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Ch. 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

 

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5.1 Proposal Information for Caltech

Background

Proposals requesting support for research or other projects are submitted on behalf of faculty with Caltech as the official recipient of the funds. Applications for funding generally request information regarding the applicant institution's tax status, compliance assurances, date of the negotiated indirect cost rate agreement, and the like.

The Caltech Way

The Office of Sponsored Research provides information and administrative guidance to faculty and staff in the preparation and submission of proposals.

The Office of Sponsored Research is delegated the authority to sign on behalf of the Institute for proposals and awards.

Caltech Faculty Handbook Chapter 7

Institutional information is provided at the following website: 
Office of Sponsored Research website

9/20/10


5.2 Proposal Preparation Expectations

Background

In order to maintain the quality of sponsored activities, document organizational approvals, and provide the necessary data for management purposes, a proposal review process has been implemented by Caltech.

The Caltech Way

It is essential that the Institute retains control of its research program and undertake research activities that contribute to its educational and scholarly objectives. Proposals should be consistent with Institute requirements for: reimbursement of expenses; commitment of cost sharing or matching funds; approvals from collaborating institutions; and evidence of regulatory approvals or clearances.

Proposals and applications that will result in a grant, cooperative agreement or contract to Caltech must be reviewed internally and given institutional approval by staff in the Office of Sponsored Research.

Caltech Faculty Handbook Chapter 7

Office of Sponsored Research website

9/20/10


5.3 Protection of Confidential or Proprietary Proposal Information

Background

Proposals sometimes contain confidential or proprietary information that is required in order to support a proposed scope of work. When confidential or proprietary information is included in an application to a federal government agency, it is with the understanding that the information will be used or disclosed only for evaluation of the application. However, if a grant is awarded as a result of or in connection with an application, the proposal becomes a public record and will be released if requested under provisions of the Freedom of Information Act and Privacy Act (See Chapter 9, Section 9.7, Responding to FOIA Requests).

The Caltech Way

Confidential or proprietary information included in a research proposal should always be clearly identified with an appropriate legend, which can be obtained from the Office of Sponsored Research.

Office of Sponsored Research website

9/20/10


5.4 Submitting Research Proposals to JPL

Background

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.

A JPL award for the performance of direct research activity under the direction of a Caltech faculty member is known as a "Research IA" (Interdivisional Authorization) and is treated like other externally funded research projects involving Federal funds.

The Caltech Way

Proposals for Research IAs follow the same procedures as all other research proposals: 

  • A Division Approval Form signed by the PI and the Division Chair;
  • Statement of Work describing the effort or research activity being performed and the estimated period of performance;
  • Budget by standard expenditure categories (salary and fringe benefits, materials and supplies, equipment, travel, tuition remission, indirect costs); and
  • Identification of deliverables (reports, test results, etc.).

Instructions can be found at the
Office of Sponsored Research Website

9/20/10


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