Policies, Practices, and Procedures

Contents

3 - Stipend

4 - Visas

6 - Taxes

7 - Travel

Introduction

As a Research Associateship awardee, you join the ranks of distinguished scholars who have been chosen to participate in the Research Associateship Programs of the National Research Council. Since the Programs began in 1954, the exceptional research of Associates has contributed greatly to the scientific efforts of federal laboratories and to the body of scientific knowledge as a whole.

The objectives of the Programs are (1) to provide postdoctoral and senior scientists and engineers of unusual promise and ability with opportunities for research on projects, largely of their own choice, which are compatible with the research interests of the sponsoring laboratories, and (2) to contribute thereby to the overall research efforts of the federal laboratories.

Research Associateship awards are administered by the Fellowships Office of the National Research Council, located in Washington, DC. The mailing address and contact information are as follows:

Associateship Programs
National Research Council
500 Fifth Street, NW
Washington, DC 20001

Telephone (202) 334-2760
FAX (202) 334-2759

www.nationalacademies.org/rap

rap@nas.edu

This Policies, Practices, and Procedures (PPP) document states the conditions of your award, your responsibilities as an Associate, and the procedures observed by the Research Associateship Programs.

1Definitions

1.1Research Associate

1.1.1As a National Research Council Research Associate, you are a scientist or engineer at the doctoral level, chosen by the National Research Council in a national competition. You have been offered an award to perform scholarly research on a problem of your own choice at a federal laboratory approved for participation in the Associateship Programs.

1.1.2You enjoy the status and privileges of a guest investigator at the laboratory. You are not an employee of the National Research Council or the sponsoring laboratory and do not perform personal services for either organization.

1.2Postdoctoral Research Associate

A Postdoctoral Research Associate has held the doctoral degree for less than five years at the time of application.

1.3Senior Research Associate

A Senior Research Associate has held the doctoral degree for five or more years at the time of application or holds a permanent appointment in academia, government, or industry and has research experience that has resulted in significant contributions and recognition as an established investigator in his or her specialized field.

1.4Laboratory and Center

For the purposes of the Associateship Programs, the term “laboratory” is used to refer to any agency or facility, or division of such an agency or facility, which is currently participating in the Programs. The terms “center” and “institute” are sometimes used instead of “laboratory.” In some cases, federal laboratories partner with non-federal centers. These centers may be located in universities or other non-federal research facilities. In all cases, these affiliated centers have been approved by the National Research Council for participation in the Research Associateship Programs.

1.5Laboratory Program Representative

A Laboratory Program Representative is a professional staff member of a laboratory who is responsible for managing its Research Associateship Program. A Laboratory Program Representative assists you with all administrative aspects of your tenure.

1.6Research Adviser

1.6.1A Research Adviser is the scientist or engineer at a laboratory with whom you will work most closely. The National Research Council has approved each Research Adviser.

1.6.2During tenure, your Research Adviser provides you with assistance in conducting your research program but does not act as a supervisor.

1.6.3For a Postdoctoral Research Associate, a Research Adviser serves as the Associate’s mentor. All matters relating to your research program will fall under his or her purview.

1.6.4For a Senior Research Associate, a Research Adviser usually functions in a more collegial relationship and assists as needed in securing space, equipment, or technical and clerical support.

1.7Program Administrator

1.7.1A Program Administrator is a National Research Council Associateship Programs staff member who is responsible for the proper conduct of programs at his or her assigned laboratories.

1.7.2The Program Administrator assigned to your laboratory has signed your award letter. He or she is available to discuss all aspects of your program with you.

1.8Program Coordinator

A Program Coordinator is an Associateship Programs staff member who is assigned to work with a Program Administrator to assist you and the laboratory staff in administering the Associateship Program. Your designated Coordinator will answer questions related to award acceptance, contingencies, renewal, early resignation, termination, travel, and changes in address or Adviser during your tenure.

1.9Approval

Throughout this document, procedures are cited which require the approval of the Research Adviser, the Laboratory Program Representative, and/or the National Research Council Program Administrator. The use of the word “approval” means written approval, and any actions taken on the basis of verbal concurrence are not binding unless followed by appropriate written authorization.

1.10Tenure

Tenure is considered the inclusive dates during which an Associate is in residence at a sponsoring federal laboratory, from the start date through the last date in residence at the laboratory.

2Accepting an Award and Beginning Tenure

2.1Notification of an Award

Your official award letter states the primary conditions of your award, including information about your stipend and the period of your tenure at the sponsoring federal laboratory. Your award package includes the following:

(a)Award Response Form

(b)Start Date Form

(c)Health and Medical Insurance packet

(d)Memorandum and Authorization Agreement for automatic deposit of stipend payments (as
explained in section 3.6)

(e)Taxability of Research Grants Information

(f)Policy on Supplemental Income

These forms may be included in your award packet, if applicable:

(g)Request for DS-2019

(h)Travel Authorization Form

(i) Travel Expense Report

(j)Request for Movement of Household Goods Form (if applicable) and regulations and procedures
governing the movement of these goods

These forms can also be found on the Associateship Programs Web site at www.nationalacademies.org/rap under program forms.

2.2Award Response Form

2.2.1Included with your award package is a Response Form. Use this form to report your decision to accept or decline an award and the date on which you expect to begin tenure at the laboratory.

2.2.2If you show an expected start date on the Response Form that is significantly different from that shown on your Application, the approval of the Laboratory Program Representative and the Research Adviser may be required before your tenure can officially begin. These approvals are necessary to ensure compliance with the laboratory’s scheduling of research and the availability of support facilities.

2.2.3You may use the Response Form to request a stipend advance, if desired. A stipend advance must be requested at least 30 days prior to your proposed start date. The advance check will be mailed to the Laboratory Program Representative.

2.2.4Return the completed Response Form to the Associateship Programs office no later than 14 days after you receive your award letter.

2.2.5If you cannot accept an award immediately, please contact the National Research Council Program Administrator and your Research Adviser at the laboratory.

2.3Change of Address

2.3.1To maintain your eligibility for relocation reimbursement, you must obtain advanced, written approval for a change of address from the National Research Council Program Administrator if different from that shown on your application. Notify the National Research Council Program Administrator or Program Coordinator immediately, in writing, of any change in your address.

2.4Beginning Tenure and/or Changing the Start Date

2.4.1Your tenure should normally begin within six months after you accept an award unless special arrangements are made.

2.4.2If you cannot begin tenure as originally scheduled, immediately notify the Program Administrator or Program Coordinator, and your Research Adviser at the laboratory.

2.5Conditions for Beginning Tenure

In order to begin tenure, you must meet the following three requirements:

(a)Completion of the Doctoral Degree — If you are a Postdoctoral Research Associate, you must have earned a Ph.D., Sc.D., M.D., D.V.M., or academically equivalent research doctorate before beginning tenure. If you have not received the degree, the graduate dean, registrar, or recorder (not the department chairman or major professor) must certify in writing—directly to the Associateship Programs office—that you have met all requirements for the degree. If this certification is not in English, you must provide an official translation.

(b)Visa Requirement for Non-United States Citizens -- If you are not a United States citizen, you must provide evidence of an acceptable visa before you begin tenure. Further information on visas can be found in Section 4.

(c)Security or Visitation Clearance -- Certain laboratories require a security or visitation clearance. You should not attempt to begin tenure until the conditions for this clearance have been satisfied. Procedures for meeting this requirement should be discussed in advance with the Laboratory Program Representative.

(d)Insurance Coverage -- All Associates must show proof of health insurance or enroll in the Aetna Insurance program.

Until the above requirements are met, no advance stipend checks will be issued; no stipend payments will be made; no relocation and/or travel costs will be reimbursed; and no medical insurance coverage will be available.

2.6Arriving at the Laboratory

The National Research Council Program Administrator or Program Coordinator, the Laboratory Program Representative, and the Research Adviser should be kept informed of your relocation travel plans and expected time of arrival at the laboratory.

2.7Contacting the Laboratory Program Representative

Contact the Laboratory Program Representative when you arrive at the laboratory. He or she will assist you with logistical arrangements, the Start Date Form, and a stipend advance, if applicable.

2.8Working with the Research Adviser

Maintain close contact with your Research Adviser. He or she will serve as a mentor and professional colleague. A Research Adviser will guide you in all aspects of your research activities and help you to acquire research support such as office space, a computer, equipment, etc.

2.9Change of Research Adviser or Research Program

2.9.1Approval by the Laboratory Program Representative and the Program Administrator is required to change your Research Adviser.

2.9.2The Research Adviser, the Laboratory Program Representative, and the Program Administrator must approve a major change in an approved research program.

2.10Status of a Research Associate

2.10.1As a National Research Council Research Associate, you are a guest investigator in the federal laboratory, affiliated center, or institute. You are not an employee of the laboratory or of the National Research Council, and do not perform personal services for either organization.

2.10.2In view of this special status, you are expected to devote your full effort to research, to publish in the open scientific literature, and to participate in all appropriate scientific meetings and technical activities of the sponsoring laboratory.

2.11Residency and Full-Time Requirements

2.11.1The National Research Council Research Associateship Programs require Associates to conduct research in residence at the sponsoring federal laboratory or affiliated center. Extended periods away from the laboratory, center, or institute for field work or other off-site research activities must be approved by the Research Adviser and the Laboratory Program Representative.

2.11.2An Associateship Award provides you an opportunity to perform research without distracting diversions or other duties. While on tenure, you are required to devote 100% of your working time and intellectual effort to your approved research program. Failure to meet the residency and full-time requirements may result in termination of the Associateship award.

2. 11.3Because you are not an employee, you are not entitled to “leave,” as such. However, attention to personal matters or the need for rest and renewal may warrant a short-term absence from a research project. In all such cases, you must make arrangements in advance with your Research Adviser, and send a Travel Authorization Form to your Program Coordinator to keep on file for our records. Associates who must be away from the laboratory for longer periods due to personal reasons should consult the National Research Council Program Administrator.

2.12Receiving Outside Compensation

2.12.1You may not accept additional compensation for services from another appointment, including part-time teaching, research, consulting, or outside work. During your tenure, you may not hold fellowships or similar awards that provide any funds for personal (living) expenses.

2.12.2Awards may be accepted if they meet the following criteria:

(a)An award or grant that is designated for support of research costs in the sponsoring laboratory or for professional travel.

(b)An award from a professional society that includes a monetary component, if the award was unsolicited (the organization selected the awardee and the awardee was nominated by others). The award must be from a recognized professional organization and must be an established award.

(c)A one-time monetary award from the federal sponsor given in accordance with agency awards policy (e.g., Special Act, Outstanding Performance).

2.12.3If you are a university faculty member on sabbatical leave, you may receive sabbatical leave pay under the existing regulations of the university, but you may not participate in university grant or contract activities during your tenure as an Associate. Consult the Program Administrator with any questions.

2.12.4If you hold J-1 status, you must request written authorization from the National Research Council Visa Officer before you undertake any outside consultation or give a talk for which you will be paid expenses. This requirement is based on federal J-1 regulations.

2.13Conforming to Laboratory Policies

2.13.1As a guest investigator, you are expected to conform to all established policies and procedures of the sponsoring laboratory as they pertain to professional guest investigators.

2.13.2The Laboratory Program Representative and your Research Adviser will assist you with established guidelines for the safety and health of individuals working in the laboratory, including working hours for the conduct of research.

3Stipend

3.1Stipend Amount

The amount of your annual stipend is shown in your award letter. Stipend checks are issued at the end of each month.

3.2Start Date Form

3.2.1The Start Date Form, which is included in your award package, certifies the date your tenure begins. This form must be signed and dated by the Laboratory Program Representative on your first day of tenure, and received by the Associateship Programs office before stipend payments can begin.

3.2.2The Start Date Form may not be signed and/or dated in advance of the actual start date.

3.3Social Security Number (SSN)

3.3.1Before any stipend payments are made, you must report a United States Social Security Number (SSN) to the Associateship Programs office. If you do not have an assigned SSN, you must apply for one. This can be done in the United States at a local office of the Social Security Administration.

3.3.2When you apply for an SSN from the Social Security Office, request a receipt and mail it to the Associateship Programs office. This will permit the release of stipend payments. Please notify the Associateship Programs office, in writing, when the SSN number is assigned.

3.4Stipend Advance

3.4.1You may request in writing an advance on your stipend at least 30 days prior to your actual start date.

3.4.2A stipend advance is an interest-free loan of a portion of a stipend payment. Use the Response Form to apply for an advance. The Laboratory Program Representative or your Research Adviser will release this advance to you on the day on which tenure officially begins, as shown on the Start Date Form.

3.4.3If you are a United States citizen or resident alien, you may request an advance of up to one month of your gross stipend.

3.4.4If you hold a J-1 exchange visitor visa, you may request an advance of up to one month of your net stipend (gross stipend less 30% monthly income tax withholding).

3.5Repaying a Stipend Advance

Advance stipend payments are repaid by equal monthly deductions from your stipend until the total advance is repaid. Note: the repayment period may not be longer than one month less than the total period of tenure.

3.6Receiving Stipend Payments

3.6.1You may request that your monthly stipend payment be deposited electronically, mailed to your home, or mailed to the laboratory, center, or institute address shown on the Start Date Form. We recommend that you arrange to have your stipend payment deposited electronically in order to avoid delays.

3.6.2For electronic funds transfer (EFT) deposits to a bank, please read the EFT Memorandum and complete the Authorization Agreement for Automatic Deposit included in your award package. Processing of an electronic funds transfer usually takes two to three months.

3.6.3If you choose to have your stipend check mailed, it is recommended that your home address be used.

3.6.4Your final stipend payment will be made only after you have submitted your Final Report and settled all outstanding travel expense reports. Further information concerning the Final Report may be found in Section 8.2.

4Visas

The National Research Council Research Associateship Programs office sponsors J-1 exchange visitor visas, and accepts F-1, J-2, L-2 and immigrant (permanent resident) visas, as well as individuals in asylee and refugee status. Postdoctoral F-1 students must be authorized for optional practical training by their university and USCIS. No other visa classes may be held during tenure.

4.1General Information

4.1.1If you are not a United States citizen, you may begin tenure only when you have provided evidence to the Associateship Programs office that you are in valid immigrant or nonimmigrant status.

4.1.2The Associateship Programs office can provide information regarding nonimmigrant visas. However, the National Research Council cannot apply for a visa or permanent residency on your behalf. All costs in connection with your passport or visa are your responsibility.

4.1.3Resident aliens and nonresident aliens who move to a new home address must notify the U.S. Citizenship and Immigration Services (USCIS) within ten (10) days on Form AR-11 to maintain legal status. Under Student and Exchange Visitor Information System (SEVIS) regulations, F-1 and J-1 visa holders may satisfy this requirement by notifying their visa sponsor (the National Research Council Visa Officer) within 10 days.

4.2J-1 Exchange Visitor Visa

Full information regarding J-1 visa requirements is available separately from the Associateship Programs Office. Following are general remarks.

4.2.1A Research Associatesthip awardee may apply for a J-1 exchange visitor visa under the sponsorship of the National Research Council, as designated by the U.S. Department of State. To be eligible for a J-1 research scholar visa,

(a)you must not have been in any J status during 6 out of the past 12 months (exception: short term scholars) and

(b)you must not have held J-1 or J-2 research scholar or professor status within the last 24 months.

4.2.2Upon written request, a DS-2019 form (Certificate of Eligibility for Exchange Visitor J-1 Status) will be issued by the National Research Council if all other outstanding contingencies have been met, including agency background checks and evidence of the doctorate.

4.2.3If you reside outside the United States at the time of the award, you may apply for a J-1 visa at the nearest United States embassy or consulate.

4.2.4If you reside in the United States on any other visa, you may apply to the U.S. Citizenship and Immigration Services (USCIS) for a change of nonimmigrant status. You may begin tenure at the laboratory only after written USCIS approval has been received. F-1 students authorized for optional practical training may begin tenure in F-1 status while their change of status is being processed by USCIS.

4.2.5 If you reside in the United States on a J-1 research scholar visa under other sponsorship, you must transfer to National Research Council sponsorship. Your research field must remain the same and you must obtain the agreement of your current J-1 sponsor. Once requested, the Associateship Programs office and your current sponsor complete the transfer process electronically through SEVIS. When the transfer is effective, the National Research Council will issue a new DS-2019 form to you.

4.2.6If you reside in the United States on a J-1 student visa, you may hold tenure using postdoctoral academic training with the authorization of your university international office.

4.2.7Under federal regulations, all J-1 exchange visitors are subject to certain requirements:

(a)strict legal limitations on the maximum period of stay in the United States: research scholars may stay up to 60 months; J-l short-term scholars may stay up to 6 months; and J-2 dependents’ stay is determined by their J-1 spouse sponsorship.

(b)the two-year home country physical presence requirement before changing to H, L, or permanent resident status because of

(1)the use of United States government funds for support of the National Research Council awards and/or

(2)the research skills needed in the country of nationality or last legal residence (the Skills List).

(c)continuous enrollment in health insurance coverage for themselves and their families throughout the period they are in J-1 status. The National Research Council provides this insurance. (See Section 5) J-2 family members may hold other health insurance, as long as it meets U.S. Department of State requirements for exchange visitors.

4.3Immigrant Visa

4.3.1If you are currently in the United States as a Permanent Resident (immigrant visa), and hold an alien registration number without restrictions on length of stay and employment, you may continue in that status.

4.3.2If you have applied for and expect to receive an immigrant visa, you must provide the Associateship Programs office with evidence of authorization for employment before you may begin tenure.

5Insurance

For additional information on health and medical insurance, refer to the insurance booklet or check with the Associateship Programs office.

5.1Health and Medical Insurance

5.1.1A group health insurance program, which provides coverage for major medical expenses, is available to you. The cost of this program is shared by you and the sponsoring agency.

5.1.2Insurance for dependents is also available under the same basic program. If the Associateship Programs office receives your insurance application within 30 days following the beginning of tenure, insurance coverage for dependents is provided without physical examination. Insurance applications received more than 30 days following the beginning of tenure are subject to review by the insurance company.

5.1.3Report any changes in marital or dependent status to the National Research Council Program Administrator or Program Coordinator immediately. This will allow for appropriate changes in insurance coverage.

5.1.4Health and medical coverage begins on the official Start Date of tenure and ends on the last day of the month in which tenure officially ends, as shown on the Start Date Form.

5.1.5An Aetna group health insurance booklet, a concise summary of medical coverage and premium costs, and an enrollment form are included with the award letter. The enrollment form indicating your insurance decision should be returned to the Associateship Programs office with your Response Form. Claim forms will be mailed to you with the letter that acknowledges receipt of your Start Date Form. Aetna will send you an insurance identification card within a month.

5.1.6Insurance Requirement for Exchange Visitors -- The U.S. Department of State requires exchange visitors and their dependent families to carry health insurance while they are in the United States. The National Research Council provides this insurance during tenure. (See Section 4.2.7[c])

5.2Extending Health Insurance Coverage

5.2.1You may extend your health insurance coverage for one month beyond the end of tenure by sending the Associateship Programs office a letter authorizing the deduction of one month’s full premium, plus a 3% service charge, from your final stipend check.

5.2.2If your final stipend check will not cover the premium amount, you may send a check for the appropriate amount, made payable to the National Academy of Sciences, to the Associateship Programs office. Since this premium changes periodically, call the Associateship Programs office for the current amount.

5.2.3Because premiums are payable in advance to the insurance company and are due on the first day of each month, you must notify the Associateship Programs office of your intention to purchase the additional month’s insurance at least 60 days in advance.

6Taxes

6.1Federal Tax Liability of United States Citizens and Permanent Residents

6.1.1 Because you are a guest investigator, and not an employee of the National Research Council or the sponsoring federal laboratory, the National Research Council does not withhold taxes from your stipend payments. This applies to both United States citizens and to foreign nationals who hold immigrant (permanent resident) visas.

6.1.2If you are in one of these categories, you should:

(a)study the pertinent tax publications

(b)plan ahead to meet any tax obligations, both federal and state

(c)prepare income tax estimates

(d)make quarterly payments

(e)file your final returns by April 15 for the preceding tax (calendar) year

6.1.3Responsibility for payment of your income taxes rests solely with you. The Associateship Programs office cannot provide information or consultation concerning income taxes.

6.2Tax Revision Act of 1986

The Tax Revision Act of 1986 revises the procedure for estimating tax levels and making quarterly tax payments. Under this law, estimates must be 100% of the prior year's tax or 80% of the estimated tax on the current year.

6.3Federal Tax Liability of Nonresident Aliens

6.3.1If you are a nonresident alien in J-1 or F-1 status, the National Research Council is required to withhold 30% from your monthly stipend and to report this deduction to the Internal Revenue Service (IRS) at the end of each tax year.

6.3.2Taxes will be withheld at the 30% level regardless of any country tax treaties that may be in effect. Actual tax liability is determined when you file a federal income tax return. In the event the tax liability is less than the amount withheld, you will receive a tax refund directly from the IRS.

6.3.3As a nonresident alien, you should file Form 1040 NR no later than the 15th day of June following the close of the tax (calendar) year. For other filing options, you should consult a tax professional and/or the IRS.

6.4State Tax Liability

You may be liable for state income taxes and should file the appropriate tax return in compliance with the laws of the state in which you reside. You should consult a local government tax authority at the beginning of tenure for further details concerning this liability.

6Tax Reporting Forms

6.5.1The National Research Council will furnish you with an annual statement of the total stipend and (for nonresident aliens only) the amount of federal income tax withheld.

6.5.2For United States citizens and permanent residents, Form 1099 (Miscellaneous Income) will be mailed to you in late January. For nonresident aliens, Form 1042S (Foreign Person’s United States Source Income Subject to Withholding) will be mailed to you no later than March 15.

6.5.3When you complete tenure, a statement of stipends paid to you will be forwarded to you at the end of the tax year. For U.S. citizens and permanent residents, this statement will be forwarded in January of the year following the end of tenure. For nonresident aliens, this statement will be forwarded in March of the year following the end of tenure.

6.6Social Security

6.6.1 Since you are a guest investigator, and not an employee of the National Research Council or the sponsoring laboratory, the National Research Council does not withhold Social Security taxes from your stipend payments. You should study the pertinent publications on Social Security taxes to determine whether you have incurred any tax obligation.

6.6.2Although Social Security taxes are not withheld from stipend payments, you are still required to have an assigned Social Security Number, as explained in section 3.3.

7Travel

Please refer to the Associateship Programs Travel Guide for information about travel associated with your award.

8Six-Month Progress Report and Final Report

8.1Six-Month Progress Report

An interim report on the progress of your research is required six months following the start of your tenure. At the appropriate time, you will receive a Six-Month Progress Report Form, requesting a summary of your research program.

8.2Final Report

Submission of a final report is a requirement of the National Research Council Associateship Programs. You should submit your report to the Associateship Programs office no later than 15 days before the date on which your tenure ends. A Certificate of Completion will be mailed when this report is received. Report forms may be found on the Associateship Programs Web site at www.nationalacademies.org/rap under Program Forms.

9Renewing an Associateship Award

Research Associateship Awards are made for one or two years depending on the policy of the federal laboratory. Awards may be renewed for a second and possibly a third year, upon mutual agreement of the Laboratory Program Representative, Research Adviser and Associate, and pending the availability of funds

9.1At least two two months before the end of your tenure, you and your Research Adviser will receive letters regarding the renewal of your Associateship Award.

9.2Two forms are required to renew your award, both found on the Associateship Programs Web site at www.nationalacademies.org/rap:

(a)Application for Renewal of Award (to be completed by the Associate and signed by the Research Adviser and Laboratory Program Representative.)

(b)Evaluation of Associate by Research Adviser (to be completed by the Research Adviser and signed by the Laboratory Program Representative.)

9.3Both forms should be sent to the Laboratory Program Representative, who will sign and forward them to the Associateship Programs office.

9.4Renewal of tenure is not intended to initiate new research but to complete your originally approved research program.

9.5Renewal is neither automatic nor guaranteed. The period of the requested renewal should be discussed with your Research Adviser.

10Resignation and Early Departure

If you decide to resign your award before your tenure officially ends, you must inform your Research Adviser, the Laboratory Program Representative, and the National Research Council Associateship Programs office in writing at least 30 days in advance. J-1 visa holders must inform the National Research Council Visa Officer directly for the required SEVIS notification.

10.1Procedure

10.1.1Resignation notification from the Associate must be routed through the Research Adviser, the Laboratory Program Representative, and the National Research Council Program Administrator for concurrence.

10.1.2If you resign early, the effective date of resignation will be the last working weekday you were in residence at the laboratory.

10.1.3Exchange Visitors -- The National Research Council is required to notify the U.S. Department of State through SEVIS when an exchange visitor leaves the program earlier than 30 days before the ending date on the current DS-2019 Form.

10.2Restrictions

10.2.1If early resignation results in tenure of less than six successive months, expenses previously reimbursed for initial relocation must be repaid.

10.2.2All outstanding travel and stipend advances must be reconciled before the last day of tenure.

10.3Final Report

See Section 8.2 for procedures regarding the Final Report.

11Publications, Copyrights, and Patents

Each sponsoring laboratory has specific policies regarding publications, copyright, and patents. The information provided here is general information, which is intended to provide an overview of intellectual property issues. This information may be superseded by laboratory policy. Therefore it is important that a new Associate discuss laboratory guidelines and procedures for publications, copyrights, and patents with his or her Research Adviser at the start of tenure.

11.1Publications

11.1.1The National Research Council and the sponsoring laboratory encourage you to publish all scientific results.

11.1.2You must conform to the laboratory’s requirements for prior review and approval of all material, whether written or prepared for oral presentation.

11.1.3All publications should include appropriate acknowledgment of the National Research Council and the laboratory as follows:

This research was performed while the author held a National Research Council Research Associateship Award at (laboratory Name).

11.1.4Publication charges are not a part of your National Research Council award budget. Although the National Research Council does not pay publication charges, many of the sponsor laboratories will pay these charges. You should discuss your laboratory’s publication policy with your Research Adviser and your Laboratory Program Representative.

11.2Copyrights

11.2.1If you assert copyright in the written works that arise from your research activities, the federal government and others acting on the government’s behalf will be granted a license to reproduce the copyrighted work, distribute copies, prepare derivative works, perform publicly the copyrighted work, and display publicly the copyrighted work.

11.2.2The Associate and the federal government will hold joint ownership.

11.2.3In the case of copyright agreements for journal publications, you must conform to the laboratory’s procedures for review and approval.

11.3Patents

11.3.1You are required to report all inventions made as a consequence of research conducted during your tenure promptly to the director of the laboratory or its patent counsel and also to your Program Administrator at the National Research Council. The notice to the National Research Council must include the title of the invention, the assigned case number, if any, the name of any co-inventors, and the name of any patent counsel at the sponsoring laboratory.

11.3.2Neither the National Academies nor the National Research Council will exercise any rights to inventions made during your tenure.

11.3.3Your rights to retain title in any invention made during your tenure may depend on the provisions of the applicable contract or grant awarded by each sponsoring agency to the National Research Council and/or the policies and procedures of that agency. The National Research Council will not take a position on the relative intellectual property ownership rights between an Associate and the sponsoring agency.

11.3.4In cases where an invention is made jointly with a government employee, the sponsoring agency may ask you to assign ownership rights to the agency. In some cases, in consideration for your assignment of rights, you may be offered a share of any royalties that may result from use or licensing of the invention.

11.3.5For each invention to which an Associate retains title, the federal Government will be granted, at a minimum, a nonexclusive, nontransferable, irrevocable, worldwide license to practice, or to have practiced for or on behalf of the United States.

11.3.6This information will be superseded by any requirements for individual sponsoring agencies and will also be subject to applicable federal laws. It is important that you discuss the laboratory’s patent policies and procedures with the appropriate laboratory personnel before you begin research.

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