Caltech Campus Procedure Manual For use with the JPL IAMS proposal review system 1February 6, 2014

JPL Interdivisional Authorization (IA) - the financial vehicle used to send funds from JPL to Caltech for work/research at campus  When funding research, referred to as a Research IA Effective 1 February 2014 all NEW JPL Research IAs must be processed via IAMS – a web based process that automates:  The initiates the Research Interdivisional IA process at JPL  Initiates the campus IA process  Reviews for export compliance PRIOR to OSR submission of proposal  Tracking of the progress of the IA proposals status  notices to IAMS users of next action required and status Note: Research IAs reviewed using the paper-export review process in effect the last 2 years will continue as paper transactions until further notice. 2February 6, 2014

Path for 90% of Research IAs 3January 2014

February 6, The path taken by 90% of the IAs reviewed XXXXXXxXXXXXXx

Go to: Select the Caltech Authentication Log on using your access.caltech ID & password System not available using mobile devices Next: to say you have registered with IAMS so “user role” can be assigned When user role is assigned: JPI will log on to IAMS to initiate the Task Request, select the name of the CPI/CPS, and enter information describing the research being requested from Campus. Recommend using Firefox/Safari/IE browser January 20145

6February 6, 1014

 Presuming the CPI is expecting the Task Request, the following can occur:  Retrieve IAMS proposal templates from OSR website -  CPI prepares campus SoW [template required]  Grant manager Prepares budget & justification Converts budget, justification & DAF to separate.pdf documents for upload into IAMS Forwards.pdf docs to CPI or CPS for upload with SoW Processes DAF + proposal through approvals  If CPI is not familiar with Task Request, he/she should communicate with JPI off-line. February 6, 20147

 Select Caltech Authentication. Logs on using access.caltech ID & password. If notice is not readily available go to IAMS homepage at: and navigate to “My Assignments”. February 6, 20148

9

10February 6, 2014 Templates available at: caltech.edu/osr//IAMS.pdf

11February 6, 2014

Templates available at: Templates available at: February 6,

IA Simple Budget, Multi-Year Budget and Justification Templates available at: IA Simple Budget, Multi-Year Budget and Justification Templates available at: Templates cont’d. Campus budget & budget justification sample pages Must include categories shown in templates. Justification must explain items specified in template. 13February 6, 2014

14

After export review - automated notification is sent to JPI, with a copy to CPI & grant manager, indicating export determination – Both JPL & Campus Export reviews are now complete. 15February 6, 2014

16February 6, 2014

JPL Finance Reviews and approves proposal for JPL Prepares Research IA to fund Loads.pdf of IA into IAMS 17February 6, 2014 OSR is notified the IA has been funded. OSR accepts the IA IAMS sends an notice to the CPI OSR sends a PTA set-up request to the grant manager.

 IAMS notification gives JPI & CPI opportunity to discuss how to proceed. Options include: Change Campus SoW to remove activities that are export controlled, or Agree that Campus SoW cannot be changed, or Decide not to proceed with any effort on campus When PIs decide to proceed: SoW may be modified by JPI or CPI, and then JPL export re-reviews & necessary action taken Campus Export Compliance re-reviews &, if required, Provost reviews February 6,

19February 6, 2014

20February 6, 2014

21February 6, 2014

Two new questions have been added to the IAMS form specific to any relationship with entities, materials or citizens of China. 5. In the performance of this IA task, will you need to purchase an item from a Chinese-owned entity? Yes No 6. In the performance of this IA task, will a China-owned entity or a citizen of China who is NOT a permanent legal resident of the United States participate? Yes No A Yes or No response is required to each of these questions. A No response will move you forward to the next numbered question. A Yes response will require you to complete additional questions that will only be visible if you answer Yes to the initial question. February 6,

23February 6, 2014

24February 6, 2014

25February 6, 2014

26February 6, 2014

27February 6, 2014

All documents stored in IAMS are available as.pdf files. Complete list of IA actions is under “Review History”. 28February 6, 2014

January

 Campus roles currently limited to CPI or CPS, export compliance and OSR ◦ CPI must enter his/her own SoW and export control questions using access.caltech ID and password ◦ Grants Manager can prepare.pdf of budget/justification/DAF for submission by CPI/CPS  Export Compliance review/approval occurs prior to OSR review & submission of proposal to JPL  Equipment & fabrications developed under this funding will be Government Property  Foreign Travel requires prior approval & possible travel briefing prior to journey ◦ If the IA is export controlled, any presentation materials are subject to document review at JPL or Caltech, prior to presentation. Check with Caltech Export Compliance prior to travel.  HELP at: ◦ Export Compliance Office – Chris Catherasoo, x3679 ◦ Sponsored Research – Mary Gibson, x2494 ◦ Access/security – Caltech IMSS Help Desk x3500 February 6,

 Log-on site located at  Log on using your access.caltech ID and password  JPL user information under Help Resources in the upper right hand corner of the screen  Campus information & templates at  Caltech Campus IAMS Procedure Manual  IAMS Quick Start User Guide  IAMS FAQs  IAMS Flow Chart  Templates:  Statement of Work (SOW) & campus export questions  Budget – Simple one year & multi-year complex templates  Budget Justification 31February 6, 2014 ?

 Jenny Mercado, x2115  Lisa Miller, x3339  Lucy Viramontes, x2372  Lois Sierra, x3408  Gaylene Ursua, x3353  Mary Gibson, x2494       February 6,