| E-mail address for proposal forms: | sponsored.research@caltech.edu |
| Office of Sponsored Research address: |
1200 E. California Blvd |
| Provisional F&A Rate Agreement Provisional Fringe Benefit Rate Agreement Cognizant Agency & Date: |
Office of Naval Research September 19, 2011 |
| CAS Disclosure Statement: |
Revision 9, September 29, 2005, Approved by: |
|
Administrative Contracting Officer: Defense Contract Management Agency: |
Mrs. Veronica Y. Lacey |
| Cognizant Federal Agency |
Linda Shipp, Contracting Officer |
|
Cognizant Federal Auditor: |
DCAA San Gabriel Branch |
| Congressional District: | 29 |
| Caltech Tax I.D. No.: | 95-1643307 |
| AAALAC accredited since: | February 10, 2003 |
| Animal Assurance No.: | A3426-01 |
| Human Subjects Assurance No.: | FWA00003897 |
| DUNS No.: | 009584210 |
| 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 |
| On-Campus Indirect Cost Rate*: | 64.0% MTDC1 (Provisional effective 10/1/2011) |
| Off-Campus Indirect Cost Rate2: | 26.0% MTDC1 |
| Minimum Indirect Cost Rate3: | 15% TC (17.65% TDC) |
| Staff Benefits Rate: | 27.5% 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). |
65.0% of GRA Salary |
| GRA Benefit Rate: For non-federal awards that provide indirect cost recovery of less than 15% TC (17.65 of TDC) |
65-94% of GRA Salary5 |
*Caltech's current indirect cost rate is provisional for the period beginning October 1, 2011 until a final rate is negotiated with the Office of Naval Research. The rate of 64% is applied to new and renewal projects with begin dates October 1, 2011 onward through March 31, 2011.
1 Modified Total Direct Costs (MTDC), applied to either the On-Campus or Off-Campus Indirect Cost Rate, exclude the following costs: equipment, Caltech transfers (funds from campus to JPL), GRA benefits, participant support costs, and that portion of each subgrant and subcontract 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. 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 multiple F&A rates. Such situations should be anticipated at the proposal stage and discussed with Sponsored Research prior to inclusion in the 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 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 94%; for recovery between 5.00% and 9.99% TC (5.26%-11.10% of TDC), tuition remission will be 84%; for recovery between 10.00% and 14.99% TC (11.11% and 17.65% TDC), tuition remission will be 75%; and for recovery of 15.00 TC (17.65% TDC) and over, it will be 65%.
