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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/Fringe Provisional Rate Agreement (9/26/18)

Internal Rate Memo (10/3/2018)

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 I.D. Numbers

   CAGE Code

   Federal Employer ID Number (EIN)

   State of California Org. ID

   State of Hawaii Tax ID - old
   State of Hawaii Tax ID - new

   State of Louisiana Charter No:

   State of WA Business ID (UBI)
   State of WA Vendor ID (SWV)

   Los Angeles City Tax Exemption

   European Commission PIC
   European Commission REG










AAALAC accredited since:

AAALAC International Unit

February 10, 2003


Animal Welfare Assurance No.:


(Previously A3426-01)

Human Subjects Assurance No.: FWA00003897
NIH Institutional Profile File No.: 1073501
The North American Industry Classification System Code (NAICS) No. 611310
Federal Interagency Commission on Education (FICE) No. 001131
On-Campus Provisional Indirect Cost Rate*(FY19): 64.5% MTDC1
Off-Campus Provisional Indirect Cost Rate2(FY19): 26.0% MTDC1

Minimum Indirect Cost Rate3:
   Awards <$500K/year in total costs
   Awards ≥$500K/year in total costs

15% TC (17.65% TDC)
30% TC (42.86% TDC)

Staff Benefits Provisional Rate(FY19):

26.5% of Salaries4

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 provisional rate of 64.5% is applied to new and renewal awards with begin dates of October 1, 2018 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.

2The Off-Campus F&A Rate may be used when a Caltech project is carried out at a location that is not owned by Caltech.  In general, only one F&A rate, either on-campus or off-campus, is applied to an extramural award made to Caltech. Where an extramurally funded project is carried out at both on-campus and off-campus locations, the F&A rate applied to the project is determined on the basis of where the majority of the Caltech effort is conducted; the portion of a project carried out by subcontractors or other non-Caltech collaborators is not part of this determination. Only the programmatic effort performed by Caltech personnel is used to make this determination.  A proposal that will utilize the off-campus rate should clearly describe the project activities that qualify it for an off-campus rate.  For particularly large projects with clearly identifiable on- and off-campus components, it is possible to apply both on- and off-campus F&A rates. Such situations should be anticipated at the proposal stage and discussed with Sponsored Research prior to inclusion in the proposal.  Exceptions to these principles for use of the off-campus rate must be approved by the Provost prior to submission of a proposal.

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 these minimum rates, the PI must make up the difference from discretionary funds or some form of general budget relief, 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.

5Graduate 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%.