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Caltech Guide to Sponsored Projects

Table of Contents


Chapter 1 Standards for Conduct of Research at Caltech

1.1 Classified Work on Campus
1.2 Conflict of Interest
1.3 Lobbying and Earmarks
1.4 Nepotism
1.5 Principal Investigator Eligibility
1.6 Principal Investigator Responsibilities
1.7 Research Misconduct


Chapter 2 Overview of the Office of Research Administration

2.1 Organization  

Chapter 3 Required Assurances, Certifications and Research-Related Regulations

3.1 Protection of Human Subjects
3.2 Research Involving Vertebrate Animals
3.3 Compliance with Export Laws and Regulations
3.4 Education of Student and Postdoctoral Researchers in the Responsible Conduct of Research
3.5 Biosafety (rDNA, Infectious Agents, Human or Primate Materials)
3.6 Controlled Substances and Chemical Precursors
3.7 Radiation Safety and Laser Protection

Chapter 4 Sources of Project Support

4.1 Gifts to the Institute
4.2 Grants and Cooperative Agreements to the Institute
4.3 Research Contracts Awarded to the Institute
4.4 Subawards Issued to the Institute

Chapter 5 Proposal Development

5.1 Proposal Information for Caltech
5.2 Proposal Preparation Expectations
5.3 Protection of Confidential or Proprietary Proposal Information
5.4 Submitting Research Proposals to JPL

Chapter 6 Proposal Budget Development

6.1 Principles of Sponsored Project Budgeting
6.2 Preparing a Proposal Budget
6.2.1 Preparing an NIH Modular Budget
6.3 Direct and Indirect Costs
6.3.1 Direct Costs Personnel Costs - Salaries and Wages Personnel Costs - Staff Benefits Graduate Students Consultants Supplies and Materials Equipment Purchases Equipment Fabrication Subawards and Subcontracts Campus Transfers Travel Other Direct Costs
6.3.2 Facilities and Administrative Costs
6.4 Cost Sharing and Matching Contributions

Chapter 7 Proposal Review, Approval, and Processing

7.1 Required Institutional Signature
7.2 Internal Review of Research Proposals
7.3 Internal Review of Proposals for Projects other than Research
7.4 Sponsor Limitation of Proposals from Institution
7.5 Procedures for the Submission of Proposals
7.6 Pre-Award Audit/Request for Additional Information

Chapter 8 Award Acceptance

8.1 Required Institutional Signatures or Acceptance
8.2 Key Award Terms & Conditions
8.2.1 Parties
8.2.2 Scope of Work
8.2.3 Period of Performance
8.2.4 Funds Awarded
8.2.5 Deliverables
8.2.6 Publication and Dissemination of Results
8.2.7 Ownership of Data and Information
8.2.8 Proprietary, Confidential or Sensitive Information
8.2.9 Patents and Inventions
8.2.10 Special Award Terms and Conditions
8.3 Deviations From Standard Award Terms
8.4 Account Set Up
8.5 Pre-Award Costs / Late Award Receipt
8.6 "No cost" Extensions

Chapter 9 Post-Award Administration

9.1 Commitment of Effort in Federally Sponsored Awards
9.2 Institutional Base Salary
9.3 Salary Cap for National Institute of Health Awards
9.4 Salary Restriction on National Science Foundation Awards
9.5 Direct Charging of Administrative Salaries to Federal Awards
9.6 Payroll Distribution Confirmation
9.7 Equipment Fabrication Implementation
9.8 Subcontracts, Subawards and Subrecipient Monitoring
9.9 Cost Transfers to Federally Funded Awards
9.10 Program Income Related to Federally Funded Awards
9.11Processing and Management of ARRA Awards
9.12 Responding to FOIA Requests
9.13 Sales Tax
9.14 Rebudgeting
9.15 Responding to External Auditors

Chapter 10 Other Awards and Agreements

10.1 Facilities Use and Technical Services
10.2 Testing Programs
10.3 JPL IAs for Services

Chapter 11 Offices and Individuals

11.1 Office of Sponsored Research
11.2 Project Accounting
11.3 Export Compliance
11.4 Environmental Health and Safety
11.5 Office of the General Counsel
11.6 Office of Research Compliance
11.7 Institute Research and Compliance Committees