IAMS Procedures Manual - Office of Research Administration

Report
Caltech Campus Procedure Manual
For use with the JPL IAMS proposal review system
February 6, 2014
1
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
Email 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.
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Path for
90% of
Research
IAs
January 2014
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The path taken by 90% of the IAs reviewed
X
X
X
X
X
X
x
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Go to: https://iams.ext.jpl.net.
Select the Caltech Authentication
Log on using your access.caltech
ID & password
System not available using mobile devices
Next:
Email [email protected]
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 2014
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
Presuming the CPI is expecting the Task Request, the following can occur:
Retrieve IAMS proposal templates from OSR website http://researchadministration.caltech.edu/osr/IAMS
 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.
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
Select Caltech
Authentication.
Logs on using
access.caltech ID &
password.
If email notice is not
readily available
go to IAMS homepage at:
https://iams.ext.jpl.net
and navigate to
“My Assignments”.
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.pdf
Templates available at:
http://www.researchadministration.
caltech.edu/osr//IAMS
.pdf
.pdf
.pdf
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Templates available at:
http://www.researchadministration.caltech.edu/osr/IAMS
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Templates cont’d.
Campus budget
& budget
justification
sample pages
Must include categories
shown in templates.
Justification must
explain items specified
in template.
IA Simple Budget, Multi-Year Budget and Justification
Templates available at:
http://www.researchadministration.caltech.edu/osr/IAMS
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After export review - automated email notification is sent to JPI,
with a copy to CPI & grant manager, indicating export
determination –
Both JPL & Campus
Export reviews are
now complete.
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JPL Finance
• Reviews and
approves proposal
for JPL
• Prepares Research
IA to fund
• Loads .pdf of IA into
IAMS
OSR is notified the IA has
been funded.
•OSR accepts the IA
•IAMS sends an email notice to
the CPI
•OSR sends a PTA set-up
request to the grant manager.
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
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
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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.
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All documents stored in IAMS are available as .pdf files.
Complete list of IA actions is under “Review History”.
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January 2014
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
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
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Log-on site located at https://iams.ext.jpl.net



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
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
http://researchadministration.caltech.edu/osr/IAMS
Caltech Campus IAMS Procedure Manual


IAMS FAQs
IAMS Flow Chart

Templates:
 IAMS Quick Start User Guide
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Statement of Work (SOW) & campus export questions
Budget – Simple one year & multi-year complex templates
Budget Justification
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
Jenny Mercado, x2115

[email protected]

Lisa Miller, x3339

[email protected]

Lucy Viramontes, x2372

[email protected]

Lois Sierra, x3408

[email protected]

Gaylene Ursua, x3353

[email protected]

Mary Gibson, x2494

[email protected]
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