Ch. 10 - Other Awards and Agreements
10.1 Facilities Use and Technical Services - added 4/2/12
10.2 Testing Programs
10.3 JPL IAs for Services
The Institute has certain unusual or unique items of equipment or facilities as well as specialized know-how and processes that may be of interest to members of the private sector. As a result, Caltech faculty may be asked to make available their laboratories or to perform certain testing activities that do not constitute research on the part of Caltech.
The Caltech Way
Caltech is willing to make its facilities available or to engage in certain testing activities when the work cannot be conducted by commercial laboratories or in the party's own facility. Caltech may also consider designing, building and operating special facilities on a sponsored basis. However, these activities should be undertaken with the following principles in mind:
1) Caltech may support the commercial sector, but it should not compete with it or be a member of it.
2) Caltech laboratories should not perform commercially available tasks for the primary purpose of gaining income, nor should Caltech facilities be used to develop and commercialize a product.
3) Caltech faculty and staff may not contribute intellectually to the activity. Essentially, the external party is "renting" a Caltech resource for a limited period of time. As a result, the external party will own and control all intellectual property. If the faculty member wished to collaborate scientifically with the external party, such collaboration should occur under a sponsored research agreement.
4) The faculty or staff member within whose facility or laboratory the activity will occur must disclose any financial relationship with the external party in accordance with Caltech policy.
Proposals for testing programs require approval from the Division chair or other official overseeing the laboratory or facility to be used, and the Office of Sponsored Research. Please contact the Director of Sponsored Research with questions about entering into facilities use or technical service agreement with external parties.
Because of existing equipment or facilities, Caltech faculty may be asked by individuals or companies to perform certain testing activities that do not constitute research on the part of Caltech.
The Caltech Way
Caltech is willing to engage in certain testing activities when the work cannot be conducted by commercial laboratories or in the sponsor's own facility.
The Institute has certain unusual or unique items of equipment or facilities for conducting tests and investigations of various kinds. When mutually advantageous arrangements can be agreed upon, and when the work cannot be conducted as well in the sponsor's own laboratories or in a commercial laboratory, such equipment and facilities may be used for conducting test or investigations for outside agencies. The Institute may also consider designing, building and operating special facilities on a sponsored basis.
Proposals for testing programs require approval from the Division chair or other official overseeing the laboratory or facility to be used, and the Office of Sponsored Research.
The Jet Propulsion Laboratory (JPL) is a federally-funded research and development center ("FFRDC") managed by the California Institute of Technology for the National Aeronautics and Space Administration. JPL operates as a division of Caltech, but because it is also an FFRDC, special procedures are required when campus and JPL engage in collaborations or cooperative activities.
When JPL requests services from campus, a Service Interdivisional Authorization (SIA) is issued. A SIA authorizes campus to incur expenses and bill for services provided to JPL. Generally, these services are for activities other than research and do not involve a Caltech faculty member as Principal Investigator.
The Caltech Way
Caltech provides services to JPL through the use of a Service Interdivisional Authorization. Budgets should include all estimated costs, including overhead costs based upon the location of the services.
A request for a SIA should be completed by campus employee for the campus unit providing the service to JPL. The JPL requester should review and approve the cost estimate before the form is forwarded to Project Accounting.