Forms & Policies

ORTM Forms

Need a form or an explanation of 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.

Commonly Requested Information - An easy-to-read document to assist you in completing application cover sheets and budgets. 

Post-Award Department Assignments - An easy-to-read document of Sponsored Projects Accounting.

Proposal Development Guidance

Form Details
Calendar Months Converter An Excel spreadsheet to help convert number of months to percentage of year.  Frequently asked questions.
NIH Grant Forms website
NIH PHS Forms DHHS's PHS 398 website
NIH Training Grant Institutional Commitment Letter  
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.

Subreceipient Commitment Form The required form to be completed by subrecipients on all proposals. 
Non-Disclosure Agreement (NDA) Template Microsoft Word document
‌Industry - Sponsored Research Agreement (SRA) Template To formalize a research agreement with industry reach out to (non- SOM) or (for SOM only)
Industry - Sponsored Service Agreement (SSA) To formalize a service agreement with industry reach out to (non- SOM) or (for SOM only)


Award Management Forms

Form Details
Certification of Invoice for Payment Subaward Invoice Certification Memo from the Project Director(a Microsoft Word document)
Effort Reporting Forms for reporting effort are available in Spiderweb.
Post-Award Department Assignments  
Late Cost Transfer Form  
Operating Advance Clearance Form  
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


Compliance Forms

Form Details
Conflict of Interest (COI) Mandatory Training  
Continuing Research Education Credit (CREC) Application  
Export Control Checklist Fact Sheet
IRB (CWRU) Electronic Submission System CWRU's SpartaIRB application
IRB in a Nutshell at CWRU  

Informed Consent Template

Informed consent template incorporating the Revised Common Rule.

Child Assent Form (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.
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

SpartaIRB Protocol Templates

These documents can be found in the SpartaIRB library.

Technology Transfer Forms

Form Details
Material Transfer Agreement Review Form PLEASE NOTE: This form must be filled out for ALL Material Transfer Agreements
Invention Disclosure Form Includes instructions
Non-Disclosure Agreement (NDA) / Confidentiality Agreement  
Outgoing Biological Material Transfer Agreement (MTA)  
Uniform Biological Material Transfer Agreement (UBMTA) Implementing Letter  

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.

Proposal Development Guidance

Policy Details
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).
Proposal Policy (Three 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 three (3) business days prior to the due date.

Award Management Guidance

Policy Details
Sponsored Project & Gift Definitions
Gifts vs. Grants  
Budget Controls and Expenditure Monitoring Procedure (Sponsored Projects)  
Cost Accounting Disclosure Statement - DS2 CWRU's Controller's Office's Cost Accounting Standards Board website
‌Sponsored Project Direct and Indirect Costing  
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.
Financial Status Report (FSR) and Financial Closeout Procedure  
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 Process  
Salary Adjustments and Cost Transfer Policy  
Cost Transfer (Journal), Salary Adjustment and LCT Timing Expectations  
Salary Adjustment Attachment Instructions  
Subaward Procedure (Sponsored Projects)

Policies and procedures involved in issuing subawards to collaborating entities (e.g., other universities or businesses).

Tuition Remission for Graduate Students Process  
VA Guidelines and Processes

CWRU and VA Guidelines for Funds Transfer

CWRU and VA Guidelines for MOU and IPA

VA Form 2

VA Form 3

Roles and Responsibilities  

Regulatory Compliance Guidance

Policy Details
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.
Institutional Biosafety Committee (IBC) Procedures and Information Current CWRU Institutional Biosafety Committee (IBC) policies and procedures.
CWRU IRB Guidance CWRU Institutional Review Board Procedures and Information
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


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.

Shared Clinical Affiliate-Process 2018 Overview of Shared Processes with Clinical and Hospital Affiliates
Texting while driving policy  

Technology Transfer Policies

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