Sponsored Projects Forms
- The Institutional Approval/Prior Approval (IPASS) form, used to request pre-award spending, an Advance Project in ARC, rebudgeting, a no cost extension, and to issue an outbound subaward.
- Department Budget Modification Form - to be used with the IPASS for rebudgeting requests
For a downloadable one-page PDF version of this list, click here.
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 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:
- If the entity does not have a certification in the above clearinghouses, the SPA Project Officer will need:
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:
Forms for when Columbia is the Subrecipient (inbound subaward):
- INBOUND Subaward Face Page - 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:
Forms for when Columbia University receives a Notice of Award (NoA) for a proposal that included subawards:
Submit a Subaward Request Form, which is part of the SPA IPASS Form. Complete this form and attach a detailed budget, justification, statement of work, Subrecipient IRB/IACUC, and completed Attachment 3A and Attachment 3B.
Attachments 3A & 3B
To be included in the Research Subaward Agreement:
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)
- Environmental Health & Safety (use Rascal)
You can request the Business Systems division of SPA for grants data. Download and submit the following request to SPA-eBiz@columbia.edu:
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 (SPA-eBiz@columbia.edu) every time you submit a new or competing continuation training grant application.
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.
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