Sample Coversheet
Form 1411
Form 424

The coversheet of a proposal summarizes key information and provides the required institutional signatures. It may, at the sponsor's request, also include other University signatures such as the principal investigator's chair and dean.

Many sponsors provide coversheets, either pre-printed or available in electronic format. Care should be taken to ensure that the most current version of the sponsor cover sheet is used.

The basic information for all coversheets for proposals from Duke should be entered as follows:

• The name of the applicant or the recipient is simply "Duke University", not the principal investigator or any unit of the University. (The University, represented by the Office of Research Support, is the entity which will receive and be responsible for the award.)
• The contact for the applicant, or award recipient, is the Director of Research Support, Judith Dillon
• The applicant's address and phone number are those of Research Support: 334 North Building, Box 90077, Durham, NC 27708 phone: 919/684-3030 fax: 919/684-2418.

Duke's IDs and Assurances

• Misconduct in Science, Initial Assurance: 12/21/1989
• DHHS Indirect Cost Rate Agreement Date: 04/25/2006
• Congressional District: 4th
• EIN OR TIN Number: 56-053-2129
• DUNS Number: 04-438-7793
• FICE Institution Code: 002920
• CAGE Code: 4B478
• NAICS Code: 611310
• New Organizational Code: 002907000
• Human Subjects (Non-medical) Federalwide Assurance No. 00000265
• Human Subjects (Medical) Assurance No. 00009025
• Animal Welfare (General) Assurance No. A3195-01
• Animal Welfare (Primate Center) Assurance No. A3947-01
• Duke University Date of Incorporation, January 12, 1841
• Duke University Tax Status: 501(c)(3)

Filling Out Standard Forms 1411 and 424

Research Support has partially completed two standard federal coversheets with Duke-specific information:

    Application for Federal Assistance, Standard Form 424
    Contract Pricing Proposal Cover Sheet, Standard Form 1411

Duke's Cognizant Federal Agencies

Contract Administration Office:
James Gandy
Office of Naval Research
100 Alabama Street, NW
Suite 4R15
Atlanta, GA 30303-3104
Phone: 404-562-1602
gandyj@onr.navy.mil

Audit Office:
US Department of Health and Human Services
Office of Inspector General
Office of Audit Services
Sam Nunn Atlanta Federal Center, Suite 2741
Atlanta, GA 30303-8909
Contact: Jeffrey A. Bullock
Phone: 404-562-7761
jeff.bullock@oig.hhs.gov

Making Your Own Cover Sheet

SPS NOTE: If your sponsor does not provide a form, SPS can generate a generic coversheet for you with all the required information.

If a coversheet is not provided, the principal investigator will be asked to prepare a coversheet for the proposal which includes the following information:

• sponsor's name
• Applicant's name: Duke University
• Applicant's address and contact information: Office of Research Support, 334 North Building, Box 90077, Durham, NC 27708 phone: 919/684-3030 fax: 919/684-2418 email: judith.dillon@duke.edu
• title of proposed project
• name, title and contact information of the principal investigator
• period of performance
• annual and cumulative budget totals
• signatures of the principal investigator and the authorizing official

Who Signs for Duke?

Persons Authorized to Sign Proposals for Federal or State Sponsors:

• Judith Dillon, Director
• Keith Hurka-Owen, Associate Director
• Phillip Grosshans, Assistant Director
• Susan Lasley, Assistant Director
• Maria Scripa, Assistant Director

Persons Authorized to Sign Proposals for Foundation or Corporate Sponsors:

• James N. Siedow, Vice Provost for Research
• President Richard H. Brodhead (required only for proposals of $250,000 or more)

Proposals from principal investigators in a department of the School of Medicine must be reviewed and signed by the Office of Research Administration.

Updated September 13, 2007.