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Forms + Policies

ORTM Forms

Need a form or an explanation about a form?

Scroll down to find an extensive list of forms relating to grants and contracts with some accompanying explanatory documents, as well as links to external sources of commonly used sponsor forms, both government and private.


Calendar Months Converter An Excel spreadsheet to help convert number of months to percentage of year.  Frequently asked questions.
Contract Checklist Used by ORA when reviewing contracts
NIH Grant Forms website
NIH PHS Forms DHHS's PHS 398 website
Federal Demonstration Partnership (FDP) Subcontract Templates

Link to templates used by FDP members including the Air Force, Army Medical, Army, Dept. of Energy, EPA, NASA, Navy, NIH, NSF & USDA.

Letter of Intent to Establish Consortium Microsoft Word document last updated 2012-07-01
Non-Disclosure Agreement (NDA) Template Microsoft Word document last updated 1999-07-07
Non-FDP Template (Boilerplate) Microsoft Word document
Non-FDP Amendment Microsoft Word document 
PHS 398 Spreadsheet An Excel file to be used for calculations only.  NOT suitable for submission.
Subcontract SBIR Template (NIH) Microsoft Word document
CWRU Subcontract NIH STTR Template Microsoft Word document last updated 2007-05-11
Subcontract Agreement - Non-Federal Microsoft Word document
Subcontract Template (NIH) Microsoft Word document last updated 2007-05-09
Subcontract - Exhibit D Microsoft Word document
Industry - Guidelines for Sponsored Research Agreements & Sponsored Services Agreements  
Industry - Sponsored Research Agreement (SRA) Template Microsoft Word document last updated 2012-07-01
Industry - Sponsored Service Agreement (SSA) Template Microsoft Word document last updated 2016-10-19


Certification of Invoice for Payment Subaward Invoice Certification Memo from the Project Director (a Microsoft Word document) last updated 2007-06-13
Effort Reporting Forms for reporting effort are available in Spiderweb.
Post-Award Department Assignments last updated 2016-03-31
Late Cost Transfer Form  
Non-Salary Costs Supplemental info on non-salary costs transferred to a federal grant or contract
Operating Advance Clearance Form  last updated 2012-07-01
Form PHS 2271 Information and instructions for completing a statement of appointment
DHHS Statement Relinquishing Interests and Rights in a Public Health Service Research Grant  
VA Form 2

CWRU/LSCDVAMC/CVAMREF: Joint Appointment & Memorandum of Understanding. Utilized when a VA employee will be working on a NIH grant at CWRU, assignment is up to 12 months and VA will be invoicing CWRU for salary of VA employee.

VA Form 3

Case Western Reserve University/Louis Stokes Cleveland: Research Foundation Memorandum of Understanding

  • Utilized when a CWRU employee will be working on a project administered by the CVAMREF and CWRU will be invoicing CVAMREF.
  • Utilized when a CVAMREF employee will be working on a CWRU project and CVAMREF will be invoicing CWRU.
  • Assignments up to 12 months

last updated 2017-01-27

Conflict of Interest (COI) Mandatory Training  
Consortium Agreement Statement of Intent including FCOI Language  
Continuing Research Education Credit (CREC) Application Microsoft Word document last updated 2015-11-09
Export Control Checklist Fact Sheet
IRB (CWRU) Electronic Submission System
CWRU's iRIS application
IRB in a Nutshell at CWRU  
Informed Consent Document (example) Microsoft Word document
Child Assent for Children up to age 8 (example) Guidance on Child Assent for children ages 8-17: The CWRU IRB suggests that researchers utilize a written and signed child assent form for subjects in this age range (in addition to parental permission). When drafting a written assent form, researchers may find it helpful to create a simplified version of an adult informed consent document, appropriate for the reading level of the subjects (see "Example Informed Consent Document" above).
IRB (CWRU) Short Form IC Guidance on the use of a Short Form: A Short Form may be used for non-English speaking individuals or for individuals who struggle with literacy. A Short Form consent form is a document that contains a brief paragraph that affirms all the elements of informed consent (as required by the federal regulations) were reviewed with the participant in a language understandable to the subject. The Short Form must be in the participant´s native language. last updated 2015-11-09
HIPAA Authorization Language for Consent Microsoft Word document
HIPAA: 18 Identifiers Considered Protected Health Information (PHI) Definition of PHI and list of 18 identifier considered being PHI under HIPAA.
Human Genomic Data Sharing Certification Process Description of how an investigator will acquire an Institutional Genomic Data Sharing Certificate for human large scale genomic data generating studies
Non-Human Subjects Research Activity Determination Form This document will serve as a supplemental document to an iRIS study protocol submission.
Relying on External IRB Template Protocol This document will serve as a supplemental document to an iRIS study protocol submission.

ORTM Policies

Need to find a common policy or guideline?

Scroll down to find an extensive list of policies relating to grants and contracts with some accompanying explanatory documents.


2017 F&A Rates Detailed information about 2017 F&A rates, fringe rates and salary cap.
Cleveland Clinic Lerner College of Medicine NIH Grants Guidelines Procedures that should be followed for NIH grants that involve both CWRU (non-CCLCM) faculty and CCLCM faculty.
Louis Stokes Cleveland VA Medical Center Policy

CWRU faculty, staff, and students may, from time to time, be involved in professional activities (teaching, research, service or clinical care) at both CWRU and the Louis Stokes Cleveland Veterans Affairs (VA) Medical Center. Generally, this requires a joint appointment at each institution.

NIH Calendar Months Converter

An Excel spreadsheet to help convert number of months to percentage of year.  Frequently asked questions.

NSF Proposal + Award Policies

Effective for proposals submitted on or after January 18, 2011.

Principal Investigator (PI) / Project Director (PD) Policy Definitions and responsibilities of principal investigators (PI) and project directors (PD).  Last updated 2005-06-01.
Proposal Policy (Five Day Due Date)

To ensure that the Office of Sponsored Projects Administration (OSPA) properly executes the University's responsibilities with adequate time to provide investigators with appropriate feedback on their applications and to ensure timely submission to the funding agency, it is necessary that the applications with published and/or established agency deadlines be received by OSPA at least five (5) business days prior to the due date.


Sponsored Project & Gift Definitions
Gifts vs. Grants  
Budget Controls and Expenditure Monitoring Policy (Sponsored Projects)  
‌Cost Accounting Disclosure Statement - DS2 CWRU's Controller's Office's Cost Accounting Standards Board website
Cost Policy (Sponsored Projects)  
‌Effort Reporting Policy This policy applies to all individuals with roles on CWRU-administered sponsored projects, whether the primary appointment of the individual is established through the University or through one of its affiliated hospitals.
Expenditure Approval Policy (Sponsored Projects)‌
Financial Status Report (FSR) and Financial Closeout Policy and Procedures  
General Purpose Costs: A Primer on Sponsored Research Funds  
Indirect Cost Recovery for Projects Involving Multiple Management Centers An explanation of the policy and the mechanism.
Preliminary Accounts Guide What you need to know to obtain a preliminary account number.
Rebudgeting Policy (Sponsored Projects)  
Salary Adjustments and Cost Transfer Policy  
Salary Adjustment Attachment Instructions  
Subaward Policy (Sponsored Projects)

Policies and procedures involved in issuing subawards to collaborating entities (e.g., other universities or businesses). Last updated 2017-04-03

Tuition Remission for Graduate Students Policy last updated 2009-07-01
VA Guidelines and Policies CWRU and VA Guidelines for Funds Transfer

CWRU and VA Guidelines for MOU and IPA

VA Form 2

VA Form 3

Authorship Guidelines at CWRU CWRU guidelines on authorship of research and scholarly publications.
Conflict of Interest (COI) Policy Important information about CWRU and sponsor regulations regarding conflicts of interest or the appearance of conflicts of interest.
CWRU IBC Policy Current CWRU Institutional Biosafety Committee (IBC) policies and procedures.
CWRU IRB Policies + Procedures

Revised October 2015

The CWRU SBER IRB policies are a tool for faculty, staff and students who perform non-biomedical, social/behavioral science research.
Custody of Research Data Policy Important University requirements regarding the recording and storage of research data.
Human Participants in Research Policy  
Letter of Cooperation-Guidance & Templates

revised 2016-04-21

Ohio Attorney General's Position on Publication Rights

CWRU's stance and the Ohio Attorney General's position on publication rights related to sponsored projects.

Texting while driving policy  

Intellectual Property Policy Adopted by the Board of Trustees on July 23, 2003.