information.

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For Non-compensatory Use Only. The current form used to establish new, or reinstate award payments. For University and Medical Center scholarship/fellowship recipients only.

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For Non-compensatory Use Only. The current form used to change payments. For University and Medical Center scholarship/fellowship recipients only.

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For Non-compensatory Use Only. Form designed for changes to data such as name changes, educational level, marital status, citizenship status, or home address changes. Some of these require documentation authorization before changes can be made in SAP.

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Form used to request a program to be added to list of approved payments for noncomp recipients.

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For Non-compensatory and Layoff Use Only. Form that has all required data elements and signatures for taking someone off the payroll. Form prompts department to notify secondary departments.

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Terminated employees and former student employee or non-compensatory recipients should contact their former department to have their address updated. This is critical to ensure that IRS tax documentation is distributed appropriately. You may return the signed form to Corporate Payroll Services, Box 90484, Durham, NC 27708-0484. Please do not fax or email the completed form.

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Foreign National Employees/Students

Use this form if you are a nonresident alien individual who is receiving compensation for independent personal services performed in the United States, compensation for dependent personal services performed in the United States, or Non-compensatory scholarship or fellowship income and personal services income from the same withholding agent.

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Use this form along with the Hire/Non-compensatory Payment forms to establish a NEW Foreign National employee/payee with Visa History and Tax Treaty information.

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Complete Form NC-4 NRA, Nonresident Alien Employee's Withholding Allowance Certificate, so that your employer can withhold the correct amount of State income tax from your pay.

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Form W-8BEN is to be used by foreign persons who are beneficial owners of an amount subject to U.S. withholding.

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Tax

The NC-4 form is used by employers as documentation of the correct amount of state taxes to withhold from an employee's pay. Read the instructions prior to completing the form. Be aware that an "exempt" status expires on December 31 of each year. The employee must submit a new NC-4 to reclaim an "exempt" status.

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Active employees can access W-2 forms from 2011- the current year via the Duke@Work employee self-service portal. Inactive or former employees replacing a lost or misplaced W-2 form for 2011 - 2021 should submit this form.  Inactive or former employees replacing a lost or misplaced 2022 W-2 should visit my.adp.com.  For more detailed information, visit Year End Tax Information. 

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The W-4 form is used by employers as documentation of the correct amount of federal taxes to withhold from an employee's pay.

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Form W-8BEN is to be used by foreign persons who are beneficial owners of an amount subject to U.S. withholding.

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Additional Forms

Review a listing of Financial Transaction & Accounting forms.

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You may complete the delivery log and fasten to your Corporate Payroll delivery instead of completing the log once you or your representative has arrived at the Corporate Payroll office front desk.

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This form may be used to update the Departmental Payroll Contact and to establish a new organizational key.

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The Duke Disability Checklist should be completed after Human Resources has notified the department that the employee has been approved for Duke Disability. This form should only be completed if the employee is not working any hours.

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Form must be used to establish LOA leave periods and for Sabbatical and Research leaves that begin on or after September 1, 2009. This form should not be confused with the Human Resources' Leave of Absence Request Form.

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Form must be used to establish LOA leave periods for employees transitioning to Long Term Disability. Complete and return the form to the Human Resources Disability Analyst. This form should not be confused with the Human Resources Leave of Absence Request Form.

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Duke Human Resources

Additional Human Resources forms such as Health, Dental, and Vision Benefits, Disability, Educational Benefits, Health and Wellness Forms, Life Insurance, Reimbursement Accounts, Retirement, Same Sex Spousal Equivalency, and others can be found on the Human Resources website.

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The Leave of Absence Request form is completed by the employee requesting a leave of absence and submitted to their departmental representative. This form is to be maintained in a confidential file in the employee's department and should not be submitted to Corporate Payroll.

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Payroll/HR Use Only Forms

For Use by Corporate Payroll Services and Human Resources Staff only.

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Procurement & Purchasing

Accounts Payable

This form is used for the purchases of services. For further clarification on how to use this form, please review the AP Check Request online video tutorial.

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This form is used when you are requesting a copy of an accounts payable invoice.

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This form may be used to Add the Accounts Payable Representative for your department.

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Corporate Card

This form should be used to document Corporate Expenses when the original receipt has been lost. The use of this form is expected to be on an exception basis and not a common occurrence.

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This form should be used to reinstate a card after suspension related to untimely postings.

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This form is required when submitting a Corporate Card Application

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This form should be used to dispute an unauthorized or unrecognized charge appearing on your Corporate Card account. Transactions that are more than 60 days old are not eligible for dispute.

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This form should be used to reinstate a card after suspension.

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Contractors & Outside Services

As required by U.S. tax law and IRS regulations, Duke University and Duke University Health System have an obligation to determine if any payments made to a foreign vendor require tax reporting or withholding. Generally, a foreign vendor is subject to U.S. tax on its U.S. sourced income. Completing this questionnaire will help to determine whether payments made to this vendor constitute U.S. sourced income, and are therefore subject to U.S. tax withholding and reporting.

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An OSA must be completed when engaging individuals or companies to perform certain outside services. It is a contract between Duke and the contractor.

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While it is not standard practice to waive the institutional insurance requirements, Corporate Risk Management may do so when circumstances dictate. To submit a request to waive one or more of these coverage's, please complete and submit the Insurance Exception form along with the required documentation.

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The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

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To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

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To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

Available Formats

Tax

As required by U.S. tax law and IRS regulations, Duke University and Duke University Health System have an obligation to determine if any payments made to a foreign vendor require tax reporting or withholding. Generally, a foreign vendor is subject to U.S. tax on its U.S. sourced income. Completing this questionnaire will help to determine whether payments made to this vendor constitute U.S. sourced income, and are therefore subject to U.S. tax withholding and reporting.

Available Formats

IRS Tax Exemption Letters - 501(c)(3) for Duke University and Duke University Health System, Inc.

Available Formats

(a.k.a. Davis Ambulatory Surgical Center)
IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

Foreign Entities

Use this form if you are a nonresident alien individual who is receiving compensation for independent personal services performed in the United States, compensation for dependent personal services performed in the United States, or Non-compensatory scholarship or fellowship income and personal services income from the same withholding agent.

Available Formats

This form is used for non-resident alien payments of other than substantiated expenses. Completed form must be attached to an Accounts Payable Check Request when requesting payment or it must be attached to a Purchase Requisition when you are requesting a Purchase Order.

Available Formats

For Vendors

As required by U.S. tax law and IRS regulations, Duke University and Duke University Health System have an obligation to determine if any payments made to a foreign vendor require tax reporting or withholding. Generally, a foreign vendor is subject to U.S. tax on its U.S. sourced income. Completing this questionnaire will help to determine whether payments made to this vendor constitute U.S. sourced income, and are therefore subject to U.S. tax withholding and reporting.

Available Formats

This form is used to receive a valid Vendor Duke ID Badge.

Available Formats

This form is used to determine if an individual performing services for the University qualifies (per the IRS) as an Independent Contractor or must be paid as a Duke employee. Completed form must be attached to an Accounts Payable Check Request when requesting payment for individual services, or it must be attached to a Purchase Requisition when you are requesting a Purchase Order.

Available Formats

An OSA must be completed when engaging individuals or companies to perform certain outside services. It is a contract between Duke and the contractor.

Available Formats

While it is not standard practice to waive the institutional insurance requirements, Corporate Risk Management may do so when circumstances dictate. To submit a request to waive one or more of these coverage's, please complete and submit the Insurance Exception form along with the required documentation.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

Available Formats

To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

Available Formats

To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

Available Formats

Duke Health has implemented a compliance program for a number of purposes, including, but not limited to, ensuring that the provision of, and billing for, care at Duke Health is in compliance with applicable federal and state laws and Duke Health operations are conducted in accordance with applicable laws and regulations. Please review and acknowledge.

Available Formats

Package including Letter from Accounts Payable, Statement of Compliance, W-9, Vendor Information Form

Available Formats

Research Support Services Agreements (RSSA)

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

Available Formats

To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

Available Formats

To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

Available Formats

The Term Sheet for Purchased Services should be utilized when purchasing services on sponsored and non-sponsored funds which cost between $2,500 to $10,000. This form is an easy to complete fillable PDF that documents the high level details of the Scope of Work, Invoicing Method, and Period of Performance with the given vendor. This is a document internal to Duke University and should not be sent to an outside organization or vendor.

Available Formats

Additional Forms

This form is used when you are requesting a copy of an accounts payable invoice.

Available Formats

Use this for to order banking supplies (deposit tickets, bank bags, etc.).

Available Formats

This form should be used to reinstate a card after suspension related to untimely postings.

Available Formats

An equipment screening form is required when purchasing capital equipment on reportable awards. It is required by the federal government to ensure they are not funding duplicative equipment. The screening form should be appear in the Notes & Attachments of the corresponding Buy@Duke cart. This form should also be submitted when submitting items to surplus valued up to $20,000.

Available Formats

For hospitalized employees and in the event of the death of an employee or member of the employee's immediate family, the department designee should complete a Floral Request Form and contact the approved florist.

Available Formats

The IRI form is used to order supplies or services from another department. The form is used both as a request form and as a priced invoice. Some service areas have their own form so that they can get additional information needed (for example, Duke Publications Group). The IRI you download will have a space for the number. You should assign a number for tracking purposes. IRI transactions show on financial reports with a "JV" reference. The number will be referenced in the description field.

UPDATE: Effective 2/12/18, employees will no longer be allowed to present paper IRI forms at Duke Stores or on-campus Dining locations, with the exception of the approved categories noted on the IRI form. The payment alternatives available to employees at Duke Stores and on-campus Dining when purchases should be charged to their departmental code include p-cards, personal funds (submit for reimbursement), or the new Internal Charge account on the DukeCard. The Internal Charge account is assigned in the SAP security role for an employee's position when authorized by the department. The default code associated with the position will be charged automatically. For more information on the Internal Charge account, see the FAQ document below.

Available Formats

The Biological Safety Division addresses employee safety, training, policies, and other concerns regarding occupational exposure to biological agents. This is accomplished through the development and implementation of policies and procedures that are intended to provide guidance for worker safety when handling biological agents. These policies are based on the applicable regulatory requirements or current safety guidelines. Laboratory equipment that needs an evaluation includes, but is not limited to the following: refrigerators, freezers, centrifuges, incubators, chemical fume hoods, biological safety cabinets and other items potentially contaminated with hazardous materials. All laboratory equipment must be free of hazardous materials (e.g. biological, chemical, radiological) prior to equipment maintenance, transport to Duke Surplus or other destinations.

Available Formats

While it is not standard practice to waive the institutional insurance requirements, Corporate Risk Management may do so when circumstances dictate. To submit a request to waive one or more of these coverage's, please complete and submit the Insurance Exception form along with the required documentation.

Available Formats

Fill out form on line and email to productrequest@duke.edu. Once the completed product request has been received, you will receive automatic notices as your request progresses through the PERT process. All product requests for trial or purchase must be approved by Duke Medicine's Product and Equipment Review Team (PERT) prior to bringing the product into the hospital.

Available Formats

The Purchase Requisition is used to initiate a purchase order for supplies or services from a vendor. The paper Purchase Requisition should ONLY be used in rare occasions when an electronic requisitions are NOT appropriate (examples: leases, standing purchase orders for DUHS). Types of electronic requisitions are buy@duke for University and SoM/SoN departments and SAP e-reqs for DUHS departments. The Purchase Requisition template you download will have a space for a tracking number. You should assign a number for tracking purposes. You can assign a random number or use your initials and date (ABC5432). This tracking number is essential if you need to inquire about your requisition.

Available Formats

The Sole Source Justification/Price Quote Selection Form should be utilized when an explanation as to the unique nature of the purchase of a good or service from a vendor on sponsored funds is necessary.

Available Formats

This form should be used to reinstate a card after suspension.

Available Formats

Research Compliance & Reporting

Pre-Award

The standard Duke University 1-way Confidential Disclosure Agreement may be shared with potential sponsors and collaborators. Please copy the ORS* Grants, Contracts and Compliance staff when emailing this agreement to a sponsor.

Available Formats

Duke University is subject to the regulations and requirements of 2 CFR Part 200: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (The Uniform Guidance). The Uniform Guidance requires Duke, when acting as a pass-through entity, to determine whether a relationship with an entity is a subrecipient or a contractor (vendor). This form should be maintained within the department and/or attached to the SPS record.

Available Formats

Post-Award

To support the timely and accurate closeout of sponsored projects, the department should complete the Tasklist to provide confirmation that all appropriate project closeout actions have been taken. Linked documents below are resources to support the completion of the Tasklist, which is directly provided to business units by the Implementation Teams.

Available Formats

An equipment screening form is required when purchasing capital equipment on reportable awards. It is required by the federal government to ensure they are not funding duplicative equipment. The screening form should be appear in the Notes & Attachments of the corresponding Buy@Duke cart. This form should also be submitted when submitting items to surplus valued up to $20,000.

Available Formats

A monthly checklist for Grant Managers on the various SAP reports to run, how to run them, and what to look for.

Available Formats

The Principal Investigator is responsible for accumulating the data necessary to provide proof of any cost sharing which is received in-kind. The report should include the value of in-kind contributions. These reports should be prepared each month and sent to the Office of Sponsored Programs for inclusion in the financial reports and billings.

Available Formats

This form is used to determine if an individual performing services for the University qualifies (per the IRS) as an Independent Contractor or must be paid as a Duke employee. Completed form must be attached to an Accounts Payable Check Request when requesting payment for individual services, or it must be attached to a Purchase Requisition when you are requesting a Purchase Order.

Available Formats

Please use the "Other Payroll Cost Share Worksheet" below for determining the appropriate amount of salary to cost share for any scenario; cost sharing related to the legislatively-mandated DHHS salary cap is performed automatically within SAP, so entries in the "Other Payroll Cost Share" tool are not needed on an individual project basis.

For NIH NRSA Training Grants, complete this worksheet indicating any training expenses that will be paid to individuals after the current budget period end date. These expenses will be reported as obligations in the FFR. This worksheet must be submitted with required closeout documentation.

Available Formats

This is a macro-enabled spreadsheet that will assist in the calculation of salary to be cost shared for any reason, including the DHHS/NIH salary cap restriction.  The spreadsheet is able to calculate the appropriate percentage of effort to cost share for a variety of appointments (12-month appointment, 9-month appointment, and summer supplement) based on the specific salary cap amount entered in the sheet.

Available Formats

An OSA must be completed when engaging individuals or companies to perform certain outside services. It is a contract between Duke and the contractor.

Available Formats

This form is meant to be used with the eRA@Duke system and is used to calculate the F&A when moving direct costs subject to different F&A rates.

Available Formats

This agreement is used to document when equipment is suitable and available for shared use.

Available Formats

Use this worksheet to calculate NIH Maximum Allowed and Salary Payment Calculation for Basic Medical Science & Nursing Departments for 10 or 12 months, Arts & Sciences and Nicholas School Departments, and Engineering Departments for 10 or 12 months. Please see the handout for more information regarding Tuition Remission effective July 1, 2009.

Available Formats

For a cost transfer entry made on a Staff Change Form or a Cost Distribution Form, if the retroactive period is untimely, complete the Untimely Cost Transfer Justification - Payroll Retros. Submit the Untimely Cost Transfer Justification - Payroll Retros, to the Office of Sponsored Programs, Box 90491, 705 Broad Street, Lower Level Room 01.

Available Formats

Compliance

Webpage listing IACUC (Protocols & Reports), DLAR (Animal Care), and Controlled Substances (Procedures & Logs) Forms

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

Available Formats

To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

Available Formats

To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

Available Formats

Research Support Services Agreements (RSSA)

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for domestic services costing greater than $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing between $10,001 to $100,000.

Available Formats

The Duke University Research Support Services Agreement (RSSA) should be utilized to procure outside services on sponsored codes (20x-28x, A03, and 30x-38x). This agreement should be utilized only when a determination is made that the entity is a vendor under the definition in OMB Circular A-133. Use this version for international services costing greater than $100,000.

Available Formats

To be accompanied by a Research Support Services Agreement (RSSA).  This Rider is recommended, if necessary to describe the services to be provided in the RSSA, for all Domestic and International RSSA documents.

Available Formats

To be accompanied by Research Support Services Agreement (RSSA) if necessary. Use only if the entity is foreign.

Available Formats

The Term Sheet for Purchased Services should be utilized when purchasing services on sponsored and non-sponsored funds which cost between $2,500 to $10,000. This form is an easy to complete fillable PDF that documents the high level details of the Scope of Work, Invoicing Method, and Period of Performance with the given vendor. This is a document internal to Duke University and should not be sent to an outside organization or vendor.

Available Formats

Accounts Receivable

This form should be used to request Accounts Receivable customers be added, changed or deleted, by departments using the Accounts Receivable module within SAP. Completed and approved requests will be processed by the Corporate Accounts Receivable department within three business days of receipt.

Available Formats

Training

Please complete the following application form for the Advanced Grant Management Program.  Secure all required signatures/approvals and submit via e-mail to to rcc-cert@duke.edu.  Applications must be submitted by Friday, February 5, 2021.  

Available Formats

Used to track annual continuing education requirements for Duke specific certifications.  Tracks total number of hours by category.

Available Formats

Submit form in advance to request credit for webinars viewed as an office.

Available Formats

Duke's CRA Study Group is held two times a year to meet the needs of the exam schedule set by RACC. To apply for the next CRA Study Group, complete and submit the CRA Study Group Application to RCC at rcc-cert at duke.edu. Feel free to contact RCC with any questions about the application or upcoming CRA Study Group.

Available Formats

Please complete this application form for the employee you are nominating for the Federal Contracting Certificate Program. Print, sign, and scan the form, saving the scanned copy with the Nominee's last name as the file name. Return the form via e-mail to rcc-cert@duke.edu. Incomplete forms will not be accepted.

Available Formats

Supervisors of Subject Matter Experts (formerly Lead Trainers) and Central Office Trainers may petition to have the annual continuing education requirements waived for a particular fiscal year. The form should be completed by the supervisor and submitted to RCC at rcc-cert at duke.edu. If approved by the supervisor, all continuing education requirements for the year will be waived with the exception of Management of Selected Post-Award Issues (MSPAI) and any required FasTracks

Available Formats

Supervisors of RCC, RAA, AGM and RAI certified employees may petition to have the annual continuing education requirements waived for a particular fiscal year(s) due to extenuating circumstances, such as extended periods of approved leave. Workload and staffing concerns are not reasons for which a waiver will be granted. The form should be completed by the supervisor and submitted to RCC at rcc-cert@duke.edu. If a waiver request is grants, the employee will have to meet all continuing education requirements for the waived fiscal year IN ADDITION TO current fiscal year continuing education requirements in order to maintain certification (with the exception of the waived year MSPAI).

Available Formats

To request continuing education credit for classes offered by another Duke entity, attendance to an external professional meeting, or any other class credit missing from your transcript, submit completed form to rcc-cert at duke.edu.

Available Formats

Departments may request that their departmental training count towards continuing education credit by submitting a completed RCC Application to Provide Continuing Education Credit form. Activities such as staff meetings or updates are not qualifying training activities. Formal staff training of research administration topics that provides materials or resources, such as a presentation, handouts, etc., may constitute as qualifying training activities. RCC has the discretion to review submitted forms and training materials to determine departmental training activities that count as continuing education credit.

Available Formats

The employee and the employee's supervisor must complete the RAA Application Part 1 for the RAA program and submit to RCC via rcc-cert at duke.edu. The application will be reviewed, and selected applicants will be enrolled into the RAA curriculum.

Available Formats

The employee and the employee's supervisor must complete the RAA Application Part 2 after submitting Part 1 of the applications and being accepted into the RAA program. Submit the RAA Application Part 2 to RCC via rcc-cert at duke.edu. The application will be reviewed, and selected applicants will be enrolled into the RAA curriculum.

Available Formats

Additional Forms

Agency Funds represent funds in which Duke University has no proprietary or financial interest. Requests for Agency Fund accounts can originate only from a department or school of Duke University. See GAP 200.500, Agency Funds for additional information and details on how and when this checklist should be used.

Available Formats

Available Formats

An equipment screening form is required when purchasing capital equipment on reportable awards. It is required by the federal government to ensure they are not funding duplicative equipment. The screening form should be appear in the Notes & Attachments of the corresponding Buy@Duke cart. This form should also be submitted when submitting items to surplus valued up to $20,000.

Available Formats

This tool can be utilized to assist with the consistent calculation and management of estimated project balances (based on total costs; including both direct costs and F&A) at both the individual WBSE and overall project-level. Calculator was updated July 2022.

Available Formats

A NCE may be needed when additional time is required to complete the existing scope and objectives of a project without the need for additional funds. The NCE Checklist and Procedural Guidance provides a general list of questions and actions that Grant Managers should review and confirm when requesting a NCE. A supporting video is available which further details important compliance considerations. NCE requests requiring prior sponsor approval, as well as requests that can be approved by Duke, are submitted via the SPS Web NCE Request Form. The Quick Reference Guide provides more information about the NCE Request Form in SPS Web and details the submission, review and verification steps.

Available Formats

A template that is intended as guidance for units wishing to clarify additional and/or special circumstances relating to the management of a sponsored project where an internal parent/child relationship is being established to facilitate project management. Please refer to GAP 200.190 and the Parent/Child MOU PDF Guide for additional details.

Available Formats

The Sole Source Justification/Price Quote Selection Form should be utilized when an explanation as to the unique nature of the purchase of a good or service from a vendor on sponsored funds is necessary.

Available Formats

Duke University is amending its internal process for paying subrecipient final invoices that are received after the subaward agreement deadline (late invoices). Feel free to use or adapt this template communication to reach out to your project-level peer at the subrecipient institution at the time of final invoicing.

Available Formats

Risk Management & Insurance

Risk Management & Insurance Forms

Insurance Identification Card for those using Duke Vehicles.

Available Formats

Duke insurance identification card for Duke vehicle rentals.

Available Formats

Vendors and contractors working for Duke University must maintain certain minimum amounts of insurance. These requirements vary, depending on the type and hazard of work being performed, as well as other factors specific to some operations.

Available Formats

The International SOS membership card includes the telephone numbers of the three major worldwide International SOS Alarm Centers. In the event of an emergency while traveling internationally, call one of the emergency phone numbers listed on the card.

Available Formats

While it is not standard practice to waive the institutional insurance requirements, Corporate Risk Management may do so when circumstances dictate. To submit a request to waive one or more of these coverage's, please complete and submit the Insurance Exception form along with the required documentation.

Available Formats

Used to request proof of insurance coverage.

Available Formats

(A Sports Camp accident and libility insurance policy effective through June 1st, 2020 to June 1st, 2021, has not been renewed as Duke has suspended sports camps and related activities. If you are planning to operate a sports camp, please contact Corporate Risk Management for further discussion.)

The Sports Camps accident and liability insurance policy is effective for 12 months, beginning June 1st. In order to activate coverage for a particular Duke Sports Camp, an audit premium report must be completed immediately following the conclusion of each camp session. Coverage information is included on the Audit and Premium Report.

Tax-Related

Tax

Allows an individual who was paid as an independent contractor previously to challenge the status as contractor and request employment status.

Available Formats

As required by U.S. tax law and IRS regulations, Duke University and Duke University Health System have an obligation to determine if any payments made to a foreign vendor require tax reporting or withholding. Generally, a foreign vendor is subject to U.S. tax on its U.S. sourced income. Completing this questionnaire will help to determine whether payments made to this vendor constitute U.S. sourced income, and are therefore subject to U.S. tax withholding and reporting.

Available Formats

Please see the Tax Topics, Sales Tax Reimbursement on Construction Materials webpage for more information regarding when to use this form.

Available Formats

IRS Tax Exemption Letters - 501(c)(3) for Duke University and Duke University Health System, Inc.

Available Formats

The NC-4 form is used by employers as documentation of the correct amount of state taxes to withhold from an employee's pay. Read the instructions prior to completing the form. Be aware that an "exempt" status expires on December 31 of each year. The employee must submit a new NC-4 to reclaim an "exempt" status.

Available Formats

Please see the Tax Topics, Sales Tax Reimbursement on Construction Materials webpage for more information regarding when to use this form.

Available Formats

The IRS Form W-2 is used by employers to tabulate payments for services performed by employees. The IRS Form W-2 must be provided to the employee by the employer by the last day of January for activity in the prior calendar year. This form is provided for informational purposes only.

Available Formats

Active employees can access W-2 forms from 2011- the current year via the Duke@Work employee self-service portal. Inactive or former employees replacing a lost or misplaced W-2 form for 2011 - 2021 should submit this form.  Inactive or former employees replacing a lost or misplaced 2022 W-2 should visit my.adp.com.  For more detailed information, visit Year End Tax Information. 

Available Formats

The W-4 form is used by employers as documentation of the correct amount of federal taxes to withhold from an employee's pay.

Available Formats

This form is used to apply for or renew an IRS individual taxpayer identification number (ITIN) when claiming Exception 2(c), Scholarships, Fellowships, and Grants. This form should be reviewed, signed, and submitted by a Duke Certifying Acceptance Agent Responsible Party following a scheduled meeting between the Responsible Party and student applying for the ITIN.

Available Formats

Form W-8BEN is to be used by foreign persons who are beneficial owners of an amount subject to U.S. withholding.

Available Formats

Form W-8ECI is to be used by foreign persons who are claiming U.S. sourced income is effectively connected with the conduct of a trade or business within the U.S.

Available Formats

Form W-8EXP is to be used by foreign governments, international organizations, foreign central banks of issue, foreign tax-exempt organizations, foreign private foundations, and governments of U.S. possessions.

Available Formats

Form W-8IMY is to be used by foreign intermediary, foreign flow-through entity, or certain U.S. branches.

Available Formats

(a.k.a. Davis Ambulatory Surgical Center)
IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

IRS Form W-9, Request For Taxpayer Identification and Certification is used by payers to properly report tax information from miscellaneous payments made to either, Duke University (for grants, contracts, interest, etc.) or Duke University Health System (for medical services, interest, etc.). Donors may also request a Taxpayer Identification Number to enable them to claim tax deductions for gifts or donations.

Available Formats

Travel & Reimbursements

Travel & Reimbursements Forms

This form should be used to reinstate a card after suspension related to untimely postings.

Available Formats

Duke ClinCard Request Form

Available Formats

The purpose of this form is to assign or remove Site Administrator roles for the Duke ClinCard System. All users must complete appropriate training in the LMS prior to the form being submitted. Training should be coordinated through your Business Manager. Department or Division Business Manager approval and signature are required.

Available Formats

The purpose of this form is to assign or remove Approver roles for the Duke ClinCard System. All users must complete appropriate training in the LMS prior to the form being submitted. Training should be coordinated through your Site Administrator or Business Manager. Department or Division Business Manager approval and signature are required.

Available Formats

The purpose of this form is to assign or remove the Site Coordinator role for the Duke ClinCard System. All users must complete appropriate training in the LMS prior to the form being submitted. Training should be coordinated through your Site Administrator or Business Manager. Research Practice Manager/Assistant Research Practice Manager/Lead Coordinator, Financial Practice Manager/Cluster Financial Practice Manager, or Department/Division Business Manager approval and signature are required.

Available Formats

The purpose of this form is to assign/update Expense Delegates in Concur. This spreadsheet must be submitted to Employee Travel & Reimbursement by your Department or Division Business Manager or their designee.

Available Formats

Experimental Subject Duke ClinCard Implementation Checklist

Available Formats

This form is used to provide adequate supporting documentation related to a group travel event.

Available Formats

The International Sample Expense Log is used to organize expenses as a supplement to the receipts.

Available Formats

The International Receipt Form should only be used when a vendor is unable to provide a receipt.

Available Formats

The International SOS membership card includes the telephone numbers of the three major worldwide International SOS Alarm Centers. In the event of an emergency while traveling internationally, call one of the emergency phone numbers listed on the card.

Available Formats

This form should be used to document both travel and miscellaneous expenses, when the original receipt has been lost. The use of this form is expected to be on an exception basis and not a common occurrence.

Available Formats

These forms can be used to document local business mileage or mileage associated with one day business trips. Attach forms to an online expense report for employees or submit with a Miscellaneous Reimbursement form for students who are not Duke employees.  Employees may also use Concur, the online expense reporting system, to calcuate mileage instead of submitting a mileage log.  

Available Formats

This form is used to reimburse employees and students not on Duke's payroll for miscellaneous Duke Business expenses, including miscellaneous mileage. Payments made via a Miscellaneous Reimbursement Form will show on financial reports with document type YU. Use Concur, the online expense reporting system, to process payments for student employees.  

Available Formats

This form is used by students to request cash advances for business travel and other business expenses. The money received as an advance must be accounted for within 30 days of the trips end by submitting a Travel Expense Form.

Available Formats

This form is used to reimburse students who are not on Duke's payroll for expenses incurred while traveling on official Duke Business. Payments made via a Travel Expense Form will show on financial reports with document type YU.  Use Concur, the online expense reporting system, to process payments for student employees.  

Available Formats

Traveler's should use this log to document the actual cost of any out-of-pocket travel expenses for which receipts are not required.

Available Formats

This form should be used to reinstate a card after suspension.

Available Formats