Ch. 11 - Office 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
The Office of Sponsored Research assists faculty in the review, submission, negotiation, and acceptance of extramural grants, contracts, and cooperative agreements for research, training, and other sponsored programs.
Project Accounting is responsible for overseeing post award administration including, but not limited to, requesting for funds via letters of credit or invoices, financial reporting, training, financial compliance and audits of sponsored research awards received at Caltech.
The Caltech Export Compliance Office is responsible for ensuring that the campus is compliant with all applicable US export laws and regulations including federal regulations that impact an export or import transaction such as those of the Department of State, Commerce, Treasury, Defense, Energy and U.S. Customs. The Director of this office functions as the Empowered Official, the person who has legal authority to sign export control license applications and other requests for export approval on behalf of Caltech and is the person responsible for developing and implementing export compliance programs, campus procedures, awareness programs for faculty and training programs for staff.
The Mission of the Environment, Health and Safety (EHS) Office is to facilitate innovative research at Caltech through a comprehensive safety program, which promotes the health and safety of students, faculty, staff, and visitors. Through education, training and information, safety awareness and practices are integrated into all activities at Caltech. The EHS Office assists the Institute community by providing consultations, evaluations, and inspections, which reduce or eliminate conditions which may lead to injury or loss of institute resources.
The Office of the General Counsel ("OGC") is the legal advisor to the Institute and is responsible for providing legal services to all Institute organizations, including JPL. OGC serves as the representative of the Institute with respect to all legal proceedings and in responding to inquiries from federal investigative agencies such as the Inspectors General. OGC is the office ultimately responsible for assessing compliance with laws, regulations, and other legal controls.
OGC strives to advance Institute objectives by working proactively with faculty, staff, and students and by providing legal services of the highest caliber.
The Office of Research Compliance works with faculty oversight committees to promote the ethical and responsible conduct of research and to ensure compliance with regulatory requirements relating to research involving human and vertebrate animal subjects, recombinant DNA, biohazards, radioactive materials and stem cells. The committees supported by this office include the Institutional Animal Care and Use Committee (IACUC), the Institutional Review Board (IRB), and the Institutional Biosafety Committee (IBC). The Office of Research Compliance also has responsibilities relating to responsible conduct in research, conflicts of interest, compliance with U.S. export control regulations, and third party use of Caltech's research facilities.
Administrative Committee on Sponsored Research
The Administrative Committee on Sponsored Research, a group of faculty members appointed by the president, is charged with reviewing policies dealing with sponsored research activities at the Institute, reviewing proposals submitted to for-profit sponsors or foreign entities, and advising the Vice Provost for Research as requested.
The Biosafety program is designed to minimize the health risk to employees, students, and the public from potential exposure to biohazardous materials that are used in research laboratories. Biohazardous materials include:
- All infectious organisms (bacteria, fungi, parasites, prions, rickettsias, viruses, etc.) that can cause disease in humans or cause significant environmental or agricultural impact.
- Recombinant DNA derived from organisms that are Risk Group 2 and above.
- Work with human or primate tissues, fluids, cells or cell cultures.
The IACUC is charged under federal regulations with the review and approval of the care and use of animals in research and educational activities. The committee is responsible for semi-annual inspection of all animal housing facilities and areas where animals are used.
The Committee for the Protection of Human Subjects approves and provides continuing oversight for all human subject research conducted by Caltech faculty, staff or students prior to initiation, except for those projects where such review is exempted or waived in accordance with federal regulations.
Radiation Safety Committee (RSC)
The Radiation Safety Committee (RSC) ensures that radioactive materials and radiation-producing devices are used safely and in accordance with state and federal regulations as well as Institute policies. The Committee formulates general policy and approves all research utilizing radiation.