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Proposal Information for Caltech


E-mail address for proposal forms:
Office of Sponsored Research address:

1200 E. California Blvd
Mail Code 273-6
Pasadena, CA 91125-0001

Cognizant Federal Agency: National Science Foundation

Cognizant Agency for F&A:

F&A Rate Agreement (9/26/17)

Fringe Benefit Rate Agreement (9/13/17)

Internal Rate Memo (10/9/2017)

Shea Kersey
Contracting Officer
Office of Naval Research
875 North Randolph Street
Arlington, VA 22203-1995

CAS Disclosure Statement:

Revision 11, October 1, 2008

Approved by:
Linda Shipp
Director, Indirect Cost Branch
Office of Naval Research
(BD242, Room 372)
875 North Randolph Street
Arlington, VA 22203-1995

Defense Contract Management Agency:

Mrs. Veronica Y. Lacey
Administrative Contracting Officer
Office of Naval Research
San Diego Region
140 Sylvester Road, Building 140
San Diego, CA  92106
PHONE: 619-221-5494
FAX: 619-221-5615

Cognizant Federal Auditor:

Defense Contract Audit Agency

DCAA San Gabriel Branch
1000 East Lakes Drive, Suite 400
West Covina, CA 91790-2900

Congressional District: 27
Caltech Tax I.D. No.: 95-1643307
AAALAC accredited since: February 10, 2003
Animal Welfare Assurance No.:


(Previously A3426-01)

Human Subjects Assurance No.: FWA00003897
DUNS No.: 009584210
NIH Institutional Profile File No.: 1073501
CAGE Code: 80707
The North American Industry Classification System Code (NAICS) No. 611310
Federal Interagency Commission on Education (FICE) No. 001131
California State Organization No: 0020720
LA City Tax Exemption No.: 0000059310-0002-2
On-Campus Indirect Cost Rate*(FY18): 67.5% MTDC1
Off-Campus Indirect Cost Rate*2(FY18): 26.0% MTDC1
Minimum Indirect Cost Rate3: 15% TC (17.65% TDC)
Staff Benefits Rate(FY2018):

27% of Salaries(FY2018)4
28% of Salaries(FY2017)4

GRA Benefit Rate:
For all federal awards; for non-federal awards that provide indirect cost recovery of at least 15% of TC (17.65 of TDC).
66.0% of GRA Salary
GRA Benefit Rate:
For non-federal awards that provide  indirect cost recovery of less than 15% TC (17.65 of TDC)
66.0-95.3% of GRA Salary5

*The rate of 67.5% is applied to new and renewal awards with begin dates of October 1, 2017 or later.

1 Modified Total Direct Costs (MTDC), applied to either the On-Campus or Off-Campus Indirect Cost Rate, exclude the following costs: capitial expenditures (e.g., purchased or fabricated equipment that Caltech will own), Caltech transfers (funds sent from campus to JPL for participation of JPL personnel), space rental costs, tuition remission, scholarships and fellowships, participant support costs, and that portion of each subaward in excess of $25,000.

2 The Off-Campus F&A Rate is used when a Caltech project is carried out at a location that is not owned by Caltech and the associated costs do not utilize campus resources.  Use of the off-campus rate requires prior approval of the Provost's Office.  A proposal that will utilize the off-campus rate should clearly describe the project activities that qualify it for the off-campus rate.  If a proposal includes work that will occur both on-campus and on-off campus, then both the on- and off-campus rates should be applied in the budget, as appropriate, to the costs associated with the respective location of work. OSR cannot submit proposals that utilize the off-campus rate unless approved by the Provost's Office.

3The Minimum Indirect Cost Rate is the lowest indirect cost recovery that Caltech will accept from a non-federal, non-profit sponsor. For any non-federal, non-profit sponsor that will not support Caltech recovering a rate of at least 15% total costs (17.65% total direct costs), the PI must make up the difference from discretionary funds or obtain a waiver from the Provost's Office. It is important to note that the minimum is based on total costs. For example, if the non-federal, non-profit sponsor allows indirect costs of 15% total direct costs, this is not the same as 15% of total costs. Rather the sponsor would have to allow Caltech to recover at least 17.65% of total direct costs in order to meet the 15% total costs standard. In another example, if the sponsor allows indirect costs of 20% of total direct costs, excluding equipment, and the proposed budget includes a significant amount of equipment, this could theoretically bring the actual indirect cost recovery below the 15% total costs standard.  Caltech generally will not accept less than its full indirect cost rate from for-profit sponsors.

4 The Staff Benefit Rate is not applied to salaries paid to undergraduate or graduate students.

5 Graduate tuition remission rates will be tiered based on the level of indirect recovery provided by the non-federal award: For indirect cost recovery between 0% ad 4.99% TC (0%-5.25% of TDC), the tuition remission rate will be 95.3%; for recovery between 5.00% and 9.99% TC (5.26%-11.10% of TDC), tuition remission will be 85.5%; for recovery between 10.00% and 14.99% TC (11.11% and 17.65% TDC), tuition remission will be 75.8%; and for recovery of 15.00 TC (17.65% TDC) and over, it will be 66%.