See the below for a list of the financial forms available. Click on the name of the form for descriptions and files included in each download. Many of our forms now require that you login using your NetID in order to download. If you experience difficulty saving the forms, right click on the downloadable format of your choice, and choose "Save Target As..." This will allow you to save the form on your computer.
This form is used when you are requesting payment for goods or services that can not be paid on an Imprest Cash Requisition for Payment and do not require a Purchase Order. Payments made via an Accounts Payable Check Request will show on financial reports with a "JV" reference.
(Last Modified: 04/10/09)
This form is used for either Service Component or Shared Resources; it will assist in the calculation of the appropriate rate for your department.
(Last Modified: 06/27/06)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Foreign Nationals
Duke University Certificate of Foreign Status
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.
(Last Modified: 01/25/05)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Accounts & Codes
Assigned JV Number: Add New
Request an Assigned JV number for your department. An Assigned JV number by design belongs to a department, not the contact person.
(Last Modified: 05/30/08)
Request an Assigned JV number for your department. An Assigned JV number by design belongs to a department, not the contact person. If the contact person associated with an Assigned JV number changes, a request to update the Assigned JV list is submitted.
(Last Modified: 05/30/08)
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.
(Last Modified: 08/29/07)
This form is used to request the setup of a 0010 Duke University cost object. When trying to determine the first three digits of your cost object, please refer to the Accounting Code Overview.
(Last Modified: 04/03/09)
This form is used to request the setup of a 0020-0080 Duke University Health System cost object. When trying to determine the first five digits of your cost object, please refer to the Accounting Code Overview.
(Last Modified: 08/04/03)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Contractors & Outside Services
Compensation Agreement for Personnel Services (2009)
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.
(Last Modified: 06/11/08)
Determination of an individual's status as an independent contractor or an employee is based on the relationship between that individual and Duke University/Duke University Health System. Once an individual has established an employment relationship, it is difficult to suggest that the employment relationship ceases to exist. Therefore, to help establish an independent contractor relationship additional documentation is required.
(Last Modified: 11/12/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Additional Forms
AP Invoice Copy Request
This form is used when you are requesting a copy of an accounts payable invoice.
(Last Modified: 05/17/04)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Asset Management
Capital Project Request Form
This form is used to request the set up of a new Project to be used for capital and noncapital construction and maintenance projects.
(Last Modified: 03/18/04)
This form is used for either Service Component or Shared Resources; it will assist in the calculation of the appropriate rate for your department.
(Last Modified: 06/27/06)
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.
(Last Modified: 08/27/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Budgeting
Capital Projects & Budgeting
Capital Project Request Form
This form is used to request the set up of a new Project to be used for capital and noncapital construction and maintenance projects.
(Last Modified: 03/18/04)
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.
(Last Modified: 08/27/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Additional Forms
Salary Setting Users Request
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.
Individuals wishing to use the Financial Web Reports must register their request for access with the Director or Business Manager of their department/school and the appropriate Management Center Budget Office. You will be contacted with your ID and password within five working days of receiving your request.
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Corporate Banking & Investments
Department Deposit SpeedType Request
To request a speed type, complete the SpeedType Request form and fax to the Bursar's Office.
(Last Modified: 03/28/05)
Must be completed and be submitted with the corresponding Account Payable Check Request or Purchase Requisition form for payment processing. Wire requests received by 10 a.m. will be processed that day. Domestic wires are effective on the same day they are processed.
(Last Modified: 06/09/08)
Must be completed and be submitted with the corresponding Account Payable Check Request or Purchase Requisition form for payment processing. Wire requests received by 10 a.m. will be processed that day. International wires require a minimum of 48 hours for settlement.
(Last Modified: 06/09/08)
This form is used when you are requesting a change in the fiduciary, custodian or location of your Petty Cash Fund or Change Fund.
(Last Modified: 06/29/05)
This form is used when you are requesting a change in the fiduciary, custodian or location of your Imprest Cash Fund on Deposit.
(Last Modified: 01/05/05)
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. Requests received by 10 a.m. each business day will be processed that day but will not be effective until the next business day.
(Last Modified: 06/09/08)
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.
(Last Modified: 08/16/07)
A foreign currency draft is a check written in a foreign currency. Must be completed and be submitted with the corresponding Account Payable Check Request or Purchase Requisition form for payment processing. Drafts cannot be made payable to a specific bank.
(Last Modified: 06/06/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Corporate Card
Department Corporate Card/WORKS Setup Form
This form should be used to set up a Departmental Works Administrator.
(Last Modified: 03/13/09)
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.
(Last Modified: 06/12/09)
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.
(Last Modified: 12/29/05)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Corporate Insurance
Insurance Application For Computer Equipment
Coverage is on a fiscal year basis, is the same as provided for all other business property, and is subject to the same terms, conditions and exclusions. For overseas coverage, there is an additional $50.00 charge per system per year. Please notify Corporate Risk Management as soon as possible in the event of loss or damage.
(Last Modified: 06/06/05)
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.
(Last Modified: 02/27/08)
The purpose of the Participation Agreement is to educate participants about the potential hazards involved in certain activities.For all student groups organizing or participating in a field trip, or departments sponsoring a special event off-campus, the Duke University Participation Agreement should be completed. Prior to the distribution of the participation agreement, the sponsoring department or campus group should send a copy of the participation agreement, accompanied by a description of the activity, to Corporate Risk Management. Corporate Risk Management will approve the form, and notify the appropriate department. All participating students or department members should sign the form. The signed forms should be maintained by the department or the sponsoring campus group.
(Last Modified: 06/09/05)
Departments featuring exhibits must complete the Request for Insurance Coverage and submit to Corporate Risk Management, Box 104143 . Corporate Risk Management monitors and provides coverage when needed.
(Last Modified: 09/08/04)
The Sports Camps accident and liability insurance policy is effective for 12 months, beginning June 1st. In order to activate coverage for a particular 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.
(Last Modified: 08/10/07)
Insurance Requirements for Independent Contractors
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.
(Last Modified: 09/13/04)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
eCommerce
DukePay Application
Submit your DukePay application online!
You must have a valid DukeNet ID to access.
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.
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.
(Last Modified: 08/16/07)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Endowments
Faculty Support Templates
Post-Doctoral Fellow - Planned Giving or Future Gift
Microsoft® Word template for the above listed endowment agreement.
(Last Modified: 09/01/06)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Operational Templates
Operational Endowment - Current Gift or Pledge
Microsoft® Word template for the above listed endowment agreement.
(Last Modified: 08/18/06)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Financial Aid Templates
Financial Aid Initiative Challenge for Undergraduate Students - Current Gift
Microsoft® Word template for the above listed endowment agreement.
(Last Modified: 04/19/07)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Amendments & Restatements Templates
General Amendment and Restatement - Current
Microsoft® Word template for the above listed endowment agreement.
(Last Modified: 07/01/05)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Quasi Approval Forms Templates
Request for Quasi Endowment Fund - Greater Than $1M
Microsoft® Word template for the above listed endowment agreement.
(Last Modified: 08/25/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
iForms
Cost Distribution iForm
Use the Cost Distribution Form for recording information when the employee is transferring from one department to another or for changes in the employee's funding source. The period covered by this form must include a current or future period and can also include a retroactive period. If you are moving a payroll expense that covers only a past period (no current of future change is involved), use the Cost Transfer Only form.
The Rate and Schedule Change iForm is used to change the work schedule or pay rate of an employee including Clinical Ladder changes. In addition this form can be used to change the employee subgroup for biweekly employees.
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Payroll & Time Reporting
Employment
I-9, Employment Eligibility Verification Form
Employment Eligibility Verification Form (federal). The purpose of this form is to document that each new employee (both citizen and non-citizen) hired after November 6, 1986 is authorized to work in the United States. Forms that do not bear an original signature will not be accepted. The I-9 Form, along with appropriate tax forms, the hire form, and Certification Form should be sent to the HR Information Center at 705 Broad Street (Box 90496), Durham, NC 27705 (fax number 919-668-0386).
(Last Modified: 04/09)
Terminated employees and former student employee or noncompensatory recipients should complete this form to update their address in Duke's payroll system. This is critical to ensure that IRS tax documentation is distributed appropriately. Return signed forms to Corporate Payroll Services, Box 90484, Durham, NC 27708-0484. Please do not email the completed form.
(Last Modified: 04/20/09)
Form to establish a NEW employee (Faculty, Casual, Temporary and Student) with their initial deductions. This hire form, along with the appropriate tax forms, I-9 Form and Certification Form goes directly to the Human Resources Information Center (HRIC) then on to Payroll to generate the hire in SAP. All other hiring processes should be completed using the Applicant Referral Process online.
(Last Modified: 07/19/05)
Use this form along with the Hire/Noncompensatory Payment forms to establish a NEW Foreign National employee/payee with Visa History and Tax Treaty information.
(Last Modified: 01/31/07)
Use the Staff Change form for faculty, casual labor (DTS) and students. Use for changes in campus address, reclassification, change in work schedule or pay.
(Last Modified: 02/19/07)
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.
(Last Modified: 03/10/09)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Compensation
ReportXpress Time Adjustment Log (University)
The Adjustment Log for University Users is the same for managers and employees. Employees sign in if there is a discrepancy. Managers use it to make changes in the ReportXpress system.
(Last Modified: 05/23/06)
This form used for exempt employees to issue supplemental payments in addition to the base salary. This form should be used for EXEMPT employees only.
(Last Modified: 02/19/07)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Foreign Nationals
Foreign National Form
Use this form along with the Hire/Noncompensatory Payment forms to establish a NEW Foreign National employee/payee with Visa History and Tax Treaty information.
(Last Modified: 01/31/07)
W-8ECI, Certificate of Foreign Person's Claim That Income...
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.
(Last Modified: 02/06)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Non-Compensatory Payments
Foreign National Form
Use this form along with the Hire/Noncompensatory Payment forms to establish a NEW Foreign National employee/payee with Visa History and Tax Treaty information.
(Last Modified: 01/31/07)
For Noncompensatory Use Only. The current form used to establish new, or reinstate award payments. For University and Medical Center scholarship/fellowship recipients only.
(Last Modified: 05/04/09)
For Noncompensatory Use Only. The current form used to change payments. For University and Medical Center scholarship/fellowship recipients only.
(Last Modified: 05/04/09)
For Noncompensatory 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.
(Last Modified: 02/19/07)
8233, Exemption From Withholding on Compensation for Personal Services of a Nonresident Alien Individual
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 Noncompensatory scholarship or fellowship income and personal services income from the same withholding agent.
(Last Modified: 12/01)
Terminated employees and former student employee or noncompensatory recipients should complete this form to update their address in Duke's payroll system. This is critical to ensure that IRS tax documentation is distributed appropriately. Return signed forms to Corporate Payroll Services, Box 90484, Durham, NC 27708-0484. Please do not email the completed form.
(Last Modified: 04/20/09)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Tax
W-2, Tax Document Request Form for Employees
An employee is required to complete a Tax Document Request Form to request a replacement of a lost or misplaced W-2 form. Please visit the W-2 FAQs for additional information regarding this form. Former employees can call the Corporate Payroll office at 919-684-2642 and request the form be faxed or emailed to them.
(Last Modified: 01/26/09)
8233, Exemption From Withholding on Compensation for Personal Services of a Nonresident Alien Individual
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 Noncompensatory scholarship or fellowship income and personal services income from the same withholding agent.
(Last Modified: 12/01)
Please visit the W-2 FAQs for additional information regarding this form. Former employees can call the Corporate Payroll office at 919-684-2642 and request the form be faxed or emailed to them.
(Last Modified: 01/26/09)
Terminated employees and former student employee or noncompensatory recipients should complete this form to update their address in Duke's payroll system. This is critical to ensure that IRS tax documentation is distributed appropriately. Return signed forms to Corporate Payroll Services, Box 90484, Durham, NC 27708-0484. Please do not email the completed form.
(Last Modified: 04/20/09)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Additional Forms
ReportXpress Time Adjustment Log (University)
The Adjustment Log for University Users is the same for managers and employees. Employees sign in if there is a discrepancy. Managers use it to make changes in the ReportXpress system.
(Last Modified: 05/23/06)
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.
(Last Modified: 02/19/07)
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.
(Last Modified: 05/23/01)
Use this form to discontinue paper pay statements. Departments can choose to discontinue paper pay statements at the Organizational Unit or at the Personnel Subarea.
(Last Modified: 03/12/08)
Form must be used to establish all LOA's including Sabbatical and Research leaves, as well as Family & Medical leaves. Must also be used to return employees from leaves of absence. This form should not be confused with the Human Resources' Leave of Absence Request Form.
(Last Modified: 07/23/07)
Use the Secondary Positions Form for recording information when employees divide their time among two or more positions in the Duke system. All secondary positions must be authorized by both primary and secondary departments.
(Last Modified: 02/19/07)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Duke Human Resources
Human Resources Leave of Absence Request Form
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.
The Duke-specific Take Home Pay Calculator is an estimate of your net income based upon criteria that you provide, and your paycheck may differ slightly from the calculator results.
In order to maintain the integrity of Duke employee data, please use the HR Data Request Form to request creation
and/or distribution of HR and Payroll Data reports. For policy details see
HR/Payroll Data Policy)
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.
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Payroll/HR Use Only Forms
Internal Personal Data Change Form
For Use by Corporate Payroll Services and Human Resources Staff only.
(Last Modified: 06/05/06)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Procurement & Purchasing
Contractors & Outside Services
Employee Status Exception Request Form
Determination of an individual's status as an independent contractor or an employee is based on the relationship between that individual and Duke University/Duke University Health System. Once an individual has established an employment relationship, it is difficult to suggest that the employment relationship ceases to exist. Therefore, to help establish an independent contractor relationship additional documentation is required.
(Last Modified: 11/12/08)
Insurance Requirements for Independent Contractors
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.
(Last Modified: 09/13/04)
Compensation Agreement for Personnel Services (2009)
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.
(Last Modified: 06/11/08)
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.
(Last Modified: 03/10/09)
An OSA must be completed when engaging individuals or companies to perform certain outside services. It is a contract between Duke and the contractor.
(Last Modified: 05/29/09)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Tax
W-9 for Duke University
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
W-9 for Duke University Affiliated Physicians (DUAP)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Foreign Nationals
Duke University Certificate of Foreign Status
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.
(Last Modified: 01/25/05)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Additional Forms
Experimental Subject Payment Form
This form should be used to pay Experimental Subjects.
(Last Modified: 09/07/07)
If you are unable to complete the form on-line, you may print it out and fax it to 919-684-4344. Important fields with a red asterisk (*) are required for completion. Other information will be helpful if you have it. For questions, contact Alice Walker at 668-3307, or Brooke Berson at 668-3391
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.
(Last Modified: 05/06/04)
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.
(Last Modified: 08/01/03)
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.
(Last Modified: 08/27/08)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Research Administration & Compliance
Pre-Award
Subrecipient Monitoring Form I: Subrecipient Checklist
This form is used by the departments to obtain certification documentation and signatures from Duke University subrecipients. Create this form for each of the subcontractors listed on a proposal in SPS* and send it to them. Upon creation, it will automatically populate the subcontrator's institutional information and the SPS information. Request that the project specific information be filled in by each subcontractor and signed by the subcontrator's authorized official. It should then be returned to the PI or Grant Manager and submitted to ORS with the subcontractor's statement of work, budget and budget justification.
This is a required form if a proposal includes cost sharing or matching funds from the University. It documents who has committed to provide the funds at the time of proposal submission.
Use this form to request an account code for external funds that require no financial reporting and are received through mechanisms other than the standard proposal and award process.
Use this form if you wish to begin incurring expenses on a sponsored project prior to the start date of the award. Depending on the sponsor, this request may only require ORS* approval or it may require approval from the sponsor.
Use this form to request an account code if a PI has been told of a pending award but has not received the official Notice of Award. The start-up stage of a project can be facilitated if a code is in place on the start date of the project.
This checklist creates a list of the forms and documents required to submit a proposal, who is responsible for completing them, and when. Feel free to modify the form to meet your needs.
This checklist is used first in proposal preparation. It assists in finding and documenting all the requirements found in a sponsor's RFP, RFA, or Guidelines. Feel free to modify the form to meet your needs.
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Post-Award
Direct Cost Exception Form I: Administrative and Clerical Expenses Salaries
The inclusion of salaries for clerical or administrative staff in a federally funded project requires careful justification and documentation. This form is used whenever new funding is received and such personnel will be paid by the grant. Specific examples of selected items of cost and whether they should be treated as direct costs or F&A costs can be found by viewing the above mentioned related GAPs.The form should accompany an award by a Federal Sponsor or awards involving Federal flow through monies.
(Last Modified: 07/31/08)
Direct Cost Exception Form II: Non-Labor Direct Costs
This Form pertains to costs normally considered to be administrative and included in the Facilities and Administrative costs.The form should accompany an award by a Federal Sponsor or awards involving Federal flow through monies.
(Last Modified: 03/23/09)
An equipment screening form is required when purchasing capital equipment on governmental grants and contracts (Project series 3xx - 35x). It is required by the federal government to ensure they are not funding equipment which is already available for use at the University. Use this form for purchases at least $5000, but not more than $19,999. The screening form should be sent along with the Purchase Requisition to Sponsored Programs. Sponsored Programs will approve and send to Purchasing.
(Last Modified: 02/14/03)
An equipment screening form is required when purchasing capital equipment on governmental grants and contracts (Project series 3xx - 35x). It is required by the federal government to ensure they are not funding equipment which is already available for use at the University. Use this form if equipment is $20,000 and over. The screening form should be sent along with the Purchase Requisition to Sponsored Programs. Sponsored Programs will approve and send to Purchasing.
(Last Modified: 02/14/03)
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.
(Last Modified: 06/20/03)
To support the timely and accurate close-out of sponsored projects and submission of applicable bills and reports, the department should reconcile their financial statements monthly, ensure the timely and accurate submission of effort reports, and follow all applicable policies and procedures regarding allowability of expenditures.
(Last Modified: 06/14/07)
This form is used when the rebudgeting desired does not require the prior approval of the awarding agency, and the University is authorized to approve or disapprove the rebudgeting.
(Last Modified: 03/13/09)
Untimely Cost Transfer Justification - Payroll Retros
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.
(Last Modified: 10/06/03)
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.
(Last Modified: 03/10/09)
An OSA must be completed when engaging individuals or companies to perform certain outside services. It is a contract between Duke and the contractor.
(Last Modified: 05/29/09)
When a new increment of funding is received, this form is sent to the Duke PI by the pre-award office to be completed and returned by the PI before the next subaward modification can be issued.
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Additional Forms
NIH Salary Cap Worksheet
This is a multi-tab spreadsheet that will assist in the calculation of salary to be cost shared because it exceeds the NIH cap. The three tabs represent: a 12-month appointment, 9-month appointment, and 9-month summer supplement.
(Last Modified: 02/19/09)
Local service telephone charges (pagers, modem lines and fax lines) are part of Duke's negotiated Indirect Cost Rate Agreement. Therefore, charges for these expenses should not be made to any Federal Governmental (30X-35X) or Research (3X3) project. There may, however, be some instances when these costs may be charged to these projects. Exceptions must be approved by the pre-award office and by the Office of Sponsored Programs using a "Request for Local Service Charges" form. A form is required for each WBS Element for which an exception is requested.
(Last Modified: 03/23/04)
ZF114 - Analysis of Transactions After the End Date Report
This report is used to support the timely and accurate close-out of a sponsored project and the timely submittal of the final billing / financial status report (FSR). Instructions are provided on how the department can execute, complete, and submit the ZF114 report. For 302 Training projects, the Obligation for Training Grants Worksheet is also provided.
(Last Modified: 07/20/07)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Student Billing & Payments
TMS Budget Worksheet for Continuing Undergraduate Students
Tuition Management Systems Budget worksheet for continuing undergraduate students. This worksheet will help the student budget their monthly tuition balances.
(Last Modified: 06/11/09)
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.
(Last Modified: 03/26/07)
Canadian Tuition Fees and Education Amount Certificate - University Outside Canada
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.
If you wish to establish direct deposit for your refunds, please fill out a Direct Deposit Authorization Form and return it to the Bursar's Office.
(Last Modified: 12/16/08)
Students in a Study Abroad program use this form to request an advance refund from pending financial aid. The excess funds may be forwarded to another school for a non-duke program or refunded directly to the student.
(Last Modified: 04/18/08)
TMS Budget Worksheet for First Year Undergraduates
Tuition Management Systems Budget worksheet for first year undergraduate students. This worksheet will help the student budget their monthly tuition balances.
(Last Modified: 06/11/09)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Tax Related
IRS Tax Exemption Letters - 501(c)(3)
IRS Tax Exemption Letters - 501(c)(3) for Duke University and Duke University Health System, Inc.
An employee is required to complete a Tax Document Request Form to request a replacement of a lost or misplaced W-2 form. Please visit the W-2 FAQs for additional information regarding this form. Former employees can call the Corporate Payroll office at 919-684-2642 and request the form be faxed or emailed to them.
(Last Modified: 01/26/09)
Please visit the W-2 FAQs for additional information regarding this form. Former employees can call the Corporate Payroll office at 919-684-2642 and request the form be faxed or emailed to them.
(Last Modified: 01/26/09)
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.
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
W-9 for Duke University Affiliated Physicians (DUAP)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
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.
(Last Modified: 02/14/08)
W-8ECI, Certificate of Foreign Person's Claim That Income...
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.
(Last Modified: 02/06)
W-8EXP, Certificate of Foreign...US Tax Witholding
Form W-8EXP is to be used by foreign governments, international organizations, foreign central banks of issue, foreign tax-exempt organizations, foreign private oundations, and governments of U.S. possessions.
(Last Modified: 02/06)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Travel & Reimbursement
International SOS Card
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.
(Last Modified: 02/27/08)
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.
(Last Modified: 02/13/09)
This form is used to reimburse employees and students for expenses incurred while traveling on official Duke Business. Payments made via a Travel Expense Form will show on financial reports with document type.
(Last Modified: 02/13/09)
These forms should be used to document local business mileage or mileage associated with one day business trips. The form should be submitted with a Miscellaneous Reimbursement form.
(Last Modified: 01/06/09)
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.
(Last Modified: 08/01/03)
This form is used to reimburse employees and students for miscellaneous Duke Business expenses, including miscellaneous mileage. Payments made via a Miscellaneous Reimbursement Form will show on financial reports with document type.
(Last Modified: 02/13/09)
____________________________________________ * : Requires Duke IP address or Valid NET ID. ^ : Requires valid NET ID. ~ : Located outside of the Financial Services domain.
Accounting Payments & Processing