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Institute Policies and Procedures Related to Sponsored Research Projects

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CALTECH INFORMATION
FOR PROPOSALS

E-mail address for proposal forms:

sponsored.research@caltech.edu

Indirect Cost Rate Agreement:
Cognizant Agency & Date:

Office of Naval Research
September 28, 2007

CAS Disclosure Statement:

Revision 9, September 29, 2005, Approved by:
Linda Shipp
Office of Naval Research
(ONR 242, Room 368)
875 North Randolph Street
Arlington, VA 22203
703-696-8559

Administrative Contracting Officer:

Defense Contract Management Agency:

Karen Seward
Administrative Contracts and Grants Officer
Office of Naval Research
140 Sylvester Road
Bldg. 140, Rm. 218
San Diego, CA 92106-3521
619-221-5482
619-221-5615 FAX
karen.seward@navy.mil

Cognizant Federal Agency

Office of Naval Research
875 North Randolph Street
Arlington, VA 22203
703-696-8559

Cognizant Federal Auditor:

Defense Contract Audit Agency:

DCAA San Gabriel Branch
1000 East Lakes Drive, Suit 400
West Covina, CA 91790-2900
626-918-5922

Congressional District:

Caltech Tax I.D. No.:

95-1643307

Animal Assurance No.:

A3426-01

Human Subjects Assurance No.:

FWA00003897

DUNS No.:

009584210

Institutional Profile File No.:

1073501

CAGE Code:

80707

The North American Industry Classification System Code (NAICS)

No. 611310

Federal Interagency Commission on Education (FICE)

No. 001131

On Campus Indirect Cost Rate:

60.5% MTDC¹

Off Campus Indirect Cost Rate²:

26.0% MTDC¹

Staff Benefits Rate:

25.0% of Salaries³

GRA Benefit Rate:
For federal awards and all others that provide full indirect cost recovery.

63.5% of GRA Salary

GRA Benefit Rate:
For non-federal awards that do not provide full indirect cost recovery.

85.0% of GRA Salary

GRA Benefit Rate:
For all endowment funds.

80.0% of GRA Salary

¹ Modified Total Direct Costs (MTDC), applied to either the On-Campus or Off-Campus Indirect Cost Rate, exclude the following costs: equipment, Caltech transfers (funds from campus to JPL), GRA benefits, participant support costs, and that portion of each subgrant and subcontract in excess of $25,000.
² The Off-Campus Overhead Rate is used when a Caltech project is carried out at a location that is not owned by Caltech. In general, only one indirect cost rate, either on-campus or off-campus, is applied to each extramural award made to Caltech. Where an extramural project is carried out at both on-campus and off-campus locations, the rate for the project is determined on the basis of the location where the majority of the Caltech programmatic effort is conducted. The portion of a project carried out by subcontractors or other non-Caltech collaborators is not part of this determination. It is only the programmatic effort performed by Caltech personnel that is used to make the determination about whether the on-campus or off-campus indirect cost rate is to be applied to a particular project.

For particularly large projects with clearly identifiable on- and off-campus components, it is possible to apply multiple indirect cost rates. Such situations should be anticipated at the proposal stage and reflected in the proposal budget.

³ The Staff Benefit Rate is not applied to salaries paid to undergraduate or graduate students.

CALTECH INFORMATION FOR PROPOSALS

CALTECH INFORMATION
FOR PROPOSALS