Proposal Information for Caltech

Legal Name: California Institute of Technology

E-mail address for extramural proposals: sponsored.research@caltech.edu

Mailing Address for extramural proposals:
Office of Sponsored Research
California Institute of Technology
1200 E. California Blvd.
Mail Code 273-6
Pasadena, CA 91125-0001
+1-626-395-6357

Cognizant Federal Agency: National Science Foundation

Cognizant Agency for F&A:
Sharon Gales
Contracting Officer
Office of Naval Research
875 North Randolph Street
Arlington, VA 22203-1995
+1-(571)-463-8028
sharon.j.gales.civ@us.navy.mil

FY24 Internal Rate Memo (9/29/2023)
FY24 F&A Rate Agreement (9/30/2023)
FY24 Fringe Benefits Rate Agreement (9/30/2023)

CAS Disclosure Statement: Revision 16, October 1, 2019
Approved by:
Sharon Gales
Contracting Officer
Office of Naval Research
875 North Randolph Street
Arlington, VA 22203-1995
+1-703-696-8559

Defense Contract Management Agency:
Mrs. Veronica Y. Lacey
Administrative Contracting Officer
Office of Naval Research
San Diego Region
140 Sylvester Road, Building 140
San Diego, CA 92106
PHONE: 619-221-5494
FAX: 619-221-5615
veronica.lacey@navy.mil

Defense Contract Audit Agency:
DCAA, Van Nuys Branch Office (4951)
6230 Van Nuys Blvd.
2nd Floor, Room 2018
Van Nuys, CA 91401-2794
TEL: (818) 756-4330
FAX: (818) 756-4338
E-mail: dcaa-fao4951@dcaa.mil
DODAAC: HAA501
Branch Manager: Mr. Dale E. Johnson

Congressional District: 28

*The provisional rate of 70.0% is applied to new and renewal awards with Award Dates of October 1, 2023 or later.

¹ Modified Total Direct Costs (MTDC), applied to either the On-Campus or Off-Campus Indirect Cost Rate, exclude the following costs: capital expenditures (e.g., purchased or fabricated equipment that Caltech will own), Caltech transfers (funds sent from campus to JPL for participation of JPL personnel), space rental costs, tuition remission, scholarships and fellowships, participant support costs, and that portion of each subaward in excess of $25,000.

²The Off-Campus F&A Rate may be used when a Caltech project is carried out at a location that is not owned by Caltech.  In general, only one F&A rate, either on-campus or off-campus, is applied to an extramural award made to Caltech. Where an extramurally funded project is carried out at both on-campus and off-campus locations, the F&A rate applied to the project is determined on the basis of where the majority of the Caltech effort is conducted; the portion of a project carried out by subcontractors or other non-Caltech collaborators is not part of this determination. Only the programmatic effort performed by Caltech personnel is used to make this determination.  A proposal that will utilize the off-campus rate should clearly describe the project activities that qualify it for an off-campus rate.  For particularly large projects with clearly identifiable on- and off-campus components, it is possible to apply both on- and off-campus F&A rates. Such situations should be anticipated at the proposal stage and discussed with Sponsored Research prior to inclusion in the proposal.  Exceptions to these principles for use of the off-campus rate must be approved by the Provost prior to submission of a proposal.

³The Minimum Indirect Cost Rate is the lowest indirect cost recovery that Caltech will accept from a non-federal, non-profit sponsor. For any non-federal, non-profit sponsor that will not support Caltech recovering a rate of at least these minimum rates, the PI must make up the difference from discretionary funds or some form of general budget relief, or obtain a waiver from the Provost's Office. It is important to note that the minimum is based on total costs. For example, if the non-federal, non-profit sponsor allows indirect costs of 20% total direct costs, this is not the same as 20% of total costs. Rather the sponsor would have to allow Caltech to recover at least 25.0% of total direct costs in order to meet the 20% total costs standard. In another example, if the sponsor allows indirect costs of 20% of total direct costs, excluding equipment, and the proposed budget includes a significant amount of equipment, this could theoretically bring the actual indirect cost recovery below the 20% total costs standard.  Caltech generally will not accept less than its full indirect cost rate from for-profit sponsors.

⁴ The Staff Benefit Rate is not applied to salaries paid to undergraduate or graduate students.

⁵ Graduate tuition remission rates will be tiered based on the level of indirect cost recovery provided by the non-federal award: For indirect cost recovery between 0% and 9.99% TC (0%-10.99% of TDC), the tuition remission rate will be 85.00%; for recovery between 10.00% and 14.99% TC (11.11% and 17.63% TDC), tuition remission will be 77.00%; for recovery of between 15.00% and 19.99% TC (17.65% to 24.84% TDC), tuition remission will be 68.00%.