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Chandra X-ray ObservatoryEinstein Postdoctoral Fellowship ProgramInformation and Cost Proposal InstructionsFor Fellows, Faculty/Science Contacts and Host Institutions 2017-2018This document and the budget forms are available on the Internet at: HYPERLINK "" Fellowship PoliciesEmployee vs. Stipendiary StatusRequirements for the Funding and Renewal of FellowshipsCommencement of New FellowshipsPublicationsVisa RequirementsTaxesStipends/Salary10.Presentation of Results11.Instructions for the Preparation and Submission of the Cost Proposal 12.Changes in Host Institutions13.Further Information 1. OverviewThis document outlines procedures to follow in submitting cost proposals, and identifies key policies and procedures that should be followed by new and renewing Einstein Postdoctoral Fellows in establishing or continuing their Fellowships and in making the associated arrangements with Host Institutions and Faculty/Science Contacts. Please read the entire document carefully. If you have any questions or concerns, contact the Grants/Contracting Officer, Carol Dzengelewski, at cdzengelewski@cfa.harvard.edu or 617-496-7705.Funding for this program is provided under contract NAS8-03060 by the National Aeronautics and Space Administration [hereafter NASA]. The Smithsonian Astrophysical Observatory [hereafter SAO] is under contract to NASA to operate the Chandra X-ray Observatory [hereafter CXO], and issue and administer the Postdoctoral Fellowship grants [via the SAO Subawards Section]. The CFDA Number is 43.001.2. General Fellowship PoliciesEinstein Fellows hold their appointments at a Host Institution in the United States for research that is related broadly to the scientific mission of the NASA Physics of the Cosmos Program. Contingent upon the availability of funds from NASA, each Fellowship will be funded by awarding a grant to a Host Institution. The Faculty/Science Contact will serve as the Principal Investigator.Fellowships are analogous to independent research fellowships or similar limited-term appointments at the postdoctoral level at universities. They are not permanent professional career positions and are not intended to compete with permanent professional career positions. Einstein Postdoctoral Fellowships are awarded to support an individual Fellow’s research program. 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. Fellows follow the policies and procedures of their Host Institutions unless specified otherwise in the award documents.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.3. Employee vs. Stipendiary StatusSome Host Institutions allow Fellows to choose between employee and stipendiary status. This decision must be made exclusively between the Fellow and their Host Institution after acceptance of an Einstein Fellowship offer, and well before a budget is submitted. Many factors (e.g., insurance, taxes, visa status, leave and travel policies, etc.) may come into play in this decision. Potential issues of relevance for fellows are discussed in the document titled: “Issues to Consider When Deciding Between an Employee or Stipendee Model for your NASA Postdoctoral Fellowship In Astronomy” at: . Requirements for the Funding and Renewal of Fellowships a. Grant Period: The initial appointment for new Einstein Fellows is two years, although the funding is for one year at a time. The Fellowship will be extended for a third year via a formal written amendment to the Host Institution if the Fellow’s scientific activity is judged to be satisfactory.Fellows receive up to a maximum of 36-months of research support over the duration of the Fellowship. Coverage of pre-award costs for relocation and other reasonable Fellowship-related expenses can be arranged.b. Cost Proposals: Cost proposals must be submitted by the Host Institution by June 30 [see Section 12. Instructions for the Preparation and Submission of the Cost Proposal]. Review and negotiation is performed jointly by the Einstein Fellowship Program Office and SAO’s Subawards Section. 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 preparation instructions and forms to be used in the cost proposal are specific to the program.c. The Host Institution is responsible for compliance with the terms and conditions of the award which includes but is not limited to the timely submittal of Program Performance Reports, Semi-Annual Financial Reports, invoicing and requests for prior approvals. d. Annual Program Performance Reports: Each programmatic year, Fellows must provide the Einstein Postdoctoral Fellowship Office and SAO Grant Awards Section with an Annual Program Performance Report [using the Fellows Management System]. Section I of the report is the required administrative information for the report. Section II of the report is up to three pages of text clearly detailing the progress the fellow made during the past year. This should include a brief description of the objectives of the research, the results obtained, and the plan for the following year [except in the case of the final report]. The report should state clearly the relevance of the work to NASA’s Physics of the Cosmos Program. Section III of the report is a listing of observing time awarded, invited talks, awards and honors received, and publications/publications-in-preparation written during the past year. The report due date will be shown in the Report Filing Guide section of your award documents. Fellows are required to follow the report submission procedures of their Host Institution and then upload the report to the Fellows Management System [FMS]. e. Mid-Term Review: Each Fellow will undergo a mid-term review performed by the members of the application review panel and staff at CXC. The review will be based primarily on the report of scientific activity and the publication list that the Fellows submit for their first annual report. Should the Fellow's activity be judged as inadequate, the Fellowship may not be renewed for the third year. In the event the fellowship is not renewed, official notification will be sent, to all concerned parties, by the end of January.5. Commencement of New FellowshipsIn general, new Fellows should begin their appointments 1 September. 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 1. Start dates earlier than September must begin no earlier than July 1.Fellows who did not hold doctoral degrees at the time of application must provide proof of such before beginning their appointments.6. PublicationsIt is expected that the results of each Fellow’s research will be published in the refereed literature. Einstein Fellows must identify themselves as such in a footnote attached to their names [e.g. “Einstein Fellow”] on the title page of each publication. Each publication also must carry an acknowledgment of the Einstein Fellowship grant similar to the following:“Support for this work was provided by NASA through Einstein Postdoctoral Fellowship grant number PF______ awarded by the Chandra X-ray Center, which is operated by the Smithsonian Astrophysical Observatory for NASA under contract NAS8-03060.” [Note: The Einstein Postdoctoral Fellowship Grant Number is found in block 1 of the award document.]Except for articles or papers published in peer-review scientific, technical or professional journals, the exposition of results from research supported by this Fellowship also should include the following disclaimer:“Any opinions, findings, and conclusions or recommendations expressed in this article [or report, material, etc.] are those of the author[s] and do not necessarily reflect the views of the Smithsonian Astrophysical Observatory or the National Aeronautics Space Administration.”7. Visa RequirementsAny non-US national who is offered an Einstein Postdoctoral Fellowship must have a valid Visa for the duration of the Einstein Fellowship Appointment. Non-US nationals will apply for either an Exchange Visitor Visa sponsored by their Host Institution or an Immigrant Visa. If he/she chooses to apply for an Immigrant Visa, the Einstein Fellowship Program cannot participate in the Visa request. Foreign nationals who intend to work at US government institutions should ensure that they are eligible to work at their chosen Host Institution.8. Taxes Host Institutions and Einstein Fellows are responsible for complying with all regulations related to local, state and federal taxes. Non-US nationals are advised that Federal Income Taxes may be withheld by their Host Institutions. It is the responsibility of each Fellow to become familiar with the policies of their Host Institution concerning taxes, and for the Host Institution to advise the Fellow of such policies.9. Stipends/SalaryThe 12-month annual stipend/salary for the 2017-2018 year is $68,000 for new and renewing Fellows. In addition, Einstein Fellows receive health insurance or benefits, relocation costs [new institutions, one time only] and moderate research support for the Fellow’s professional travel, computing services, publication costs, supplies, equipment, and other direct research costs as discussed in item 12 below.Fellows are not permitted to accept any additional stipend or salary from another Fellowship, grant, or appointment, including a teaching appointment, for the duration of the Fellowship. Fellows are expected to devote full time to their individual research projects. These policies do not prohibit Fellows from submitting a proposal for observing time or from receiving grants to support related research activities, but such grants cannot provide the Fellow with salary or stipend funding.10. Presentation of ResultsSAO will arrange an annual symposium for Einstein Fellows to present their results. Funds not to exceed $2,500 annually to support travel expenses related to these sessions should be requested in the annual budget proposal, Item 5. All other travel requests should be listed in Item 4, Other Direct Costs.11. Instructions for the Preparation and Submission of the Cost ProposalPlease read carefully and follow all instructions. In addition to the stipend/salary, the Einstein Fellowship grant provides for health insurance/benefits, relocation costs, and modest research expenses such as professional travel, computing services, publication costs, supplies, equipment, and other direct research costs. a. Cost Proposal Submission: Host Institutions must submit a detailed annual cost proposal by:June 30 for appointments that start 1 September or later.May 31 for appointments that start 1 AugustApril 30 for appointments that start 1 July The Cost Proposal Cover Sheet [using Form EPF-00-1] and the Budget Form [using Form EPF-00-2] must be used and must be signed by an authorizing official of the Host Institution. The Cost Proposal consists of:Cost Proposal Cover Sheet [Form EPF-00-1]Budget Form [Form EPF-00-2]Budget JustificationCertification for Purchase of General Purpose Equipment [if applicable]Host Institution’s Indirect Cost Rate AgreementAssurance of Compliance – China Funding RestrictionThere are six cost categories on the budget form which are discussed below. The cost categories are:Stipend/Salary [$68,000]a. Health Insurance (Stipendiary only) [not to exceed $21,000]b. Benefits (Employee only) [must provide rate]Relocation Costs [not to exceed $7,500]Other Direct Costs [not to exceed 16,000]Travel to the Einstein Symposium [not to exceed $2,500]Indirect Costs [IDC x (3+4 as approved+5)]All six cost categories must be addressed in the budget justification and include details and estimates of cost. All information must be contained in the budget justification. Links to websites or other documents are unacceptable. b. Budget Form EPF-00-2 and Budget Justification:1. Fellow Stipend/Salary: The Fellowship stipend/salary for this year is $68,000 for new and continuing Fellows. 2. Health Insurance/Benefits: Fellows are required to have health insurance coverage during the term of the appointment. Funding is provided to purchase health insurance and must be included in the budget proposal. Individual and Family Plan coverage is allowable and can include coverage for dental and vision care. The Host Institution is expected to provide a plan under which the Fellow can enlist; if that is not possible, the Fellow is expected to purchase health insurance privately, with the Host Institution providing guidance on Award compliance and available health insurance plans. a. Stipendiary Fellows: A maximum of $21,000 per year is allowed for the Fellow to purchase health insurance. Stipendiary Fellows do not contribute to the cost of health insurance unless the cost exceeds the maximum amount allowable. Funds are provided to purchase health insurance only. All other costs, i.e. co-payments, individual medical, dental, prescription costs, etc. not covered under the health insurance policy, are the responsibility of the Fellow. Note that healthcare flexible spending accounts (FSA) are not considered health insurance and are not an allowable cost to the award. The budget justification shall include the type of plan (individual, family, etc.), the monthly cost of the plan, and if the plan includes dental and/or vision. Do not provide any personal information in the cost proposal. Sufficient funds should be requested to cover the annual increase in health insurance costs. Example: Individual health insurance plan at $750 per month plus a dental plan at $50 per month for a total of $800 per month, $9,600 per year. b. Employee Fellows: Benefits are charged at the employee benefit rate in accordance with the standard practices for postdoctoral employees at the host institution. Fellows are responsible for paying the employee portion of health insurance. All other costs, i.e. co-payments, individual medical, dental, prescription costs, etc. not covered under the health insurance policy, are the responsibility of the Fellow. Note that healthcare flexible spending accounts (FSA) are not considered health insurance and are not an allowable cost to the award. Note: All exchange visitors and their dependent families are required to have health insurance while they are in the United States that meets U.S. Department of State requirements for exchange visitors, including coverage for repatriation and medical evacuation. See Title 22 CFR Part 62, Section 62.14. 3. Relocation Costs: If a new Fellow resides more than 50 miles from the Host Institution, a maximum of $7,500 will be allowed for relocating new Fellows to their Host Institutions. For renewing Fellows, this line should read $0. If a renewing Fellow has been given authorization to relocate during the course of the fellowship by the Einstein Fellowship Program Office and the Fellow did not relocate the first year, funds may be available for relocation costs. However, grant funds shall only be used for one relocation during the course of the fellowship. New Fellows relocating to the U.S. from Non-US institutions must comply with Article X, Travel, of the Terms and Conditions for Einstein Postdoctoral Fellowship Awards. Pre-award costs incurred in relocating to the Host Institution may be negotiated on a case-by-case basis.4. Other Direct Costs: A maximum of $16,000 can be requested annually for the Einstein Fellow’s professional travel, computing services, publication costs, supplies, equipment, and other direct research costs. The purchase of scientific and/or computing equipment is allowed up to a maximum of 50% of the funds awarded in the Other Direct Costs category of the approved budget. All equipment purchases must be approved in advance by the SAO Subawards Section. A written certification that the equipment will be used exclusively for research activities using form SAS-107 or equal must be included. Equipment means tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost of $5,000 unless a lower threshold has been established by the Host Institution. Equipment expenditures are not allowed during the final six months of the Fellowship except in special circumstances; in these rare cases, a written approval will be issued by the SAO Grant Officer prior to the expenditure. Computing Devices with a unit cost under $5,000: The purchase of computing devices is allowable as a direct cost providing the purchase is essential to the performance of the award and meets the standards set forth in the cost principles. The budget justification must include a complete description of the item(s) to be purchased, including a list of software and applications that will be required, a cost estimate of the item(s) and from where the cost estimate of the item(s) was obtained. The request must state how the computing device will be used in the conduct of the research. Laptops: Only one laptop is allowed to be purchased during the entire period of the fellowship. Fellows should consider their needs carefully prior to purchase. If including the purchase of a laptop in the budget, the budget justification must include a complete description of the laptop to be purchased, including a list of software and applications that will be required, a cost estimate of the item(s) and from where the cost estimate of the item(s) was puting devices, including laptops, purchased under the award are the property of the Host Institution. Purchase of computing devices is generally not allowed during the last six months of the award.All travel, both foreign and domestic, paid by the grant must be approved in advance by the Faculty/Science Contact. The budget justification must include the following information for each foreign and domestic travel request:the reason for travel, projected destination[s], dates of travel and number of days on travel,cost of airfare, cost of lodging, per diem costs, and total cost for travel.Foreign Travel: A maximum of three foreign trips per year is considered reasonable and can be budgeted for in the annual budget proposal. In cases where travel destinations are not yet known, the budget justification must include a statement addressing the issue and an estimated dollar amount and breakdown of costs reserved for each future travel expense. Prior written approval must be obtained from the SAO Subawards Section for all foreign travel whether or not it is included in the budget justification. Requests for approval of all foreign travel must be submitted on Form EPF-00-4 (Rev. March 2016) a minimum of 30 days prior to travel. Fly America ActYou are required by 49 USC 40118, commonly referred to as the "Fly America Act," to use U.S.-flag air carrier service for all air travel. The details associated with the Fly America requirements can be found in Sections 301-10.131 through 301-10.143 of the Federal Travel Regulations. Exceptions to this law are provided in Section 301-10.135. Additional exceptions regarding travel between the United States and another country are in Section 301-10.136, and travel solely outside the United States in Section 301-10.137. 5. Travel to the Einstein Fellows Symposium: SAO will arrange an annual symposium for Einstein Fellows to present their results. In 2017 the Symposium will be held at the CfA in Cambridge, Massachusetts. Funds, not to exceed $2,500 annually, to support travel to these sessions can be requested in the annual budget proposal. The registration fee for the 2017 Symposium is $200 and should be included in the budget for travel to the Symposium. The Symposium is a two day program. A travel day before and a travel day after the symposium is allowed for a maximum of 4 days and 3 nights. Meals during the Symposium will be provided by CXC. The budget justification must include the same travel information as required for all other travel shown in paragraph 4 above.6. Indirect Costs: The Host Institution’s overhead or Indirect Cost rate [IDC] shall not be applied to the Fellowship stipend/salary, to health insurance/benefits, or to any other item excluded by the Host Institution’s rate agreement. Other costs should be treated consistently with the negotiated rates and federal requirements.c. Restrictions: Funds awarded to pay for the stipend/salary, health insurance/benefits, relocation, and annual travel to the Einstein Fellowship Symposium to present results must be used for these specific purposes as approved in the award. All costs for health insurance/benefits shall be charged to the health insurance/benefits line item. For stipendiary fellows, funds shall not be deducted from the stipend to contribute to the cost of health insurance unless the cost of health insurance exceeds $21,000. Unexpended funds budgeted in these categories may not be reallocated to Other Direct Costs. Amounts proposed for the stipend/salary, health insurance/benefits, relocation, other direct costs, and annual travel to present results at the Einstein Fellowship Symposium are limited to the maximum amounts specified. Unexpended Other Direct Costs and the associated Indirect Costs may be carried over into subsequent years and may be used in addition to the new allocation of Other Direct Costs and Indirect Costs. Funds shall not be reallocated between the six cost categories.Any funds which are unexpended at the end of the three-year term must be returned to SAO.Budgetary expenditures after the end of the 36-month core period of the Fellowship appointment are unallowable. Exception to this policy may be found in Article V(E) of the Terms and Conditions titled "No-Cost Extensions".12. Changes in Host InstitutionsFellows will be in residence at their Host Institution throughout the three-year Fellowship term. Under special circumstances, however, a Fellow could relocate to an Institution other than the original Host Institution. A request and justification for such a transfer must be made in writing by the current Host Institution to the SAO Subawards Section. Subject to approval from the Chandra Director through the Einstein Fellowship Program Office, the grant to the current Host Institution would be closed on an equitable basis (termination for convenience), and the grant awarded to the new Host Institution.In general, such a transfer will not be approved if the new Host Institution already has an Einstein Fellow from the same year.13. Further InformationInquiries on scientific and programmatic matters should be directed to: Dr. Paul J. Green, Project Scientist, Einstein Fellowship ProgramEinstein Fellowship Program OfficeSmithsonian Astrophysical ObservatoryChandra X-ray Center60 Garden Street, Mail Stop 4Cambridge, MA 02138-1596Telephone: 617-495-7057E-mail: pgreen@cfa.harvard.eduQuestions concerning the fellowship award and the preparation of the budget and budget justification should be directed to the Grant Officer listed below:Ms. Carol Dzengelewski Tel: 617-496-7705Fax: 617-495-4224E-mail: cdzengelewski@cfa.harvard.eduMailing Address: Smithsonian Astrophysical ObservatorySPP Department, Subawards Section 60 Garden Street, Mail Stop 22Cambridge, MA 02138-1516Courier Delivery: Smithsonian Astrophysical ObservatorySPP Department, Subawards Section100 Acorn Park Drive, Mail Stop 22Cambridge, MA 02140-2302 List of current Fellows by class year and name:FellowHost InstitutionClass YearBarnackaHarvard University2015BirdJohns Hopkins University2015CanningStanford University2015DaiInstitute for Advanced Study2015Garrison-KimmelCalifornia Institute of Technology2015GaspariPrinceton University2015GruenSLAC National Accelerator Laboratory2015MoeUniversity of Arizona2015M?staUniversity of California, Berkeley2015PancoastSmithsonian Astrophysical Observatory2015ParfreyLawrence Berkeley National Laboratory2015SimmonsUniversity of California, San Diego2015SteinerMassachusetts Institute of Technology2015StoneColumbia University2015ArcaviUniversity of California, Santa Barbara2016CorralesUniversity of Wisconsin, Madison2016CoughlinUniversity of California, Berkeley2016D’OrazioHarvard University2016GerosaCalifornia Institute of Technology2016LeistedtNew York University2016MacLeodSmithsonian Astrophysical Observatory2016PashamMassachusetts Institute of Technology2016PatejUniversity of Arizona2016SherwinLawrence Berkeley National Laboratory2016SiegelColumbia University2016WilkinsStanford University2016BaldassareYale University2017Barnes2017KannanSmithsonian Astrophysical Observatory2017MoczPrinceton University2017PhilippovUniversity of California, Berkeley2017RosenHarvard University2017SlepianLawrence Berkeley National Laboratory2017SmithStanford University2017 ................
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