TITLE: Handbook for Atmospheric and Geospace Sciences (AGS) Postdoctoral
Research Fellows (nsf14097)
DATE: 7/28/2014
NSF 14-097
Handbook for Atmospheric and Geospace Sciences (AGS) Postdoctoral Research
Fellows
IMPORTANT
This document summarizes the terms and conditions for your National
Science Foundation Atmospheric and Geospace Sciences Postdoctoral
Research Fellowship (AGS-PRF) and provides general information for use
during your tenure. Read it carefully and refer to it whenever you
have a question about your Fellowship.
Address all correspondence to:
AGS-PRF
Division of Atmospheric and Geospace Sciences (AGS)
National Science Foundation
Room 775
4201 Wilson Boulevard
Arlington, VA 22230
You may also contact the program via [1]agsprf@nsf.gov and FAX (703)
292-9022.
As a recipient of NSF funds, you are responsible for fulfilling the
academic and fiscal obligations of your award.
Failure on the part of a Fellow to observe all the terms and
conditions of a Fellowship award constitutes sufficient grounds for
its revocation by the Foundation.
1. INTRODUCTION
Your National Science Foundation Atmospheric and Geospace Sciences
Postdoctoral Research Fellowship (AGS-PRF) has been awarded by the
National Science Foundation in recognition of your accomplishments to
date, and with the hope that your Fellowship experience will enhance
your development as a scientist and enable you to further contribute
to the scientific and educational efforts of the United States. Upon
acceptance of an award under this program, the Foundation will issue
an award notice based on the information submitted in your Fellowship
application.
2. FELLOWSHIP INSTITUTION
A Fellow must, by law, affiliate with an appropriate institution
during the entire Fellowship Tenure as described in the AGS-PRF
Program Announcement [2]NSF 14-509, and is responsible for making all
arrangements for such affiliation with the Fellowship Institution. A
clear relationship should be established with the chosen institution
before beginning tenure, thus assuring both the Fellow and the
Foundation that it will be possible to carry out the program for which
the Fellowship was awarded.
If it becomes necessary or desirable to seek affiliation with an
institution other than the one listed in the application, the Fellow
must request in writing permission from the Foundation, stating the
reasons for the proposed change and explaining the appropriateness of
the new institution for the proposed plan for research and education
([3]See Section 5 of this document for more details).
This must be done before final arrangements with the new institution
are completed. A fellow may not enter on tenure until the National
Science Foundation approves all changes, including the new sponsoring
scientist.
3. SPONSORING SCIENTIST
Each Postdoctoral Fellow will arrange for a staff member at the
Fellowship Institution(s) to serve as sponsoring scientist. Usually
this individual will be a professor or staff scientist with whom you
will be working closely in your Fellowship program. It is hoped that
this advisor will assist in the planning and initiation of your
program of research, and will advise and mentor you as described in
the institution's Letter of Commitment submitted as part of your
proposal. The sponsoring scientist will be the institutional
representative responsible for your activities during tenure.
Starting and Termination Certificates used in connection with the
Fellowship should be signed by the sponsoring scientist, or if absent,
by an appropriate official of the institution.
Any questions relating to your status at the Fellowship Institution(s)
which the sponsoring scientist cannot answer should be referred for
resolution to other appropriate officials within the Fellowship
Institution(s), such as a department chair, dean of the graduate
school, or a designated institutional representative. As with the host
organization, a change in sponsoring scientist requires an email
request to and approval from the cognizant NSF Program Officer.
4. ENTRANCE UPON TENURE
A Postdoctoral Fellow must begin Fellowship activities within 12
months of receiving the award. Any awardee unable to begin tenure
within this specified time period is expected to decline the
Fellowship. This declination will not prejudice any future
application.
Before a Fellow may enter upon tenure of a Postdoctoral Fellowship,
NSF must have on record the date (month and year) on which the Ph.D.
was awarded. If the Ph.D. is not awarded prior to the starting date of
tenure, the awardee must submit evidence that all the requirements for
the degree have been completed. A certification form for this purpose
will be provided by the cognizant NSF Program Officer.
A set of starting materials, including a Fellowship Starting
Certificate, NSF Form 349 (06/2009) and Fellowship Termination
Certificate, NSF Form 453 (06/2009) will be made available to you
after issuance of the award notice.
Fellowship tenure starts on the date a Fellow begins Fellowship
activities (must be the first day of the month; e.g., January 1) and
terminates on the date Fellowship activities are completed at the
Fellowship Institution, as indicated on the Starting and Termination
Certificates. Both the Starting and the Termination Certificates must
be signed by the sponsoring scientist or by an appropriate official of
the institution. This is a requirement which the Foundation must ask
Fellows to fulfill in order to comply with governmental accounting
regulations. If a Fellow interrupts tenure or affiliates with more
than one institution, Starting and Termination Certificates are
required for each portion of tenure. Stipend payments will not be
authorized until a Starting Certificate has been received by the
Foundation.
5. PROGRAM CHANGES
Any major change in the program of research or education from that
proposed at the time of application, and any change in tenure, or in
the institution(s) with which a Fellow is associated, must be
requested in writing and receive the prior written approval of the
National Science Foundation. Before completion of the first year of
Fellowship tenure, changes in the Fellowship Institution will be
approved only under unusual circumstances. Since the likely impact of
both the sponsoring scientist and the Fellowship Institution on the
professional development of the Fellow was an important factor in the
proposal evaluation process, the selection of these, especially for
the first year of Fellowship tenure, will normally be viewed as a
commitment on the part of the applicant to fulfill the plan for
research and education as outlined in the original application.
Although it is expected that each Fellow will carry out the program as
approved at the time of application, minor changes may be made at the
discretion of the Fellow and with concurrence of the scientific
advisor. However, any major changes must be outlined and justified in
full in writing so that a determination may be made by the Foundation
as to whether the new program falls within the intent of the award.
6. STIPENDS
A. Amount: The stipend will be paid at a monthly rate which totals
$58,000 for each calendar year of the 2-year fellowship.
B. Payments: Stipend payments will be authorized after submission of
a properly completed Fellowship Starting Certificate, NSF Form 349
(06/2009), and a completed FastStart Direct Deposit Form 1379
(06/2009). Instructions for submission of these forms are provided
below.
1. Fellowship Starting Certificate, NSF Form 349 (06/2009). The
fellow must complete and submit to the cognizant Program Officer
the Fellowship Starting Certificate, NSF Form 349. This form will
serve as the authority to begin your stipend payments and will
provide the Fellow's statement of tenure information. The form is
countersigned by your sponsoring scientist or other appropriate
official at your Institution.
2. FastStart Direct Deposit Form, NSF Form 1379 (06/2009). In order
to receive payments from the Fellowship, the Fellow must complete
the FastStart Direct Deposit Form, NSF Form 1379.
The form must be signed and submitted directly to the NSF Division
of Financial Management (DFM) by: fax (703) 292-9006 or mail to:
National Science Foundation
DFM Accounts Payable Section
4201 Wilson Blvd., Stafford II, Rm. 605
Arlington, Virginia 22230
The Fellow should insert the name of the cognizant Program Officer
at the top of the form. The Fellow's home address should be
provided, as well as the name of their bank located in the United
States. The Fellow's signature is required as it certifies the
accuracy of the information contained on the form and states that
the individual has read the Privacy Act Statement.
No funds will be released to the fellow without submission of this
information.
3. The first stipend will be paid as soon as possible after the
completed forms are received by the Foundation. Although every
effort will be made to process the first payment immediately upon
receipt of the Starting Certificate and the FastStart Direct
Deposit Form, it may not be received until five to seven weeks
after the start of the Fellowship tenure. It will therefore be
necessary for the Fellow to make full financial provision for this
interim period. Fellows are encouraged to make arrangements for
accounts prior to the start of their fellowship tenure, so that
initial processing may proceed without delay. In addition, Fellows
are advised to use the same account for the entire period of their
fellowship tenure, as any changes may involve significant delays
in the processing of stipends.
4. Any changes or interruptions in stipend payment or any other
miscellaneous actions should be requested and described on the
Fellowship Action Form, NSF Form 383 (06/2009), also made
available with the starting materials.
Delayed or Lost Stipend Payment
If an anticipated stipend or other Fellowship payment is not received
on time, the Fellow should notify the cognizant NSF Program Officer
immediately. If the payment in question has posted for payment but was
not received, inquiry should be made at the Fellow's bank to see if
the payment can be traced. If it is still missing after a week, the
Fellow should write the Foundation via electronic mail or at the
address given on page one of this booklet requesting that the payment
be stopped and that a replacement be processed. The Foundation will
forward the appropriate fiscal information to the Treasury Department.
In addition, an official of the bank should also write the Foundation
stating that the bank did not receive the stipend payment. Such
replacement payments usually require at least two months for
processing. If the stipend is paid in the meantime, the Foundation
should be notified immediately.
7. OTHER ALLOWANCES
The annual fellowship allowance of $28,000 is paid as a lump sum to
the Fellow at the beginning of the first and second years of the
Fellowship to support Fellowship activities such as:
* expenses directly related to the conduct of the proposed research
and broadening participation activities, including but not limited
to materials and supplies, use or purchase of equipment, computing
resources, publication charges, subscription fees, and travel.
* expenses in support of fringe benefits, including health insurance
provided through either a group plan offered by the host
organization or an individual plan secured by the Fellow, dental
and/or vision insurance, disability insurance, retirement,
dependent care, and moving expenses.
NSF considers it appropriate for the fellow's host organization, at
the organization's discretion, to make facilities and benefits
available. If costs are assessed to the fellow, funds from the
fellowship allowance may be utilized for this purpose. In such cases,
the fellow would pay the benefits to the host organization. NSF cannot
pay the organization directly, and is not responsible for any charges
incurred by or on behalf of the fellow.
If a fellowship is terminated early, the fellow must return unused
fellowship allowance funds to NSF. Generally, the fellow would return
a prorated portion of the allowance. As an example, if the fellowship
were terminated after 6 months, $14,000 of the $28,000 annual
allowance would be returned. However, exceptions for such things as
equipment purchases may be considered, and should be discussed with
the cognizant NSF program officer.
8. PROJECT REPORTS
A. Interim Reports
Fellows are required to submit an interim report electronically 3
months after start of the first year of the fellowship, via the
Project Report System in [5]Research.gov. The purpose of this
report is to determine if the project is developing as proposed.
If significant changes in the project occur, formal notifications
should be submitted via Fastlane. The NSF Fastlane system may be
accessed at [6]https://www.fastlane.nsf.gov/fastlane.jsp. See
Section 5, Program Changes, for additional information.
B. Annual Reports
1. Submission Requirement. Fellows are required to submit annual
project reports electronically via the Project Report System in
Research.gov.
2. Content of Annual Project Reports. The content requirements for
annual project reports are specified in the Research.gov system
and may be supplemented in the award document.
3. Timing of Annual Project Reports. Unless otherwise specified in
the award, annual project reports shall be submitted at least 90
days prior to the end of each 12-month award period. It should be
noted that the final annual report serves as the project's final
report and must be submitted in accordance with section C below.
Continued funding for the second and third years of the Fellowship
will be contingent on the approval of annual project reports, and
it is the Fellow's responsibility to ensure that annual reports
are submitted in a timely fashion so that stipend payments are not
interrupted.
Final Project Reports
1. Submission Requirement. Unless otherwise specified in the award,
the Fellow shall submit a Final Project Report within 90 days
following the expiration date of the award via the Project Report
System in [7]Research.gov.
2. In addition, at the end of the Fellowship tenure period, Fellows
must submit (by fax or email) to the cognizant NSF Program Officer
the Fellowship Termination Certificate and Grant Fiscal Report,
NSF Form 453 (06/2009).
3. The Foundation would be pleased to receive an account of the
Fellow's progress at any time, especially if there are
particularly significant developments during a given Fellowship
year.
Project Outcomes Report for the General Public
Within 90 days following expiration of the grant, a project outcomes
report for the general public must be submitted electronically via
Research.gov. On the Research.gov homepage, click on "How do I Login?"
and then see "How can I submit my Project Outcomes Report" on the
right side of the screen. The fellow's project outcomes report will be
posted in the Research Spending and Results section of the
[20]Research.gov website exactly as it is submitted and will be
accompanied by the following disclaimer:
This Project Outcomes Report for the General Public is displayed
verbatim as submitted by the Principal Investigator (PI) for this
award. Any opinions, findings, and conclusions or recommendations
expressed in this Report are those of the PI and do not necessarily
reflect the views of the National Science Foundation; NSF has not
approved or endorsed its content.
Fellows are to ensure that the report does not contain any
confidential, proprietary business information; unpublished
conclusions or data that might compromise the ability to publish
results in the research literature; or invention disclosures that
might adversely affect the patent rights or those of the organization,
in a subject invention under the award. Reports are not to contain any
private personally identifiable information such as home contact
information, individual demographic data or individually identifiable
information collected from human research participants.
9. CHANGE OF ADDRESS
A change in postal and/or electronic mail address should be reported
promptly to the Foundation via electronic mail or in writing at the
address on the first page of this booklet. Fellows are also expected
to maintain updated contact information in Fastlane at
[8]http://www.fastlane.nsf.gov, both as the Principal Investigator
and Authorized Organizational Representative (AOR) on the fellowship
award. Award amendments will be mailed electronically to the AOR email
address on file in Fastlane.
10. FOREIGN TRAVEL
All travel to be reimbursed from Federal funds must be by U.S. flag
carriers, except as noted in C. below. No exceptions can be made to
these regulations. Due to the complexity of the travel requirements,
Fellows are encouraged to consult with the Fellowship Institution's
Sponsored Projects Office or equivalent regarding any travel issues.
A. Policy
1. Expenses for transportation, lodging, subsistence and related
items incurred by project personnel and by outside consultants
employed on the project, (see AAG Chapter V.B.4) who are on travel
status on business related to an NSF-supported project are
allowable as prescribed in the governing OMB cost principles. The
requirements for prior approval detailed in the governing OMB cost
principles are waived.
2. Except as provided in the governing OMB cost principles, the
difference between economy airfare and a higher-class airfare is
unallowable. A train, bus or other surface carrier may be used in
lieu of, or as a supplement to, air travel at the lowest
first-class rate by the transportation facility used. If such
travel, however, could have been performed by air, the allowance
will not normally exceed that for jet economy airfare.
3. Support for the foreign travel of an investigator's dependents is
allowable only under the conditions identified in AAG Chapter
V.B.4.
Use of U.S.-Flag Air Carriers
1. In accordance with the Fly America Act (49 USC 40118), any air
transportation to, from, between, or within a country other than
the U.S. of persons or property, the expense of which will be
assisted by NSF funding, must be performed by or under a
code-sharing arrangement with a U.S.-flag air carrier if service
provided by such a carrier is available (see Comptroller General
Decision B-240956, dated September 25, 1991). Tickets (or
documentation for electronic tickets) must identify the U.S. flag
air carrier's designator code and flight number.
2. U.S.-flag air carrier: For the purposes of this requirement,
U.S.-flag air carrier service is considered available even though:
a. comparable or a different kind of service can be provided at less
cost by a foreign-flag air carrier;
b. foreign-flag air carrier service is preferred by, or is more
convenient for, NSF or traveler; or
c. service by a foreign-flag air carrier can be paid for in excess
foreign currency.
The following rules apply unless their application would result in
the first or last leg of travel from or to the U.S. being performed by
a foreign-flag air carrier:
a. a U.S.-flag air carrier shall be used to destination or, in the
absence of direct or through service, to the farthest interchange
point on a usually traveled route.
b. if a U.S.-flag air carrier does not serve an origin or interchange
point, a foreign-flag air carrier shall be used only to the
nearest interchange point on a usually traveled route to connect
with a U.S. flag air carrier.
Use of Foreign-Flag Air Carriers
There are certain circumstances under which use of a foreign-flag air
carrier is permissible. These circumstances are outlined below:
1. Airline "Open Skies" Agreements
A foreign flag air carrier may be used if the transportation is
provided under an air transportation agreement between the United
States and a foreign government, which the Department of
Transportation has determined meets the requirements of the Fly
America Act. For information on "open skies" agreements in which
the United States has entered, please refer to the GSA website at
[9]http://www.gsa.gov/portal/content/130191.
Note on U.S./European Union Open Skies Agreement: In 2007, the
U.S. entered into an "Open Skies" Agreement with the European
Union ("EU"). This agreement was modified in June 2010. The
current Agreement gives European Community airlines (airlines of
Member States) the right to transport passengers and cargo on
flights funded by the U.S. government, when the transportation is
between: (1) any two points outside the United States; or (2) a
point in the United States and any point outside the United States
that the EU airline is authorized to serve under the "Open Skies"
Agreement.
As of 2011, two significant changes have been made to the U.S. /EU
Open Skies Agreement. First, EU airlines are now granted the right
to transport civilian agency-funded passengers who are NOT
eligible to travel on GSA Airline City Pair Contract fares (e.g.,
grantees) between a point in the United States and a point outside
the United States even if there is a GSA Airline City Pair
Contract fare in effect between the origin and destination points.
An individual, however, who is traveling on a route for which
there is a City Pair Contract fare in effect, and who is eligible
for such a fare (e.g., Federal employee), will be required to fly
on a U.S. carrier, absent another applicable exception.
Second, under the amended Agreement, EU airlines are now
authorized to transport passengers between points in the United
States and points outside the EU if the EU airline is authorized
to serve the route under the Agreement. This includes flights that
originate, arrive, or stop in the EU. Prior to this change, EU
airlines were limited to flying passengers between points in the
U.S. and points in the EU.
2. Involuntary Rerouting
Travel on a foreign-flag carrier is permitted if a U.S.-flag air
carrier involuntarily reroutes the traveler via a foreign-flag air
carrier, notwithstanding the availability of alternative U.S.-flag
air carrier service.
3. Travel To and From the U.S on non-European Community Airlines
Use of a non-European Community foreign-flag air carrier is
permissible if the airport abroad is:
a. the traveler's origin or destination airport, and use of
U.S.-flag air carrier service would extend the time in a
travel status by at least 24 hours more than travel by a
foreign-flag air carrier; or
b. an interchange point, and use of U.S.-flag air carrier
service would increase the number of aircraft changes the
traveler must make outside of the U.S. by two or more, would
require the traveler to wait four hours or more to make
connections at that point, or would extend the time in a
travel status by at least six hours more than travel by a
foreign-flag air carrier.
4. Travel Between Points Outside the U.S
Use of a non-European foreign-flag air carrier is permissible if:
a. travel by a foreign-flag air carrier would eliminate two or
more aircraft changes en route;
b. travel by a U.S.-flag air carrier would require a connecting
time of four hours or more at an overseas interchange point;
or
c. the travel is not part of the trip to or from the U.S., and
use of a U.S.-flag air carrier would extend the time in a
travel status by at least six hours more than travel by a
foreign-flag air carrier.
Short Distance Travel
For all short distance travel, regardless of origin and destination,
use of a foreign-flag air carrier is permissible if the elapsed travel
time on a scheduled flight from origin to destination airport by a
foreign-flag air carrier is three hours or less and service by a
U.S.-flag air carrier would double the travel time.
Charter Flights
Because of the risk of catastrophic loss, NSF does not encourage the
use of charter flights as a means of mass transportation for groups of
scientists and engineers nor does it make arrangements for purchase of
charter flight airline tickets.
Projects in a Foreign Country
1. For awards that include activities requiring permits from
appropriate Federal, state, or local government authorities, the
grantee should obtain any required permits prior to undertaking
the proposed activities.
2. The grantee must comply with the laws and regulations of any
foreign country in which research is to be conducted. Areas of
potential concern include: (1) requirements for advance approval
to conduct research or surveys; (2) special arrangements for the
participation of foreign scientists and engineers; and (3) special
visas for persons engaged in research or studies.
NSF does not assume responsibility for grantee compliance with the
laws and regulations of the country in which the work is to be
conducted.
3. The grantee also should assure that activities carried on outside
the U.S. are coordinated as necessary with appropriate U.S. and
foreign government authorities and that necessary licenses,
permits or approvals are obtained prior to undertaking the
proposed activities.
Passports and Visas
Visa costs are generally allowable expenses that may be charged on an
NSF award; however NSF assumes no responsibility for securing
passports or visas required by any person because of participation in
an NSF-supported project. For restrictions concerning directly
charging visa costs to an NSF award, see GPG II.C.2.g(vi)(f).
It should be noted that some countries that normally do not require
visas for tourists do require special visas for scientists and
engineers engaged in research or studies.
11. ADDITIONAL FELLOWSHIP PROVISIONS
A. Length of Tenure
The AGS Postdoctoral Research Fellowships are awarded for periods
up to 2 years, subject to satisfactory progress on the research
and educational programs proposed. The tenure of a Fellowship may
be interrupted only with the approval of the Foundation.
Interruptions less than 3 months need prior approval of the
program officer. Under exceptional circumstances and with strong
justification, an interruption longer than 3 months may be
approved by the program officer with written justification. The
combined interruptions may total no more than 12 months. The total
elapsed time of the Fellowship must not exceed 36 months.
The Fellowship is subject to termination if the Fellow
discontinues his/her research and educational activities for any
reason prior to the end of Fellowship tenure. If a Fellow does not
conform to the administrative requirements of the Fellowship
Institution, NSF reserves the right to withhold all stipend
payments, pending a full explanation.
B. Paid Leave
Within the fellowship period, one month per year of fellowship
duration may be used for paid leave, including parental or family
leave. The paid leave cannot be used to increase the level of NSF
support beyond the duration of the fellowship. NSF enables
career-life balance through a variety of mechanisms. For more
information, please see
[10]http://www.nsf.gov/career-life-balance/.
Furthermore, the NSF allows such paid leave to be cited as a
justification to request a no-cost extension to extend the time
for completion of award activities beyond the initial duration of
twenty-four months. However, no additional funds will be allowed
to supplement the Fellowship award beyond the total salary support
of twenty-four months.
C. Extension of Tenure
Requests for additional funds will not be granted. If, however,
additional time beyond the established expiration date of the
award is required by the Fellow to assure adequate completion of
the original scope of work within the funds already made
available, a formal request must be submitted to NSF via Fastlane
at: [11]http://www.fastlane.nsf.gov. The request must be submitted
to NSF at least 45 days prior to the expiration date of the
grant. The request must explain the need for the extension and
include an estimate of the unobligated funds remaining and a plan
for their use. The plan must adhere to the previously approved
objectives of the project, and as noted above, the total duration
of the award may not exceed 36 months. Before requesting a No-Cost
Extension, note that Fellows may not receive additional
compensation while on active Fellowship tenure ([25]see Section
11. K below).
D. Rights to Inventions or Writings
NSF claims no rights to any inventions or writings that may result
from its fellowship awards. However, Fellows should be aware that
NSF, other Federal agencies, or private parties may acquire such
rights through other grant support. Fellows at foreign
institutions should be aware that specific provisions regarding
allocations of intellectual property rights apply to particular
countries, and Fellows should be cognizant of any such provisions
before commencing work.
E. Publications
Fellows are responsible for assuring that an acknowledgment of NSF
support:
1. is made in any publication (including World Wide Web pages)
of any material based on or developed from the
fellowship-supported research, in the following terms:
This material is based upon work supported by the National Science
Foundation under Award No. (NSF award number).
2. is orally acknowledged during all news media interviews,
including popular media such as radio, television and news
magazines.
Fellows are responsible for assuring that every publication of
material (including World Wide Web pages) based on or developed
under this award, except scientific articles or papers appearing
in scientific, technical or professional journals, contain the
following disclaimer:
Any opinions, findings, and conclusions or recommendations
expressed in this material are those of the author(s) and do not
necessarily reflect the views of the National Science Foundation.
Fellows are responsible for assuring that the cognizant NSF
Program Officer is provided access to, either electronically or in
paper form, a copy of every publication of material based on or
developed under this award, clearly labeled with the award number
and other appropriate identifying information, promptly after
publication.
F. Liability
NSF cannot assume any liability for accidents, illnesses or claims
arising out of any work supported by the Fellow's award or for
unauthorized use of patented or copyrighted materials. The Fellow
is advised to take such steps as may be deemed necessary to insure
or protect themselves and their property.
G. Sharing of Findings, Data and Other Research Products
Fellows are expected to agree to complete and open sharing of data
and material in an expeditious manner. Fellows are responsible for
compliance with the following NSF guidelines on sharing of
findings, data, and other research products:
NSF expects significant findings from research and education
activities it supports to be promptly submitted for publication,
with authorship that accurately reflects the contributions of
those involved. It expects Fellows to share with other
researchers, at no more than incremental cost and within a
reasonable time, the primary data, samples, physical collections
and other supporting materials created or gathered in the course
of the work. It also encourages Fellows to share software and
inventions or otherwise make them or their products widely
available and usable.
Adjustments and, where essential, exceptions may be allowed to
safeguard the rights of individuals and subjects, the validity of
results, or the integrity of collections or to accommodate
legitimate interests of NSF-supported Fellows.
H. Government Permits and Activities Abroad
1. For awards that include activities requiring permits from
appropriate Federal, state, or local government authorities,
the Fellow should obtain any required permits prior to
undertaking the proposed activities.
2. The Fellow must comply with the laws and regulations of any
foreign country in which research is to be conducted. Areas
of potential concern include: (1) requirements for advance
approval to conduct research or surveys; (2) special
arrangements for the participation of foreign scientists and
engineers; and (3) special visas for persons engaged in
research or studies. NSF does not assume responsibility for
the Fellow's compliance with the laws and regulations of the
country in which the work is to be conducted.
3. The Fellow also should assure that activities carried on
outside the U.S. are coordinated as necessary with
appropriate U.S and foreign government authorities and that
necessary licenses, permits or approvals are obtained prior
to undertaking the proposed activities.
I. Referrals to the NSF Office of the Inspector General
The NSF Inspector General is responsible for investigating all
allegations of fraud, waste, and abuse, as well as allegations of
research misconduct in connection with NSF programs and
operations. The fellow shall promptly refer to the NSF Inspector
General ([12]oig@nsf.gov; [13]http://www.nsf.gov/oig or 1-800-428-2189)
any allegations or credible evidence of research misconduct or
criminal or civil violation of laws pertaining to
misappropriation, fraud, conflict of interest, bribery, gratuity,
or similar misconduct involving NSF funds.
J. Income Taxes
No income tax will be withheld from any stipend and the stipend
may be considered taxable income. Provision therefore must be made
by the Fellow for payment of any tax, domestic or foreign, when
due.
Fellows may find it helpful to consult the US Internal Revenue
Service (IRS) Tax Topic 421: Scholarship and Fellowship Grants and
Publication 970: Tax Benefits for Education. These are available
at [14]http://www.irs.gov. Specific questions regarding the
taxation of Fellowship funding and personal tax liability should
be referred to the IRS. As such, NSF will not respond to questions
regarding tax issues.
Fellows are not in any sense employees of the National Science
Foundation. Therefore, no funds will be deducted from the
stipends; no Social Security taxes will be paid by the Foundation;
no W-2 or 1099 forms will be issued; and provision must be made by
the Fellow for the filing of any necessary estimate of taxes due
and for payment of all income taxes which may become due. A
statement of funds received (including special allowance) will be
issued by the Division of Financial Management of the Foundation
upon written request of the Fellow.
The Foundation is unable to supply information concerning the
income tax or other tax provisions of any foreign country.
Inquiries should be directed to the authorities in the appropriate
countries.
K. Supplementary Activities
During the tenure of the Fellowship the Fellows are expected to
devote full time to the program of scientific research and
educational activities outlined in their proposal, for which the
award was granted. A Fellow may not engage in activities for
compensation (except for brief military obligations) or receive
another Fellowship or similar award while pursuing Fellowship
activities without prior approval of the Foundation. Such approval
may be granted only under exceptional circumstances.
L. Federal and/or Armed Forces Employees
If, during any part of a Fellowship tenure a Fellow will be a
member of the Armed Forces or on leave from a position in the
Federal Service, a statement must be filed from a cognizant
official of the Government organization involved specifying (1)
the funds, if any, that will be made available to the Fellow
during tenure and the purpose for which they will be provided, and
(2) the funds, if any, that will be made available to the
Fellowship Institution on the Fellow's behalf. The Foundation and
the Fellow's organization must reach a mutually satisfactory
agreement regarding the Fellow's support during tenure before any
funds can be provided under the Fellowship.
M. Medical Insurance
No medical or hospitalization program for use in the event of
illness or accident involving a Fellow (or dependents) during
tenure is provided by the National Science Foundation. Medical or
hospital fees may be paid from the annual fellowship allowance.
In the absence of medical and hospital insurance by the
institution, it is recommended the Fellows continue during tenure
any medical insurance programs with which they are affiliated, or
if they are not members of any such program, make arrangements to
join a medical program which gives a reasonable amount of
protection.
N. Future Employment
The award and acceptance of a Postdoctoral Fellowship does not
obligate a Fellow, the National Science Foundation, or the United
States Government with regard to future employment or future
service of any kind.
O. Military Status
Brief interruption of a Fellowship for duly authorized military
service or training will be permitted with prior Foundation
approval. Requests for such interruptions of tenure should be
directed to the Foundation in writing as soon as plans are final.
Interruptions of less than 4 days need no approval.
In the case of a longer interruption resulting from active
military service or from certain activities in lieu of service
with the regular U.S. Armed Forces, provision can be made for
reservations of a Fellowship (or the balance of it), and
reinstatement of the unused portion at a later date. In such cases
Fellows should notify the Foundation immediately in writing of
their plans, and request further instructions.
P. Veterans' Benefits
As a result of the enactment of P.L. 91-219, effective March 26,
1970, educational benefits payments from the Veterans
Administration may now be received concurrently with and
supplementary to Fellowship payments from the National Science
Foundation.
Q. Special Considerations
A number of situations frequently encountered in the conduct of
research require special information and supporting documentation
before starting tenure. Among these are the following, some
mandated by Federal law:
1. research which has an actual and/or potential impact on the
environment;
2. research at a registered historic or cultural property;
3. research involving the use of in vitro generated recombinant
DNA molecules;
4. research involving the use of human subjects, hazardous
materials, vertebrate animals, or endangered species.
Fellows must provide information on the status of any special
permissions, clearances or provision related to the above items
before beginning tenure. Assessment of environmental impact will
be required when appropriate. Specific guidance on the need for
such additional documentation may be obtained from the Fellowship
Institution's Research Administration Office or the NSF Award &
Administration Guide.
12. TERMINATION OF FELLOWSHIP
A Fellowship Termination Certificate, NSF Form 453 (6/2009), will be
made available in the materials sent with the award notice. This
certificate must be signed by an appropriate official at the
Fellowship Institution, and should show the date the Fellow actually
completed Fellowship activities; the Fellowship will be considered to
have terminated as of that date. When a Fellow affiliates with more
than one institution, a Termination Certificate is required from each
institution. Submission of this certificate is necessary to comply
with governmental accounting procedures. In the event the certificate
is not submitted the Fellow may be requested to return to the
Foundation all Fellowship funds which were received during Fellowship
tenure.
13. ASSOCIATED FORMS AND DOCUMENTS
The following forms are referred to in this Handbook. These forms
should be completed and mailed at the appropriate time in the tenure
of the Fellowship; see Handbook for details. Mail to NSF at the
address given at the beginning of this document; return by e-mail is
preferred.
* Certification of PhD Receipt
* [16]Fellowship Starting Certificate, NSF Form 349 (06/2009)
* [17]FastStart Direct Deposit Form, NSF Form 1379 (06/2009)
* [18]Fellowship Action Form, NSF Form 383 (06/2009)
* [19]Fellowship Termination Certificate, NSF Form 453 (06/2009)
References
1. mailto:agsprf@nsf.gov
2. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf14509
3. http://www.nsf.gov/pubs/2014/nsf14097/nsf14097.htm#section5
4. http://www.research.gov/
5. https://www.fastlane.nsf.gov/fastlane.jsp
6. http://www.research.gov/
7. http://www.research.gov/
8. http://www.fastlane.nsf.gov/
9. http://www.gsa.gov/portal/content/103191
10. http://www.nsf.gov/career-life-balance/
11. http://www.fastlane.nsf.gov/
12. http://www.nsf.gov/pubs/2014/nsf14097/nsf14097.htm#section11K
13. mailto:oig@nsf.gov
14. http://www.nsf.gov/oig
15. http://www.irs.gov/
16. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=fellowstartcertfm349
17. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=faststartfm1379
18. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=fellowactionfm383
19. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=fellowtermfm453