Research Administration Forum
FEBRUARY 12, 2014
Agenda
 FY2013 Annual Report
 Procurement Services Announcements
 Project Accounting Updates
 New Uniform Guidance from OMB
 IAMS
FY2013 Annual Report
DICK SELIGMAN
ASSOCIATE VICE PRESIDENT,
RESEARCH ADMINISTRATION
California Institute of Technology
Contract and Grant Funding, by Sponsor Type - FY2013
$309,298,873
Federal Agencies
65.10%
Federal
Flow-through
26.37%
State and Local
Agencies
.25%
Foreign Entities
2.66%
For-Profit
Companies
3.07%
Non-Profit
Organizations
1.92%
Educational/Research
Institutions
0.63%
Chart 1
California Institute of Technology
Federal Contract and Grant Funding - FY2013
Total DOD Funding:
$18,495,969
Total Federal Funding:
$282,940,666
Federal
Flow-through
28.83%
DOI (USGS)
.89%
DARPA
1.65%
DOD
6.54%
Navy
1.57%
NSF
28.15%
Other
.18%
Army
1.26%
DOE
9.11%
Other
Federal
.24%
NIH
21.02%
NASA
5.22%
Air Force
1.88%
Chart 4
FY2013
No. of
Transactions
% Change in
No. of
Transactions
Biology
210
12.9%
53,359,219
0.9%
Chemistry & Chemical Engineering
184
0.0%
51,026,141
-0.6%
Engineering & Applied Science
280
-4.4%
46,338,330
-5.6%
Geological & Planetary Sciences
173
-4.9%
22,070,978
29.4%
Humanities & Social Sciences
15
-57.1%
4,329,609
-20.8%
Physics, Math & Astronomy
377
14.9%
127,595,970
-7.0%
5
-44.4%
4,578,626
-42.7%
1,244
2.2%
$309,298,873
-3.6%
Other
Totals
Funds
Awarded
% Change in Dollars
from Previous Year
California Institute of Technology
Contract and Grant Funding, by Division - FY2013
$309,298.873
Physics, Math
& Astronomy
41.25%
Other
1.48%
Biology
17.25%
Humanities &
Social Sciences
1.40%
Chemistry & Chemical
Engineering
16.50%
Engineering &
Applied Sciences
14.98%
Geological &
Planetary Sciences
7.14%
Chart 6
10-Year Contract and Grant Funding: FY2004-FY2013
Compared to FY2004 Dollars Adjusted for Inflation
(Inflation Rate Based Upon Average Annual Consumer Price Index)
$400
$400
ARRA
IPA
C
$350
$300
$300
$250
$250
$200
$200
$150
$150
$100
$100
$50
$50
$
Millions of Dollars
Millions of Dollars
$350
$
2004
2005
2006
2007
Total Award Funding
2008
2009
2010
2011
2012
FY2004 Dollars Adjusted for Inflation
2013
Chart 8
California Institute of Technology
Contract and Grant Funding, by Division - FY2004-FY2013
180
160
140
Millions of Dollars
120
100
PMA without
NuSTAR,
Advanced LIGO, or
IPAC
PMA
80
60
EAS
BIO
40
CCE without JCAP
CCE
20
GPS
HSS
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013 Chart 9
FY2013
No. of
Proposals
Biology
292
108,194,349
317,134,439
Chemistry & Chemical Engineering
221
58,719,957
153,074,692
Engineering & Applied Science
275
83,749,162
267,522,885
Geological & Planetary Sciences
131
14,150,844
34,596,637
Humanities & Social Sciences
21
13,715,862
60,988,185
Physics, Math & Astronomy
204
48,644,872
142,654,809
2
10,333,333
35,000,000
$337,508,379
$1,010,971,647
Other
Totals
1,146
Average Dollars
Requested/Year
Total Dollars
Requested
Success Rate of All Caltech Proposals
60%
49%
50%
44%
43%
41%
42%
42%
42%
39%
40%
40%
30%
20%
10%
0%
2004
2005
2006
2007
2008
2009
2010
2011
2012
Chart 12
50%
50%
NIH Success Rates
45%
45%
40%
40%
35%
35%
35%
35%
33%
30%
25%
31%
26%
26%
23%
26%
22%
20%
22%
30%
31%
25%
25%
23%
21%
23%
20%
19%
20%
20%
15%
15%
10%
10%
5%
5%
0%
0%
2004
2005
2006
2007
2008
NIH-Caltech
2009
NIH-National
2010
2011
2012
Chart 13
50%
50%
NSF Success Rates
45%
45%
44%
42%
40%
37%
35%
30%
40%
36%
35%
32%
32%
33%
30%
30%
25%
24%
25%
26%
35%
29%
25%
25%
23%
23%
24%
24%
20%
20%
15%
15%
10%
10%
5%
5%
0%
0%
2004
2005
2006
2007
2008
NSF-Caltech
2009
NSF-National
2010
2011
2012
Chart 14
Procurement Services
2014 Announcements
TINA LOWENTHAL
DIRECTOR OF PROCUREMENT SERVICES
PEGGY BURKE
TRAVEL ADMINISTRATOR
2014 Announcements
 Catering Services
 TechMart Upgrade
 NASA Restrictions on Orders to China
 Travel
 Past Due Travel Reports
 Hotel Agreements
Catering Services
 DOE Audit
 Reasonableness and Allowability of Conferences, Meals, and
Refreshments
 Some costs were determined unreasonable and an opportunity
to reduce cost was presented
 Questioned costs returned to the DOE
 Issue
 Catering Services are processed via a Payment Request
 No determination of price reasonableness is required
Catering Services
 Solution
 Modify Payment Request Policy…slightly
 Catering Services



Paid for by federally funded account, regardless of dollar amount, must be
processed via a Purchase Requisition
Transactions (including P-Card) exceeding $10,000 require
competition/multiple bids
Non-federally funded transaction are processed as usual
 New Policy (effective January 2014)
Catering Services: Payment to a company or an
individual providing food, drink and food service.
Typically at social events and in a professional capacity.
Not applicable to federally funded projects. A Purchase
Order is required for federally funded projects.
TechMart Upgrade
 New User Interface: Classic to Phoenix
 Effective March 30, 2014
 Final Preview Session: Tuesday, March 4th
 Online Resources:
https://procurement.caltech.edu/departments/purc
hasinghome/techmarthome
 Email: techmarthelp@caltech.edu
NASA Restrictions on
Orders to China
Caltech is restricted from using NASA funding “to
enter into or fund any grant or cooperative agreement
of any kind to participate, collaborate, coordinate
bilaterally in any way with China or any Chineseowned company, at the prime recipient level or at any
subrecipient level, whether the bilateral involvement is
funded or performed under a no-exchange of funds
arrangement.” (GIC 12-01)
NASA Restrictions on
Orders to China
Group
Responsibility
End-users
Understand the restriction on Chinese
Suppliers/Nationals.
SOS and Purchasing
Buyers
• Review orders for 1) NASA funding source and
2) Chinese Supplier
• Place order on hold if 1) and 2) are true
• Report to Export Compliance
Contracting Officers
Include applicable provision in Subawards that
are subject to 14 CFR § 1260, 1273, & 1274
Supplier Management
Flag Chinese Suppliers in Oracle/TechMart with
the Chinese flag
Export Compliance
Review orders and provide further instruction
Past Due Travel Reports
Late Trip
Reporting
Late Notice Letters
30 Days
Friendly Reminder
Sponsored trips should have
already been submitted
60 Days
Last Friendly Reminder
Past Due Notices and Reports
Why am I copied on past due travel reports?
If you are the traveler or preparer and you have not submitted your report, you
will receive notices at 30 and 60 days after the trip end date. Division Heads and
Project Accounting are notified of all past due reports quarterly
Where can I find a listing of past due reports?
First check your travel log. Look at the trip end dates. If there are any that are
over 30 days old you need to close those reports and send them to Travel
Services
How can I see all of the past due reports for my
department/division?
A new report called “Campus Travel Aging Report” has been developed in
Cognos that will allow users, who have access, to view past due reports for a
specific department or division
Campus Travel Aging Report
DIVISION NAME
FIN
FIN
FIN
FIN
TRAVELER NAME
BROWN, JOE
BLACK, SAM
SMITH, JACK
JONES, BOB
DAYS OVERDUE
168
195
99
240
TRIP NUMBER
CT123456
CT123466
CT129001
CT130003
TRIP STATUS
ACTIVE
ACTIVE
ACTIVE
ACTIVE
TRAVEL LETTER STATUS
STOPPED
TRAVEL COMMENTS
TRAVEL REC'D 12/04/13
TRIP START DATE
12-Aug-2013
24-Feb-2013
22-Oct-2013
3-Jun-2013
TRIP END DATE
16-Aug-2013
12-Feb-2013
24-Oct-2013
5-Jun-2013
TRIP AMOUNT
$2,027.29
$8,217.14
$140.00
$207.84
PTA'S
ABC.123.1- NSF.12345
XYZ. 789 1- DOD.221
SMITH4421-1.2-GB.0006
PENTAGON 7.1 DOD.123
SPONSORED?
YES
YES
PREPARED BY
JONES, JOHN
REED, WILMA
PREPARER EMAIL
JONES, JOHN@CALTECH.EDU REED, WILMA@CALTECH.EDU WILLIS, JANE@CALTECH.EDU
WHITE, CARL@CALTECH.EDU
DESTINATION
PARIS, FR
DUBLIN, IR
DALLAS, TX
CERN, SW
30 DAY SENT
17-Sep-2013
13-Mar-2013
25-Oct-2013
6-Jul-2013
60 DAY SENT
17-Oct-2013
13-Apr-2013
25-Nov-2013
6-Aug-2013
YES
WILLIS, JANE
WHITE, CARL
Cognos Report
Will all the past due reports appear in Cognos?
No, at this current time, it only includes trip reports that have P-Card
charges
How often is the report updated?
Nightly
How can I get access to run the report?
Contact IMSS to request access
Hotel Agreements
 Must be signed by a Purchasing Agent or Contracting
Officer
 Attrition Clause: fee/penalty for a portion of unused
rooms
 Understand the terms
 Communicate with the hotel representative
travelstaff@caltech.edu
Project Accounting Updates
URMILA BAJAJ
DIRECTOR
PROJECT ACCOUNTING
Project Accounting Updates
 NIH Salary Cap for FY2014 is $181,500 (Executive
Level II), increase of 1% from FY2013 cap ($179,700)
 Caltech’s on-line Payroll Distribution Confirmation
(PDC) system


User Acceptance Testing (UAT) is in the final phases
Implementation with FY2014 A (Oct 2013-Mar 2014) PDC
period
Project Accounting Updates
 Reminder: following costs cannot be charged as
direct costs on Federal research awards

Benefit premiums (health, dental and group life insurances)
for post doctoral fellows (Aug 1, 2013 and onwards)
Caltech Benefits for Postdoctoral Scholars policy
http://researchadministration.caltech.edu/documents/568postdoc_benefits_policy_statement_final_7-18-13_.pdf

Personal memberships to professional organizations
Caltech Business Expenses Guidelines
http://finance.caltech.edu/documents/173caltech_business_expense_guidelines_rev_01-04-13.pdf
New Uniform Guidance
from OMB
DAVID MAYO
DIRECTOR
SPONSORED RESEARCH
OMB Uniform Guidance
 What is it?
 Codified at Title 2, Part 200 of the Code of Federal Regulations
(“2 CFR 200” or “Uniform Guidance”)
 Issued: 12/26/2013
 Replaces A-21, A-110 and A-133 (as well as other circulars)
OMB-UG - Applicability
 When does it start?
 Each federal agency must issue draft implementation no later
than June 2014
 Agencies must fully implement no later than 12/26/2014
 When does it apply to Caltech?
 Only after agencies implement
 Audit requirements will apply to Caltech starting 10/1/2015
OMB-UG - Applicability
 Questions that still need to be answered by OMB
 Will all agencies implement on the same date?
 Will UG apply only to new awards?
 If UG applies to existing awards, when will that occur?
 Unsubstantiated rumors
 UG will apply to all new awards issued 12/26/14 or later
 UG will apply to existing awards once a new funding increment
is issued
200.101(b)(1) Applicability
Section
Topic
Subpart A Acronyms and Definitions
Subpart B General Provisions
(except COI)
Subpart B General Provisions (COI)
Subpart C Pre-Award Requirements
Subpart D Post-Award – Financial
Management
Subpart D Post-Award – Property
Subpart D Post-Award –
Procurement
Subpart D Post-Award – Reporting
Subpart D Post-Award –
Subrecipient Monitoring
Subpart D Post-Award – Record
Retention
Subpart D Post-Award – Closeout
Subpart E Cost Principles
Subpart F Audit Requirements
Procurement
CostGrants and
Reimbursement
Cooperative
Contracts and
Agreements (except
Subcontracts
those to the right)
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Federal Financial Assistance
Agreements for
Agreements for Loans,
Food
Loan Guarantees,
Commodities
Interest Subsidies and
Insurance
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Per 200.101(b)(2): The red sections are incorporated by reference into all cost-reimbursement contracts issued by a
federal agency to a non-federal entity. If CAS requirements apply to a federal award, they will take precedence over the
Circular, except for Subpart F. Long list of exempted programs at 200.101(d).
The Circular doesn’t apply until implemented by each federal agency; agencies must implement the green sections by
December 26, 2014. However, there is no mention of when the Circular will automatically incorporate itself into costreimbursement contracts – perhaps upon each agency’s implementation?
OMB-UG – Selected Items
 Solicitations (200.203)
 Must provide for at least 60 days to prepare/submit proposals
 Conflict of Interest (200.112)
 All agencies must implement COI regulations
 Agency implementations must require disclosure of conflicts;
there is no other requirement
 Best case scenario – all agencies follow NSF/NIH lead
 Worst case scenario (likely) - each agency will implement its
own requirements
OMB-UG – Selected Items
 Cost Sharing (200.306)
 Voluntary Committed Cost Sharing is not longer “expected”
 Agencies may not use cost sharing as a review criterion unless
so stated in solicitation
 Only cost sharing included in the budget must be tracked and
reported
 No changes to Caltech procedures should be necessary
 Time and Effort Reporting (.430(i))
 New requirement to document distribution of salary
 No changes to Caltech procedures should be necessary
OMB-UG – Selected Items
 Subawards and Procurements (200.317-.326; .330.333)
 More rigorous minimum requirements for
Issuing Subawards
 Performing risk assessment
 Imposing additional requirements for high-risk subrecipients
 Prior agency approval for use of fixed-price; capped at $150K
 Monitoring performance of Subrecipients
 Issuing procurement contracts
 May require additional approval of federal agency if solesourced or brand-named and in excess of $150K


Will require additional Caltech procedures, but may also allow
for streamlining of some existing procedures
OMB-UG – Selected Items
 Participant Support Costs (200.75)
 Previously only recognized by NSF
 Will now be recognized by all federal agencies
Protected budget category – may not rebudget into or out of
without explicit agency approval
 Exempt from F&A assessment

Direct costs for items such as stipends or subsistence
allowances, travel allowances, and registration fees paid to or
on behalf of participants or trainees (but not employees) in
connection with conferences, or training projects
OMB-UG – Selected Items
 Administrative/Clerical Costs (.413c)
 The costs must be included in approved budget, or otherwise
have prior written approval of agency;
 The costs must not also be recovered as F&A;
 The costs must benefit the award to which they are charged;
 The costs must be integral to the project or activity.



Old standard – Major Project: significantly greater than the
routine level of such services provided by academic departments
What is OMB’s intent with the word “integral”?
Will likely require no change to Caltech procedures
OMB-UG – Selected Items
 Visa costs
 Only costs for short-term visas (those with end dates) may be
charged to federal awards; costs for immigration visas (those
with no end date) are not allowable costs
 Donated assets
 Can either be cost shared or depreciated, but not both
 Certification of fiscal reports and invoices
 Subjects certifiers to criminal, civil or administrative penalties
for fraud, false statements, false claims or otherwise. (U.S.
Code Title 18 and Title 31)
OMB-UG – Selected Items
 Internal Controls
 More stringent rules regarding internal controls
 Will provide less flexibility in Caltech’s handling of
unallowable costs and other financial non-compliance.
 Will provide less flexibility in how long Caltech can take to
correct non-compliance issues, including those identified via
audit
Interdivisional Authorization
Management System
(IAMS)
MARY GIBSON
ASSOCIATE DIRECTOR,
SPONSORED RESEARCH
IAMS
 IAMS is an acronym for Interdivisional
Authorization Management System.

This system initiates and reviews an electronic
application for collaborative research efforts between JPL
and Campus that will be funded by an Interdivisional
Authorization (IA).
Full Process Life Cycle
The IAMS online IA system moves your IA request
completely through the request, review, approval
and funding process, with complete visibility and
tracking. You know where your IA task is at all times!
 JPL Initiates Request
 Caltech Inputs Campus Details
 JPL Export Control Review
 Caltech Export Control Review
 Caltech Office of Sponsored Research Review
 JPL /Caltech Collaboration
 JPL PI Declares Complete
IAMS
 The IAMS process is initiated by the JPL PI. Once the
application is initiated the IAMS system will send an autogenerated email notification to the Caltech PI (CPI)
containing a link and instructions for how the CPI may
enter the workflow and complete the proposal.
 You can access IAMS while connected to the Campus or
JPL networks at https://iams.ext.jpl.net.
 If you are logging in from the Campus network, choose
Caltech Authentication and when prompted enter your
Campus access.caltech username and password. You must
login and then be authenticated in the system to gain full
access to the IAMS system.
IAMS
Go to the following website for more information on how to
access and use the IAMS system:
http://researchadministration.caltech.edu/osr/IAMS
The following materials can be found on the site:
 Interdivisional Authorization Management System (IAMS) Frequently
Asked Questions (FAQ)
 Interdivisional Authorization Management System (IAMS) Quick Start
User Guide
 IAMS Procedures Manual (February 6, 2014)
IAMS
For Campus users who need assistance with technical system
issues, contact the JPL IT Service Desk –
ext. 4-HELP (818) 354-4357; http://jplit.jpl.nasa.gov
For procedural questions, contact Mary Gibson
(626) 395-2494; Mary.Gibson@caltech.edu
For export compliance questions, contact Adilia Koch
(626) 395-4469; Adilia.Koch@caltech.edu