2014 - 2015
TERMS AND CONDITIONS
FOR THE
EINSTEIN POSTDOCTORAL FELLOWSHIP AWARDS
June 2014
SMITHSONIAN ASTROPHYSICAL OBSERVATORY
TERMS AND CONDITIONS
TABLE OF CONTENTS
FOR THE EINSTEIN POSTDOCTORAL FELLOWSHIP AWARDS
ARTICLE & CLAUSE PAGE
I. TERMS OF ACCEPTANCE 5
A. Authority
B. Purpose of the Awards
C. Terms of Acceptance
D. Order of Precedence
E. Catelog of Federal Domestic Assistance (CFDA Number
- STATUTORY AND ADMINISTRATIVE PROVISIONS 5
A. The Circulars and the FAR
B. Statutory Governance
- CERTIFICATION AND ASSURANCE OF COMPLIANCE WITH THE CODE OF 6
FEDERAL REGULATIONS [CFR]
IV. ELIGIBILITY 6
A. Eligibility for Fellowships
B. Eligibility for Awards
- TERM OF AWARD 7
A. Commencement of New Fellowships
B. Duration
C. Pre-Award Costs
D. Renewals
E. No-Cost Extensions
- LIABILITY 8
A. Responsibility
B. Indemnification
C. Insurance
D. General Release
Page 11 of 11
E.
- STANDARDS FOR AWARD ADMINISTRATION 8
A. Financial and Program Management
B. Property
C. Procurement
- ALLOWABLE COSTS 9
A. Stipend
B. Health Insurance
C. Relocation
D. Other Direct Costs
E. Travel to the Einstein Fellows Symposium
F. Indirect Costs
G. Other Costs
H. Determination of Allowability, Allocability and Reasonableness
I. Restrictions
IX. EQUIPMENT 11
A. Policy
B. Restrictions
C. Requirements
D. Title
X. TRAVEL 12
- Policy
- Approval Requirements
- United States-Flag Air Carrier Use
XI. FAMILY AND MEDICAL LEAVE ACT [FMLA]
XII. PAYMENT 12
- Processes
- Funds Report & Request, Form CF 98-2 or equivalent
- Standards
- Advances
- Reimbursement
- Working Capital
- Recourse for Non-Compliance
XIII. PRIOR APPROVAL REQUIREMENTS 14
A. Changes in Project Staff
B. Changes in Objectives or Scope
C. Changes in the Approved Budget
XIV. REPORTING REQUIREMENTS 15
A. Policy
B. Financial Reports
C. Performance Reports
D. Presentation of Results
E. Closeout Reports and Requirements
XV. SAFETY 16
XVI. PUBLICATONS AND PRESS RELEASES 16
A. Publications
B. Press Releases
XVII. PATENTS AND INVENTIONS 17
XVIII. RIGHTS IN DATA 17
A. Standards
B. Confidentiality Parameters
C. Government Privilege
D. Copyright
E. Protecting NASA and SAO Interests
XIX. PROGRAM INCOME 18
XX. CHANGES IN HOST INSTITUTIONS 18
A. Allowability
B. Procedures
XXI. RESIGNATION OF THE FELLOWSHIP APPOINTMENT
XXII. RECORDS AND AUDITS 19
A. Records
B. Audits
C. Accessibility
XXIII. SITE VISITS 19
XXIV. SUSPENSION, TERMINATION AND ENFORCEMENT 20
A. Suspension
B. Termination
C. High-Risk Award Recipients
D. Recoveries
E. Enforcement
XXV. DRUG-FREE WORKPLACE 20
XXVI RESEARCH MISCONDUCT 21
XXVII CLEAN AIR AND WATER 21
XXVIII. CONTACTS AND ADDRESSES 21
A. SAO Subawards Section
B. CXC Program Office
C. Useful Worldwide Web Addresses
I TERMS OF ACCEPTANCE
A. Authority
Chandra X-ray Center [hereafter CXC] Awards are issued by the Smithsonian Astrophysical Observatory [hereafter SAO] for and on behalf of the National Aeronautics and Space Administration [hereafter NASA] under contract NAS8-03060. SAO is under contract to NASA to prepare and issue Calls for Proposals for the Einstein Fellowship Program; prepare and conduct independent peer reviews of proposals; select proposals as recommended by the peer review; issue funding instruments on behalf of NASA in the form of grants; determine the period-of-performance for each Award; and administer each Award issued through its closeout. Funding may be awarded in time-phased increments and is dependent upon the availability of funds from NASA.
B. Purpose of the Awards
The NASA-sponsored Einstein Fellowship Program provides an opportunity for highly qualified, recent postdoctoral scientists to conduct independent research that is broadly related to the scientific mission of the NASA Physics of the Cosmos Program and is compatible with the interests of the Host Institutions to which they are awarded. Fellowship funds are solely for the support of the Fellow for the conduct of his/her research program and shall not cover any expenditure for any other purpose or for any other individual.
C. Terms of Acceptance
These Terms and Conditions are binding on the Award Recipient Institution [hereafter the Host Institution]. They are applicable to all Einstein Postdoctoral Fellowship Awards issued by SAO. Acceptance of this Award constitutes assurance that the Host Institution will comply with each of the Terms and Conditions of the Award and the applicable Federal statutes, regulations and guidelines.
D. Order of Precedence
Should there be any inconsistencies in this Award, the order of precedence is as follows:
· Award and Approved Budget,
· Special Conditions [if any are attached to the Award],
· Terms and Conditions, and
· Approved Application and Cost Proposal.
E. Catalog of Federal Domestic Assistance (CFDA) Number
The CFDA number to be used for Chandra awards is 43.001.
II STATUTORY AND ADMINISTRATIVE PROVISIONS
A. The Code of Federal Regulations [CFR], Office of Management & Budget [OMB] Circulars, and the Federal Acquisition Regulation [FAR]
By accepting this Award, the Host Institution certifies that it will comply with all applicable Federal standards and requirements as set forth in the CFR, OMB Circulars and the Federal Acquisition Regulation:
· Title 2 CFR Part 220 [formerly OMB Circular A21], Cost Principles for Education Institutions;
· Title 2 CFR Part 230 [formerly OMB Circular A122], Cost Principles for Non-Profit Organizations;
· FAR Subpart 31.2 [48 CFR 31.2], Awards with those Non-Profit Organizations specifically exempted in Title 2 CFR Part 230, Attachment C;
· Title 2 CFR Part 215 [formerly OMB Circular A-110], Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations; and
· OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations.
B. Statutory Governance
If any Federal or State statute specifically prescribes policies or specific requirements that differ from the Terms and Conditions provided herein, the provisions of the statute shall govern.
III CERTIFICATION AND ASSURANCE OF COMPLIANCE WITH THE CODE OF FEDERAL REGULATIONS [CFR]
By accepting the Award, the Recipient certifies that it will agree to perform all actions and support all intentions stated in Title 2 CFR Part 215 [OMB Circular A-110], including but not limited to:
1. Certification Regarding Nonprocurement Debarment, and Suspension [Nonprocurement], 2 CFR Part 180;
2. Certification Regarding New Restrictions on Lobbying [Applicable to Awards exceeding $100,000], 14 CFR Section 1271.110 ;
3. Assurance of Compliance with NASA Regulations concerning Nondiscrimination as required by 14 CFR Parts 1250 through 1253.
IV ELIGIBILITY
A. Eligibility for Fellowships
Einstein Fellows shall hold their appointments at a Host Institution in the United States, contingent upon the availability of funds from NASA [Note: U.S. is defined as the 50 states and the District of Columbia]. Fellows are not employees of the Host Institution. Fellowships are analogous to independent research fellowships or similar limited-term appointments at the postdoctoral level at universities. Unless otherwise specified in these Terms and Conditions, Fellows follow the policies of their Host Institutions. It is the fellow’s responsibility to work with the Host Institution to ensure compliance with all laws and regulations related to local, state and Federal taxes.
1. Degree Requirements
Fellows shall hold a Ph.D., ScD., or equivalent doctoral-level research degree received since January 1, 2011 in astronomy, physics or a related discipline. Fellows who have not received their degrees must present evidence of having completed the academic requirements before commencing the Fellowship.
2. Visa Requirements
Any non-U.S. national who is offered an Einstein Postdoctoral Fellowship must have a valid Visa for the duration of the Einstein Fellowship appointment. Fellows should apply for an Exchange Visitor Visa [Research Scholar]. Sponsorship will be by the Host Institution. If the Fellow chooses to apply for an Immigrant Visa, neither SAO nor the Einstein Fellowship Program Office will participate in the Visa request.
B. Eligibility for Awards
Host Institutions have the fiscal and programmatic responsibility for managing all aspects of the Award. A Faculty/Science Contact shall serve as the Principal Investigator, providing guidance to the Fellow as appropriate.
Host Institutions must be one of the following in order to be eligible to receive an award:
· Educational Institutions – Universities or two- and four-year colleges accredited to confer degrees beyond that of the K-12 grade levels.
· Nonprofit, Nonacademic Organizations – Private or Government supported research laboratories, universities, consortia, museums, observatories, professional societies, educational organizations, or similar institutions that directly support advanced research activities but whose principal charter is not for the training of students for academic degrees.
· NASA Centers – Any NASA Field Center and the Jet Propulsion Laboratory.
· Other Federal Agencies – Any non-NASA, U.S. Federal Executive agency or Federally Funded Research and Development Center [FFRDC] sponsored by a Federal agency.
V TERM OF AWARD
A. Commencement of New Fellowships
In general, new Fellows should begin their appointments on September 1. Other start dates may be negotiated in individual cases and must be approved by the Einstein Fellowship Program Office prior to submission of the Cost Proposal. Start dates later than September must begin no later than December 31. Start dates earlier than September must begin no earlier than July 1.
B. Duration
The initial appointment for new Einstein Fellows is two years, with funds allocated one year at a time. Second year renewal funding is dependent upon the availability of funds, compliance with the Terms and Conditions of the Award, and the issuance of an amendment to the Award.
Fellows can receive a maximum of 36 months of research support over the duration of the core Fellowship. Each Fellow shall undergo a mid-term review to assess renewing the Fellowship for a third year. Members of the application review panel and staff at CXC will review scientific activity and the publication list that the Fellows submit for their first annual report.
The Fellowship will be extended for a third year if the Fellow’s scientific activity is judged to be satisfactory. The SAO Subawards Section will issue a formal written amendment of the Award to the Host Institution in accordance with clause D below. Should the Fellow’s funding not be renewed for the third year, the SAO Subawards Section will provide official notification by January 31.
Fellows are expected to work full-time [12 months a year] on their research programs and to be in residence at the Host Institution during the entire period of the Fellowship appointment.
C. Pre-Award Costs
Pre-Award costs are allowable, including costs approved for relocation and start-up. Requests for pre-Award costs must be submitted in writing to and approved by the Subawards Section prior to making any expenditure. The pre-Award cost period is not counted as part of the 12-month core Fellowship program period.
PreAward expenditures are made at the Host Institution’s own risk since the Award is dependent upon the availability of funds from NASA. The incurrence of PreAward costs does not impose an obligation on either NASA or the Smithsonian if an Award is not made subsequently or if an Award is made for a lesser amount than the Host Institution anticipated.
D. Renewals
The review and negotiation of budgetary proposals shall precede the issuance of the Award or Amendment and shall be performed jointly by the Einstein Fellowship Program Office and the SAO Subawards Section. Cost proposals shall be submitted by the Host Institution by June 30 annually. Fellows whose appointments start “n” months earlier than September should have budgets submitted “n” months earlier than June 30. If the appointment is to start later than September, the budget must be submitted by the June 30 due date.
The Cost Proposal Cover Sheet [Form EPF-00-1] and the Cost Proposal Budget Form [EPF-00-2] must be used and the Cost Proposal Cover Sheet must be signed by an authorizing official of the Host Institution.
E. No-Cost Extensions
In general, no-cost extensions are unallowable. However, a no-cost extension may be approved under the following circumstances:
1. Page Charges for Publication of Scientific Papers
Costs for the page charges associated with the publication of scientific papers, which are to be published after the award expiration date, are an allowable expense provided:
1. Prior approval has been received for the Award extension from the Subawards Section; and
2. Paper was initially submitted to the journal prior to the expiration date of the award.
In the case of the above exception, an amendment that extends the award end date and allows for these page charges will be issued by the SAO Subawards Section. No other charges will be allowed against the award extension.
2. Approved Leave of Absence
In cases where the fellow was granted a leave of absence under Section XI Family and Medical Leave of Absence the fellowship award end date may be extended by the number of days that the fellow was on leave. An amendment that extends the award end date will be issued by the SAO Subawards Section.
Fellows shall request no-cost extensions in writing through their Host Institution to the SAO Subawards Section.
VI LIABILITY
A. Responsibility
SAO is authorized to and will make Award payments from funds advanced or authorized to it by NASA and not from its own assets. Administration of the Award program or of specific Awards may be transferred from SAO to NASA or its designee, and in the case of such transfer, SAO will have no further responsibility. Statutory governance is addressed in Article II [B] above.
B. Indemnification
The Host Institution agrees not to make any claim against the U.S. Government, NASA, or the Smithsonian Institution, its Regents, directors, officers, employees, volunteers, licensees, representatives and agents, with respect to activities under this Award for the injury or death of its employees or of contractor or subcontractor employees, or to the loss of its property or that of its contractors and subcontractors, whether such injury, death, damage or loss arises through negligence or otherwise, except in the case of willful misconduct.
C. Insurance
The Host Institution shall provide and maintain, during the term of any Award, all appropriate insurance or self-insurance [including but not limited to Workers Compensation, Automobile Liability, and Comprehensive General Liability] on its behalf and on behalf of its employees, agents and representatives.
D. General Release
Neither the Smithsonian nor NASA assumes any liability for the unauthorized use of patented or copyrighted materials. The Host Institution must take such steps as may be deemed necessary to insure or protect itself, its employees and its property.