Forms & Information

Conducting research or other sponsored programs requires that information be gathered for the protection of the university, researchers, and research subjects. Links to many of the relevant forms in compliance and proposal development are collected below. Please contact the Office of Sponsored Programs at (707) 638-5862 with questions or comments.

For Proposal Submission:

  • Pre-approval Form 
    This form is used for internal proposal review, approval and routing. It requires attachment of an abstract, budget, budget justification and any other required forms such as a Cost Share Request Form and/or F&A Waiver Request Form.
    Proposals cannot be submitted unless OSP has received this form with the appropriate approval signatures.

Items Requiring Additional Forms or Approvals:

  • Facilities and Administrative (F&A) Waiver Request Form
  • F&A Waiver Guidelines and procedures
    Required with Pre-approval package when requesting institutional approval of a rate lower than the federally negotiated F & A rate.
  • Cost Share Request Form, Information
    The Cost Share form is required when requesting institutional approval to commit voluntary or mandatory cost share/match to the sponsor.
  • COI Financial Disclosure (Form 1), Instructions
    This form is required to be submitted with each proposal. The Principal investigators/program directors are responsible for obtaining disclosure forms from all those responsible for the design, conduct or reporting of the sponsored or non-sponsored research project or the sponsored educational or service activity. Principal investigators should submit their own forms plus those of other respondents.
  • Additional Facilities Addendum - Required if a project will involve construction or renovation of space, or a  change in the way University space is currently used or allocated (additional lab space being requested or new office space, etc.).
  • IT Support Form - Required if IT support will be required for server, software or new computers, fax/phone lines are being requested using University funds.
  • Limited submission Pre-proposal Form 
    This form is used to obtain approval for a Pre-proposal when a program limits the number of submissions from any one institution, and the number of TUC submissions exceeds the sponsor's limit. 

Samples and Examples:

Institutional Information

For Proposals Involving Subcontracts:

A consortium agreement must be established when subcontracting institutions are involved in a project. You may find more information on subcontracts under Proposal Preparation. The following consortium agreement forms should be used if a proposal requires the establishment of a consortium agreement.

  • TUC Consortium Agreement-This form is to be used when TUC is the subcontractor on another institution's proposal.
  • Non-TUC Consortium Agreement -This form is to be used when another institution is a subcontractor on TUC's proposal (Instructions).
    • COI Disclosure Form for NON-TUC Investigators
      All non-Touro investigators proposing to do research with Touro University California must complete this form and return it to the TUC Office of Sponsored Programs prior to or when submitting a funding proposal. This requirement stems from the U.S. Public Health Service (PHS) regulations, Responsibility of Applicants for Promoting Objectivity in Research, (42 CFR 50 Sub-part F) and Responsible Prospective Contractors (45 CFR 94).
    • Subrecipient FCOI Addendum
      New PHS Financial Conflict of Interest requirements require that TUC determines if a potential sub-recipient has a PHS compliant FCOI policy. This form must be completed and returned prior to award if sponsor is PHS or has adopted the PHS requirements.

For Post Award Activities:

  • PHS FCOI PI Certification
    This form is required by PI at Award stage. This is a certification from PI that all investigators on the project have completed the PHS compliant training. Required for PHS sponsors or agencies that have adopted the new PHD regulation such as: American Heart Association, American Lung Association, American Cancer Society, Susan G. Komen Foundation, the Alliance for Lupus Research,and the Arthritis Foundation.
  • Pre-Award Spending Request Form
    This form is used to request for advance spending prior to the start of the award process.
  • No-Cost Action Request Form
  • NIH PI Assurance Certification -This form must be submitted with all NIH progress reports and prior approval requests. Original signatures (in blue ink only) is required.
    This form is used to request any type of action within an award: No Cost Extension, Carry Forward, Change of Scope, Key Personnel change, re-budget, etc. that may/may not need agency approval and will not require additional funds but will need internal OSP approval.

Request for Sponsor Prior Approval Templates & Directions

Project Changes Requiring Prior Approval from Sponsor

Instructions for requesting approval for changes to sponsor

For Post Award Activities involving Subcontracts:

  • Sub-award Request Form - Form required to request a new or amended sub-award. An agreement or amendment cannot be initiated until this form is received with applicable documents to OSP.
  • Sub-award Progress Report - This form must be completed by the PI annually or if Sub-award is being terminated.
  • Sub-award Final Close-Out - This form is used to certify satisfactory performance, receipt of all reports, invoices and deliverables have been received from the sub-recipient.

For Purchasing Activities:

  • Purchase Order Request Form
    This form is to be used to place all orders, and accompanied with travel requests. This form must be signed by the PI. All requests are required to be submitted to the Grants Manager, OSP for review and processing.
  • IT Request Form This form is required for prior approval when ordering computers or other information technology devices using Federal funds, Federal flow-through funds, or non-Federal funds used as cost-sharing on a Federal award. This form is only required if the IT device or computer were not submitted within the proposal justifying a specific research/sponsored program purpose and approved by sponsor.
  • Foreign Travel Approval Form This form must accompany the Travel Authorization Request form when a non-U.S. flag carrier is to be used for foreign travel charged to Federal or Federal flow-through funds. Failure to comply will result in disallowance of all or part of the travel costs to a Federal fund.
  • Request for Exception of a Generally Unallowable Cost Form, Instructions 
    This form is used to request an approval to charge a generally unallowable item as a direct cost to a sponsored project. This form is required to be submitted and approved prior to submission of a PO request.
  • Sole Source Form
    This form must be used whenever a Purchase Request dollar amount exceeds $10,000 and competitive bidding is unavailable or deemed unacceptable.
  • Questionnaire for MTA (Incoming Material)
  • Questionnaire for MTA (Outgoing Material)
  • Letter of Agreement for the Transfer of Materials (Simple)

Travel Related Forms:

  • Foreign Travel Approval Form - This form must accompany the Travel Authorization Request form when a non-U.S. flag carrier is to be used for foreign travel charged to Federal or Federal flow-through funds. Failure to comply will result in disallowance of all or part of the travel costs to a Federal fund.
  • Travel Advance Request Form - This form is required if a travel advance is requested.  It can be submitted up to 10 days in advance of the trip and can only be submitted after the TCR has been submitted and approved.
  • Expense Reimbursement - This form is submitted after the trip, no later than 10 business days from the travel return date.  Reimbursement to the employee will be the totaled expenses incurred less any cash advances.

Touro University California Conflict of Interest Forms:

  • COI Financial Disclosure (Form 1)
    This form is required to be submitted at Proposal stage. The Principal investigators/program directors are responsible for obtaining disclosure forms from all those responsible for the design, conduct or reporting of the sponsored or non-sponsored research project or the sponsored educational or service activity. Principal investigators should submit their own forms plus those of other respondents. A proposal will not be considered complete and cannot be submitted to the funding agency by the Office of Sponsored Programs unless required financial disclosures are in place.
  • COI Financial Disclosure (Form 2)
    This form is required to be completed if and when a proposal receives a JIT request or some other indication from the funding agency that indicates it is likely to be funded and when the PHS Financial Disclosure (Form 1) has “yes” responses. Only those investigators with “yes” responses will be contacted by the Conflict of Interest (COI) Coordinator (OSP) to request completion and submission of the PHS Financial Disclosure (Form 2)
  • COI Financial Disclosure (Form 4)
    This form is required to be completed if an investigator’s newly acquired significant financial interest consists of only sponsored or reimbursed travel. Excluded is travel that is reimbursed or sponsored by federal, state, or local government, an institution of higher education, an academic teaching hospital, a medical center, or a research institute affiliated with an Institution of higher education.
  • COI Financial Disclosure (Form 5)
    This form is required to be completed by each investigator of a sub-recipient institution without a PHS compliant policy. These forms must be received at Proposal stage.
  • PHS FCOI PI Certification
    Certification from PI that all investigators on the project have completed the PHS compliant training. Submitted by the PI of a project at Award Stage, non-competing continuation awards, no-cost extensions and with supplements that extend a project’s period of performance.