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Caltech Policies & Procedures Related to Research Administration

General Policies
Proposals
Costs & Allowability
Equipment & Fabrications
Agreement Types
Overhead (Indirect Costs) & Other Rates
Intellectual Property
Data & Export Compliance
Ethics & Compliance
Forms
Related Offices

General Policies
Conflicts of Interest (COI)
External Auditor Interactions
Faculty Handbook (academic policies related to research)
Guide to Sponsored Projects
PIs on Leave (FAQ)
Records Retention Guidelines
Records Retention Schedule
Regulation & Compliance Compendium (licensed from NCURA)
Responsible Conduct of Research (RCR)
Subrecipient Monitoring (Subawards)
Travel Policies and Procedures

Proposals
Commitment of Effort on Federal Awards
Division Approval Form
Equipment Fabrication Policy
Equipment Threshold Definition
Guide to Sponsored Projects
Information for Proposals (DUNS, EIN, rates, legal name, etc.)
Institutional Base Salary Definition
Minimum Overhead Form (MORA)
Minimum Overhead Form Instructions
NIH Salary Cap Policy
NIH Salary Cap FAQ
NIH Salary Cap Calculator
NSF Salary Limitation FAQ
PI Eligibility Clarification
PI Eligibility (Faculty Handbook)
PI Responsibility  (Faculty Handbook)
Postdoctoral Benefits on Sponsored Awards
Postdoctoral Fellowship Proposals
Proposal Submission - Authorized Offices (Faculty Handbook)
Research Data Sharing & Management
Short-Term Visa Fees
Subrecipient Monitoring Policy & Procedure (Subawards)
Travel Policies and Procedures

Costs & Allowability
Administrative Costs on Federal Awards
Business Expense Guidelines
Business Expense Guidelines FAQ
Business Expense Guidelines - Entertainment
Business Expense Guidelines - Entertainment FAQ
Commitment of Effort on Federal Awards
Cost Sharing on Federal Awards
Cost Transfers to Federal Awards
Cost Transfer Procedures
Equipment Fabrication Policy
Equipment Threshold Definition
Guide to Sponsored Projects
Institutional Base Salary Definition
NIH Salary Cap Policy
NIH Salary Cap FAQ
NIH Salary Cap Calculator
NSF Salary Limitation FAQ
Payroll Distribution Confirmation Policy (PDC)
Payroll Distribution Confirmation Procedure
Postdoctoral Benefits on Sponsored Awards
Purchasing Policies & Procedures
Short-Term Visa Fees
Subrecipient Monitoring (Subawards)
Travel Policies and Procedures
Uncollectible Debts

Equipment & Fabrications
Equipment Fabrication Policy
Equipment Threshold Definition
Property Services

Agreement Types
Accepting Funds to Support Research
Award Acceptance - Authorized Offices (Faculty Handbook)
Facilities Use & Technical Service Agreements (Fee-for-Service)
Gifts versus Grants Policy (Faculty Handbook)
Intergovernmental Personnel Agreements (IPAs)
License Agreements (outgoing Caltech technologies)
License Agreements (incoming software or hardware)
Material Transfer Agreements
Non-Disclosure Agreements
Subawards/Subcontracts (outgoing)
Subawards/Subcontracts (incoming)

Overhead (Indirect Costs) & Other Rates
Annual Rate Memorandum
Federally Negotiated Rates
Minimum Overhead Form (MORA)
Minimum Overhead Form Instructions

Intellectual Property
Copyrights
Invention Disclosures
Patents
Technology Transfer

Data & Export Compliance
Controlled Unclassified Information (CUI)
Copyrights (Faculty Handbook)
Export Compliance
Ownership of Research Data (Faculty Handbook)
Research Data Sharing & Management
Safeguarding Export Controlled Data on Computers

Ethics & Compliance
Animals in Research (IACUC)
Biohazardous Materials in Research (IBC)
Caltech Code of Conduct
Conflicts of Interest (COI)
Controlled Substances
Freedom to Publish (Faculty Handbook)
Humans in Research (IRB)
Misconduct in Science
Research Data Sharing & Management
Responsible Conduct of Research (RCR)
Safeguarding Export Controlled Data on Computers
Whistleblower Policy

Forms
Division Approval Form
Minimum Overhead Form (MORA)
Minimum Overhead Form Instructions
PI Eligibility Sponsor Memo

Related Offices
Audit Services & Institute Compliance
Foundation Relations
General Counsel
Post Award Administration
Procurement Services
Property Services
Research Compliance
Technology Transfer & Corporate Partnerships