Sponsored Projects Forms

• 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)

For a downloadable one-page PDF version of all forms required, click here (updated 7/11/2022).

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
• Subaward Face Page (rev. July 2022) signed by the subrecipient’s institutional official, or the individual who can legally bind the institution.
• 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).

Facilities & Administrative (F&A) rates for subrecipients:

If subrecipient is not in the FDP Expanded Clearinghouse, then the SPA Project Officer will also need:

• If sponsor is federal - a copy of the most recent U.S. federally Negotiated Indirect Cost Rate Agreement (NICRA).
  • Prior to proposal submission to SPA, inform the SPA Project Officer if a proposed subrecipient does not have a NICRA to discuss the options. 
  • NOTE NIH caps F&A to 8% for foreign subrecipients.
  • NOTE NSF - if foreign subrecipient does not have a NICRA, the NSF grantee will fund the foreign subrecipient using the de minimis indirect cost rate recovery of 10% of modified total direct costs

Financial Conflict of Interest (FCOI) Policy confirmation:

Additional forms may be necessary if the prime sponsor is a PHS agency, or the sponsor follows the PHS Financial Conflict of Interest (FCOI) Regulation, (42 CFR 50, Subpart F, "Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought").

• A certification from the proposed subrecipient that it has an FCOI policy that complies with the PHS FCOI Regulation will be needed. This can be checked several ways: 
  • The FDP Expanded Clearinghouse; or
  • The FDP FCOI Clearinghouse.
• If the entity does not have a certification in the above clearinghouses, the SPA Project Officer will need:
  • Columbia University's Subrecipient FCOI Policy Confirmation Form.
  • If proposed subrecipient entity indicates they do not have a FCOI Policy on this form, additional follow-up will be necessary after proposal submission, using the Follow-Up Subrecipient FCOI Policy Form.

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 7/12/2022
  • CUIMC and MSPH Attachment 3B - rev 7/12/2022

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

• Subaward requests should use the new Request for Outbound Subaward (ROS) form.
  • See ROS Form 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 (Page 2) - Place of Performance & Highest Compensated Officers

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