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Hubble Fellowship Program Policy and Budget Information 2015 Revised

Revised September 8, 2015


Table of Contents
Introduction .......................................................................................................................... 3 Contacts ................................................................................................................................ 3 Section 1 ­ STGMS (Space Telescope Grants Management System) ........................................ 4 Section 2 ­ Funding ............................................................................................................... 4 Section 3 ­ Commencement of New Fellows .......................................................................... 5 Section 4 ­ Continuing Fellows .............................................................................................. 6 Section 5 ­ Changes in Host Institution .................................................................................. 7 Section 6 ­ Early Termination of the Fellowship ..................................................................... 7 Section 7 ­ Final Year and Closeout of the Fellowship ............................................................ 8 Section 8 ­ No Cost Extension ................................................................................................ 9 Section 9 ­ Family and Medical Leave .................................................................................... 9 Section 10 ­ Publications and Other Research Accomplishments .......................................... 10 Section 11 ­Education and Public Outreach (E/PO) Grants ................................................... 10 Section 12 ­Budget Submission ........................................................................................... 11 Section 13 ­Allowable Costs ................................................................................................ 11 Section 14 ­Budget Worksheet ............................................................................................ 17 Appendix A ­Interim/Final Performance Report Template ................................................... 18 Appendix B­Final Financial Expenditure Summary Template ................................................ 19 Appendix C ­Final Equipment Report Template ................................................................... 20

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Introduction
Hubble Fellowships are comparable to research fellowships or similar limited-term postdoctoral level appointments at universities. Fellowship appointments are not permanent, professional career positions. This document outlines policies and procedures for new and continuing Hubble Fellows, establishing or renewing their Fellowships and the associated arrangements with Host Institutions and Faculty Contacts. It also includes procedures for submitting budget proposals to STScI. These policies are meant to be used in conjunction with the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Chapter I, Chapter II, Part 200 and Appendices which supersede the OMB references in the STScI General Grant Provisions (8/06). http://www.stsci.edu/institute/grants/documents/ggp0806.pdf Contacts: Hubble Fellowship Program Office (Science or policy inquires): Dr. Claus Leitherer Hubble Fellowship Program Office 3700 San Martin Drive Baltimore, MD 21218 Phone: 410-338-4425 Email: leitherer@stsci.edu

STScI Grants Administration Office (Allowable costs, budget preparation, foreign travel prior approval, equipment prior approval, report submission): Shantavia Sturgis Hubble Fellowship Grants Administrator Phone: Email: 410-338-4200 gms_mail@stsci.eduS
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Section - 1 STGMS (Space Telescope Grants Management System)
STGMS is a web-based application that allows users direct access to grants information. https://stgms.stsci.edu

All grant actions are initiated and processed in STGMS. These actions may include budget submissions and approvals; grant awards and amendments; no-cost extensions; and reports. STScI will provide accounts for Faculty Contacts in STGMS. An Authorized Official (AO) at the Host Institution will activate individual user accounts and provide privileges, as necessary. Hubble Fellows are not authorized users in STGMS. If the Fellow must access STGMS, please contact an AO at the Host Institution.

Section - 2 Funding
Funding for the Hubble Fellowship (HF) program is contingent upon the availability of funds from the National Aeronautics and Space Administration (NASA) and approval of the Space Telescope Science Institute (STScI) Director. STScI funds each Fellowship through a grant to the Host Institution, with the Faculty Contact serving as the Administrative Principal Investigator (Admin PI). STScI awards funds for a maximum of three years (36-months), renewing annually for each 12 month period. STScI reminds the Host Institution that Fellowship grant funds are solely for the support of the Fellow for the conduct of his/her research program (with one exception noted in Section 13, #4 Travel) and must not cover expenditures for any other purpose or any other individual.

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Section - 3 Commencement of New Fellows
A. Ph.D. Requirements Fellows must have received their Ph.D. prior to the commencement of the Fellowship. Fellows who have not completed all the requirements for their Ph.D. degree at the time of application must provide proof of completion to STScI Grants Administration before beginning their appointment. B. Start Date The Fellow, the Host Institution, the HF Program Office, and STScI Grants Administration negotiate the start date. Dates earlier or later than September are possible. Earlier start dates are limited by the availability of funding from NASA and by the time required to complete administrative procedures to issue the award. C. Pre-award Costs Pre-award costs on HF grants are limited to relocation expenses only. Stipend, fringe benefits, and other direct costs including travel, cannot be charged to a fellowship award until the Fellow has activated. D. Length of Fellowship The Fellowship is a 3-year appointment, subject to an annual review and approval for renewal. HF grants support the individual Fellow's research program. Fellows must work full-time on their research programs and be in residence at the Host Institution dur ing the entire period of the Fellowship appointment. E. Visa Requirements Non-U.S. nationals offered Hubble Fellowships must have a valid Visa for the duration of the Fellowship appointment. STScI does not support any costs (including attorney fees) related to obtaining or renewing a Visa. These costs are not reimbursable by the HF Program. The application process is the responsibility of the Fellow and their Host Institution. F. Taxes and Insurance The Host Institution and each Fellow is responsible for complying with all regulations related to State and Federal Taxes. STScI recommends the Fellow to consult with a tax accountant regarding their individual situation. Non-resident aliens ­ Fellows holding Exchange Visitor (J-1) Visas are advised that Federal Income Tax may be withheld by the Host Institution, and should consult the appropriate office at the their institution.
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Section - 4 Continuing Fellows
The HF Program Office conducts an annual review based primarily on the Fellow's level of scientific activity and achievement (as reflected in the items listed below). The following are due no later than June 1st: Document: Interim Performance Report (Template provided in Appendix A) Responsibility: Submission location: Description: The Hubble Fellow must describe STGMS scientific research https://stgms.stsci.edu activities from the start of the Fellowship, including a publications list. The Faculty Contact must assess the Fellow's research Signed pdf copy to HF performance during Program Office and the year and affirm Grants Admin Office their support to renew the subsequent year.

Hubble Fellow

Annual Faculty Contact Assessment

Faculty Contact

Upon review and approval of the required documents listed above, the HF Program Office will notify Continuing Fellows of their renewal. In the event that the Fellow's scientific activity is determined to be inadequate, the Fellowship would be subject to termination at the end of the current year.

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Section - 5 Changes in Host Institution
Each Fellow will be in residence at the Host Institution throughout the full 3 -year Fellowship term. Under special circumstances, a Fellow may relocate to an Institution other than the original Host Institution. A written request and justification for a transfer must be submitted to the HF Program Office with a copy to STScI Grants Administration, and is subject to approval from the STScI Director. Upon approval, the grant at the current Host Institution will be closed, and a grant will then be awarded to the new Host Institution. In general, STScI will not approve a transfer request if the new Host Institution has already accepted a new Hubble Fellow for the current year.

Section - 6 Early Termination of the Hubble Fellowship
If a Fellow terminates prior to the end of the 36-month period, the following information must be submitted to the HF Program Office and STScI Grants Administration: A. Minimum 30-day notice of the intent to resign the Fellowship. B. Letter of resignation to the Faculty Contact at the Host Institution, with copies to the HF Program Office and STScI Grants Administration. The letter must include a brief reason for the resignation and the effective date of the resignation. Email PDF copies are preferred. C. List of other STScI grants on which the Fellow is the PI (Science or Administrative). D. Name of new institution. If the Fellow is moving to a non-U.S. institution, any equipment and/or computing devices purchased to support the Fellow's research program must remain at the U.S. Host Institution to be used in support of other STScI or NASA research programs. Otherwise, the equipment and/or computing devices may transfer with the Fellow to another U.S. institution. For authorized equipment with a unit cost of $5,000 or more, the new institution must accept title to and for responsibility the equipment by submitting a Special Request through STGMS. STScI will modify the end date of the Fellowship grant to the effective date of resignation, and will provide a list of final reports required to close the grant.
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Section - 7 Final Year and Closeout of the Fellowship
All expenditures must be incurred prior to the end date of the Fellowship. All unexpended funds must be returned to STScI. At the end of the third Fellowship year, the following Final Reports are required ( due dates for the final reports are included in the grant award and amendment documents): Document: Final Performance Report Responsibility: Hubble Fellow Submission location: Description: The Fellow must describe STGMS scientific research https://stgms.stsci.edu activities during the 3year grant period. The Faculty Contact must Signed pdf copy to HF assess the Fellow's Program Office and research performance Grants Admin Office throughout the 3-year term. All expenses must be STGMS incurred prior to the end date of the Fellowship The summary provides an overview of the incurred Email or pdf expenses compared to the budget. Any equipment approved by STScI and purchased with Hubble Fellowship funds must be reported on the Final Equipment report. Because of this grant, have any inventions and/or new technology initiatives been developed? Negative reports are required

Final Faculty Contact Assessment

Faculty Contact

Final Financial Report Final Financial Expenditure Summary (Template provided in Appendix B) Final Equipment Report (Template provided in Appendix C)

Host Institution

Host Institution

Host Institution

STGMS

New Technology Report

Host Institution

STGMS

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Section - 8 No Cost Extension
The Host Institution may request a NCX for page charges only. Papers must be submitted to a journal prior to the end of the Fellowship. Please notify the Grants Administration Office providing the name(s) and author(s) of the paper(s) and date(s) submitted. If an extension is approved, only the due date for the Final Financial Report and the Final Financial Expenditure Summary will change. The due date for the Final Performance Report, Final Faculty Contact Assessment, Final Equipment Report and New Technology Report will not change.

Section - 9 Family and Medical Leave
The HF Program recognizes that leave may be required for situations such as a serious health condition, and/or the birth/adoption of a child during the 3 -year Fellowship term. The Host Institution will follow their Family and Medical Leave Act (FMLA) policies. STScI Grants Administration Office requires notification to approve a request for any leave of absence. If the request for leave is other than medical, STScI requires that the Fellow provide information on what will be done during the duration of the absence. If requested prior to (or, if a health condition, coincident with) the situation, STScI will extend the fellowship grant period accordingly. STScI will approve no additional funding.

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Section - 10 Publications and Other Research Accomplishments
STScI anticipates the Fellow will publish their research results in refereed literature. Each publication must include the following acknowledgments: A. "Support for this work was provided by NASA through Hubble Fellowship grant #_____ awarded by the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Inc., for NASA, under contract NAS5-26555." B. Hubble Fellows must identify themselves, as such, in a footnote attached to their names on the title page of each publication. In addition, Fellows must keep the HF Program Office informed of their research projects, special discoveries, awards, or other significant developments, as they occur.

Section - 11 Education and Public Outreach (E/PO) Grants

Hubble Fellows current Faculty

Fellowships support research related to the mission of the Hubble Space Telescope. are eligible to propose for STScI E/PO grants if a Call for Proposal is released for the HST cycle. STScI will fund E/PO programs by grant award to the Host Institution with the Contact serving as the Administrative PI.

Information for the E/PO Program is available at the following web site:

http://amazing-space.stsci.edu/eds/epo/funding/

Please contact Bonnie Eisenhamer in the STScI Office of Public Outreach at 410 -338-4798 or bonnie@stsci.edu for questions regarding this program.

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Section - 12 Budget Submission Process
Budgets are due by June 5, 2015 A budget and supporting narrative submitted and approved by the Authorizing Official of the Host Institution is required prior to the award of funds for the program year. The budget must be submitted through STGMS.

Section - 13 Allowable Costs
All funding is contingent upon the availability of funds from NASA. 1. Stipend Refer to the Budget Worksheet for the current academic year Fellowship stipend amounts. The Host Institution may not apply Indirect Cost Rates or any other type of fee to the stipend. Hubble Fellows will not accept additional stipend, salary, or other remuneration of any kind from any other fellowship, grant, or appointment (including a teaching appointment), throughout the duration of the Fellowship. Fellows may not accept additional honorary named appointments linked with the title "Hubble Fellow". Fellows must devote full time effort to their individual research projects. STScI does not prohibit Fellows from proposing and receiving funds for observing time on HST or other programs provided that such funds do not provide salary or stipend for the Fellow. 2. Fringe Benefits and Health Insurance The method of applying Fringe Benefits must be in accordance with the Standard Policies and Practices related to postdocs at the Host Institution. The Host Institution may not apply Indirect Cost Rates or any other type of fee to health insurance or fringe benefits. The Host Institution must provide full health insurance (including dental and vision) coverage for the Fellow and their eligible dependents during the term of the Fellowship.
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If a life-changing situation (e.g. marriage, birth, or adoption of a child) will occur that is known prior to budget submission that will increase the cost of health insurance, the budget should include the appropriate costs. Explain the reason for the increased cost in the budget justification. Funding must be included in the budget proposal in one of three ways: 1. If full-time employee benefits are offered, the institution may budget up to the approved fringe benefit amount for health insurance. The total may exceed $18,000 based on the federally approved fringe benefit rate. 2. If a Hubble Fellow is employed other than a standard, full-time employee (i.e. under a Postdoctoral Fellow program), health insurance may be budgeted at the maximum amount allowable for that program. The total may exceed $18,000 based on the options offered. 3. If a Hubble Fellow is employed in a capacity other than the two stated above ( e.g. contractual employee) and full coverage health insurance is not provided, the Fellow should purchase medical/dental/vision insurance separately and be reimbursed for the monthly premium up to $18,000 annually. In none of these cases, will the Fellow be reimbursed for the employee portion of the premium or any co-payments, individual medical, dental, prescription costs, etc. not covered under the health insurance policy. It is the responsibility of each Fellow to become familiar with the health insurance and policies of their Host Institution. 3. Relocation First year Fellows may request up to $7,500 for relocation costs. These costs must be in accordance with the standard policies and practices of the Host Institution. Fellows from non-U.S. Institutions: New Fellows relocating to the U.S. from foreign institutions are required to travel on U.S. Flag Carriers to the extent possible, if funded through the Fellowship. Generally, STScI will not reimburse relocation expenses if the Fellow is relocating to an institution that is less than 50 miles from their current institution. Relocation expenses are unallowable if the Fellow is not changing institutions.

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4. Travel Travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by the Fellow who is in pre-approved travel status for legitimate research purposes. The only person authorized to travel on the grant is the Hubble Fellow with one exception. The Fellow may request approval for a graduate student to travel with or on behalf of the Fellow for a specific purpose. Prior approval must be obtained from The Faculty Contact and STScI Grants Administration. Foreign travel is defined as travel outside the U.S., its territories, and Canada. A ll foreign air travel must be via U.S. Flag Carriers to the extent such service is available. Any expenses incurred for personal days while in travel status are the sole responsibility of the Fellow. Professional Travel All travel, domestic and foreign, paid by the grant must be approved in advance by the Faculty Contact. Prior written approval must be obtained from STScI Grants Administration for all foreign travel that is not specified in the approved budget. The budget justification must contain the following information for each domestic and foreign travel request: 1. 2. 3. 4. 5. 6. 7. Purpose of the trip Destination Dates of travel and number of days on travel Cost of airfare Cost of lodging Costs of meals and incidentals Total cost for travel

Hubble Fellow Symposium Travel All Hubble Fellows must present their research at the annual Hubble Symposium, held at STScI in Baltimore (dates to be determined). Funds up to $2,500 annually may be requested to support travel to the Symposium. Costs associated with professional travel before or after the symposium must be allocated and charged to research travel. These costs may not be charged to symposium travel.

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Unexpended funds from the Hubble Symposium must reduce the Symposium budget for the following year. Procedure - Prior Approval Request for Foreign Travel not specified in the budget: 1. Obtain Faculty Contact approval for foreign travel by email. 2. Send an email to gms_mail@stsci.edu 3. The following information is required to obtain STScI approval: Email documentation indicating Faculty Contact approval Travel Details: Request Date: Destination: Dates: Purpose of the trip: Total Estimated cost: $0 Airfare Lodging Meals & Incidentals U.S. Ground Transportation Foreign Ground Transportation Miscellaneous $0 $0 $0 $0 $0 $0

STScI Grants Administration will review the information provided and issue official approval by email.

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5. Equipment and Computing Devices Equipment is defined as tangible personal property (including information technology systems) having a useful life of more than one year with a per-unit acquisition cost of $5,000 or more. All equipment purchases must be approved in advance by the Faculty Contact and STScI Grants Administration. Approval of the budget does not constitute prior approval. Equipment expenditures are generally unallowable during the final six (6) months of the Fellowship.

Computing devices are defined as machines used to acquire, store, analyze, process, and publish data and other information electronically, including accessories (or "peripherals") for printing, transmitting and receiving, or storing electronic information . The purchase of computing devices with a unit cost of less than $5,000 is allowable providing the purchase is essential to the performance of the award. The budget justification must include a complete description of the item(s) to be purchased including a list of required software and peripherals, a cost estimate of the item(s) and from where the cost estimate was obtained, and how the item(s) will be used in the conduct of the research. Computing devices expenditures are generally unallowable during the final six (6) months of the Fellowship. STScI grant funds, including the Hubble Fellowship, cannot support costs for personal electronic devices such as, cell phones, etc., or the monthly charges for data and/or talk plans. At the end of the Fellowship, any equipment and/or computing devices purchased may not transfer with the Fellow to a non-U.S. institution. If the Fellow is moving to a non-U.S. institution, any equipment and/or computing devices purchased must remain at the U.S. Host Institution to be used in support of other STScI or NASA research programs. Otherwise, the equipment and/or computing devices may transfer with the Fellow to another U.S. institution. For authorized equipment with a per-unit cost of $5,000 or more, the new institution must accept title to and responsibility for the equipment by submitting a Special Request through STGMS.
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Procedure - Prior Approval Request for Equipment: 1. Obtain Faculty Contact approval for equipment purchase by email. 2. Send an email to gms_mail@stsci.edu 3. The following information is required to obtain STScI approval: Description of the equipment (e.g. manufacturer's name, model number, etc.) Estimated purchase price Faculty Contact approval, email documentation

STScI Grants Administration will review the information provided and issue official approval by email. Procedure ­ Final Equipment Report: Any equipment approved by STScI and purchased with Hubble Fellowship funds must be reported on the Final Equipment report. Relevant details include: Manufacturer's name Model number Actual purchase price Final disposition of the equipment

6. Other Direct Costs Grantees may carry over unexpended direct costs, with the exception of Stipend, Fringe Benefits, Relocation, and Hubble Symposium travel costs, into subsequent years in addition to the new allocation of direct costs. At the end of the three-year term, all unexpended funds must be returned to STScI. 7. Budget Narrative A Budget Narrative must be included with the budget submission. The narrative explains the basis for calculating the funding amounts requested for fringe benefits or health insurance, relocation, direct costs, and travel. Please submit the budget narrative as a PDF through STGMS.

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Section - 14 Budget Worksheet 2015-2016 Academic Year
This budget worksheet illustrates allowable budget items and maximum amounts per category. The budget and narrative must be submitted through STGMS. 1. Fellowship Stipend: 1st Year Fellow $67,000 2nd Year Fellow $67,500 3rd Year Fellow $68,000 2. Fringe Benefits: 3. Other Direct Costs Professional travel, supplies & materials, computer services, equipment, publication costs, etc. 1st Year Fellow [not to exceed] $19,000 2nd Year Fellow [not to exceed] $14,500 3rd Year Fellow [not to exceed] $14,500 4. Relocation Costs for 1st Year Fellows only Please enter costs in the "Other" category in STGMS 5. Travel to STScI for annual Hubble Fellowship Symposium. Please enter costs in the "Other" category in STGMS 6. Indirect Costs (applicable to Items 3, 4, and 5 only, based on a Federally negotiated Indirect Cost rate) [not to exceed] $7,500 [not to exceed] $2,500 see Note #1 below

[Rate x (Items $___3+4+5)]

Year 1 Fellows, please indicate the requested start date for the grant in the budget justification and in the STGMS budget, Item 11 A. Note 1: Fringe Benefits must be allocated in accordance with Section 13, either calculated at the Host Institution's applicable federally negotiated applied to the Fellowship stipend; or a maximum of $18,000 if the Institu purchases health-care coverage separately. The Indirect Cost rate or any not be applied to Item 2. #2. The amount will be Fringe Benefits rate as tion or the Fellow other type of fee may
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Appendix A Interim/Final Performance Report Template
Grant # HST-HF2-XXXXX.001-A Contract Number: NAS5-26555 Title: Investigator: [enter Faculty Contact name] Host Institution: Institution ID: if applicable Scientific PI: enter Fellow's name Start Date: mm/dd/yyyy End Date: mm/dd/yyyy Request Date: [date of report] Submitter: Reporting Period: From mm/dd/yyyy To mm/dd/yyyy Hubble Fellowship Program Summary of Project Activities 1. Brief description of the primary objectives and scope of the project 2. Brief description of the findings Interim - Include a brief description of research plans for the upcoming year. Section should be 1 page in length (minimum) 3. Name and date (or anticipated date) of the publication of results 4. Suggestions and additional comments List conferences and scientific meetings attended, talks given by the Fellow, observing trips taken, and any other relevant scientific activities. The Faculty Contact must send a brief signed letter assessing the Fellow's research performance during the past year. This letter can be scanned and emailed as an attachment to: Dr. Claus Leitherer Hubble Fellowship Program Office Email: leitherer@stsci.edu DEADLINES: Interim Performance Report and Faculty Contact Letter: By May 31 for Year 1 & Year 2 Final Performance Report and Final Faculty Contact Letter: 90 days after the end of the Fellowship appointment.
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Appendix B Final Financial Expenditure Summary Template

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Appendix C Final Equipment Report Template
Grant # HST-HF2-XXXXX.001-A Contract Number: NAS5-26555 Title: Investigator: [enter Faculty Contact name] Institution: Institution ID: if applicable Scientific PI: enter Fellow's name Start Date: mm/dd/yyyy End Date: mm/dd/yyyy Request Date: [date of report] Submitter: Item #1 Quantity: Manufacturer's Name: Actual Cost Description: Final Disposition: Item #2 Quantity: Manufacturer's Name: Actual Cost Description: Final Disposition: Item: Model Number: Item: Model Number:

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