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Title : NSF 96-42 Information for Graduate Research Fellows Type : Program Guideline NSF Org: EHR Date : March 18, 1996 File : nsf9642 INFORMATION FOR GRADUATE RESEARCH FELLOWS NATIONAL SCIENCE FOUNDATION DIRECTORATE FOR EDUCATION AND HUMAN RESOURCES Arlington, VA 22230 Information in this booklet is designed to serve the NSF Graduate Research Fellowship Program which awards: NSF GRADUATE FELLOWSHIPS NSF MINORITY GRADUATE FELLOWSHIPS ************************************************ *Stipend and Cost-of-Education Allowance * * * *For all Awards initiated before 1987 the * *annual (12 month) stipend rate is $12,800 or * *$1,067 per month (see section 7). * * * *For all Awards initiated in 1987 and later * *the annual (12 month) stipend rate is $14,400 * *or $1,200 per month (see section 7). * * * *The cost-of-education allowance for a * *12-month academic year is $8,600 * *(see section 9). * * * *These rates are reviewed annually. * *The Coordinating Official will be notified of * *any changes in these rates. * ************************************************* Graduate Research Fellowship Program National Science Foundation 4201 Wilson Boulevard -- Room 907 Arlington, Virginia 22230 (703) 306-1694 grfp@nsf.gov Catalog of Federal Domestic Assistance Number of this program is 47.076, Education and Human Resources CONTENTS Section Page 1. Awarding Agency and Conditions ............ 2. Communication with NSF .................... 3. Coordinating Official ..................... 4. Change of Address or Name ................. 5. Fellowship Period ......................... a. Tenure ................................ b. Reservation ........................... (1) Institution during reservation .... (2) Medical Deferral .................. (3) Military Deferral ................. 6. Fellowship Institution .................... a. Institutional Affiliation ............. b. Change of Institution ................. (1) Before starting tenure ............ (2) Between fellowship years .......... (3) During a fellowship year .......... 7. Stipend ................................... a. General ............................... b. U.S. Fellowship Institutions .......... 8. Supplementation to Stipend................. a. Affiliated Institution ................ b. Additional Research Support............ c. Veterans' Benefits .................... d. ROTC Training Allowance................ 9. Payment of Tuition and Fees (Cost-of- Education Allowance) ...................... 10. Fellows Abroad ............................ a. Foreign Affiliation ................... b. Scientific Adviser ................... c. Stipend Payments ..................... (1) Initiation of stipend payments.... (2) Missing or Delayed Payments ...... d. Payment of Tuition and Fees .......... e. Travel ............................... f. Completion of Foreign Tenure Year .... 11. Fellowship Activities .................... a. Advanced Degree Enrollment ........... b. Teaching ............................. i Section Page c. Field Work ........................... d. Foreign Language Study ............... e. Program Changes ...................... f. Vacations ............................ g. Awards Or Employment During Tenure.... 12. Additional Fellowship Provisions ......... a. Mentoring Assistantships for Minority Graduate Fellows ..................... (1) Conditions ....................... (2) Procedures for initiating a mentoring assistantship .......... b. International Research Travel Allowance ............................ c. Use of Supercomputer ................. d. Tenure Beyond the Doctoral Degree .... 13. Other Fellowship Concerns ................ a. Income Tax ........................... (1) General conditions ............... (2) Foreign affiliation .............. b. Publications.......................... c. Acknowledgment of Support and Disclaimer ........................... d. Intellectual Property Rights ......... e. Future Employment .................... f. National Security .................... g. Members of the Armed Forces and Federal Employees ................ 14. Annual Reporting ......................... a. Yearly Continuation of the Fellowship (NSF Form 719) ....................... b. Activities Report (NSF Form 1080) .... c. Starting Certificate (NSF Form 349)... d. Direct Deposit Form (SF 3881) ....... c. Termination Certificate (NSF Form 453) Index ......................................... About the NSF ................................. Fly America Act ............................... NATIONAL SCIENCE FOUNDATION DIRECTORATE FOR EDUCATION AND HUMAN RESOURCES Arlington, VA 22230 INFORMATION FOR GRADUATE RESEARCH FELLOWS ********************************************************* * IMPORTANT * * * * Read this booklet carefully. It outlines the terms * *and conditions of your Graduate Fellowship, and * *provides general information for use during your * *tenure. Keep it and refer to it whenever you have a * *question about your Graduate Fellowship. The Founda- * *tion and your affiliated institution will thus be * *able to serve you more quickly and efficiently, and * *unnecessary correspondence will be avoided. If you * *lose this booklet, we will send you another upon * *request. Future editions of this booklet will be * *sent to you as they are published during the period * *of your fellowship. * * Fellows must act each year to obtain authorization * *to utilize or to reserve the continuation of their * *fellowships. This procedure is explained in section * *14a. * * As a recipient of Federal funds, you are expected * *to demonstrate a sense of responsibility in fulfill- * *ing the academic and fiscal obligations of your award. * *Failure on the part of a Fellow to observe all of the * *terms and conditions of a fellowship award constitutes * *sufficient grounds for its revocation by the * *Foundation. * ********************************************************* 1. AWARDING AGENCY AND CONDITIONS The National Science Foundation (NSF) is an agency of the Federal Government. One of its responsibilities is the awarding of graduate fellowships in science, mathematics, and engineering. The fellowships offer direct support for full-time study leading to advanced degrees to individuals who have demonstrated ability and special aptitude in these areas. Fellows are not considered employees of the National Science Foundation. As noted in the notification letter, successful applicants are asked to indicate formal acceptance or declination of the offer by April 30 using NSF Form 179, Acceptance/Declination Form For NSF Graduate Fellowship. In addition, for those individuals accepting the award, the Certifications page must be signed, dated, and returned with the Acceptance Form. If you indicate that you plan to attend a U.S. institution, the Foundation obligates funds for your support under an agreement with the institution of your choice. If you indicate that you plan to attend a foreign institution, reimbursement will be made directly to your bank account or to you for the applicable fellowship year, within the limits outlined in section 10d. 2. COMMUNICATION WITH NSF Most of the questions you may have pertaining to your fellowship are answered in this booklet or can be answered by the Coordinating Official (see section 3) at your affiliated U.S. institution. If you need to contact the Foundation concerning your fellowship, please use the following: Mail address: Graduate Research Fellowship Program National Science Foundation 4201 Wilson Boulevard - Room 907N Arlington, Virginia 22230 Telephone: (703) 306-1694 FAX: (703) 306-0468 Internet: grfp@nsf.gov Because of the size of this program, NSF uses form letters and electronic mail extensively. Fellows should know, however, that when the need arises, direct contact with the program staff is always encouraged. The Foundation is required to use ZIP codes on all domestic mail. Please be certain to furnish the proper ZIP code when providing the Foundation with any address in the United States. 3. COORDINATING OFFICIAL (U.S. INSTITUTIONS) Each college or university in the United States attended by Graduate Fellows has named a Coordinating Official--usually a graduate dean or a similar official--who assists the Foundation in administering fellowships at that institution. A copy of the Directory of Coordinating Officials was included in your award package. (The Directory is also available on STIS -- see inside front cover.) Under the terms of an agreement with the Foundation, the fellowship institution provides various services to Fellows at that institution. It is the Fellow's responsibility to contact the Coordinating Official for information and assistance. No request to the Foundation regarding a change in your fellowship plan or an exception to any fellowship guideline will be considered unless first endorsed by the Coordinating Official. Therefore, Fellows should discuss such requests with their Coordinating Official before contacting the Foundation. There are no Coordinating Officials at institutions outside the United States. For Fellows abroad, responsibilities normally carried out by the Coordinating Official in the United States will be divided between the Fellow and the Scientific Adviser. For this reason a number of provisions in this booklet apply specifically to Fellows abroad (see section 10). 4. CHANGE OF ADDRESS OR NAME You should immediately inform your Coordinating Official of any change of address or name. Also, please send a copy of the change to the NSF Graduate Fellowship office. 5. FELLOWSHIP PERIOD The period of your fellowship includes three years of tenure, during which you receive NSF funding to pursue your graduate work, and two years of reserve, which you may utilize for alternate activities with the approval of your Coordinating Official and NSF (see paragraph below and section 14a). All NSF fellowship tenure must be completed within five years of your fellowship starting date. Normally the fellowship period is divided into fellowship years, each comprised of a nine-month academic year (and up to three months of an associated summer). A fellowship year cannot be further subdivided into separate periods of utilization and reservation except for medical deferral or military deferral. Each year of the fellowship period is funded and administered separately. Recipients of new three-year awards may begin tenure in the summer following the award and must begin fellowship tenure not later than the beginning of the fall term with certain exceptions explained below. In any case, all NSF fellowship tenure during any year in which you plan to use your award must start no later than the fall term of that year. a. Tenure Tenure is the period of time during which you utilize your fellowship to pursue your advanced degree in science, mathematics, or engineering. It includes periods of full-time research and independent study whether or not your school is in session, as well as any normal, short vacation periods scheduled at your institution. The starting date of your fellowship is the date on which you actually begin your full-time activities, and your tenure is computed from that date. This need not necessarily coincide with a formal summer or fall academic session of your university (though normally it does), and is not defined by the date on which a stipend check may be issued. (The exact starting date is to be mutually arranged between you and your Coordinating Official.) New Fellows should present a copy of their notification letter to the Coordinating Official at their affiliated institution when beginning tenure. Fellows at institutions outside the United States will receive Starting Certificates (NSF Form 349) for notifying the Foundation directly of their beginning dates (see section 10). The proper fulfillment of the full-time training obligation assumed by Fellows will be determined at each institution in accordance with Foundation requirements. If you terminate your activities at your institution prior to the completion of your expected tenure, you are entitled to stipend payments only for those months you were on fellowship tenure at your university (including possible field work), the last month being defined for stipend payment purposes as 14 or more days of tenure. A Fellow may reduce the tenure of any fellowship year from 12 to no fewer than 9 months, without penalty other than loss of the tenure and associated stipend involved in such a reduction, by notifying the Coordinating Official, or, if abroad, the Foundation directly. In unusual circumstances and with prior approval, the Foundation will permit a brief interruption of tenure. Normally in such cases stipend payments and tenure will be forfeited for the duration of the interruption. Should you find it necessary to resign your fellowship, you should notify both the Foundation and your Coordinating Official immediately. The maximum period of tenure in any fellowship year is 12 months and may not be extended for any reason, even in the final year of a fellowship. b. Reservation With prior Foundation approval, Fellows may reserve the first one or two years of NSF fellowship tenure to engage in activities (e.g., travel, work) other than those that would constitute the significant start or continuation of progress toward an advanced degree in science, mathematics, or engineering. In addition, with prior NSF approval, Fellows may reserve the first one or two years of NSF fellowship tenure to accept a one- or two-year highly competitive international fellowship, such as the British Marshall or Rhodes Scholarship, for study abroad. When returning to active tenure after a period of reserve, Fellows may change start time from fall to summer or vice versa. When such a change in start time is made, NSF must be certain that no Fellow receives more than 36 months of NSF Graduate Fellowship support and that no Fellow is allowed more than five years from the summer or fall after the announcement of the award in which to utilize the fellowship support. Regardless, Fellows exercising this option must enter tenure of the NSF fellowship no later than the fall of the year that their reserve status ends. Fellows reserving the first two years of their NSF fellowship must use their NSF fellowship in three consecutive years. In either or both of the years that you do not utilize your award, your fellowship normally will be reserved for your future use during the permissible five-year period. Since there is no expectation that three years of NSF fellowship support will be sufficient to complete a doctoral degree program, years of fellowship tenure may be interspersed with one or two years of other forms of support, which it is the Fellow's responsibility to locate and obtain. This practice is in keeping with the Foundation's objective of providing Fellows near the beginning of their graduate studies reasonable assurance of three years of fellowship support, with some flexibility left to Fellows as to when best use of tenure can be made. (1) Institution during reservation. During a year in which a fellowship is reserved, your affiliated institution, for Foundation record purposes, will continue to be the institution at which tenure was most recently carried out, even if you subsequently sever connections with that institution. For this reason, the form for the declaration to utilize or reserve your fellowship in the following year (see section 14a) will be sent during the year of reservation to the Coordinating Official at that institution. A change of institutions will be entered on the Foundation's records immediately prior to resumption of tenure at the new institution, rather than prior to or during a period of fellowship reservation. For Fellows who reserve the first one or two years of fellowship tenure, the institution specified on the application form will be considered the fellowship institution unless the Fellow notifies the Foundation of a change. In any case, please keep the Coordinating Official at your institution of record informed of your current address. (2) Medical Deferral. Should serious illness or other interruption occur that prevents full-time fellowship activity for an extended period, you must contact your Coordinating Official regarding fellowship arrangement during this period. With Foundation approval, a Fellow may be granted a medical deferral. A Fellow requesting a medical deferral must secure a letter verifying the need for a medical deferral from a health care provider and notify the Coordinating Official, who should contact the Foundation. In the case of a medical deferral, the unused portion of the stipend and cost-of-education allowance will be reserved for later use by the Fellow. A letter from a health care provider should accompany a Fellow's request to resume tenure after being on medical deferral. A medical deferral may be granted for psychological as well as physical reasons, and the nature of the condition need not be disclosed. (3) Military Deferral. Within a given fellowship year a brief interruption for duly authorized military service or training is permitted with the approval of your Coordinating Official. In the case of a longer interruption resulting from active military service or from certain activities in lieu of service with the regular Armed Forces, provision can be made for reservation of a fellowship (or the balance of it) and reinstatement of the unused portion at a later date. In such cases a Fellow should notify the Foundation immediately in writing of these plans and request further instructions. Pay received by a Fellow for occasional attendance at military reserve or National Guard functions is exempted from limitations on supplementation of stipends. 6. FELLOWSHIP INSTITUTION a. Institutional Affiliation Fellows must be affiliated at all times during tenure with a nonprofit U.S. or foreign institution of higher education. If the Foundation does not raise a question with you concerning the institution you plan to attend, you may assume your choice has been approved. You are responsible for making all arrangements for acceptance at your chosen institution. b. Change of Institution (1) Before starting tenure. If you seek acceptance at an institution other than the one listed on your fellowship application, please indicate this change on the Acceptance/Declination Form For NSF Graduate Fellowship (NSF Form 179) that is to be submitted by April 30 following the award announcement. (2) Between fellowship years. A request to change affiliated institutions between fellowship years is normally made at the time you submit your annual Declaration to Utilize, Reserve or Terminate a Subsequent Year of a 3-Year Graduate Fellowship Award (NSF Form 719) to your Coordinating Official. The signature of your Coordinating Official or Scientific Adviser on this form is usually sufficient to support your request. If a decision to change institutions is made subsequent to submission of your annual declaration, you must submit a written request to NSF accompanied by a statement from your Coordinating Official or Scientific Adviser indicating that your work has continued to be satisfactory as well as evidence of acceptance at your new school. (3) During a fellowship year. A request to change affiliated institutions during a fellowship year must be accompanied by a statement from your Coordinating Official or Scientific Adviser indicating that your work has continued to be satisfactory. The Coordinating Official will indicate the amount of stipend paid and the amount of the cost-of-education allowance claimed. You must also submit to the Foundation evidence of acceptance in a graduate degree program from your proposed affiliated institution and you must contact the Coordinating Official at that school. In order to receive continued fellowship support when transferring from one institution to another, there must be only minimal disruption in your enrollment and pursuit of academic goals. Please be advised, however, that because of differing payment schedules at U.S. institutions, there may be some disruption in your receipt of stipend payments. 7. STIPEND a. General The Graduate Fellowship stipend is as specified on the inside cover of this booklet and is subject to periodic review. No dependency allowances are provided. There is no travel allowance for the purpose of assisting you in reaching your affiliated institution in the United States or for any other domestic travel. The Foundation reserves the right to withhold your stipend if you do not conform to the standards of conduct of your affiliated institution and the National Science Foundation, pending a full explanation. Any stipend payment received for a period in which you were not actually engaged in fellowship activities must be refunded either to the U.S. institution involved or, if you were attending a foreign institution, to the Foundation. b. U.S. Fellowship Institutions At U.S. fellowship institutions all arrangements for payment of your stipend are handled by your affiliated institution through the Coordinating Official. It is your responsibility to ascertain the method of payment and plan your activities accordingly. Your Coordinating Official will explain the exact procedures employed by your institution. 8. SUPPLEMENTATION TO STIPEND a. Affiliated Institution The institution may, if it deems such action desirable, augment NSF Fellows' stipends from institutional funds in such amounts as are in accordance with the supplementation policies of the affiliated institution. In the context of this guideline, funds that the institution has obtained from external (including Federal) sources may be considered as institutional funds. b. Additional Research Support The fellowship award does not provide allowances for special student needs, such as research expenses, travel to scientific conferences, computers, books and publications, fieldwork expenses, special study, and the like. Fellows may request support from other sources for such needs. c. Veterans' Benefits The receipt of educational benefits from the Veterans Administration is not considered by NSF as payment supplementary to support from the Foundation and may be received concurrently with such support. d. ROTC Training Allowance Fellows enrolled for duly authorized ROTC training may accept the associated allowance. This allowance is not regarded by the Foundation as supplementation and may be received concurrently with such support. 9. PAYMENT OF TUITION AND FEES (Cost-of-Education Allowance) The Foundation provides your affiliated institution in the United States with a fixed cost-of-education allowance, as specified on the inside cover of this booklet. During tenure Fellows will be exempt from paying tuition and fees normally charged to students of similar academic standing. You will, however, be required to pay any fees or deposits that are refundable in whole or in part, or that are of an optional nature, or that were incurred prior to the actual start of fellowship tenure (e.g., an "Application for Admission" fee). All living expenses--housing, food, etc.--must be defrayed by you. See section 11c concerning tuition and fees charged by an institution or laboratory other than your affiliated institution. The Foundation makes available this fixed cost-of-education allowance without regard to the actual amount of tuition and fees involved. This policy is based on the desire of the Foundation to contribute approximately the same percentage of the actual costs of the graduate education of all Fellows, regardless of how various graduate institutions normally generate income from endowments, public funds, tuition or other sources. The use of this cost-of-education allowance is entirely at the discretion of your affiliated institution. 10. FELLOWS ABROAD a. Foreign Affiliation If you intend to affiliate with a foreign institution, you must submit, as soon as possible, evidence from that institution that you have been accepted for study in a graduate degree program in one of the fields supported by the Foundation (unless such evidence was submitted with your fellowship application materials). A post-graduate degree program of study leading to an Honors degree at the baccalaureate level is unacceptable. You will be responsible for making all arrangements for securing any necessary passport or visas. In addition, all arrangements for affiliation with your foreign institution and provision for living quarters are your responsibility. It is the responsibility of the Fellow to assure that any research activities carried on outside the United States comply with the laws or regulations of the foreign country in which the research is to be conducted. In some countries the foreign research activities contemplated in the referenced proposal should be coordinated with the appropriate U.S. and foreign government authorities, and necessary licenses, permits or approvals should be obtained prior to undertaking the proposed activities. b. Scientific Adviser Your Scientific Adviser is the principal professor under whose guidance you are pursuing your fellowship activities. Fellows studying abroad should keep the Foundation informed at all times of the names and addresses of their Scientific Advisers, since these are the individuals with whom the Foundation will correspond if questions arise concerning their fellowships. c. Stipend Payments (1) Initiation of stipend payments. Stipend payments for a Fellow affiliated with a foreign institution will be transferred electronically to the Fellow's U.S. bank account via the Federal Reserve System, or will be mailed directly from the Foundation to the Fellow's address at the foreign site. A Starting Certificate (NSF Form 349) and an ACH Vendor/Miscellaneous Payment Enrollment Form (SF 3881) will be sent in advance of tenure and should be completed and returned to the Foundation as soon as possible after beginning tenure. Regular monthly stipend payments will not be authorized until these forms are properly completed and returned to the Foundation. Since it normally requires 4 to 6 weeks to process these forms, a Fellow should make provisions to maintain herself or himself during this period. (2) Missing or delayed payments. If you experience any problems with the electronic deposit system, please contact the Graduate Fellowship Program at the National Science Foundation. The Foundation will forward the information to the U.S. Treasury Department after adding appropriate fiscal information. It usually takes at least 4 weeks to have a new transfer arranged. d. Payment of Tuition and Fees In view of the diversity and complexity of financial charges made by foreign institutions, the Foundation will pay only those foreign institution tuitions and required fees that are normally assessed of all students of similar standing, exclusive of fees or deposits that are refundable in whole or in part, or that are of an optional nature, or that were incurred prior to the actual start of fellowship tenure (e.g., an "Application for Admission" fee). When you send a Starting Certificate to NSF, you can also send either an original statement from the university bursar regarding tuition and fees that are due, or a certified paid receipt for eligible charges from the affiliated institution to be reimbursed. NSF will pay to the Fellow the U.S. dollar equivalent, based on the exchange rate on the day the request is processed, up to the maximum of $8,600 annual cost-of-education allowance, in the same manner as the stipend is paid (electronic fund transfer to a U.S. bank or mailed to the Fellow's address overseas). Since the Foundation limits tuition and fee reimbursement at foreign institutions to an amount equivalent to the cost-of-education allowance paid to U.S. institutions, any bills in excess of the specified maximum amount of $8,600, during any tenure year are the responsibility of the Fellow, and will not be paid by the Foundation. On the other hand, if the cost-of- education allowance exceeds the foreign tuition and fees, the balance will not be made available to the Fellow. e. Travel Once tenure begins, a Fellow attending a foreign institution can request the one-time $1000 International Research Travel Allowance to assist in getting to the institution abroad (see section 12b). f. Completion of Foreign Tenure Year A Fellowship Termination Certificate and Grant Fiscal Report (NSF Form 453) must be completed and returned immediately upon completion of each tenure period at a foreign institution (see section 14e). The annual activities report (NSF Form 1080) can be completed at the same time and returned with the termination certificate (see section 14b). 11. FELLOWSHIP ACTIVITIES a. Advanced Degree Enrollment In addition to satisfactory institutional affiliation, a Fellow must be enrolled at all times during tenure in a full-time program leading to an advanced degree in one of the fields supported by the Foundation. However, the requirement of formal registration may be waived during part of this tenure, when appropriate, if permitted by the policy of the fellowship institution, provided that the Fellow otherwise remains engaged in appropriate full-time fellowship activities. b. Teaching As a Fellow, you will be required to devote full time to advanced scientific study or work during your tenure, including a reasonable amount of such teaching or similar activities as are in the opinion of the faculty of your institution contributory to your academic progress. You may, therefore, engage in teaching or comparable activities at only your affiliated institution without having to obtain the Foundation's approval. From the Foundation's point of view, furtherance of your educational objectives and the gain of substantive teaching experience, not service to your institution as such, should be the purpose of these activities. If you teach or engage in similar activities, all decisions regarding augmentation of your stipend within the limits outlined in section 8 will be made by your affiliated institution. NSF permits institutions to require appropriate service of Fellows by appointment to positions that can generate additional income to cover any difference between the cost-of-education allowance and tuition. Any such required service must be contributory to the progress of the Fellow toward an advanced degree and must not be expected to delay that progress. Any such required work must not adversely affect a Fellow's full-time study. Fellows are strongly encouraged to determine the plans regarding any such required service of their proposed fellowship institutions before committing to enroll in any particular school. c. Field Work (or Study at Another Institution) If, in the opinion of the faculty of your affiliated institution, it is desirable for you to study or to engage in research at another institution or laboratory during any part of your tenure, you may do so without having to obtain the Foundation's approval. It should be noted, however, that the Foundation's responsibility with respect to any Graduate Fellow is to the Fellow's affiliated institution only, and not to the "visited" institution or laboratory. The Foundation specifically cannot assume responsibility for educational costs assessed by another institution at which a Fellow may be studying temporarily. Regardless of your physical location, you will be considered by the Foundation as being identified with your affiliated institution only. Plans for field work or study at another institution must be approved either by your Coordinating Official (if at a U.S. institution) or by your Scientific Adviser (if at a foreign institution). d. Foreign Language Study Formal study of a foreign language, constituting a portion of your studies as a Fellow, would be appropriate in those cases in which such study is required in your degree program and is recommended by your faculty advisers. e. Program Changes Minor changes in your program may be made subject to the approval of your affiliated institution. A major change in your program--one that alters your program to the extent that it is significantly different from that originally submitted with your application (e.g., a change of field)--must receive the prior approval of your Coordinating Official or Scientific Adviser. In addition, you must submit a revised proposed plan of study or research for NSF approval. f. Vacations NSF fellowships do not provide a vacation period, as such, during fellowship tenure. You are entitled to the normal, short holiday periods observed by your fellowship institution, such as winter or spring holidays, and short between-term periods. "Vacation time" may not be accumulated for later use. There is considerable variation in institutional practices in the matter of vacations, but, if your institution should close for a long period of time, you will be expected to have made prior arrangements for the use of necessary facilities and resources to carry out your program. If it is not possible for you to make these arrangements at your affiliated institution, you should make other satisfactory arrangements, with Foundation approval, to carry on your work. g. Awards Or Employment During Tenure You may not receive funds from another fellowship, scholarship, assistantship or similar award, except as permitted under the provisions of section 8. However, you are permitted to solicit and accept support from any appropriate sources for research expenses connected with your fellowship activities. The Foundation is not concerned with gifts or loans of any kind that you may receive. During the tenure of your fellowship (except for scheduled short, vacation periods) you will be expected to devote full time to the advancement of your graduate education. Employment that does not jeopardize a Fellow's full-time commitment to graduate study is usually permitted. Nevertheless, employment that will generate substantial income in addition to receiving the NSF stipend must be approved by the NSF. Occasionally Fellows identify opportunities at on- or off-campus employment sites that contribute significantly to their graduate study. The NSF is concerned more with the progress or degree to which a Fellow makes toward his or her academic goals than with the nature of the employment. Before a Fellow engages in such work, permission of the NSF and the Coordinating Official must be obtained. Requests for approval of employment during tenure are reviewed by NSF on a case-by-case basis. 12. ADDITIONAL FELLOWSHIP PROVISIONS a. Mentoring Assistantships for Minority Graduate Fellows (1) Conditions. New Minority Graduate Fellows matriculating into their fellowship institutions for the first time as graduate students are eligible for a Mentoring Assistantship consisting of one, two or three months of additional stipend support primarily to participate in research during the summer before they begin their fall fellowship tenure. This option is intended for Fellows who can benefit from preliminary activities that do not constitute the significant start of work toward a graduate degree. Mentoring Assistantship activities consist of research participation or other appropriate institutionally arranged work that assists the Fellow in developing early mentoring relationships. Full-time activity during this period is required. Mentoring Assistantships are in addition to the normal three years of tenure awarded under the fellowship. Stipends will be paid at the prevailing rate and under prevailing guidelines for Graduate Research Fellowships. In addition, an allowance during this period will be made available to the department in which the research participation takes place. Mentoring Assistantships may be utilized only immediately preceding the start of the first year of fellowship tenure. Mentoring Assistantships may not be continued beyond the start of the fellowship institution's Fall session following Mentoring Assistantship tenure. (2) Procedures for initiating a mentoring assistantship. A Mentoring Assistantship is implemented on completion of the following steps: a) Minority Graduate Fellows (and Graduate Fellows who are members of underrepresented minority groups and who applied to both fellowship components) are notified of the Mentoring Assistantship option on the Acceptance/Declination Form for NSF Graduate Fellowships (NSF Form 179), which accompanies their notification letters. The option is requested by checking the appropriate box on the form. b) NSF will notify the Coordinating Official at the institution the Fellow has indicated on the form. The Mentoring must be done at the graduate institution, not at any other site. The Coordinating Official will be asked to outline, in consultation with appropriate faculty, a suitable plan for summer Mentoring Assistantship activities. If the fellowship institution is unable to act as host, the Mentoring Assistantship will not be available. c) The Coordinating Official will submit the mentoring plan to the Foundation for approval. The institution must certify that it is willing to accept the Fellow under the terms of a Mentoring Assistantship. d) After notification, the Fellow is responsible for arranging a suitable summer assistantship starting time with the Coordinating Official by mutual agreement. b. International Research Travel Allowance For those Fellows who plan to study or do research full-time at a foreign site for at least 3 continuous months, the Foundation will provide a one-time International Research Travel Allowance of $1,000 to assist the Fellow to travel to and from the foreign site. The activities proposed must be expected to contribute to the Fellow's advanced degree objectives. The period abroad may include any combination of tenure and reserve years otherwise permitted under the program guidelines. The allowance may be used at any appropriate time once tenure has begun and within the five years during which fellowship tenure may be utilized. Fellows may request this allowance on the Acceptance/Declination form (NSF Form 179) or the annual Declaration/Utilization form (NSF Form 719) or by submitting a written request, approved by the Coordinating Official, to the program office. Each request must describe the proposed activities as well as the proposed schedule. Fellows whose chosen fellowship institution is foreign may request the one-time International Research Travel Allowance of $1000 to offset the expense of traveling to and from the fellowship institution (see section 10e). Use of U.S. flag air carriers by international travel allowance recipients is required by the International Air Transportation Fair Competitive Practices Act of 1974 known as the "Fly America Act" (see page 24). c. Use of Supercomputer Fellows as well as Honorable Mention recipients may request use of up to 10 CPU hours at one of the Foundation-supported Supercomputer Centers, pending availability. The Centers will consider requests for supercomputer use in support of the research project that is or will be part of your full-time advanced degree work. Unless precluded by future events, requests must be submitted within five years from announcement of Honorable Mention or from the date of the start of your fellowship period for Fellows. A form for requesting supercomputer time is included in the fellowship award packet and with the notification letter to Honorable Mention recipients. Please contact Ms. Irene Lombardo at NSF, telephone (703) 306- 1963, for technical and administrative information before submitting a request. d. Tenure Beyond the Doctoral Degree If you attain your doctoral degree before completion of your fellowship tenure year, you may either resign at the time you complete the requirements for your doctoral degree or continue to engage in appropriate fellowship activities at your affiliated institution for a brief period not to extend beyond the normal termination date of the fellowship year involved. You should seek the advice of either your Coordinating Official or your Scientific Adviser. 13. OTHER FELLOWSHIP CONCERNS a. Income Tax (1) General conditions. No income tax will be withheld from any stipend. Provision, therefore, must be made by the Fellow for payment of any tax, domestic or foreign, when due. Specific questions should be referred to the U.S. Internal Revenue Service. Fellows are not in any sense salaried employees of the National Science Foundation nor of their affiliated institution. Therefore, no funds will be deducted from the stipend; no Social Security taxes will be paid by the Foundation; no W-2 forms will be issued; and provision must be made by the Fellow for the filing of any necessary estimate of taxes due and for payment of all income taxes that may become due. Fellows may request a statement of earnings from the fellowship institution. (2) Foreign affiliation. A statement of funds received (including travel allowance) will be issued by the NSF Division of Financial Management upon request by those Fellows who are attending a foreign institution. The Foundation is unable to supply information concerning the income tax or other tax provisions of any foreign country. Inquiries should be directed to the authorities in the appropriate countries. Fellows going abroad may find it helpful to consult Internal Revenue Service Publication No. 54, Tax Guide For U.S. Citizens And Resident Aliens Abroad, and Publication No. 520, Scholarships And Fellowships. These are available at all I.R.S. district offices. b. Publications A Fellow should make all research results available to the public without restriction, except as is required in the interest of national security. The Foundation would appreciate receiving notice of Fellows' publications, but it is not necessary to send a copy of publications, papers, thesis, or dissertation. c. Acknowledgment of Support and Disclaimer An acknowledgment of NSF support and a disclaimer must appear in any publication of any material, whether copyrighted or not, based on or developed under the project being reported, in the following terms: "This material is based upon work supported under a National Science Foundation Graduate Fellowship." All materials, except scientific articles or papers published in scientific journals, must also contain the following: "Any opinions, findings, conclusions or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the National Science Foundation." d. Intellectual Property Rights The National Science Foundation claims no rights to any inventions or writings that might result from its fellowship awards. However, Fellows should be aware that the NSF, another Federal agency, or some private party may acquire such rights through other support for particular research. Also, Fellows should note their obligation to include an Acknowledgment and Disclaimer in any publication. e. Future Employment The offer and acceptance of this fellowship does not obligate you, the Foundation or the United States Government in any way with regard to future employment or service of any kind. f. National Security Fellows are obliged to report promptly to the Foundation, prior to disclosure to others, any discoveries that are made or data that are developed that could reasonably be considered as likely to affect the national security or the national defense. Doubtful cases should be referred to the Foundation prior to disclosure of any information concerning them. g. Members of the Armed Forces and Federal Employees If during the tenure of your fellowship you will be a member of the Armed Forces (other than as a participant of an ROTC program) or on leave from a position in the Federal Service, it is your responsibility to so inform the Foundation and have a cognizant official of the Government organization involved file a statement with the Foundation outlining the funds that will be made available by your employer and the specific purpose for which they are provided to you. The Foundation and your organization must reach a mutually satisfactory agreement regarding your support during tenure before any funds can be provided under your fellowship. 14. ANNUAL REPORTING a. Yearly Continuation of the Fellowship, (NSF Form 719) NSF Form 719, Declaration To Utilize, Reserve Or Terminate A Subsequent Year Of A 3-Year Graduate Fellowship Award, which is sent to you in January through your Coordinating Official or directly if you are abroad, is for the purpose of declaring whether you will utilize or reserve your fellowship for the following year. Failure to declare your intent at this time results in your fellowship being considered as resigned. If you are in the first or second year of the three-year award and have not already reserved your fellowship for the maximum period of two years, you are eligible to utilize or reserve your fellowship during the next academic year. The utilization or reservation of your fellowship is contingent upon certification by your affiliated institution of satisfactory progress toward an advanced degree and your institution's approval of any alternate plans. If prior to the time for entering upon tenure for a given year your institution withdraws its certification, all remaining years of tenure will be canceled. The utilization of prior-year awards is contingent upon the availability of funds. b. Activities Report, (NSF Form 1080) In April of each year of tenure, a letter will be sent to you through your Coordinating Official, requesting a brief report on your experiences and accomplishments during the past year. Within 30 days after the end of that year, you are expected to submit NSF Form 1080, Activities Report for Graduate Fellowship Year 199_-9_, directly to the Foundation. The Foundation is always interested in receiving captioned photographs and learning of noteworthy accomplishments that merit public attention. Also, you may wish to offer suggestions regarding the administration of the award. c. Starting Certificate, (NSF Form 349) (for Fellows abroad) NSF Form 349, Fellowship/Grant Starting Certificate serves as authority to begin your stipend payments. Each year after you have begun tenure, complete a Starting Certificate form, obtain your Scientific Adviser's original signature, and send the form to the Foundation. d. Direct Deposit Form for US Banks ONLY, (SF 3881) (for Fellows abroad) The ACH Vendor/Miscellaneous Payment Enrollment Form (SF 3881) should be submitted along with the Starting Certificate in order for the U.S. Treasury Department to transmit payment data, by electronic means to the Fellow's U.S. bank account. e. Termination Certificate, (NSF Form 453) (for Fellows abroad) If you are studying at an institution abroad, NSF Form 453, Fellowship Termination Certificate and Grant Fiscal Report, will be mailed each year for you to complete and return to the Foundation immediately upon completion of your tenure period. This form is to be signed by your Scientific Adviser (or, an appropriate official of your affiliated institution), and must show the date you actually completed your fellowship activities, but must not be submitted in advance of your termination date. The annual submission of this form is required to satisfy minimum accounting regulations of the Federal Government and to verify that you have fulfilled the obligation of your fellowship tenure for which Federal funds were provided. Use of U.S.-Flag Air Carriers and Foreign-Flag Air Carriers (Reprinted from GC-1, NSF Grant General Conditions) Use of U.S.-Flag Air Carriers (1) The Comptroller General of the United States, by Decision B- 138942 of June 17, 1975, as amended March 31, 1981, provided guidelines for implementation of Section 5 of the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. 1517). (2) Any air transportation to, from, between, or within a country other than the United States of persons or property, the expense of which will be assisted by NSF funding, must be performed by a U.S.-flag air carrier if service provided by such a carrier is available. (3) For the purposes of this requirement, U.S.-flag air carrier service is considered available even though: (a) comparable or a different kind of service can be provided at less cost by a foreign-flag air carrier; (b) foreign-flag air carrier service is preferred by, or is more convenient for, the Foundation or traveler; or (c) service by a foreign-flag air carrier can be paid for in excess foreign currency. (4) The following rules apply unless their application would result in the first or last leg of travel from or to the United States being performed by a foreign-flag air carrier: (a) A U.S.-flag air carrier shall be used to destination or, in the absence of direct or through service, to the farthest interchange point on a usually traveled route. (b) If a U.S.-flag air carrier does not serve an origin or interchange point, a foreign-flag air carrier shall be used only to the nearest interchange point on a usually traveled route to connect with a U.S. flag air carrier. (c) If a U.S.-flag air carrier involuntarily reroutes the traveler via a foreign-flag air carrier, the foreign- flag air carrier may be used notwithstanding the availability of alternative U.S.-flag air carrier service. Use of Foreign-Flag Air Carriers (1) Travel To and From the United States. Use of a foreign-flag air carrier is permissible if: (a) the airport abroad is the traveler's origin or destination airport, and use of U.S.-flag air carrier service would extend the time in a travel status by at least 24 hours more than travel by a foreign-flag air carrier; or (b) the airport abroad is an interchange point, and use of U.S.-flag air carrier service would require the traveler to wait 6 hours or more to make connections at that point, or would extend the time in a travel status by at least 6 hours more than travel by a foreign-flag air carrier. (2) Travel Between Points Outside the United States. Use of a foreign-flag air carrier is permissible if: (a) travel by a foreign-flag air carrier would eliminate two or more aircraft changes en route; (b) travel by a U.S.-flag air carrier would extend the time in a travel status by at least 6 hours more than travel by a foreign-flag air carrier; or (c) the travel is not part of the trip to or from the United States, and use of a U.S.-flag air carrier would extend the time in a travel status by at least 6 hours more than travel by a foreign-flag air carrier. (3) Short Distance Travel. For all short distance travel, regardless of origin and destination, use of a foreign-flag air carrier is permissible if the elapsed travel time on a scheduled flight from origin to destination airport by a foreign-flag air carrier is 3 hours or less and service by a U.S.-flag air carrier would double the travel time. INDEX Page Acknowledgment of Support and Disclaimer...... Additional Fellowship Provisions.............. Address, Change of........................... Address for Writing NSF....................... Advanced Degree Enrollment.................... Annual Report (Activities Report).......... Armed Forces, Members of...................... Awarding Agency and Conditions................ Awards, Other................................. Change of Institution......................... Continuation of the Fellowship................ Coordinating Official......................... Cost-of-Education Allowance................... Direct Deposit................................ Disabilities, Scientists with................. Employment.................................. Federal Employees............................. Fellows Abroad................................ Fellowship Activities......................... Fellowship Institution--Affiliation........... Change...................................... Foreign..................................... Fellowship Period, Definition................. Field Work.................................. Fly America Act............................. Foreign Language Study........................ Foreign Affiliation........................... Foreign Travel.............................. Future Employment............................. Holidays...................................... Income Tax.................................... Institution during Reservation................ Intellectual Property Rights.................. International Research Travel Allowance....... Medical Deferral.............................. Mentoring Assistantships for Minority Graduate Fellows............................ Military Deferral............................. Military Service............................. Minority Graduate Fellows..................... Name, Change of............................... National Security............................. Passport Arrangements......................... Program Changes............................... INDEX Page Publication Policy............................ Reservation................................... Reports, Annual............................. ROTC Training Allowance....................... Scientific Adviser................ Starting Certificate..................... Stipend: ..................................... Amount......................inside, front cover Fellows Abroad............................ Payment Procedure........................... Supplementation............................. Study Away from Affiliated Institution...... Supercomputer Use............................. Teaching...................................... Tenure........................................ Tenure Beyond the Doctoral Degree............. Termination Certificate.................... Travel..................................... Vacations..................................... Veterans' Benefits............................ About the NSF The Foundation provides awards for research in the sciences, mathematics, and engineering. The awardee is wholly responsible for the conduct of such research and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for the research findings or their interpretation. The Foundation welcomes proposals from all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and related programs described here. In accordance with federal statutes, regulations, and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving financial assistance from the National Science Foundation. Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on NSF projects. See the FASED program announcement (NSF 91-54) or contact the FASED program coordinator at (703) 306-1636. Privacy Act and Public Burden. The information requested on proposal forms is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used in connection with the selection of qualified proposals and may be disclosed to qualified reviewers and staff assistants as part of the review process; to applicant institutions/grantees to provide or obtain data regarding the application review process, award decisions, or the administration of awards; to government contractors, experts, volunteers, and researchers as necessary to complete assigned work; and to other government agencies in order to coordinate programs. See Systems of Records, NSF-50, Principal Investigators/Proposal File and Associated Records, and NSF-51, 60 Federal Register 4449 (January 23, 1995), Reviewer/Proposal File and Associated Records, 59 Federal Register 8031 (February 17, 1994). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award. The public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to: Herman G. Fleming, Reports Clearance Officer, Contracts, Policy, and Oversight, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, INTERNET: hfleming@nsf.gov and to: Office of Management and Budget, Paperwork Reduction Project (3145-0058), Washington, D.C. 20503. The National Science Foundation has TDD (Telephonic Device for the Deaf) and Firs (Federal Information Relay Service) capabilities, which enable individuals with hearing impairment to communicate with the Foundation about NSF programs, employment, or general information. To access TDD, dial (703) 306-0090; for FIRS dial, 1-800-877-8339. OMB No. 3145-0058 P.T.: 22 K.W.: 0400000, 0600000, 1000000 NSF 96-42 (Replaces NSF 92-40)