Federal Demonstration Partnership Expanded Clearinghouse

Caltech

General Information

Legal Entity Name
California Institute of Technology
Common Name
Caltech
Address
1200 E. California Blvd
Mail Code 273-6
Pasadena, CA 91125-0001
Congressional District
CA-027
EIN
95-1643307
DUNS
009584210

Entity Details


Entity Type
Private Institution of Higher Education
Entity represents that it is a small business concern as defined in 13 CFR 124.1002
Not Applicable
Fiscal Period End Date
September 30
Payment Address
1200 E. California Blvd.
Mail Code 234-6
Pasadena, CA 91125-0001
Link to institution's Office of Sponsored Programs (or equivalent) website

Rate Agreements


Most Recent Negotiated Facilities & Administrative (F&A) Rate Agreement
Most Recent Negotiated Fringe Benefit Rate Agreement or Organization's Fringe Benefit Guidance Information

Primary Audit Entity


Is this entity's Single Audit part of a large comprehensive audit (i.e., state or system audit) as found in the Federal Audit Clearinghouse (FAC)?
No

Comments for this Tab


Comments
None

Contacts

Primary Contact
David Mayo
Director, Sponsored Research
Authorized Profile Certifier
David Mayo
Director, Sponsored Research
Primary Authorized Signing Official
David Mayo
Director, Sponsored Research
SAM Point of Contact
SAM Government Business POC
David Mayo
Director, Sponsored Research
Financial Officer
Rochelle Athey
Senior Director, Post Award Administration
F & A Cost Rate Negotiation
Virginia Baker
Senior Director, Cost Studies and Property Services
Audit Contact
Estella Venegas
Assistant Director, Post Award Administration
FFATA Contact
Kevin Speaks
Contracting Manager

Registrations

Entity Identification Numbers and Codes


Primary Employer Identification Number (EIN)
95-1643307
Primary Data Universal Numbering System (DUNS)
009584210
IRS Tax Determination Letter
Available Upon Request
IRS W-9
Available Upon Request
Primary North American Industry Classification System (NAICS) Code
611310
System for Award Management (SAM) Status
Active
SAM Expiration Date
06-08-2018

Department of Defense Registration Numbers


Commercial and Government Entity (CAGE) Code
80707
Contractor Establishment Code (CEC)
Not Applicable
Directorate of Defense Trade Controls (DDTC) Registration Code
Not Applicable

Department of Education Registration Numbers


Office of Postsecondary Education (OPE) ID Number (formerly known as FICE code)
Not Applicable
Integrated Postsecondary Education Data System (IPEDS) Number
Not Applicable

Comments for this Tab


Comments
None

Certifications

Conflict of Interest


Conflict of Interest certification
Entity is registered in the FDP FCOI Clearinghouse certifying that it has an active and enforced Conflict of Interest Policy that is consistent with the provision of 42 CFR part 50, Subpart F “Responsibility of Applicants for Promoting Objectivity in Research and 42 CFR part 94.”

Affirmative Action


Affirmative Action
Written affirmative action program developed and on file

FFATA


Is entity exempt from reporting compensation?
Yes

Debarment and Suspension


Entity is presently debarred, suspended, proposed for debarment, or declared ineligible for award of federal contracts.
No
Within three (3) previous years, entity has had one or more contracts terminated for default by any federal agency.
No
Presently indicted for, or otherwise criminally or civilly charged by a government entity.
No
Within three (3) previous years, entity has been convicted of or had a civil judgment rendered against them for commission of fraud or criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) contract of subcontract; violation of Federal or State antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property.
No

Lobbying


Entity hereby certifies to the best of its knowledge and belief that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on its behalf in connection with the awarding of any contract.
Yes

Comments for this Tab


Comments
None

Audits

Single Audit


Is entity subject to the Single Audit requirements in 2 CFR part 200?
Yes
Most recent fiscal year with completed Single Audit
2016
Is entity qualified as low-risk entity by Auditor or as defined in 2 CFR 200?
Yes
Did the entity's most recent Single Audit contain any findings?
No
Did the entity's most recent Single Audit contain any Significant Deficiencies?
No
Did the entity's most recent Single Audit contain any Material Weaknesses?
No
Most recent complete Single Audit Report
Single Audit Report from previous fiscal year
Management letter (if issued)
Not Applicable

Department of Defense / Office of Naval Research System Review


Property Management System Audit approval date
06-05-2017
Contractor Purchasing System Review (CPSR) approval date
Not Applicable
CPSR Expiration Date
Not Applicable

Defense Contract Audit Agency (DCAA)


DCAA report on audit of Estimating System approval date
Not Applicable
DCAA report on audit of Billing System approval date
Not Applicable
DCAA report on audit of Accounting System Internal Control approval date
Not Applicable
ONR Administrative Contracting Officer (ACO)
Veronica Lacey; 619-221-5494; veronica lacey@navy.mil

Comments for this Tab


Comments
None

Assurances

Human Subjects


US Department of Health and Human Services / Office of Human Research Protection (HHS/OHRP)
Does entity have HHS/OHRP Human Subjects Federal Wide Assurance (FWA) approval?
Yes
Primary HHS / OHRP Human Subjects FWA Number
FWA00003897
Primary HHS / OHRP Human Subjects FWA Expiration Date
Not Applicable
Primary Department of Defense (DOD) Human Subjects FWA Addendum
Not Applicable
Association for the Accreditation of Human Research Protection Programs (AAHRPP)
Is entity AAHRPP accredited?
No

Animal Subjects


Public Health Service / Office of Laboratory Animal Welfare (PHS/OLAW)
Does entity have PHS/OLAW approval?
Yes
Primary PHS/OLAW Assurance Number
D16-00266 (A3426-01)
Primary PHS/OLAW Assurance Approval Date
Not Applicable
Primary PHS/OLAW Assurance Approval Expiration Date
Not Applicable
Association for Assessment and Accreditation of Laboratory Animal Care Interational (AAALAC)
Is entity AAALAC accredited?
Yes
Primary AAALAC Accreditation Assurance Number
001048
AAALAC Accreditation Assurance Issue Date
02-10-2003
US Department of Agriculture (USDA) Research Registration
Does the entity have a USDA Research Registration number?
No

Other


Nuclear Regulatory Commission (NRC)
Does the entity have an NRC radioactive materials license number?
Yes
Primary NRC Radioactive Materials License Number
CA 0314-19

Comments for this Tab


Comments
None

Authorization

Published On: 06-30-2017
Published By: Admin User