ࡱ> ac^_`f 8bjbj$$ CeF|F|w.7kG$G$$$$$$$$P/%'d$^)<-(---0 AEp^$Q/@0QQG$G$--(_Y_Y_YQG$R-$-_YQ_Y_YVi@$"-xԀ$R0qħ<5`3SD$ٛ XH`J_YjL\MOXHXHXH7V(XHXHXHQQQQXHXHXHXHXHXHXHXHXH #:  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 TERMS OF ACCEPTANCE 5 Authority Purpose of the Awards Terms of Acceptance Order of Precedence Catelog of Federal Domestic Assistance (CFDA Number STATUTORY AND ADMINISTRATIVE PROVISIONS 5 The Circulars and the FAR Statutory Governance CERTIFICATION AND ASSURANCE OF COMPLIANCE WITH THE CODE OF 6 FEDERAL REGULATIONS [CFR] ELIGIBILITY 6 Eligibility for Fellowships Eligibility for Awards TERM OF AWARD 7 Commencement of New Fellowships Duration Pre-Award Costs Renewals No-Cost Extensions LIABILITY 8 Responsibility Indemnification Insurance General Release STANDARDS FOR AWARD ADMINISTRATION 8 Financial and Program Management Property Procurement ALLOWABLE COSTS 9 Stipend Health Insurance Relocation Other Direct Costs Travel to the Einstein Fellows Symposium Indirect Costs Other Costs Determination of Allowability, Allocability and Reasonableness Restrictions IX. EQUIPMENT 11 Policy Restrictions Requirements Title X. TRAVEL 12 Policy Approval Requirements United States-Flag Air Carrier Use FAMILY AND MEDICAL LEAVE ACT [FMLA] PAYMENT 12 Processes Funds Report & Request, Form CF 98-2 or equivalent Standards Advances Reimbursement Working Capital Recourse for Non-Compliance PRIOR APPROVAL REQUIREMENTS 14 Changes in Project Staff Changes in Objectives or Scope Changes in the Approved Budget REPORTING REQUIREMENTS 15 Policy Financial Reports Performance Reports Presentation of Results Closeout Reports and Requirements XV. SAFETY 16 PUBLICATONS AND PRESS RELEASES 16 Publications Press Releases PATENTS AND INVENTIONS 17 RIGHTS IN DATA 17 Standards Confidentiality Parameters Government Privilege Copyright Protecting NASA and SAO Interests PROGRAM INCOME 18 CHANGES IN HOST INSTITUTIONS 18 Allowability Procedures RESIGNATION OF THE FELLOWSHIP APPOINTMENT RECORDS AND AUDITS 19 Records Audits Accessibility SITE VISITS 19 SUSPENSION, TERMINATION AND ENFORCEMENT 20 Suspension Termination High-Risk Award Recipients Recoveries Enforcement XXV. DRUG-FREE WORKPLACE 20 XXVI RESEARCH MISCONDUCT 21 XXVII CLEAN AIR AND WATER 21 XXVIII. CONTACTS AND ADDRESSES 21 SAO Subawards Section CXC Program Office 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 The Code of Federal Regulations [HYPERLINK "http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR"CFR], Office of Management & Budget [ HYPERLINK "http://www.whitehouse.gov/omb/circulars_default/" OMB] Circulars, and the Federal Acquisition Regulation [ HYPERLINK "http://www.acquisition.gov/far/loadmainre.html" 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:  HYPERLINK "http://www.gpo.gov/fdsys/"  HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part220.pdf"Title 2 CFR Part 220 [formerly OMB Circular A21], Cost Principles for Education Institutions; HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part230.pdf"Title 2 CFR Part 230 [formerly OMB Circular A122], Cost Principles for Non-Profit Organizations; FAR Subpart HYPERLINK "http://www.acquisition.gov/far/current/html/Subpart%2031_2.html" \l "wp1095552"31.2 [48 CFR 31.2], Awards with those Non-Profit Organizations specifically exempted HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2011-title2-vol1/pdf/CFR-2011-title2-vol1-part230.pdf"in Title 2 CFR Part 230, Attachment C; HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part215.pdf"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 HYPERLINK "http://www.whitehouse.gov/omb/circulars_default/"A-133, Audits of States, Local Governments and Non-Profit Organizations. 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: PRIVATE  1. Certification Regarding Nonprocurement Debarment, and Suspension [Nonprocurement], HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1.pdf"2 CFR Part 180; 2. Certification Regarding New Restrictions on Lobbying [Applicable to Awards exceeding $100,000], HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1271.pdf"14 CFR Section 1271.110 ; 3. Assurance of Compliance with NASA Regulations concerning Nondiscrimination as required by HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1250.pdf"14 CFR Parts 1250 through 1253. IV ELIGIBILITY 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 fellows 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 Fellows 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 Fellows 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 Institutions 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. 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 [HYPERLINK "http://www.cfa.harvard.edu/sp/forms/PF_COVER.pdf"Form EPF-00-1] and the Cost Proposal Budget Form [HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/PF_BUDGET_FORM.pdf"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. It is understood that the Host Institution is undertaking the work hereunder as an independent contractor, not as an employee of the Smithsonian. Host Institutions are responsible for all actions taken or not taken in the performance of the activities under this Award, and the Smithsonian Institution and NASA expressly disclaim any responsibility to any third party therefore. Further, to the extent allowable by law, the Host Institution agrees to hold both the Smithsonian and NASA harmless from, and to accept all responsibility for, any harm suffered by anyone arising out of actions of the Host Institution or its employees, agents, and representatives if visiting SAO. The Host Institutions acceptance of payment for the final invoice under this Award shall release the Smithsonian and NASA from all claims of the Host Institution and from all liability to the Host Institution concerning the project or work. VII STANDARDS FOR AWARD ADMINISTRATION Financial and Program Management The allowability of costs and cost allocation methods for work performed under this Award, up to the amounts specified in the Award, shall be determined in accordance with the applicable CFR administrative requirements and cost principles in effect at the time of Award. Host Institutions shall manage all expenditures and actions affecting the Award in a judicious and reasonable manner. Host Institutions shall treat costs consistently in both Federally financed and other activities, as well as between activities supported by different sources of Federal funds. B. Property The Host Institution shall maintain a property management system in accordance with the applicable CFR administrative requirements and cost principles in effect at the time of Award. C. Procurement The Host Institution shall maintain procurement standards for the acquisition of supplies and other expendable property, equipment and services in accordance with the applicable CFR administrative requirements and cost principles in effect at the time of Award. Host Institutions are encouraged to purchase only American-made equipment and products. Positive efforts shall be made whenever possible to utilize small businesses, minority-owned firms, Historically Black Colleges and Universities, minority educational institutions and womens business enterprises. VIII ALLOWABLE COSTS The following costs are allowable: A Stipend The maximum allowable 12-month annual stipend for the 2014-2015 year is $66,500. Fellows are expected to devote full time to their individual research projects. Fellows shall not accept any additional stipend or salary from another Fellowship, Grant, or appointment, including a teaching appointment, for the duration of the Fellowship. Fellows shall not be offered a housing subsidy or allowance beyond what is routinely offered to astronomy and physics fellows connected with that institution. Fellows may submit proposals for observing time and may receive grants to support related research activities, but such grants cannot provide the Fellow with salary or stipend funding. B. Health Insurance Funding is provided to purchase health insurance. The Cost Proposal shall include a request for funding to purchase health insurance. 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 maximum of $21,000 per year is allowed for the Fellow to purchase health insurance. 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. 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. See HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title22-vol1/pdf/CFR-2013-title22-vol1-part62-subpartA.pdf"Title 22 CFR Part 62, Section 62.14. C. Relocation If a new Fellow resides more than 50 miles from the Host Institution, a maximum of $7,500 will be paid 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, funds may be available for relocation costs. However, SAO will only pay 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 and may not be incurred more than 90 days prior to the start date of the Fellowship. D. Other Direct Costs A maximum charge of $16,000 for the Einstein Fellows professional travel, computing services, publication costs, equipment and other direct research costs is allowable annually. It is the Host Institutions responsibility to determine if costs are allowable, allocable, reasonable and necessary for the performance of the grant. Such costs may include the following: 1. Supplies and Materials Materials and supplies directly related to the funded project are allowable. 2. Computer Services The costs of computer time and software are allowable. The costs must be in accordance with those charged on Federally sponsored projects. 3. Publication Costs Reasonable costs are allowed for the publication of results produced under this Fellowship. Page charges must be obligated prior to the expiration of the period-of-performance and dispersed within 90 days of the end of the period-of-performance. If the paper is to be published after the award end-date then a no-cost extension must be obtained. See Article V [E] No-Cost Extensions. 4. Travel All travel costs charged to this Award must be for travel that is related directly to the approved project and for legitimate travel purposes such as presenting papers at scientific conferences, observing, or collaborations. Fellows are required to comply with and are expected to become familiar with applicable Federal laws, the Terms and Conditions of this Award, and their Host Institutions policies regarding travel. See Article X of these Terms and Conditions for travel policy and approval requirements. 5. Equipment The purchase of equipment, defined as costing $5,000 or more per unit with a useful life of more than one year, is allowable provided it is in the approved budget. Up to a maximum of 50% of the funds awarded in the Other Direct Costs category of the approved budget can be allocated to equipment purchases. Equipment expenditures are not allowed during the final six months of the three-year Fellowship except in special circumstances; in these rare cases, a written amendment to the Award must be issued prior to the expenditure. Equipment costs must be in accordance with Article IX of these Terms and Conditions. Unless requested and specifically authorized in the approved budget, prior approval from the Subawards Section is required for all equipment purchases. 6. Computing Devices The purchase of computing devices (including desktop and laptop computers) may be allowable as a direct cost providing the purchase 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. Fellows should consider their needs carefully as only one laptop will be allowed to be charged to the grant during the entire period of the fellowship. Computing devices purchased under the award are the property of the Host Institution. Purchase of computing devices are not allowed during the last six months of the award. Travel to the Einstein Fellows Symposium SAO will arrange an annual symposium for Einstein Fellows to present their results. An annual allocation to support travel to present at these sessions is not to exceed $2,500 for the 2014-2015 year. 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 at no cost to the fellow. Please note that these funds are set aside specifically for attendance at the Symposium and shall not be used for any other purpose. All other travel should be included in and paid for from the budget line item titled "Other Direct Costs". F. Indirect Costs Indirect costs are an allowable charge. The Host Institution's overhead or indirect cost rate may not be applied to the Fellowship stipend, the health insurance, or to any other item excluded by the Host Institution's rate agreement. Indirect cost charges shall be based on a Federally-negotiated Indirect Cost Rate Agreement. The Award will not be increased to cover any additional costs resulting from the negotiation of an Indirect Cost Rate that is greater than the rate proposed in the budget. For institutions without a Federally-negotiated rate, a charge of 10% of direct costs, less items which would distort this base such as major subcontracts or equipment purchases, normally will be allowed provided that: the charge does not exceed $5,000; documentation is maintained to support the amount charged; and costs are included in the approved Award budget. Alternately, Host Institutions can charge such expenses as direct costs to the project provided that documentation is maintained to verify all costs. The use of a non-negotiated rate may be allowed if it is reasonable and the Host Institution provides an explanation for the lack of a rate and includes the computational basis for the indirect expense pool with the corresponding allocation base for each rate. If such a rate is used, the Host Institution must provide an audited statement of actual administrative costs for the period covering Award expenditures at closeout. If a provisional rate is used, the Host Institution shall provide a copy of the documents submitted to their Cognizant Federal Agency in support of that rate. Other Costs Any item of cost not mentioned above that is allowable under HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part220.pdf"Title 2 CFR Part 220 [formerly OMB Circular A-21], Cost Principles for Education Institutions, or HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part230.pdf"Title 2 CFR Part 230 [formerly OMB Circular A-122], Cost Principles for Non-Profit Organizations, may be considered for inclusion in an Award to the extent allowable in that part of the CFR.. Any item of cost not mentioned above that is incurred by those Non-Profit Organizations listed in Attachment C to HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part230.pdf"Title 2 CFR Part 230  [formerly OMB Circular A-122] shall be determined in accordance with  HYPERLINK "http://www.acquisition.gov/far/current/html/Subpart%2031_2.html" \l "wp1095552" Subpart 31.2 of the FAR. H. Determination of Allowability, Allocability and Reasonableness All decisions on the allowability, allocability, and reasonableness of cost items will be based on the applicable principles of HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part220.pdf"Title 2 CFR Part 220 [formerly OMB Circular A-21], HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part215.pdf"Title 2 CFR Part 215 [formerly OMB Circular A-110], HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part230.pdf"Title 2 CFR Part 230 [formerly OMB Circular A-122], and/or the FAR Subpart HYPERLINK "http://www.acquisition.gov/far/current/html/Subpart%2031_2.html"31.2. If an expenditure item is included in the approved budget, provision for it in the Award constitutes authorization to charge this cost, if otherwise allowable. In no event will funds in excess of actual project costs, including allowed indirect and other direct costs, be provided. Further, neither the Smithsonian nor NASA is obligated to provide reimbursement for the expenditure of funds in excess of the total Award allocation. I. Restrictions Funds awarded to pay for the stipend, health insurance, relocation, and annual travel to the Einstein Fellowship Symposium to present results shall be used for these specific purposes as approved in the award. All costs for health insurance up to the maximum amount of $21,000 shall be charged to the health insurance line item. 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. Health Insurance costs exceeding $21,000 are the responsibility of the Fellow. Unexpended funds budgeted in these categories may not be reallocated to Other Direct Costs. Amounts proposed for the stipend, health insurance, 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 in the approved budget. Any funds which are unexpended at the end of the three-year term must be returned to SAO. Budgetary expenditures after the end date 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". IX EQUIPMENT A. Policy Host Institutions are permitted to purchase project-related special and general purpose equipment specifically required for use exclusively for research activities as a direct cost with prior approval from the SAO Subawards Section. [If equipment is listed in the approved award budget, no further approval is required.] Special purpose equipment means equipment which is used only for research, medical, scientific, or other technical activities. General purpose equipment means equipment, which is not limited to research, medical, scientific or other technical activities. Equipment is defined as costing $5,000 or more per unit with a useful life of more than one year. Unless requested and specifically authorized in the approved Award budget, prior approval from the Subawards Section is required for all equipment purchases. B. Requirements Requests to fund equipment not already approved in the Award are handled on a case-by-case basis and must be submitted to the SAO Subawards Section on HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/Cert_Purch_Equip.pdf"Form SAS 107 or equal. This form also provides the written certification that the equipment will be used exclusively for research activities. C. Restrictions Equipment shall be dedicated to the authorized activities of the project throughout the period-of-performance. The Host Institution shall use the equipment in the project for which it was acquired as long as needed, whether or not the project continues to be supported by Fellowship Award funds. In general, computing systems are considered to be general-purpose equipment. General-purpose equipment cannot be purchased as a direct cost and thus is not an allowable expenditure unless the Host Institution is able to justify the sole use and dedication to the project and has received written approval from the Subawards Section prior to purchase. Equipment expenditures are not allowed during the final six months of the three-year Fellowship except in special circumstances; in these rare cases, a written amendment to the award must be issued by the SAO Subawards Section prior to the expenditure. D. Title Title to and responsibility for all equipment purchased with Award funds is vested in the Host Institution. Should an Award be transferred from one institution to another and the purchase of equipment was authorized in the Award, one of the following provisions will apply: If the entire cost of the equipment was charged to the Award, the initial Host Institution may transfer title to it, provided the new Host Institution has provided written documentation to the Subawards Section indicating its willingness to accept title to such equipment. Title will be vested in the new Host Institution for the remainder of the Award period. If the initial Host Institution paid for a portion of the equipment, it is the responsibility of the new Host Institution to obtain the transfer of the equipment and to make any compensatory arrangements necessary. The Award funds may not be used by the new Host Institution to reimburse the initial Host Institution. X TRAVEL A. Policy All charges for travel must be in accordance with the relevant part of the CFR [formerly the OMB Circulars], the Terms and Conditions of the Award, and the written travel policies of the Host Institution [see the appropriate part of the CFR [formerly, the OMB Circulars] for the definition of United States]. B. Approval Requirements All travel, both domestic and foreign, paid by the grant must be approved in advance by the Faculty/Science Contact. Prior written approval must be obtained from the SAO Subawards Section for all foreign travel that is not specified in the approved budget. Requests for foreign travel approval shall be requested on Form EPF-00-4 [or equal]. If presenting, a brief abstract of the presentation shall be provided. Typically, three foreign trips per year are considered reasonable. C. United States-Flag Air Carrier Use Fly America Act You 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 HYPERLINK "http://www.gsa.gov/portal/category/21222"Federal Travel Regulations. Exceptions to this law are provided in HYPERLINK "http://www.gsa.gov/portal/ext/public/site/FTR/file/FTR301TOC.html/category/21868/hostUri/portal"Section 301-10.135. Additional exceptions regarding travel between the United States and another country are in HYPERLINK "http://www.gsa.gov/portal/ext/public/site/FTR/file/FTR301TOC.html/category/21868/hostUri/portal"Section 301-10.136, and travel solely outside the United States in HYPERLINK "http://www.gsa.gov/portal/ext/public/site/FTR/file/FTR301TOC.html/category/21868/hostUri/portal"Section 301-10.137. XI FAMILY AND MEDICAL LEAVE OF ABSENCE It is recognized that during the fellowship appointment it may be necessary for the fellow to be absent from the fellowship for a short period of time. In these cases Fellows should follow the Family Medical Leave Act [FMLA] policies and procedures of the Host Institution. Note that FMLA does not apply to fellows as fellows are not employees. This section only allows the implementation of the existing procedures of the Host Institution. The fellow may take unpaid leave for: The birth of a child; Adoption of a child; Care for a spouse, child, or parent who has a serious health condition; A serious health condition that makes the fellow unable to perform the essential functions of his/her job; Any qualifying exigency arising out of the fact that the fellows spouse, son, daughter, or parent is a covered military member on covered active duty. The fellow should notify the Host Institution Faculty/Science Contact, Einstein Fellowship Office, and the SAO Subawards Section as soon as possible of the need to be absent from the fellowship program and the anticipated start and return dates. Note that the leave is unpaid. If requested, the fellowship award end date may be extended by the number of days that the fellow was on leave. XII PAYMENT A. Processes SAO will pay funds upon receipt from the Host Institution of the request for drawdown of funds/invoice [hereinafter referred to as Invoice]. Host Institutions may use their computer generated invoicing system to generate the Invoice providing it contains all required information. Government Standard Forms SF 270, Request for Advance or Reimbursement, and SF 1034a, Public Voucher for Purchases and Services other than Personal, as well as the SAO HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/FUNDS.pdf"Funds Report and Request Form CF-98-2 may also be used. Host Institutions are encouraged to request funds at the time of the semi-annual submission, but may request funds as needed. Whenever possible, payment will be made by Electronic Funds Transfer [EFT]. The EFT vendor enrollment form is located on our web site at:  HYPERLINK "http://www.cfa.harvard.edu/fm/forms/sao_enrollment_eft.pdf" http://www.cfa.harvard.edu/fm/forms/sao_enrollment_eft.pdf. B. Invoices The SAO Grant Award Number shown in Block 2 of the Award Document shall be clearly referenced on the Invoice. The Award Number is used to determine the award from which the Host Institution wants to draw funds. As a minimum, the following information must be contained on the request to draw funds: invoice number (up to 27 characters), invoice date, remit to address, period of report or invoice period, dollar amount of drawdown, and point-of-contact name, phone number, and e-mail. Note: SAO tracks all payments by the SAO Grant Award Number and is unable to track payments using the Host Institutions internal tracking/accounting information, should this information be included on the drawdown request. It is critical that all information contained on the Invoice be correct in order to ensure that payments are accurate and are made from and applied to the correct Award. It is the Host Institutions responsibility to ensure the invoice is correct. Invoices that appear to have errors or are missing information will be returned to the Host Institution for correction and resubmission. Invoices may be submitted via e-mail or hard copy via U.S. mail. 1. E-Mail: The completed Invoice may be scanned into the pdf format and sent via e-mail to: HYPERLINK "mailto:chandrainvoices@cfa.harvard.edu"chandrainvoices@cfa.harvard.edu. The subject line of the e-mail must state Einstein Invoice, the Einstein Fellowship Award number [found in block 2 of the award documents], and invoice number as follows: Example: Einstein Invoice, PF9-00640, #34-1207 Note that failure to follow the instructions may result in the invoice being misdirected and payment will be delayed until the issue is resolved. When submitting the request via e-mail, do not send a hard copy as this may result in a duplicate payment. 2. U.S. Mail: The original invoice may be sent via U.S. mail to: Smithsonian Astrophysical Observatory ATTN: Subawards Section 60 Garden Street, Mail Stop 22 Cambridge, MA 02138-1516 Questions regarding payment should be directed to the Grant Officer shown in Block 14 of the Award. C. Standards Standards governing the use of banks and other institutions as depositories of funds advanced under Awards are: Advances of Federal funds shall be deposited and maintained in insured accounts whenever possible; and In accordance with HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title2-vol1/pdf/CFR-2013-title2-vol1-part215.pdf"Title 2 CFR Part 215.22 [formerly OMB Circular A110 Section 22], Host Institutions shall maintain advances in interestbearing accounts and any interest earned on Federal advances shall be remitted annually in accordance with Article XIII[E][2] of these Terms and Conditions; and Up to $250 per year in interest earned may be retained by the Host Institution for administrative expenses. D. Advances SAO may advance funds to Host Institutions for the anticipated expenditure of project costs provided Host Institutions maintain or demonstrate the willingness to maintain: Written procedures that minimize the time elapsing between the transfer of funds and disbursement by the Host Institution; and Financial management systems that meet the standards for fund control and accountability as established in the OMB Circulars. Advance payments for up to a 90-day period may be requested. E. Reimbursement Reimbursement is the preferred method of payment when the requirements for advances cannot be met. When the reimbursement method of payment is used, SAO will make payment within 30 days after receipt of the billing, unless the billing is improper. F. Working Capital If an Host Institution cannot meet the criteria for advance payments and SAO has determined that reimbursement is not feasible because the Host Institution lacks sufficient working capital, SAO may provide cash on a working capital advance basis. Under this procedure, SAO will advance cash to the Host Institution to cover its estimated disbursement needs for an initial period. Thereafter, SAO will reimburse the Host Institution for its actual cash disbursements. G. Recourse for Non-Compliance Unless otherwise required by law, statute or contractual agreement, SAO will not withhold payments for proper charges made by Host Institutions at any time during the project period unless: The Host Institution has failed to comply with the project objectives, or the Terms and Conditions of the Award, including the reporting requirements; or The Host Institution is delinquent in a debt to the United States, as defined in the OMB Circular  HYPERLINK "http://www.whitehouse.gov/omb/circulars_a129rev/" A-129. XIII PRIOR APPROVAL REQUIREMENTS The Host Institution shall submit all requests for prior approval to the SAO Subawards Section a minimum of 30 days prior to the date the approval is needed and shall include a complete justification that clearly demonstrates the relationship to the grant. The SAO Subawards Section will issue written direction, approval, and/or an amendment to the Award. Host Institutions should not assume requests have been approved unless documentation from the Subawards Section has been received. A. Changes in Project Staff Should a named Faculty/Science Contact plan to or become aware that he or she will sever his or her connection with the Host Institution or Fellow and/or otherwise relinquish active direction of the project, he or she shall notify their Host Institution which, in turn, shall notify the Subawards Section. The substitution of one Fellow for another is unallowable. B. Changes in Objectives or Scope The Host Institution must obtain prior written approval from SAO if there is to be a significant change in the objective or scope of the Award. C. Changes in the Approved Budget The following changes to the approved budget require the Host Institution to obtain prior approval from the SAO Subawards Section: Is for the purchase of equipment [submit HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/Cert_Purch_Equip.pdf"Form SAS-107 or equal]; Is for the purchase of scientific and/or computing equipment above the maximum allowable 50% of the funds awarded in the Other Direct Costs category of the approved budget*; Is for the purchase of computing devices regardless of cost; Will result in significant changes to the scope or the objectives of the project*; Will result in transferring substantive project activities to a third party [by subawarding, subcontracting or other means]*; or Will involve foreign travel [see Section X [B], Approval Requirements]. *A revised Budget [using HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/PF_BUDGET_FORM.pdf"Form CPF-00-2] and a detailed budget narrative shall be submitted for approval with the request. All requests for changes should be requested through the appropriate Host Institution channels to the SAO Subawards Section and following the Host Institution policies and procedures. Other budgetary changes do not require prior approval. XIV REPORTING REQUIREMENTS A. Policy By accepting funding, the Host Institution specifically agrees to submit all required reports on time. Failure to submit timely reports can result in the suspension of payments and other measures as appropriate [see Article XXII]. The Financial Reports, Invoices, and the Patents and Inventions Report shall be sent to the SAO Subawards Section., The Program Performance Report shall be sent to SAO using the Fellowship Management System [FMS]. A copy of the Program Performance Report must be provided to the Host Institution and the Fellow is required to follow any internal procedures that the Host Institution may have regarding the submission of reports. Report forms can be found at:  HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/PF_forms.html" http://www.cfa.harvard.edu/spp/sp/forms/PF_forms.html. Other formats are acceptable providing they contain all required information. B. Financial Reports Host Institutions may use their computer generated invoicing system or other forms used for Invoicing to generate the Financial Report providing it contains all required information. The Financial Report must be submitted by the Host Institution to the SAO Subawards Section on at least a semi-annual basis, regardless of expenditures during the period. The report is used by SAO's Subawards Section to monitor for progress and compliance. Failure to submit the report on a timely basis signals SAO that there may be some issues that need to be resolved before the grant can go forward. A negative report is required. C. Performance Reports Each programmatic year, Fellows must provide the Einstein Postdoctoral Fellowship Office and the SAO Subawards Section with an Annual Program Performance Report. 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 NASAs 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. As part of this Report, Postdoctoral Fellows shall submit disclosures of inventions, election of rights, utilization reports, and other reports and information [if any] in accordance with Article XVI of these Terms and Conditions. D. Presentation of Results Fellows shall attend an annual symposium to present their results. Funds not to exceed $2,500 annually will support travel expenses related to these sessions. E. Closeout Reports and Requirements The Subawards Section will review all reports required by this clause, and the Host Institution will be notified either of their acceptance or of the need for additional information. Final Program Performance Report Fellows shall submit the regular annual Program Performance Report specified in Clause [C] above, by November 1, as their final report. 2. Final Financial Report The Host Institution shall submit a Final Financial Report not later than the date stated in the Report Filing Guide, normally within 90 days following the expiration of the Award. The Final Financial Report must clearly be marked as Final. All obligations incurred under the Award shall have been liquidated by this date; neither the Smithsonian nor NASA has an obligation to reimburse costs after the expiration of the 90-day period. A refund check made out to the Smithsonian Astrophysical Observatory for any balance of advanced unexpended funds and/or interest earned in excess of $250 shall be sent to the Subawards Section with the Final Financial Report. The closeout of an Award does not affect SAOs right to disallow costs and recover funds on the basis of a later audit or other review, or the Host Institutions obligation to return any funds due as a result of later refunds, corrections or other transactions. 3. Final Patent and Invention Report If pertinent, the Host Institution shall submit a Final HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/1679_Inventions.pdf"NASA Form 1679, "Disclosure of Invention and New Technology (Including Software)" within 90 days of the end of the Award period. This report shall list all reportable items. 4. Final Equipment Report Since title to any and all equipment is vested with the Host Institution [see Article IX, Clause D], no Equipment Reports are required. XV SAFETY The Host Institution shall act responsibly in matters of safety and shall take all reasonable safety measures in performing under this grant. The Host Institution shall comply with all applicable federal, state, and local laws relating to safety. The Host Institution shall maintain a record of, and will notify the Cognizant Grant Officer immediately (within one workday) of any accident involving death, disabling injury or substantial loss of property in performing this grant. The Host Institution will immediately (within one workday) advise the Cognizant Grant Officer of hazards that come to its attention as a result of the work performed. XVI PUBLICATIONS AND PRESS RELEASES Publications All publications of material based on or developed under this Award must carry the following acknowledgment of the Einstein Fellowship: "Support for this work was provided by the National Aeronautics and Space Administration through Einstein Postdoctoral Fellowship Award Number PF______ issued by the Chandra X-ray Observatory Center, which is operated by the Smithsonian Astrophysical Observatory for and on behalf of the National Aeronautics Space Administration under contract NAS8-03060." [NOTE: The Einstein Postdoctoral Fellowship Grant Number is found in Block 2 of the award document.] Results of research published in refereed literature shall carry a footnote on the title page identifying the author as an Einstein Postdoctoral Fellow. Except for articles or papers published in peer-reviewed 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 material are those of the author[s] and do not necessarily reflect the views of the Smithsonian Astrophysical Observatory or the National Aeronautics and Space Administration." Press Releases One of the objectives of the Einstein Postdoctoral Fellowship Program and NASA is to inform the public of the wonderful science results that are the result of their investment. As a recipient of a Fellowship Award, you are expected to participate in this endeavor by informing the CXC Public Affairs Officer early in the process, (i) if you have a result that is of unusual scientific importance or may be particularly intriguing to the public and (ii) any time you or your institution are preparing a press release or other press event based on your Fellowship-supported research. The Public Affairs Officer is experienced in handling press releases, including those coordinated between several organizations, and can guide you in the appropriate steps to take. The CXC Public Affairs Officer, Megan Watzke, can be reached at: Ms. Megan Watzke, CXC Public Affairs Officer Smithsonian Astrophysical Observatory 60 Garden Street, Mail Stop 06 Cambridge, MA 02138-1516 Telephone: 617-496-7998  HYPERLINK "mailto:mwatzke@cfa.harvard.edu" mwatzke@cfa.harvard.edu XVII PATENTS AND INVENTIONS The determination of the rights of ownership and disposition of inventions resulting from the performance of the work under this Award shall be in accordance with  HYPERLINK "http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=762bca6b49651e9447d24ec7b70e6a96&rgn=div5&view=text&node=37:1.0.4.13.1&idno=37" 37 CFR part 401 Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and Cooperative Agreements"  HYPERLINK http://frwebgate2.access.gpo.gov/cgi-bin/waisgate.cgi?WAISdocID=9761711261+26+0+0&WAISaction=retrieve and NASAs implementing regulations. NASAs provision entitled Patent Rights [HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1260-subpartB.pdf"14 CFR, Section 1260.28]is hereby made applicable to this Award. In accordance with this clause, the Host Institution shall include an appropriate patent rights provision in all subgrants and subcontracts. All disclosures of subject inventions, election of rights, utilization reports, and other reports and information required by these clauses shall be submitted to the SAO Subawards Section using HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/1679_Inventions.pdf"NASA Form 1679 "Disclosure of Inventions and New Technology (Including Software)", as required. XVIII RIGHTS IN DATA The rights in data resulting from the performance of the work under this Award shall be in accordance with NASAs provisions entitled "Rights in Data" [HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1260-subpartB.pdf"14 CFR, Section 1260.30] and "Intangible Property" [HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1260-subpartB.pdf"14 CFR, Section 1260.136] in 14 CFR Part 1260, NASA Grant & Cooperative Agreements. A. Standards The Postdoctoral Fellows are expected to disseminate significant findings from research supported by the Award promptly by submitting such findings to appropriate journals for publication, with authorship that accurately reflects the contributions of those involved. It expects Fellows to share with other researchers the data and other supporting materials created or gathered in the course of the work. It also encourages Postdoctoral Fellows and Host Institutions to share software and inventions or otherwise to act to make the innovations they embody widely useful and usable. Adjustments and, where essential, exceptions may be allowed to safeguard the rights of individuals or the validity of results, or to accommodate the legitimate interests of Fellows. The Einstein Postdoctoral Fellowship Program Office shall be consulted in such circumstances. See Article XXIV for contact information. B. Confidentiality Parameters If information that the Host Institution considers to embody trade secrets or to comprise commercial or financial information that is privileged or confidential is disclosed orally or visually to SAO, such information must be reduced to tangible, recorded form, identified and marked with a suitable notice or legend and furnished to the SAO Subawards Section within 10 days after such oral or visual disclosure, or SAO will have no duty to limit or restrict disclosure or use of such information, and will not incur any liability for any such disclosure or use. C. Government Privilege The Host Institution hereby awards to the Federal Government a royalty-free, nonexclusive and irrevocable license to use, reproduce, distribute (including distribution by transmission) to the public, prepare derivative works from, and display publicly, data resulting from this Award in whole or in part and in any manner for Federal purposes and to have or permit others to do so for Federal purposes only. In order that the Federal Government may exercise its license rights in data, the Federal Government, upon request to the Host Institution, shall have the right to review and/or obtain delivery of data resulting from the performance of work under this Award, and to authorize others to receive data to use for Federal purposes. D. Copyright Except as otherwise provided in these Terms and Conditions, the Fellow or Host Institution may copyright any book, publication, or other copyrightable material developed as a result of this Award, although SAO and NASA reserve a royalty-free, nonexclusive and irrevocable right to reproduce, publish, prepare derivative works, or otherwise use and authorize others to use the work for their purposes. Except as otherwise specified in the Award, Host Institutions may own or permit others to own copyright in all subject writings. Subject writing means any material that is or may be copyrightable under Title 17 of the USC, and is produced in the performance of work under this Award. Subject writings include such items as reports, books, journal articles, software, databases, sound recordings, videotapes and videodisks. The Host Institution agrees that if it or anyone else does own copyright in a subject writing, the Federal Government will have a nonexclusive, nontransferable, irrevocable, royaltyfree license to exercise or have exercised for or on behalf of the United States throughout the world all the exclusive rights provided by copyright. Such license, however, will not include the right to sell copies or recordings of the copyrighted works to the public. E. Protecting SAO and NASA Interests The Host Institution agrees to acquire, through written agreement or an employment relationship, the ability to comply with these requirements and, in particular, to acquire the ability to convey rights in a subject writing to a foreign participant if directed by SAO. The Host Institution further agrees that any transfer of copyright or any other rights to a subject writing by the Host Institution or by anyone who the Host Institution has allowed to own such rights will be made subject to these conditions. XIX PROGRAM INCOME Unless otherwise specified in the Award, program income received or accruing to the Host Institution during the period of the Award is to be retained by the Host Institution, added to the funds committed to the project, and thus used to further project objectives. Beyond the period of the Award, the Host Institution has no obligation with respect to program income earned from license fees and royalties for copyrighted material, patents, patent applications, trademarks and inventions produced under this Award. XX CHANGES IN HOST INSTITUTIONS A. Allowability In general, Fellows will be in residence at their Host Institution throughout the three-year Fellowship term. Under special circumstances, however, a Fellow may relocate to an Institution other than the original Host Institution subject to approval from the CXC Director through the Einstein Fellowship Program Office. If appropriate, the Award to the original Host Institution would be closed on an equitable basis [Termination for Convenience]. The Award to the new Host Institution will be negotiated upon submission of the new cost proposal for the follow-on award. In general, such a transfer will not be approved if the new Host Institution already has an Einstein Fellow from the same year. B. Procedures Prior to beginning the procedures below, the Fellow must obtain written approval from the CXC Director through the Einstein Fellowship Program Office to relocate to an Institution other than the original Host Institution. This procedure may be done via e-mail. A copy must be provided to the SAO Subawards Section. 1. Current Host Institution A letter from the current Host Institution that is signed by the institutions authorized signatory to the SAO Subawards Section stating that: (a) the Fellow is leaving the current institution and has requested that the award be transferred to the new institution; (b) the institution agrees with the transfer and requests that SAO transfer the award; and (c) the new end date of the award. The current Host Institution must send the Subawards Section the Final Financial Report as well as the balance of funds remaining for stipend, health insurance, relocation, and all other costs by category shown on the Award Budget. This will ensure that the new budget is in compliance with Article VIII (I). If the purchase of equipment was authorized to the original Host Institution, one of the following Terms and Conditions shall apply, as appropriate: If Fellowship Award funds were used to pay for the entire cost of the equipment, the current Host Institution may transfer the equipment provided the new Host Institution has indicated its willingness to accept title to such equipment. Title will be vested in the new Host Institution for the remainder of the Award period. If the current Host Institution paid for a portion of the equipment, it is the responsibility of the Fellow to secure agreement for the transfer of the equipment and to make any compensatory arrangements necessary. Award funds may not be used to reimburse the current Host Institution for funds used to purchase the equipment. Upon receipt and approval of the above information, SAO will close out the current Award and take the appropriate action to transfer the balance of Award funds to the new Host Institution. 2. New Host Institution A letter from the new Host Institution that is signed by the institutions authorized signatory to the SAO Subawards Section stating that the organization is willing to assume responsibility for the fellowship award and project activities. The new Host Institution must submit a complete cost proposal to the Subawards Section for approval. The cost proposal consists of the Einstein Postdoctoral Fellowship Program Cost Proposal Cover Sheet, Budget Form [using HYPERLINK "http://www.cfa.harvard.edu/spp/sp/forms/PF_BUDGET_FORM.pdf"Form EPF-00-2 or equivalent], Budget Narrative, Certification for Purchase of General Purpose Equipment Valued at $5,000 or More [using Form SAS-107 or equivalent] if applicable, and a copy of the institutions negotiated Indirect Cost Rate Agreement. Instructions for the transfer of equipment purchased under this grant are in paragraph B.1. above. Once the cost proposal has been reviewed and approved, the award will be issued to the new Host Institution. Funds remaining on the award to the Current Institution, if any, will be transferred to the award issued to the new Host Institution via amendment once the award to the Current Institution is closed. Funds will remain in their appropriate categories, i.e. stipend, health insurance, other direct costs, etc. XXI RESIGNATION OF THE FELLOWSHIP APPOINTMENT Fellowship awards are issued for a maximum of three years. If a fellow decides to leave the program prior to the completion of the appointment, the fellow must notify the Faculty Science Contact, the Einstein Fellowship Office and the SAO Subawards Awards Section a minimum of 30 days prior to the early termination effective date. The notification shall be in writing and include the effective date and the reason for early termination. The SAO Subawards Section will issue an amendment to change the end date of the fellowship award. The final program performance report shall be submitted to the Einstein Postdoctoral Fellowship Office and the SAO Subawards Section prior to the departure of the fellow from the Host Institution. The final financial report will be due within 90 days from the new end date of the award. If a fellow chooses to leave the program prior to completing 12 months of the fellowship for reasons within the fellows control, it should be noted that, in accordance with the applicable cost principles, the host institution will be required to reimburse SAO for any relocation costs that were charged to the award. XXII RECORDS AND AUDITS A. Records Financial records, supporting documents, statistical records, and other records pertinent to this Award shall be retained by the Host Institution for a period of three years from the date of submission of the Final Financial Report. Exceptions to the three-year rule include the following: If the purchase of equipment is approved and title to the equipment is vested in the Host Institution, records for such items shall be retained for three years after its final disposition. Records that relate to audits, appeals, litigation or the settlement of claims arising out of the performance of the project shall be retained until such audits, appeals, litigation or claims have been settled. Records relating to projects realizing project income shall be retained for a period of three years from the submission of the Final Program Report. Unless court action or audit proceedings have been initiated, the Host Institution may substitute copies of original records. In order to avoid duplicate record keeping, SAO may make special arrangements with the Host Institution to retain any records that are needed for joint use. SAO may request transfer to its custody of records not needed by the Award Host Institution when it determines that the records possess longterm retention value. When the records are transferred to or maintained by SAO, the threeyear retention requirement is not applicable to the Host Institution. In the rare event that this provision is exercised, SAO will negotiate a mutually agreeable arrangement with the Host Institution regarding reimbursement of costs. B. Audits Host Institutions that are Institutions of Higher Education and Non-Profit Entities shall comply with the requirements of OMB Circular HYPERLINK "http://www.whitehouse.gov/omb/circulars_default/"A133, including the conduct of audits. Audits shall be made by an independent auditor in accordance with generally accepted government auditing standards covering financial audits. As required, Host Institutions shall provide copies of these reports to the SAO Subawards Section. C. Accessibility SAO and any of its duly authorized representatives, including NASA and the Comptroller General of the United States, shall have timely and unrestricted access, during normal working hours, to any of the Host Institutions books, documents, papers or other records as pertinent for the purpose of making audits, examinations, excerpts, transcripts, and copies of such documents. This right also includes timely and reasonable access to a Host Institutions personnel for the purpose of interview and discussion related to such documents. The rights of access in this paragraph are not limited to the required retention period but shall last as long as records are retained. XXIII SITE VISITS As required, SAO and its authorized representatives have the right at all reasonable times to make site visits to review project accomplishments, Host Institutions management control systems, administration and management of the Award, and any required technical assistance needs. The Host Institution shall provide all reasonable facilities and assistance for the safety and convenience of SAOs representatives. XXIV SUSPENSION, TERMINATION AND ENFORCEMENT A. Suspension The suspension of an Award is an action that temporarily suspends sponsorship pending corrective action[s] by the Host Institution or pending a decision to terminate the Award. SAO may, on reasonable notice to the Host Institution, suspend the Award in whole or in part and withhold further payments. It may prohibit the Host Institution from incurring additional fund obligations pending corrective action[s] by the Host Institution or a final decision to terminate the Award. Necessary and proper costs during the period of suspension will be allowed provided the costs are reasonable and are in accordance with the Terms and Conditions of the Award documents. The Host Institution shall obtain written authorization from the Subawards Section for these expenditures. B. Termination The Award can be terminated in whole or in part at the discretion of SAO if a Host Institution materially fails to comply with the Terms and Conditions of this Award or if SAO determines that the continuation of the project would not produce beneficial results commensurate with the further expenditure of funds. The termination conditions, including the effective date, shall be by mutual agreement to the extent possible. The Host Institution shall not incur new obligations for the terminated portion after the effective date and shall cancel as many outstanding obligations as possible. Full credit for non-cancelable obligations properly incurred prior to the termination will be allowed. The Host Institution may terminate this Award by sending written notification to the Subawards Section setting forth the reasons for such termination. Included in the notification will be the effective date and, in the case of partial termination, the portion of the Award to be terminated. Should SAO determine that the reduced or modified portion of the Award would not accomplish the purposes for which the Award was made, the Award may be terminated in its entirety. C. High-Risk Award Recipients SAO may impose additional requirements for high-risk Host Institutions that have a history of poor performance, are not financially stable, have a financial management system that does not meet the standards prescribed above, have not conformed to the Terms and Conditions of a previous Award, or are otherwise not responsible. Host Institutions will be notified in writing as to: the nature of the additional requirement[s]; the reason for the additional requirement[s]; the nature of the corrective action[s] needed; the time allowed for completing the corrective action[s]; and the method[s] for requesting reconsideration of the additional requirement[s] imposed. The additional requirements will be removed once all corrective actions have been completed. D. Recoveries SAO reserves the right to recover unexpended award funds or funds spent out of compliance with the Terms and Conditions of this Award. The retention of payments by the Host Institution or the recovery by SAO under a terminated Award shall be determined in accordance with the legal rights and liabilities of the parties. E. Enforcement Enforcement remedies for non-compliance set forth in HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1260-subpartB.pdf"14 CFR, Section 1260.162, "Enforcement", are included by reference in this document. In taking an enforcement action, SAO shall provide the Host Institution an opportunity for a hearing, appeal, or other administrative proceeding to which the Host Institution is entitled under any statue or regulation applicable to the action involved. XXV DRUG-FREE WORKPLACE The Host Institution shall comply with HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1260-subpartB.pdf"14 CFR, Section 1260.38, Drug-Free Workplace. A drug-free workplace means the site(s) for the performance of work done by the Host Institution in connection with a specific grant at which employees of the Host Institution are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance. XXVI INVESTIGATION OF RESEARCH MISCONDUCT Recipients of this Award are subject to the requirements of  HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1275.pdf" 14 CFR Part 1275, Research Misconduct and all associated policies and procedures of the Host Institution. XXVII CLEAN AIR AND WATER Reference HYPERLINK "http://www.gpo.gov/fdsys/pkg/CFR-2013-title14-vol5/pdf/CFR-2013-title14-vol5-part1260-subpartB.pdf"14 CFR Part 1260.34. Applicable only if the award exceeds $100,000, or a facility to be used has been the subject of a conviction under the Clean Air Act (42 U.S.C. 1857c8(c)(1) or the Federal Water Pollution Control Act (33 U.S.C. 1319(c)), and is listed by EPA, or if the award is not otherwise exempt. The Recipient agrees to the following: (a) Comply with applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended (42 U.S.C. 7401 et seq. ) and of the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq. ). (b) Ensure that no portion of the work under this award will be performed in a facility listed on the Environmental Protection Agency (EPA) List of Violating Facilities on the date that this award was effective unless and until the EPA eliminates the name of such facility or facilities from such listings. (c) Use its best efforts to comply with clean air standards and clean water standards at the facility in which the award is being performed. (d) Insert the substance of the provisions of this clause into any nonexempt subaward or contract under the award. (e) Report violations to the SAO Subawards Section. XXVIII CONTACTS AND ADDRESSES SAO Subawards Section For questions regarding the grant, contact: Subawards Section Smithsonian Astrophysical Observatory 60 Garden Street, Mail Stop 22 Cambridge, MA 02138-1516 Ms. Carol Dzengelewski Tel: 617-496-7705 E-mail:  HYPERLINK "mailto:cdzengelewski@cfa.harvard.edu" cdzengelewski@cfa.harvard.edu B. Einstein Fellowship Program Office For scientific matters, contact: Dr. Andrea Prestwich, Einstein Postdoctoral Fellowship Program Smithsonian Astrophysical Observatory 60 Garden Street, Mail Stop 4 Cambridge, MA 02138-1516 Telephone: 617-496-7576 E-mail:  HYPERLINK "mailto:aprestwich@cfa.harvard.edu" aprestwich@cfa.harvard.edu List of current Fellows by class year and name: FellowHost InstitutionClass YearBlechaUniversity of Maryland, College Park2012MadiganUniversity of California, Berkeley2012NaozHarvard University2012NeilsenBoston University2012NixonUniversity of Colorado2012ReisswigCalifornia Institute of Technology2012SteinCornell University2012SuMassachusetts Institute of Technology2012Van WeerenSmithsonian Astrophysical Observatory2012 de MinkThe Carnegie Institute of Washington2013GuillochonHarvard University2013JiangSmithsonian Astrophysical Observatory2013LindenUniversity of Chicago2013ManuelUniversity of Michigan2013NalewajkoStanford University2013PetropoulouPurdue University2013RobertsCalifornia Institute of Technology2013ChekhovskoyUniversity of California, Berkeley2013Van HaasterenJet Propulsion Laboratory2013 Ben-AmiSmithsonian Astrophysical Observatory2014BurkhartHarvard University2014EllisJet Propulsion Laboratory2014FongUniversity of Arizona2014FoucartLawrence Berkeley National Laboratory2014KashiyamaUniversity of California, Berkeley2014KimCalifornia Institute of Technology2014KingStanford University2014SamsingPrinceton University2014SadowskiMassachusetts Institute of Technology2014TremblayYale University2014YangUniversity of Maryland2014 C. Useful World Wide Web Addresses SAO Subawards Section Homepage: HYPERLINK "http://www.cfa.harvard.edu/sp/policies/grants.html"http://www.cfa.harvard.edu/sp/policies/grants.html Chandra X-Ray Observatory Center Homepage:  HYPERLINK "http://cxc.harvard.edu" http://cxc.harvard.edu Smithsonian Astrophysical Observatory:  HYPERLINK "http://www.cfa.harvard.edu/about/" http://www.cfa.harvard.edu/about/ Code of Federal Regulations: HYPERLINK "http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR"http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR Office of Management and Budget:  HYPERLINK "http://www.whitehouse.gov/omb/circulars_default/" http://www.whitehouse.gov/omb/circulars_default/ Federal Acquisition Regulation Homepage: HYPERLINK "http://acquisition.gov/far/index.html"http://acquisition.gov/far/index.html NASA Grant & Cooperative Agreement Handbook: HYPERLINK "http://prod.nais.nasa.gov/cgi-bin/nais/nasa_ref.cgi"http://prod.nais.nasa.gov/cgi-bin/nais/nasa_ref.cgi     Page  PAGE 11 of  NUMPAGES 11 SMITHSONIAN ASTROPHYSICAL OBSERVATORY EINSTEIN POSTDOCTORAL FELLOWSHIP PROGRAM 2014-2015 TERMS AND CONDITIONS KEY CHANGES MADE FROM THE 2013-2014 VERSION ARTICLE CHANGE VIII, D, 6 Computing Devices XII Payment XIV Reporting Requirements XXVIII Updated the list of current Postdoctoral Fellows Updated web site links.  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