Sponsored Projects Forms

To be used when the sponsor requires a cover page, but doesn't have a form of its own. Occasionally requested by private foundations.

• Columbia University Face Page - Morningside
• Columbia University Face Page - CUMC

• Department Award Setup Form (blank form)
• Example of completed Department Setup Form

• CU Consultant COI Form (PDF version)
• CU Consultant COI Form (Word version)

If a sponsored project proposal involves international research or service, the principal investigator or departmental administrator responsible for the proposal should notify the appropriate project officer in Sponsored Projects Administration (“SPA”) as early as possible. Through a series of questions, the project officer will determine whether the project requires further review. The goal is to identify only those types of international projects that might need special assistance (e.g., a project requiring a long-term formal presence in another country or one operating within a country that is subject to sanctions). The questions are listed on the Criteria Questionnaire (Annex A of the Procedures).  If the answer to one or more of the Criteria Questions is “yes,” the project officer will seek additional information about the project (Annex B of the Procedures). If warranted, the project may then be referred to the International Research Committee for further review.

For additional details on these procedures, go to International Research.

See Columbia's presentation on NIH Update: Oversight of Foreign Subawards (presented on 12/13/2023)

The SPA Project Officer requires the following materials and forms, at a minimum, during proposal review if subrecipients are included in the proposal:

• Subrecipient/Contractor Classification Form
• A statement of work (SOW)
• Detailed budget
• Budget justification
• Biosketch for each key personnel listed by the subrecipient
• Subrecipient Letter of Intent (LOI) (V2 rev. 9/26/2024)  - 
  • Download the LOI form and save prior to completion. Do not complete in browser.

  • The first page of the form can be included in the "Consortium/Contractual Arrangements" attachment in the Research Plan of an NIH application, or included in other sponsor applications if they require such information on subrecipients. However, the second page must be detached from the proposal submission, and submitted to SPA as a separate document.

• A Pre-award Assessment of the Proposed Subawards Form if the aggregate amount of all proposed subrecipients in the grant or contract proposal exceeds 50% of the total prime award.
• If subrecipient is foreign, SPA will need a completed International Research Questionnaire (IRQ) (revised 7/18/2024). For more information, see International Risk Questionnaire (IRQ) above.

Financial Conflict of Interest (FCOI) Policy confirmation:

If the proposed subrecipient indicated they do not have a FCOI Policy at the time of proposal submission, additional follow-up will be necessary.

Currently, we are using the Follow-Up Subrecipient FCOI Policy Form for PHS sponsors. For other sponsors, please contact your SPA Project Officer.

In very unusual circumstances, Principal Investigators can request that subrecipients be covered under Columbia's COI policy.  This form is to be used to request that such an exception be granted for a particular subrecipient on a specific project:

• Subrecipient Conflict of Interest Exception Request Form

Forms for when Columbia is the Subrecipient (inbound subaward):

• INBOUND Subaward Face Page (rev 7/11/2022) - an option to use when another institution acts as the pass-through entity (PTE), and Columbia University will be a subrecipient. This form can be used if requested.
• Attachment 3B - usually requested by the PTE when they are ready to issue a subaward:
  • Morningside Attachment 3B - rev 9/5/2023
  • CUIMC and MSPH Attachment 3B - rev 9/5/2023

Forms for when Columbia University receives a Notice of Award (NoA) for a proposal that included subawards:

• Subaward requests should use the Request for Outbound Subaward (ROS) form.
  • See Request for Outbound Subaward (ROS v2) and ROS Form User Guide
  • See training video on ROS form (recorded 10/20/2021)
  • This will generate Attachment 3A, to be included in the subaward agreement.
  • Also include:
  • Attachment 3B (page 1) - Subrecipient Contacts
  • Attachment 3B - Subrecipient Contacts (subrecipient should complete page 1, and page 2 only if applicable)

Most forms that require institutional approval (IRB, IACUC, Conflict of Interest, etc.) can be found in Rascal. Here are direct links to the Offices involved for further guidance:

• Human Research Protection Office / IRBs (use Rascal)
• IACUC (use Rascal)
  • Institute of Comparative Medicine (ICM) - to order, acquire, or move animals. Sign in, and go to "Forms."
  • Comparative Medicine's Current Per Diem Rates
• Environmental Health & Safety (use Rascal)
  • use Rascal to obtain approval for recombinant DNA, infectious agents, human materials or other potentially infectious materials, laser, hazardous chemicals or toxins, and radioisotopes. Safety courses are also available in Rascal

• Additional Compensation - Sponsored Projects Request Form - this form must be completed, signed, and submitted to [email protected] 

You can request the Business Systems division of SPA for grants data.  Download and submit the following request to [email protected]:

•  Sponsored Projects Information Request Form (rev. 4/13/2011)

Report Requests for Training Grants

SPA can assist you with producing one of the tables required for NRSA Training Grant applications:  "Institutional Training Grant Support Available to Participating Faculty Members, Department(s), or Program(s)" (known as "Table 3").  This table is required for New and Competing NIH training grant applications.  In order to receive this assistance, please complete the following excel form and return it to SPA Business Systems ([email protected]) every time you submit a new or competing continuation training grant application.

• Mentors and Administrative Information for Training Grants

As part of processing University appointments, a signed Invention Agreement Letter is required for all full time Officers of Instruction, salaried Officers of Research, Postdoctoral Clinical and Research Fellows, Student Officers of Research and Graduate Students who receive stipends from pre-doctoral training grants or from individual pre-doctoral fellowships. 

• Faculty Handbook IP Policy

The following materials can be located on the Columbia Tech Ventures website at https://techventures.columbia.edu/forms/faculty-handbook-ip-policy

• Information regarding the Invention Agreement Letter
• Invention Agreement Letter
• Sample Cover Letter

See New Procedures for Faculty and Officers of Research Who Take Unpaid Leaves - 9/11/2023

All faculty and officers of research who are principal investigators or other senior/key persons
on sponsored projects must complete the Questionnaire for Faculty and Officers of Research Before Applying for Leaves prior to requesting a leave from Columbia University if the leave will be of at least three months’ duration and will be without salary.

The Provost’s Office will not approve unpaid leaves for individuals with sponsored research unless this form is completed.